The Dissertation Journey

SECOND
EDITION
The
DISSERTATION
Journey
A Practical and Comprehensive Guide to
Planning, Writing, and Defending Your Dissertation
CAROL M. ROBERTS
CORWIN
A S A G E Company
Copyright © 2010 by Carol M. Roberts
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Library of Congress Cataloging-in-Publication Data
Roberts, Carol M.
The dissertation journey : a practical and comprehensive guide to planning, writing,
and defending your dissertation / Carol M. Roberts. — 2nd ed.
p. cm.
Includes bibliographical references and index.
ISBN 978-1-4129-7798-2 (pbk.)
1. Doctor of education degree—Handbooks, manuals, etc. 2. Dissertations,
Academic—Handbooks, manuals, etc. 3. Report writing—Handbooks, manuals,
etc. I. Title.
LB1742.R63 2010
808'.066378—dc22 2010020319
This book is printed on acid-free paper.
10 11 12 13 14 10 9 8 7 6 5 4 3 2 1
Acquisitions Editor: Dan Alpert

Associate Editor: Megan Bedell
Editorial Assistant: Sarah Bartlett
Production Editor: Amy Schroller
Copy Editor: Jenifer Dill
Typesetter: C&M Digitals (P) Ltd.
Proofreader: Theresa Kay
Indexer: Molly Hall
Cover Designer: Michael Dubowe
Contents
F o r e w o r d viii
Kenneth R. Stevenson
N e w to T h i s E d i t i o n χ
Preface xii
A N o t e to D o c t o r a l C a n d i d a t e s xiv
A c k n o w l e d g m e n t s xvi
A b o u t t h e A u t h o r xviii
P A R T I: Q U E S T S A N D Q U E S T I O N S 1
1. D o Y o u H a v e W h a t It Takes? 2
W h y Take T h i s J o u r n e y ? 2
D o You H a v e W h a t It Takes to J o u r n e y to the P e a k ? 4
A v o i d i n g the H a z a r d s o f H i g h - A l t i t u d e C l i m b i n g 5
Procrastination 6
E m o t i o n a l Barriers 10
Writer's Block 11
W h a t A r e the Inner Essentials? 13
Summary 17
2. W h a t Exactly Is a D i s s e r t a t i o n ? 18
W h a t Is a D o c t o r a l Dissertation? 18
Typical Dissertation Structure 20
Studies U s i n g Q u a n t i t a t i v e M e t h o d o l o g y : S a m p l e F o r m a t 21
Studies U s i n g Qualitative M e t h o d o l o g y : S a m p l e F o r m a t 21
Alternative F o r m a t s 22
C o m p o n e n t s o f a Typical Dissertation 22
Major S t e p s in the Dissertation P r o c e s s 26
R o l e s a n d Responsibilities 29
Summary 30
3. W h a t A r e the Ethical C o n s i d e r a t i o n s in R e s e a r c h ? 31
Institutional R e v i e w B o a r d s 32
Rights of H u m a n Subjects 33
Ethical Issues in D a t a Collection 36
Ethical Issues in D a t a A n a l y s i s a n d Interpretation 38
Ethical Issues in R e p o r t i n g R e s e a r c h Findings 39

Ethics o f Writing U p R e s e a r c h 40
Other Ethical Considerations 42
R e c o m m e n d e d Websites 43
Recommended Books 44
Summary 44
P A R T II: P R E P A R I N G F O R T H E C L I M B 45
4. C h o o s i n g a D i s s e r t a t i o n Topic 46
A p p r o a c h e s to C h o o s i n g a Topic 46
W h e r e to L o o k for Potential Topics 47
S o m e Criteria for Topic S e l e c t i o n 49
Replication Studies 51
Replication Studies D o s a n d D o n ' t s 52
Summary 52
5. C r e a t i n g Your D i s s e r t a t i o n T e a m 53
P e a k Principle: A l w a y s C l i m b Fully E q u i p p e d 53
Selecting a Dissertation A d v i s o r 54
Selecting the C o m m i t t e e 55
The Care and Nurture of Advisors and
Committee Members 56
H o w to A p p r o a c h a Potential A d v i s o r 59
W h a t If N o O n e A g r e e s to B e Your A d v i s o r ? 60
C h o o s i n g Outfitters a n d Bearers
(Other Specialized C o n s u l t a n t s ) 60
W h e r e to L o c a t e Specialists 61
Summary 62
6. Dissertation S u p p o r t G r o u p s 63
Critical D e c i s i o n s 64
Strategies a n d Structures o f Successful S u p p o r t G r o u p s 64
Other Considerations 66
Summary 66
7. O r g a n i z i n g Y o u r s e l f 67
O r g a n i z e Your W o r k s p a c e 67
O r g a n i z e Your T i m e 68
Working Smart 70
Maintain Balance 72
Strategies for G e t t i n g a Life W h i l e Dissertating 73
Summary 74
P A R T I I I : B E G I N N I N G T H E C L I M B 75
8. U s i n g t h e I n t e r n e t a n d T e c h n o l o g y to C o n d u c t R e s e a r c h 76
C o n d u c t i n g Literature S e a r c h e s 77
O t h e r Helpful T e c h n o l o g y 80
U s i n g the Internet for D a t a C o l l e c t i o n 81
U s i n g Y o u r L i b r a r y ' s Electronic S e a r c h C a p a b i l i t y 82
U s i n g Y o u r Instructional T e c h n o l o g y C e n t e r 82
Additional Online Resources 82
Tips to K e e p Y o u S a n e a n d P r o d u c t i v e 82
Summary 84
9. R e v i e w i n g t h e L i t e r a t u r e 85
Purpose and Scope 86
Preparation 88
Steps in C o n d u c t i n g a Literature R e v i e w 88
T e c h n i q u e s for Writing t h e Literature R e v i e w 106
A d v i c e o n Writing a Literature R e v i e w 107
Literature R e v i e w C h e c k l i s t 109
Summary 110
10. M a s t e r i n g t h e A c a d e m i c S t y l e 111
Qualities o f S c h o l a r l y Writing 111
C o m m o n Writing P r o b l e m s 113
Tips for G o o d Writing 114
Useful Verbs 120
Further Reading 120
Helpful Websites 120
Summary 121
P A R T I V : C L I M B I N G T O B A S E C A M P 122
11. W r i t i n g t h e I n t r o d u c t i o n 123
Problem Statement 124
Theoretical or C o n c e p t u a l F r a m e w o r k 129
Purpose Statement 134
Research Questions/Hypotheses 136
Significance o f the S t u d y 137
Delimitations 138
Assumptions 139
Definition o f Terms 139
O r g a n i z a t i o n o f the S t u d y 140
Summary 140
12. Selecting a n d D e s c r i b i n g t h e M e t h o d o l o g y 141
Selecting the M e t h o d o l o g y 141
Further R e a d i n g 146
D e s c r i b i n g the M e t h o d o l o g y 148
D a t a Collection P r o c e d u r e s 157
Data Analysis 158
Limitations 162
Checklist o f E l e m e n t s to I n c l u d e in the
Methodology Chapter 163

Summary 165
13. H o l d i n g the P r o p o s a l M e e t i n g 166

Before the M e e t i n g 166
D u r i n g the M e e t i n g 167
After the M e e t i n g 169
Summary 169
P A R T V: F I N A L P R E P A R A T I O N S F O R T H E P E A K 170
14. A n a l y z i n g a n d P r e s e n t i n g t h e R e s u l t s 171
U n d e r s t a n d i n g the D a t a 172
Writing the Introductory P a r a g r a p h 173
Tables a n d the N a r r a t i v e D e s c r i p t i o n 173
Presenting the F i n d i n g s 174
Further R e a d i n g 176
Summary 176
15. S u m m a r i z i n g a n d D i s c u s s i n g the R e s u l t s 177

Reflect o n F i n d i n g s 177
Chapter Organization 178
Summary 182
PART VI: F I N A L A S C E N T A N D
VIEW FROM THE TOP AND BEYOND 183
16. T h e Oral Defense: D - D a y 184

A Defense S c e n a r i o 185
Helpful Hints: P r i o r t o t h e O r a l D e f e n s e 187
D u r i n g the O r a l Defense 189
After the O r a l Defense 190
Summary 191
17. T h e N e x t P e a k 192
The Descent 192
Letting D o w n 193
Mount Analogue 193
Helping Others 194
Mentoring 194
Disseminating Your Study's Findings 194
Summary 198
Parting T h o u g h t s 199
A p p e n d i x A: S a m p l e D i s s e r t a t i o n T i m e l i n e — G a n t t C h a r t 200
A p p e n d i x B: S o u r c e of D a t a C h a r t 201
A p p e n d i x C: S a m p l e P a r t i c i p a n t Letter a n d Q u e s t i o n n a i r e 203
A p p e n d i x D: S a m p l e T a b l e — P r e s e n t i n g the R e s u l t s 210
A p p e n d i x E: D i s s e r t a t i o n C o n t e n t C h e c k l i s t 211
Bibliography 217
Helpful Websites 221
Index 222
Foreword
W h e n I c o m p l e t e d reading The Dissertation Journey b y Carol R o b e r t s ,

m y first reaction w a s , " W h e r e w a s this b o o k 2 0 years a g o w h e n I
started directing d i s s e r t a t i o n s ? " M y s e c o n d reaction w a s , " H e c k , w h e r e
w a s this b o o k e v e n before then w h e n I w r o t e m y o w n d i s s e r t a t i o n ? " M y
third reaction w a s , " E v e r y doctoral s t u d e n t in o u r d e p a r t m e n t n e e d s to
read this b o o k . " A n d m y fourth reaction w a s , " S o d o e s e v e r y faculty
member."
Dr. R o b e r t s ' s b o o k p r o v i d e s insight into e v e r y a s p e c t o f d e v e l o p i n g
a n d writing a dissertation. F r o m selecting a topic, to c h o o s i n g a c o m m i t
tee, to d e c i d i n g w h a t research a p p r o a c h to use, to the actual w r i t i n g a n d
defense o f the dissertation, Dr. R o b e r t s provides clear a n d c o m p r e h e n
sive directions for a n y s t u d e n t faced w i t h the c h a l l e n g e o f w r i t i n g a dis
sertation. I particularly appreciate h o w she m e t h o d i c a l l y takes students
t h r o u g h e a c h c h a p t e r that will c o m p r i s e the dissertation, n o t o n l y pro
v i d i n g an o v e r v i e w o f w h a t e a c h s h o u l d contain b u t also offering help
ful suggestions a n d checklists to reinforce w h a t constitutes a g o o d
dissertation.
A really appealing c o m p o n e n t o f The Dissertation Journey is the infor
m a t i o n p r o v i d e d to doctoral s t u d e n t s o n h o w to u s e t e c h n o l o g y to sup
port d e v e l o p m e n t o f a dissertation. N o t o n l y d o e s Dr. R o b e r t s offer
g o o d suggestions o n h o w to u s e the c o m p u t e r in w r i t i n g a dissertation,
she provides a listing o f electronic a n d Internet sources s t u d e n t s c a n u s e
to access research materials a n d articles.
F u r t h e r m o r e , the section that Dr. R o b e r t s provides o n the ethics o f
writing a dissertation is a m u s t read for a n y doctoral student. S h e
r e m i n d s the reader o f c o p y r i g h t l a w s , clearly defines p l a g i a r i s m a n d
h o w to avoid it, a n d highlights the i m p o r t a n c e o f u n d e r s t a n d i n g a n d
o b s e r v i n g the rules g o v e r n i n g research o n h u m a n subjects.
Finally, Dr. R o b e r t s p r o v i d e s a great c o n c l u d i n g section that focuses
o n students' responsibilities o n c e the dissertation is d o n e a n d t h e y h a v e
vlii
Foreword ix
g r a d u a t e d . S h e n o t o n l y e n c o u r a g e s t h e m to share their research find

ings b r o a d l y b u t also c h a l l e n g e s the s t u d e n t s to u s e their e x p e r i e n c e to
m e n t o r others u n d e r t a k i n g the rigors o f a doctoral degree.
R e t u r n i n g to m y initial c o m m e n t s , I found The Dissertation Journey to
b e a w o n d e r f u l l y useful tool to assist b o t h doctoral s t u d e n t s a n d g r a d u
ate faculty t h r o u g h the dissertation d e v e l o p m e n t p r o c e s s . T h e w o r k is
v e r y clearly written a n d a d d r e s s e s e v e r y a s p e c t o f dissertation writing.
It is s o g o o d that I p l a n to h a v e all o f m y d o c t o r a l s t u d e n t s p u r c h a s e a n d
r e a d the w o r k . It will s a v e t h e m , as w e l l as m e , a lot o f lost time, g n a s h
i n g o f teeth, a n d h e a r t a c h e .
Dr. R o b e r t s is to b e c o n g r a t u l a t e d for a d d i n g this i m p o r t a n t w o r k to
the field. T h e r e is n o d o u b t that, if doctoral s t u d e n t s a n d their advisors
will u s e this c o m p o s i t i o n as a g u i d e in d e v e l o p i n g dissertations, the
quality o f research in h i g h e r e d u c a t i o n across the c o u n t r y will b e
immensely enhanced.
Kenneth R. Stevenson
Professor, D e p a r t m e n t o f
E d u c a t i o n a l L e a d e r s h i p a n d Policies
U n i v e r s i t y o f S o u t h Carolina
N e w to This Edition
I a m v e r y p l e a s e d to h a v e the o p p o r t u n i t y to w r i t e a s e c o n d edition of
m y b o o k , The Dissertation Journey: A Practical and Comprehensive Guide
to Planning, Writing, and Defending Your Dissertation. T h i s u p d a t e d a n d
e x p a n d e d edition includes n o t o n l y n e w information that is vital to n a v
igating the dissertation process, it also includes an e x p a n s i o n o f previ
ous topics for greater clarity a n d utility.
N e w features a d d e d to this s e c o n d edition include the following:
1. A n e w c h a p t e r t i t l e d " W h a t A r e t h e E t h i c a l C o n s i d e r a t i o n s i n
R e s e a r c h ? " In this chapter, I discuss the central ethical issues
i n v o l v e d in c o n d u c t i n g research relative to h u m a n rights, data
collection, d a t a a n a l y s i s a n d interpretation, r e s p e c t for t h e
research site, writing, a n d disseminating the research.
2. N e w i n f o r m a t i o n a b o u t t h e p r o c e s s , i m p o r t a n c e , a n d p u r p o s e
o f d e v e l o p i n g a t h e o r e t i c a l or c o n c e p t u a l f r a m e w o r k . It includes
responses to questions such as, " W h a t is a c o n c e p t u a l or theoret
ical f r a m e w o r k ? " " H o w d o e s a c o n c e p t u a l f r a m e w o r k differ from
a theoretical f r a m e w o r k ? " " W h y d o y o u n e e d a c o n c e p t u a l or the
oretical f r a m e w o r k ? " a n d " H o w d o y o u find a c o n c e p t u a l or the
o r e t i c a l f r a m e w o r k ? " A l s o p r o v i d e d a r e e x a m p l e s from
dissertations for greater u n d e r s t a n d i n g .
3. A c o m p l e t e l y r e v i s e d a n d u p d a t e d c h a p t e r titled " U s i n g t h e
I n t e r n e t a n d T e c h n o l o g y to C o n d u c t R e s e a r c h . " Since m o r e and
m o r e researchers u s e the Internet and technology for all phases of
dissertation writing, I incorporated in this second edition n e w w e b -
b a s e d technologies. N e w information about search engines, evalu
ating websites, and social n e t w o r k i n g o n the w e b is also included.
4. A c o m p l e t e l y r e v i s e d a n d e x p a n d e d c h a p t e r o n r e v i e w i n g t h e
literature. I e x p a n d e d the steps in c o n d u c t i n g a literature r e v i e w
÷
New to This Edition xi
from four to eight a n d a d d e d c o n s i d e r a b l y m o r e detail to the
process. A n u p d a t e d list o f s e c o n d a r y sources a n d style m a n u a l s
w i d e l y u s e d in the social sciences is i n c o r p o r a t e d .
5. A t h o r o u g h u p d a t e of all w e b s i t e s a n d r e f e r e n c e s , i n c l u d i n g
n e w e d i t i o n s of w o r k s .
Preface
T oday, colleges a n d universities offer m a s t e r ' s a n d doctoral degrees

in increasing n u m b e r s . M a n y s t u d e n t s enroll in t h e s e p r o g r a m s , a n d
in m a n y cases, t h e y d o n o t receive appropriate g u i d a n c e a n d s u p p o r t in
conceptualizing, c o n d u c t i n g , a n d writing an original research study.
T h i s is e v i d e n c e d b y an e s t i m a t e d 4 0 % to 5 0 % o f doctoral students
n a t i o n w i d e w h o c o m p l e t e their c o u r s e w o r k b u t n o t the final act o f writ
ing their dissertation. T h e y b e c o m e A B D s (all-but-dissertation). T h i s
represents a t r e m e n d o u s w a s t e o f time, m o n e y , a n d energy.
In reviewing the literature, I discovered v e r y few useful, comprehen
sive b o o k s that guide m a s t e r ' s or doctoral students through the formida
b l e and d e m a n d i n g process o f crafting a high-quality research study. This
b o o k offers the practical guidance often lacking in doctoral p r o g r a m s and
in the literature about planning, writing, a n d defending a dissertation.
Doctoral students n e e d to (1) get a clear picture o f w h a t it takes to write a
high-quality research study a n d see it as doable; (2) understand it as a
psychological and h u m a n relations venture as m u c h as a research exer
cise; (3) feel e n c o u r a g e d and supported in their efforts; (4) experience the
process as a satisfying, rewarding, a n d exciting journey; a n d (5) finish!
I wrote this b o o k to satisfy the existing need for a clear, concise, cut-to
the-chase guidebook for completing a doctoral dissertation. The Dissertation
Journey provides a step-by-step guide o n h o w to plan, write, and defend a
dissertation. Its structure parallels the dissertation process and presents
detailed information about the content and process from conceptualizing a
topic to publishing the results. It addresses the psychological and emotional
barriers students confront and provides up-to-date information o n using
the computer and the Internet in the various stages of dissertating. T h e style
is personal, informal, and conversational—much like a coach talking one-
on-one with a student. To enhance learning and clarify concepts, I included
a myriad of examples together with helpful hints, checklists, and quotations.
Since writing a dissertation can b e a bewildering and overwhelming experi
ence for students, I use the metaphor o f climbing a mountain for inspiration
xii and to maintain interest and motivation to persevere in spite o f obstacles.
Preface xiii
F o r the p a s t 2 2 y e a r s , I h a v e h a d the o p p o r t u n i t y to teach doctoral

s t u d e n t s at the U n i v e r s i t y o f L a V e r n e — a p r e m i e r doctoral p r o g r a m in
California k n o w n for its i n n o v a t i v e a p p r o a c h to e d u c a t i n g leaders. T h e
faculty p r o v i d e s a relevant, practical, a n d high-quality p r o g r a m focused
o n h e l p i n g students s u c c e e d in c o m p l e t i n g their dissertation. T h e o n e -
to-one c o a c h i n g , g r o u p tutorials, v i d e o s , o n l i n e d i s c u s s i o n s , w e b i n a r s ,
a n d research s e m i n a r s are e x e m p l a r y t e c h n i q u e s for t e a c h i n g the disser
tation process. A s a result, o u r s t u d e n t s ' g r a d u a t i o n rate is 8 1 % — a l m o s t
twice that o f the n a t i o n a l a v e r a g e .
The Dissertation Journey: A Practical and Comprehensive Guide to Planning,
Writing, and Defending Your Dissertation incorporates m a n y approaches and
techniques taught in the University o f La Verne's doctoral program. These
techniques, plus the insights and k n o w l e d g e I gained from years o f expe
rience teaching and guiding dissertation students, serve as a valuable road
m a p for the dissertation j o u r n e y and, hopefully, m a k e the task m o r e
understandable, easier, m o r e enjoyable, and less time-consuming. This is
not a complete w o r k o n writing dissertations, nor could it be; the scope
w o u l d b e overwhelming. T h e b o o k does not include detailed information
o n certain aspects of academic research, such as design a n d methodology,
data analysis techniques, or writing style a n d mechanics. I reference
appropriate b o o k s that concentrate on these technical areas.
T h i s b o o k is g e a r e d t o w a r d the specific n e e d s a n d c o n c e r n s o f d o c
toral s t u d e n t s as t h e y p r o c e e d t h r o u g h e a c h step o f the dissertation
process. It focuses p r i m a r i l y o n the social sciences; h o w e v e r , g r a d u a t e
students in m o s t a c a d e m i c disciplines desiring to c o m p l e t e a research
s t u d y s h o u l d find the b o o k ' s c o n t e n t useful a n d applicable. Generally,
the steps for w r i t i n g a thesis a n d a dissertation are m u c h the s a m e
regardless o f the topic or discipline; t h e y v a r y p r i m a r i l y in s c o p e a n d
complexity. G r a d u a t e faculty i n v o l v e d w i t h s t u d e n t research s h o u l d
also find the b o o k ' s ideas a n d s u g g e s t i o n s beneficial. It eliminates the
n e e d to a n s w e r o v e r a n d o v e r a g a i n t h o s e q u e s t i o n s that s t u d e n t s rou
tinely ask. Universities v a r y c o n s i d e r a b l y in their dissertation require
m e n t s a n d p r o c e d u r e s . In addition, there is c o n s i d e r a b l e diversity
a m o n g the preferences o f a d v i s o r s a n d d e p a r t m e n t s w i t h i n a university.
T h e s u g g e s t i o n s offered in this b o o k s h o u l d n o t b e c o n s i d e r e d final, n o r
s h o u l d they p r e e m p t the j u d g m e n t a n d o p i n i o n s o f research a d v i s o r s
and committees.
R e s e a r c h i n g a n d w r i t i n g a thesis or dissertation s h o u l d b e an enjoy
able a n d r e w a r d i n g e x p e r i e n c e — o n e s t u d e n t s c a n c o m p r e h e n d a n d
m o s t o f all c o m p l e t e . T h e r e is a better w a y t h a n letting half or m o r e o f
o u r n a t i o n ' s doctoral s t u d e n t s b e c o m e A B D s . It is m y h o p e that this
b o o k , w i t h its straight talk, step-by-step g u i d a n c e , a n d practical a d v i c e ,
will m a k e the j o u r n e y to " d o c t o r " s m o o t h e r a n d , in the process, h e l p
b e a t the o v e r w h e l m i n g o d d s o f A B D i s m .
A Note to Doctoral
Candidates
G reetings! Y o u are e m b a r k i n g o n a n e w a n d exciting j o u r n e y —

obtaining a doctoral degree. T h i s j o u r n e y requires c o m p l e t i n g a
dissertation, the p i n n a c l e o f a c a d e m i c a c h i e v e m e n t . In m a n y w a y s , the
j o u r n e y is like c l i m b i n g a h i g h m o u n t a i n ; it is a l o n g a n d a r d u o u s trek—
n o t for the fainthearted. It is fraught w i t h h a z a r d s a n d obstacles a l o n g
the p a t h that c a n d a m p e n y o u r spirit. H o w e v e r , it also offers i n c o m p a
rable opportunities for p e r s o n a l a n d professional growth.
R e a c h i n g the s u m m i t o f a m o u n t a i n symbolizes the process y o u g o
through to c o m p l e t e y o u r dissertation. T h e c l i m b tests y o u r mettle and
challenges y o u r resolve, b u t o n c e y o u c o m p l e t e it and experience the
magnificent v i e w from the top, y o u realize the rewards far o u t w e i g h the
effort. T h e exhilaration a n d pride o f a c c o m p l i s h m e n t , the fulfillment that
results from contribution, a d e e p e r self-awareness, a n d greater confi
d e n c e in yourself as a scholar are just a few o f the r e w a r d s that await y o u .
I r e m e m b e r well the experience o f seeing m y o w n dissertation as a
l o o m i n g m o u n t a i n before m e — m a s s i v e a n d a w e s o m e — w i t h the a c c o m
panying feelings o f doubt a n d apprehension. I learned, as y o u will, that
journeying to the p e a k is m o r e than an intellectual pilgrimage, it is also an
emotional and psychological one. It requires c o m m i t m e n t , perseverance,
stamina, and mental toughness—more than y o u ever thought y o u had.
Completing a dissertation changes your life. I discovered that m y
primary reward w a s not so m u c h the exhilaration of standing o n top of the
mountain at journey's end, but rather w h o I b e c a m e as a result o f the climb.
Only b y taking yourself to the limit can y o u k n o w w h a t you're m a d e of. "It
is not the mountain w e conquer, but ourselves" (Sir E d m u n d Hillary, one
of the first m e n to reach the s u m m i t of M o u n t Everest).
I wrote this b o o k to help m a k e y o u r j o u r n e y to the s u m m i t a satisfy
ing and rewarding one. In these pages, I speak to y o u informally as an
xiv
A Note to Doctoral Candidates xv
advisor and friend about the entire

dissertation process. Plus, I s p e a k
about those critical issues related
to the personal a n d social side o f
dissertating (organization, time
management, human relations,
etc.).
T h e material p r e s e n t e d in this
b o o k represents y e a r s s p e n t guid-
ing dissertation students, d i a l o g u -
ing w i t h faculty c o l l e a g u e s , a n d
r e s e a r c h i n g the literature o n this topic. P l e a s e r e m e m b e r that t h e ideas
a n d r e c o m m e n d a t i o n s p r o v i d e d s h o u l d b e u s e d o n l y as a g u i d e . Your
advisor a n d c o m m i t t e e are the u l t i m a t e s o u r c e s o f information a n d
o p i n i o n a b o u t y o u r dissertation.
It is m y h o p e that y o u c a t c h s u m m i t fever a n d b e c o m e utterly m o t i -
v a t e d to r e a c h the top. D o b r i n g a spirit o f a d v e n t u r e to this journey,
a n d b y all m e a n s , enjoy the c l i m b ! W a r m e s t r e g a r d s a n d g o o d luck!
Acknowledgments
N o o n e c l i m b s a h i g h m o u n t a i n alone. E x p e r i e n c e a n d expertise,
s u p p o r t a n d e n c o u r a g e m e n t are all n e e d e d . I a m i n d e b t e d to many-
p e o p l e w h o p r o v i d e d these necessities, w h i c h h e l p e d m a k e this b o o k a
reality. I a m m o s t appreciative o f the assistance a n d contributions o f m y
p r o f e s s i o n a l c o l l e a g u e s in the U n i v e r s i t y o f L a V e r n e ' s D o c t o r a l
P r o g r a m in O r g a n i z a t i o n a l L e a d e r s h i p , w i t h w h o m I h a v e w o r k e d for
the past 22 years. T h e y freely share their w i s d o m a n d k n o w l e d g e , from
w h i c h I learn so m u c h .
I w o u l d like to acknowledge and thank Drs. William Bearley, Donald
Clague, J a m e s C o x , T h o m a s Harvey, William Paulo, and Barbara Peterson.
T h r o u g h their insightful presentations at doctoral seminars, faculty
exchanges, and personal coaching, they provided foundational information
on preparing the core chapters of the dissertation (Chapters 1 through 5).
M a n y of the ideas expressed in these five sections of the b o o k encapsulate
the collective w i s d o m of these talented individuals, w h o , over the years,
contributed greatly to the quality of our doctoral program and to m y o w n
intellectual growth and development.
I also give special t h a n k s to M a r y T o w n s e n d , D o n n a Bentley, C l i v e
H o u s t o n B r o w n , D o n a l d H a y s , a n d L a r r y K e m p e r , w h o p r o v i d e d feed
b a c k a n d constructive s u g g e s t i o n s for i m p r o v i n g this w o r k . F o r the sec
o n d edition, I w i s h to t h a n k D o n n a Bentley, Librarian at the U n i v e r s i t y
of L a Verne, for h e r v a l u a b l e help in revising a n d u p d a t i n g the Internet
and t e c h n o l o g y resources. I also appreciate the s u p p o r t a n d e n c o u r a g e
m e n t to p u r s u e this project g i v e n b y D r s . B a r b a r a Poling, D e p a r t m e n t
Chair, a n d L e o n a r d Pellicer, D e a n o f the C o l l e g e of E d u c a t i o n a n d
Organizational L e a d e r s h i p at the U n i v e r s i t y o f L a Verne.
I also w a n t to t h a n k those doctoral students w h o m I h a v e h a d the
privilege o f instructing—and particularly those w h o invited m e to chair
their dissertations a n d serve o n their committees. T h e y helped m e u n d e r
stand the unique challenges associated with conducting high-quality
xvi
Acknowledgments xvii
research a n d p r o v i d e d m a n y helpful c o m m e n t s a n d s u g g e s t i o n s that are

i n c o r p o r a t e d in this b o o k .
M y greatest debt is to m y h u s b a n d , E d w a r d , w h o gives m e the l o v e
a n d confidence to l e a v e " b a s e c a m p " for the m a n y p h y s i c a l a n d i n w a r d
c l i m b s I c h o o s e to m a k e .
The contributions of the following

reviewers are gratefully acknowledged.
M a r t h a A. A l c o c k Larry E. Decker
Professor o f E d u c a t i o n C. S. M o t t Professor o f
Capital U n i v e r s i t y Community Education
Columbus, O H F l o r i d a Atlantic U n i v e r s i t y
Boca Raton, F L
B e t t y J. Alford
A s s o c i a t e Professor R o x a n a DeliaVecchia
S t e p h e n F. Austin State University Assistant Dean
Nacogdoches, T X College of Education, Towson
Towson, M D
Jim Allen
Professor o f E d u c a t i o n a l Sarah Edwards
Psychology A s s i s t a n t Professor
Thelma P. Lally School of Education Teacher E d u c a t i o n D e p a r t m e n t
T h e C o l l e g e o f Saint R o s e U n i v e r s i t y o f N e b r a s k a at
Albany, N Y Omaha
Omaha, NE
Robert B . Amenta
Director o f E d u c a t i o n Douglas Fisher
Administration A s s o c i a t e Professor
California L u t h e r a n U n i v e r s i t y S a n D i e g o State U n i v e r s i t y
Thousand Oaks, C A San Diego, C A
Sharon Toomey Clark M a r g a r e t A . (Peggie) Price

Educational Consultant A s s i s t a n t Professor in
Clark & Associates C u r r i c u l u m a n d Instruction
Claremont, C A Texas Tech U n i v e r s i t y
Lubbock, T X
Michelle Collay
School Coach
B a y A r e a Coalition for E q u i t a b l e
Schools
Oakland, C A
A b o u t the Author
C a r o l M . R o b e r t s is a professor in the University

of L a V e r n e ' s D o c t o r a l P r o g r a m in O r g a n i z a t i o n a l
L e a d e r s h i p , w h e r e she advises doctoral students,
chairs dissertations, a n d teaches research plus a vari-
ety o f courses focused o n leading organizations. Carol
is a speaker, consultant, a n d s e m i n a r leader specializ-
ing in organizational a n d t e a m d e v e l o p m e n t , strategic
planning, conflict resolution, coaching, a n d personal
mastery. S h e has b e e n a trainer for the California School L e a d e r s h i p
A c a d e m y a n d the California S c h o o l B o a r d s Association. S h e received h e r
doctoral d e g r e e in p l a n n i n g , policy, a n d administration from the
University o f S o u t h e r n California. Carol served o n the E x e c u t i v e B o a r d
for the S o u t h e r n C o u n t i e s W o m e n in Educational M a n a g e m e n t a n d w a s
a w a r d e d its W o m a n o f the Year award.
xviii
PART I
Quests a n d
Questions
L i v e s o f great m e n all r e m i n d us
W e c a n m a k e our lives s u b l i m e ,
A n d , departing, l e a v e b e h i n d u s
Footprints o n the sands o f time.
—Henry Wadsworth Longfellow
1
1
Do You Have
What It Takes?
Why Take This Journey?

Throughout the ages, p e o p l e h a v e p u r s u e d the u p p e r limits of their capa-
bilities. T h e y h a v e a n s w e r e d the call to adventure, learning, and high
achievement. C o m p l e t i n g the dissertation j o u r n e y is an adventure in
learning and personal growth, the o u t c o m e of w h i c h can result in extra-
ordinary a c c o m p l i s h m e n t a n d contribution. Unquestionably, obtaining
an E d D or a P h D is the s u m m i t o f academia—the highest degree any uni-
versity c a n bestow. T h i s j o u r n e y to
The heights by great men reached " d o c t o r " is difficult, with obstacles and
and kept were not obtained by d e m a n d s along the w a y ; however, once
sudden flight, but they, while their completed, the pride and exultation are
companions slept, were toiling upward a life-long affirmation,
in the night. A doctorate usually requires c o m -
-Longfellow pletion o f a dissertation that d e m o n -
strates y o u r ability to plan, conduct,
write, a n d defend an original research study. In m a n y w a y s , the disser-
tation process is a j o u r n e y n o t unlike c l i m b i n g a difficult mountain. T h e
j o u r n e y is a r d u o u s a n d long, usually three to five years from b e g i n n i n g
to end, and it is e a s y to b e c o m e frustrated, exhausted, and discouraged. It
is grueling—definitely not for a n y o n e w h o lacks c o m m i t m e n t or perse-
verance. T h o s e w h o successfully scale the p e a k are those willing to put
in long h o u r s a n d h a r d w o r k .
2
Do You Have What It Takes? 3
W r i t i n g a d i s s e r t a t i o n is a p e r s o n a l t r a n s f o r m a t i v e e x p e r i e n c e a n d
c a n b e a p e a k e x p e r i e n c e — o n e o f t h o s e life-fulfilling m o m e n t s .
A b r a h a m M a s l o w ( 1 9 6 8 ) referred to t h e m as " m o m e n t s o f h i g h e s t
h a p p i n e s s a n d f u l f i l l m e n t " (p. 7 3 ) a n d a d d e d , " A p e a k e x p e r i e n c e is
felt as a s e l f - v a l i d a t i n g , self-justifying m o m e n t w h i c h c a r r i e s its o w n
i n t r i n s i c v a l u e w i t h i t " (p. 7 9 ) . H e c l a i m e d t h a t t h e w o r t h o f t h e e x p e -
rience m a k e s the pain worthwhile. Robert Schuller (1980) also talked
a b o u t p e a k e x p e r i e n c e s in h i s b o o k The Peak to Peek Principle. H e
called a peak experience "an experience of success, achievement, and
accomplishment w h i c h feeds your self-esteem, w h i c h then e x p a n d s
y o u r s e l f - c o n f i d e n c e " (p. 9 9 ) a n d a d d e d , " I t ' s a n e x p e r i e n c e that l e a v e s
y o u w i t h an a w a r e n e s s that y o u are m o r e t h a n y o u e v e r t h o u g h t y o u
w e r e " (p. 113).
These positive, uplifting, and inspiring words speak to the high accom-
plishment of completing a doctoral dissertation. M a n y high points and joys
happen along the dissertation journey—some simple, s o m e exhilarating.
Moments such as realizing you really do have a researchable topic, having
your proposal accepted, obtaining an acceptable questionnaire return rate,
and creative moments and intellectual
insights are all triumphs along the path. Research has revealed that the
The instant your advisor calls y o u "doc- attitude you have at the beginning of
tor," the ecstasy of walking to " P o m p and a task determines the outcome of that
Circumstance" at graduation, and w h e n task more than any other single
your doctoral hood is placed over your factor. For example, if you believe you
h e a d are self-fulfilling, unforgettable will be able to succeed at a particular
moments that m a k e the hard w o r k and undertaking and you approach the
sacrifice worthwhile. endeavor with a sense of excitement

and joyful expectation, your chances
Unfortunately, there is a m y t h o l o g y
of achieving success are much higher
that supports a negative v i e w that c o m - than if you face the task with dread
pleting a dissertation is d r u d g e r y a n d and apprehension.
demeardng, consisting only of a series
-Abascal, Brucato, and
of h o o p s to j u m p through a n d hurdles
Brucato (2001, p. 39)
to o v e r c o m e . Students w h o a d o p t this
m i n d s e t s p e n d m u c h o f their t i m e
w h i n i n g and "awfulizing" their experiences. T h e y b e m o a n their plight
and feel tormented throughout the entire process. It is a truism that c o m -
pleting a dissertation is h a r d work, time-consuming, frustrating, and, at
times, frightening—this is a given. It takes a g o o d deal of self-discipline
and c o u r a g e to undertake a project of this magnitude.
W h a t m a k e s the difference b e t w e e n a p e a k experience and a "heart-
break hill" experience? Attitude. Attitude is everything! O n the m o u n t a i n
and in life, our attitude m a k e s or breaks us. If y o u think y o u can do it,
then y o u can.
4 Quests and Questions
Approaching the dissertation journey with a spirit of adventure, opti-

mism, and a can-do attitude helps ensure that y o u will succeed and achieve
a peak experience in the process. Climbing a mountain peak is a powerful
metaphor; it represents the path to growth and transformation. T h e obsta-
cles encountered along the w a y e m b o d y
the challenges that help expand your
The primary reward is not the goal
but what you become as a result of thinking and your boundaries. T h e risks
doing all that was necessary to reach are substantial, the sacrifices great.
the goal. However, the v i e w is magnificent from
the top, and it is reserved for those
- D a v i d McNalley
courageous adventurers w h o dare to
challenge their o w n limits. Ultimately,
though, it's the journey itself that results in "self-validative delight," not just
standing at the top. O n c e y o u are there, y o u will not b e the s a m e person or
ever again look at the world in the s a m e light.
With h a r d w o r k a n d p e r s e v e r a n c e , " I ' l l see y o u at the top."
Do You Have What It Takes

to Journey to the Peak?
R e m e m b e r the travelers o n the yellow brick road? T h e y w a n t e d to get to
the E m e r a l d City, yet each h a d to b e transformed in order to get there.
T h e y n e e d e d three things to find their w a y : brains, heart, and courage.
You will n e e d the m e r g i n g of these s a m e three things to successfully c o m -
plete y o u r dissertation journey. C o g n i t i v e ability is necessary b u t n o t suf-
ficient. Certainly, y o u m u s t put all y o u r intellectual p o w e r s to w o r k in
conducting your study and analyzing its results. S u c h p o w e r s d o m a k e
for easier climbing. However, it's y o u r heart—the spirit and passion y o u
bring—that sustains y o u for the long haul. T h e third critical n e e d is
courage—the ability to dig deep into yourself a n d persevere w h e n the
going gets tough and y o u w a n t to quit. You will find that w h e n y o u think
y o u cannot g o another step, there is an u n t a p p e d and astonishing reser-
voir of sustenance that can pull y o u through—mind over matter.
A n s w e r i n g the following questions h o n e s t l y can h e l p y o u better
u n d e r s t a n d w h a t it takes to c l i m b the dissertation m o u n t a i n — t h a t final
challenge to o b t a i n i n g y o u r doctorate. J u s t r e m e m b e r that y o u can, a n d
p r o b a b l y will, a c c o m p l i s h m o r e u n d e r s o m e t i m e s a d v e r s e conditions
than y o u m a y b e l i e v e .
1. What Are You Willing to Sacrifice?

T h e r e is n o true s u c c e s s in a n y large-scale e n d e a v o r without
sacrifice. Self-denial is the n a m e of the g a m e . A r e y o u willing to g i v e u p
momentary pleasures for your long-term goal? To burn some midnight

oil? Completing the dissertation is a demanding task and takes time,
money, and energy, which can affect all aspects of your life. It can cause
strained relationships with your spouse, partner, children, friends, and
work colleagues. It can affect your work assignment, causing conflicts
between time spent doing your dissertation and time spent doing your
job. Be realistic about the financial costs connected with conducting a
research study, such as typing, copying, library expenses, consultants,
travel, postage, telephone calls, computer costs, and so on.
2. How Much Are You Willing to Endure?

The path is fraught with difficulties and obstacles. Can you face them
without becoming discouraged? Are you prepared for the stress that
accompanies emotional setbacks and
extra demands on your time? The That which we obtain too easily, we
dissertation process is often obscure and esteem too lightly.
perplexing, requiring a high level of
tolerance for ambiguity and uncertainty. -Thomas Paine
It means often working outside your

comfort zone. Are you willing to risk the unknown and to be teachable? If
not, you can wander around aimlessly in the foothills of confusion and
frustration. Are you willing to learn as you go?
It is important to recognize the downsides, the consequences, and
the risks of taking the dissertation journey. If you believe that you have
what it takes, you can climb the mountain, stand on the top, and feel the
joy of high achievement.
Avoiding the Hazards of High-Altitude Climbing

Climbing real or metaphoric mountains can be hazardous to your
health. It can sap your energy and weaken your resolve to endure to the
top. As mountaineers must be mindful of potential avalanches,
crevasses, high winds, falling rocks, and storms, researchers, too, must
be aware of the dissertation hazards along their path. These hazards can
hinder progress in completing your dissertation.
Dissertating is not just an intellectual endeavor but also a psychological
one, to which most graduates will attest. It is truly a personal pilgrimage—
one that tests your stamina, self-confidence, and emotional resilience. The
only way you will ever become a doctor is to willingly struggle against the
obstacles that get in your way and to do so without quitting. Be fore-
warned. You will want to quit, but quitting and wanting to quit are very dif-
ferent things. The inner resources you bring to the task keep you on the
path. These inner resources are discussed later in this chapter.
Being aware of the hazards of dissertating helps you select suitable

routes and make adjustments to overcome the risks. Make no mistake,
dissertating is high-altitude climbing! Three hazards of this high-
altitude climbing that you should be aware of are procrastination,
emotional barriers, and writer's block. The next sections describe these
hazards and provide some strategies for dealing with them.
Procrastination
To procrastinate means to put off intentionally and habitually doing
something that should be done. It is a habit that steals away some of life's
greatest opportunities, yet it is a habit most of us possess. Many books
deal with overcoming procrastination, yet we seem to either put off read-
ing them or fail to heed their advice. This habit, quite common among
dissertation students, can result in an ABD (all-but-dissertation) status
rather than an EdD or PhD. This amounts to aborting the climb to the
peak and settling for heartbreak hill. I am acutely aware of the whole
complex of dazzling excuses proffered by dissertation writers. With my
doctoral students, I found that dissertation avoidance is often elevated to
an elegant art form. Certainly, there are occasionally excellent reasons for
putting off working on your dissertation. Emergencies, interruptions
from others, and acts of God happen to
all of us from time to time. However,
Putting off an easy thing makes it
hard, and putting off a hard one
the students I worry about are those
makes it impossible. who keep themselves from starting or
continuing because they fear the
-George H. Lonmer
unknown, lack the self-confidence to
move ahead on their own, or engage in
irrational thinking, such as awfulizing. They convince themselves the
task is awful, horrible, and unbearable. But putting it off only postpones
the inevitable. It is critical that you learn to recognize those signs that
indicate you are putting off working.
There are two physical laws that apply equally well to people and
objects with regard to the habit of procrastination. They are Newton's
law of inertia and Parkinson's Law.
You and the Law of Inertia

The law of inertia states the following: A body in motion tends to
stay in motion; a body at rest tends to stay at rest. In other words, it
takes greater force to get a body moving than it does to keep it moving,
and when it gets moving, it takes less force to keep it moving than to
stop it. Physical inertia is regulated by outside forces, but the real
c h a n g e s in o u r life's attitudes a n d habits c o m e from within. A s W i l l i a m

J a m e s said, " T h e greatest d i s c o v e r y o f m y g e n e r a t i o n is that a p e r s o n
can alter his life b y altering h i s attitude o f m i n d . " T h o s e w h o s u c c e e d d o
so b e c a u s e w h e n t h e y h e a d t o w a r d a specific destination, t h e y k e e p
g o i n g until t h e y r e a c h it. It's h a r d to stop t h e m .
People w h o procrastinate find m a n y excuses for n o t m o v i n g up the
mountain. Certainly, s o m e excuses are quite legitimate—a family or health
crisis, and so on. B u t y o u cannot b e productive if y o u allow yourself to
procrastinate for long periods o f time. To o v e r c o m e inertia, y o u m u s t get
started and build m o m e n t u m . Decide to do it now. O n c e y o u realize that
inertia is a n o r m a l part of our h u m a n experience, it is easier to deal with.
A habit d e v e l o p s w h e n y o u t a k e action so m a n y t i m e s that it
b e c o m e s a u t o m a t i c . H o w d o e s o n e b r e a k the procrastination habit?
I found that t h e b e s t w a y is to d e v e l o p the reverse habit—refuse to pro-
crastinate. If y o u refuse to p r o c r a s t i n a t e often e n o u g h , then that also
b e c o m e s a habitual response. H e r e are s o m e strategies to h e l p reverse
the habit o f procrastination.
/. Challenge Your Excuses
Through the years, I witnessed a variety of creative excuses

offered b y d o c t o r a l s t u d e n t s to t h e m s e l v e s a n d to m e , t h e i r advisor. If
y o u d o n ' t c h a l l e n g e t h e e x c u s e s y o u u s e , y o u m a y r e m a i n in s t a t i o n -
a r y i n e r t i a , u n a b l e to m a k e t h e f o r w a r d p r o g r e s s y o u d e s i r e . O n e
c o m m o n e x c u s e is t h a t " I h a v e n ' t r e a d e n o u g h to w r i t e y e t . " A r g u e
w i t h y o u r s e l f that w r i t i n g h e l p s clarify y o u r t h i n k i n g , a n d b e s i d e s ,
first drafts d o n ' t h a v e to b e perfect. F i r s t drafts a r e first drafts; t h e y
are a l w a y s i m p r o v e d w i t h r e r e a d i n g . I f o n e o f y o u r e x c u s e s is t h a t
y o u " n e e d d e a d l i n e s to w o r k effectively," a r g u e w i t h y o u r s e l f t h a t
w a i t i n g u n t i l t h e d e a d l i n e to g e t s t a r t e d r e s u l t s in u n d u e stress a n d
l e a v e s y o u tired, u n c r e a t i v e , a n d i r r i t a b l e . It c a n a l s o affect t h e q u a l -
ity o f y o u r w r i t i n g . C o n d u c t i n g i n n e r d e b a t e s a b o u t a n y " l o g i c a l "
e x c u s e k e e p s y o u from stalling.
EXERCISE
Here is an excellent exercise to help you learn about your excuses. It was
developed by Stan Hibbs (drhibbs@drhibbs.com) and reprinted in the All-But-
Dissertation Survival Guide located at www.ecoach.com. He asks that you write
out every excuse you make for not working on your dissertation. Then write a
rebuttal for each excuse. He gives the following examples:
(Continued)
(Continued)
Excuse: I don't have time.
Rebuttal: My time is limited, but I can always get started and get something
done. I'll feel so much better if I do.
Excuse: I'm just not up to it today.
Rebuttal: I don't feel very excited about working on it today, but I'll feel great if
I make some progress.
Excuse: I've got a lot of errands to run.
Rebuttal: Yes, there are some things I could do, but that's not going to get me my
doctorate. I'll go on the errands after I make some progress today.
Once the rebuttal list is complete, write each one down on a separate 3" χ 5"
index card. Carry these cards with you to use as flash cards to memorize your
rebuttals. It's much harder to procrastinate when your excuses don't work anymore.
2. Develop a Do It Now! Habit
This self-motivator w a s r e c o m m e n d e d b y W. C l e m e n t S t o n e (1962)

in The Success System That Never Fails. H e c l a i m e d it sparks y o u to action.
H e r e ' s w h a t y o u do: R e p e a t Do it now! to y o u r s e l f 5 0 times or m o r e in
the m o r n i n g a n d evening, a n d w h e n e v e r it o c c u r s to y o u throughout the
day. T h i s imprints it indelibly in y o u r s u b c o n s c i o u s . E v e r y t i m e y o u
m u s t do s o m e t h i n g y o u d o n ' t feel like d o i n g a n d the self-starter Do it
now! flashes in y o u r m i n d — i m m e d i a t e l y act (p. 9 3 ) .
T h e Do it now! habit also helps w h e n y o u ' r e in the dissertation gloom-
and-doom state. Consider adopting Denis Waitley's (1987) personal
motto, "Stop Stewing and Start D o i n g . " H e said, " I can't b e depressed and
active at the s a m e t i m e " (p. 147).
Nothing is so fatiguing as the eternal A n o t h e r t e c h n i q u e to a c q u i r e this
hanging on of an uncompleted task. self-starting h a b i t is to p o s t a s i g n that
....... , s a y s Do it now! a r o u n d y o u r h o u s e a n d
-William James J J
desk. It h e l p s j o g y o u r m e m o r y .
3. Divide and Conquer
M o u n t a i n s are o v e r w h e l m i n g and, in their entirety, intimidat-

i n g . T h e y c a n ' t b e c o n q u e r e d all at o n c e . I n t e c h n i c a l c l i m b s , w e
m o v e up the mountain in a series of pitches—one hand and toe
h o l d at a t i m e u n t i l w e s t a n d s p e n t b u t e l a t e d o n t h e t o p . L o o k i n g
at t h e e n t i r e d i s s e r t a t i o n c a n a l s o b e o v e r w h e l m i n g . T h i n k o f y o u r
dissertation as a m o u n t a i n with
. . . r 11 i. ι j - j. The journey of a thousand miles
s t a i r s — a set o f s m a l l s t e p s l e a d i n g t o , . ; , .,
., τ, . . . ; . , , · . begins and ends with one step,
t h e t o p . It is i m p o r t a n t t o b r e a k it
d o w n into small, achievable goals -LaoTse
a n d t a k e it s t e p b y s t e p .
O n e strategy is to m a k e a c o n t r a c t w i t h y o u r s e l f that states specific
goals, establishes c o m p l e t i o n dates, a n d offers r e w a r d s for attaining
y o u r goals. It is i m p o r t a n t that y o u w r i t e these c o m p l e t i o n dates o n
y o u r a p p o i n t m e n t calendar. T h e r e ' s a w o n d e r f u l feeling o f exhilaration
that g o e s a l o n g w i t h a c c o m p l i s h m e n t . It g i v e s y o u a n e w b u r s t o f e n e r g y
to k e e p m o v i n g .
4. Remove the Reward
Procrastination s h o u l d n o t b e a p l e a s a n t e x p e r i e n c e . If y o u procras-
t i n a t e b y s o c i a l i z i n g o r g e t t i n g a c u p o f coffee, s t o p it! P r o c r a s t i n a t e
in u n p l e a s a n t c o n d i t i o n s . F o r e x a m p l e , l o c k y o u r s e l f in y o u r office—
n o visitors, n o coffee. W h e n t h e e n j o y m e n t g o e s away, s o will y o u r
procrastination.
5. Discipline Yourself
If y o u really d o n ' t w a n t to w r i t e , p r o m i s e y o u r s e l f y o u ' l l w r i t e for

15 m i n u t e s . Set a timer, a n d w h e n it rings, d e c i d e if y o u will w o r k for
15 m o r e m i n u t e s or quit. Often the
h a r d e s t part is starting. T h i s strategy ^ , . . . . ,
r ° O J Dreams are what get you started.
h e l p s y o u b u i l d that m o m e n t u m to i p | i n e is what keeps you going.
Disc
o v e r c o m e inertia.
-Jim Ryan, Sportsman
You and Parkinson's Law

P a r k i n s o n ' s L a w is a r e a d y - m a d e e x c u s e . It states, " W o r k e x p a n d s to
fill the t i m e available for its c o m p l e t i o n . " T h i s l a w applies especially to
dissertation writers. M o s t doctoral c a n d i d a t e s h a v e families a n d h o l d
full-time j o b s . It is so e a s y for other w o r k (job a n d family obligations) to
fill all the available time, l e a v i n g n o t i m e to w r i t e the dissertation.
C o m p e t i n g d e m a n d s for y o u r t i m e are a l w a y s p r o b l e m a t i c , a n d let's
face it, i m m e d i a t e gratification a n d family fun are m o r e s e d u c t i v e than
confronting y o u r dissertation m o u n t a i n .
S o h o w d o y o u o v e r c o m e P a r k i n s o n ' s L a w ? I n v o k e the P r e m a c k
principle. T h e P r e m a c k principle, often called grandma's rule, states that
a high-frequency activity c a n b e u s e d to reinforce low-frequency b e h a v -
ior. A c c e s s to the preferred activity is c o n t i n g e n t o n c o m p l e t i n g the
low-frequency behavior. G r a n d m a k n e w this s i m p l y as, "Before y o u c a n

w a t c h TV, y o u h a v e to h e l p w i t h the d i s h e s . " T h i s is a s i m p l e b e h a v i o r a l
principle b e h i n d the " w o r k first, p l a y s e c o n d " m a x i m . W h a t is it y o u
m o s t like to d o ? Surf the Internet? W a t c h T V ? S h o p ? C o m p l e t e a disser-
tation task, then d o s o m e t h i n g y o u really enjoy. F o r e x a m p l e , "Before I
can w a t c h TV, I h a v e to revise m y questionnaire." O r " I f I c o m p l e t e
C h a p t e r 1, I c a n see a m o v i e o n the
The best way to break a habit is to w e e k e n d . " Disciplining y o u r s e l f in this
drop it. w a y k e e p s y o u o n task a n d k e e p s y o u r
- L e o Aikman m o m e n t u m in h i g h gear. Y o u will c o m -
plete y o u r dissertation in record time.
Emotional Barriers
Students often describe their experience o f writing the dissertation as a
roller-coaster ride, with definite ups and d o w n s associated with each phase
of the process. T h e y refer to the d o w n times as the dissertation doldrums,
where they feel discouraged, depressed, frustrated, and anxious. T h e y even
doubt their ability to complete the project. These feelings are predictable for
anyone trying to achieve a h i g h goal; however, these negative emotions can
easily overpower you. If y o u don't address them, they will immobilize you,
sap your energy, and keep y o u from achieving your goal. W h e n things go
well, y o u are elated and y o u soar o n cloud nine. These feelings of exhilara-
tion provide the m o m e n t u m to "keep o n keeping on." T h e ups and d o w n s
of dissertating—the pains and the joys—are experienced b y all writers. It's
part of the dissertation process and to b e expected. Here are s o m e strategies
to help y o u deal with the dissertation doldrums:
1. Reflect on Your Reasons

for Obtaining Your Doctorate
S o m e t i m e s y o u question y o u r o w n sanity for undertaking this m a s -
sive project. You w o n d e r w h y y o u continue to torture yourself in this way.
W h e n y o u h a v e these feelings, take time to reflect o n the reasons y o u
decided to enroll in a doctoral program. M o r e than likely, they are still
valid and should serve to reinforce y o u r c o m m i t m e n t a n d motivation to
stay on track. Take time to reflect on these reasons, write t h e m d o w n , and
visualize y o u r life after graduation a n d a title after y o u r n a m e .
2. Establish a Support Committee

W h e n the going gets rough, y o u m a y reach an impasse in your
progress. That's w h e n y o u assemble a support committee—those w h o
believe in y o u and h a v e y o u r best interests at heart—friends, mentors, and

family m e m b e r s . You might ask your m o t h e r to chair this committee.
These are your cheerleaders and confidants w h e n you're down; they share
your joys and b a d days a n d provide regular p e p talks to o v e r c o m e your
discouragement. T h e y also let y o u k n o w w h e n y o u are indulging yourself
in complaining and offer y o u e n c o u r a g e m e n t rather than pampering.
Writer's Block
All dissertation writers experience w r i t e r ' s b l o c k at s o m e point during
the process. It's that longing to b e a n y w h e r e b u t in front o f the computer.
W h e n this happens, everything else in y o u r life takes priority over writ
ing. Taking the d o g for a w a l k , cleaning y o u r closets, running errands,
w a s h i n g clothes, a n d e-mailing friends appear crucial. W r i t e r ' s b l o c k can
b e caused b y a n y n u m b e r o f factors: lack o f confidence, fear, time con
straints, n o outline, personal issues, frustration w i t h y o u r topic, perfec
tionism, weariness. It is important to identify the obstacles that stifle y o u r
writing. In other w o r d s , take time to fall b a c k a n d regroup. Unfortunately,
there is n o m a g i c formula to keep y o u in the writing groove, b u t here are
s o m e strategies that m i g h t help y o u keep the w o r d s flowing.
1. Change the Mode of Putting Down Words

If y o u ' r e s t u c k o n the c o m p u t e r , try a dictation m a c h i n e or w r i t i n g
b y h a n d , or c h a n g e w h e r e y o u w r i t e — g o outside, to a friendly coffee
s h o p , or to the library.
2. Get Some Physical Exercise

Get outside a n d w a l k ; m o w the l a w n . P h y s i c a l activity o f the p l e a s
ant a n d slightly m i n d l e s s k i n d c a n precipitate creative thinking.
3. Make Two Lists

T h i s exercise h e l p s y o u get a h a n d l e o n the root o f y o u r b l o c k .
W h e n e v e r y o u are trying to write y o u r dissertation b u t find y o u r s e l f
b l a n k - m i n d e d a n d w o r d l e s s , w r i t e t w o lists labeled as follows:
1. I o u g h t to w r i t e X b e c a u s e . . .
2. I refuse to w r i t e X b e c a u s e . . .
T h e s e c o n d list will b e m o r e i n f o r m a t i v e than the first in that it

b r i n g s to y o u r c o n s c i o u s m i n d the refusals that m a y b e lying at the s u b
c o n s c i o u s level. Y o u c a n t h e n t a k e steps to o v e r c o m e y o u r refusals.
4. Cluster Your Ideas

T h i s is the old p s y c h o l o g y g a m e w h e r e o n e p e r s o n s a y s a w o r d a n d
the s e c o n d p e r s o n r e s p o n d s i m m e d i a t e l y w i t h the v e r y n e x t w o r d that
c o m e s to m i n d . First, w r i t e y o u r subject o n p a p e r a n d circle it. T h e n ,
write d o w n the v e r y n e x t thing y o u think o f a n d circle that. D r a w a line
c o n n e c t i n g these t w o circles. N e x t , write d o w n w h a t y o u t h o u g h t o f as
y o u w r o t e the s e c o n d w o r d a n d d r a w a line c o n n e c t i n g it to the previ
ous w o r d . F o l l o w this p r o c e s s until y o u h a v e e x h a u s t e d y o u r brain!
Write d o w n e v e r y t h i n g that c o m e s to y o u r m i n d n o m a t t e r h o w far out.
After y o u c o m p l e t e the entire p r o c e s s , y o u will b e a m a z e d at the w o r d s
that p o p p e d out.
A similar m e t h o d that w o r k s for m y students is to cluster ideas
using sticky notes. In the center o f a large poster-size paper, write y o u r
subject a n d s u r r o u n d it w i t h large circles. T h e n w r i t e all ideas c o n n e c t e d
w i t h the subject o n sticky n o t e s a n d p l a c e t h e m inside the circles. If
desired, y o u c a n t h e n u s e extra-small colored tags to a d d ideas to the
larger notes. T h e b e a u t y o f this m e t h o d is that y o u c a n m o v e the sticky
notes a r o u n d as necessary. T h i s m i n d - s t o r m i n g t e c h n i q u e w o r k s w e l l
w i t h groups w o r k i n g together. It a l l o w s individuals to b u i l d o n ideas
generated b y others, t h e r e b y o b t a i n i n g a b r o a d e r perspective o n the
subject.
5. Write a Crummy First Draft

Perfectionists c r i n g e at this thought. J u s t k n o w that n o o n e , h o w e v e r
gifted, c a n w r i t e an a c c e p t a b l e first draft.
Y o u d o n ' t h a v e to w r i t e s o m e t h i n g good initially. T h i n k i n g t h a t
you do only causes self-disparagement and self-recrimination.
R e m e m b e r , first drafts a r e o n l y first drafts a n d a r e for y o u r e y e s
only. L e t t h e m b e s k e t c h y t h o u g h t s , r a m b l i n g s e n t e n c e s , c l u m s y
word patterns using poor grammar, and so on. Just get everything
out of your brain and onto paper. D o n ' t obsess and p o n d e r ideas too
l o n g . D o n ' t j u d g e it, j u s t write it. G e t t i n g y o u r i d e a s o n p a p e r g e t s
y o u m o v i n g . Y o u n o w h a v e s o m e t h i n g to w o r k o n a n d r e v i s e .
A c c e p t t h e fact t h a t y o u w i l l b e w r i t i n g s e v e r a l drafts, a n d t a k e t h e
p r e s s u r e off t h e first o n e b y c o n c e n t r a t i n g o n l y o n y o u r i d e a s . M o s t
w r i t e r s a g r e e t h a t i t ' s e a s i e r to r e v i s e t h a n to c r e a t e . W r i t i n g is a
c o m p l e x a n d s l o w p r o c e s s , s o d o n ' t e x p e c t it t o f l o w effortlessly.
F e w w r i t e r s w r i t e o n l y w h e n t h e y feel i n s p i r e d . I f y o u w a i t for i n s p i
r a t i o n , o r w r i t e o n l y w h e n y o u feel l i k e it, y o u r c h a n c e s o f c o m p l e
tion are nil.
A l t h o u g h all o f the p r e c e d i n g s u g g e s t i o n s are useful, o v e r time y o u
will w o r k out y o u r o w n b e s t w a y s a n d m e a n s for m o v i n g on.
What Are the Inner Essentials?

The Backpack "Ten Essentials"
To k e e p a n y c l i m b safe a n d e n j o y a b l e , p r e p a r a t i o n a n d g o o d
j u d g m e n t a r e c r i t i c a l . J u s t as i t ' s i m p o r t a n t t h a t m o u n t a i n e e r s r e c o g
n i z e t h e a w e s o m e p o w e r s o f n a t u r e for w h i c h t h e y m u s t b e p r e p a r e d ,
so m u s t y o u u n d e r s t a n d t h e i m m e n s e n e s s a n d c o m p l e x i t y o f t h e dis
s e r t a t i o n t a s k a n d b e p r e p a r e d for it. E x p e r i e n c e d m o u n t a i n e e r s r e l y
o n a t i m e - t e s t e d p a c k i n g list, k n o w n as t h e " T e n E s s e n t i a l s , " d e v e l
o p e d in t h e 1 9 3 0 s b y a g r o u p o f S e a t t l e - a r e a c l i m b i n g e n t h u s i a s t s .
T h e T e n E s s e n t i a l s a r e w h a t e v e r y o u t d o o r p e r s o n s h o u l d c a r r y at all
t i m e s in h i s or h e r b a c k p a c k to e n s u r e s u r v i v a l . T h e y i n c l u d e a m a p ,
c o m p a s s , f l a s h l i g h t , e x t r a f o o d , e x t r a c l o t h i n g , s u n g l a s s e s , first-aid
kit, p o c k e t k n i f e , a fire starter, a n d w a t e r . T h e list is often e x p a n d e d
as t h e n e e d a r i s e s .
T h e s e w e r e m a n d a t o r y i t e m s in m y b a c k p a c k w h e n I trained for m y
Basic M o u n t a i n e e r i n g Training C o u r s e certificate from the Sierra C l u b .
W h e n the u n e x p e c t e d h a p p e n e d o n m o u n t a i n trails, I realized h o w
truly essential t h e y are. C l i m b i n g the dissertation m o u n t a i n requires
t h e p r e s e n c e o f certain i n n e r essentials to m a k e it safely a n d s u c c e s s
fully to the t o p . I n n e r r e s o u r c e s are t h o s e i n t a n g i b l e reserves that h e l p
y o u c o p e w i t h p r o b l e m s a n d crises. E s p e c i a l l y in t i m e s o f stress, it is the
m o b i l i z a t i o n o f t h e s e n o t e w o r t h y attributes that h e l p s r e m o v e or tran
s c e n d the b a r r i e r s y o u face a l o n g the p a t h . I n the w o r d s o f G e r m a n
p h i l o s o p h e r F r i e d r i c h N i e t z s c h e , " T h a t w h i c h d o e s n o t kill m e , m a k e s
m e stronger."
The Dissertation Journey's "Essentials"

T h e dissertation j o u r n e y requires i n n u m e r a b l e inner essentials.
S o m e o f the dissertation w r i t e r ' s essentials are c o m m i t m e n t , persever
ance, s t a m i n a , positive m e n t a l attitude, c o u r a g e , a n d the spirit o f a d v e n
ture. A l t h o u g h t h e s e six essentials are n o t the o n l y ones, t h e y are vital to
y o u r survival a n d u l t i m a t e s u c c e s s o n the journey.
Commitment
Commitment is t h e w i l l i n g n e s s to d o w h a t e v e r it t a k e s to a c h i e v e
y o u r g o a l . It is o n e t h i n g to start s o m e t h i n g ; it is q u i t e s o m e t h i n g e l s e
to c o m p l e t e it. A g e n u i n e c o m m i t m e n t is a p r o m i s e y o u m a k e to
y o u r s e l f to s t i c k it o u t r e g a r d l e s s o f t h e o b s t a c l e s y o u face or h o w
m a n y t i m e s y o u a r e k n o c k e d d o w n . Y o u s i m p l y g e t u p a n d p r e s s on.
Becoming a doctor is only a dream

The moment you commit and quit
until you commit the time and energy
holding back, all sorts of unforeseen
to obtain it. Imagine your name with a
incidents, meetings and material
assistance will rise up to help you. The
PhD or an EdD after it. Tom Flores, an
simple act of commitment is a NFL coach, said, "A total commitment
powerful magnet for help. is paramount to reaching the ultimate
in performance." Making a commit-
-Napoleon Hill
ment gives you that extra ounce of
courage that keeps you going during
the tough times. Abraham Lincoln gave this advice: "Always bear in
mind that your own resolution to succeed is more important than any
other thing."
Perseverance
Perseverance is that attribute that impels you to go on resolutely,
in spite of obstacles, criticism, adversity, fears, or tears, to overcome
the inevitable discouragement and disappointment that accompa-
nies mountainous-type projects. It means putting in the hard work
necessary to get the job done, even when you don't want to. Having
spent long, relentless hours of effort
Nothing in the world can take the over a long period of time, it's easy
place of persistence. Talent will n o t . . . to lose heart and want to quit. This
genius will n o t . . . education will is when you dig deep into your inner
not.... Persistence and determination reserves and keep going. Remember
alone are omnipotent. there is a big difference between
-Calvin Coolidge
quitting and wanting to quit. The
difference is between being ABD (all-
but-dissertation) and becoming a
doctor. High achievement is not reserved for those with innate tal-
ent or high IQs. It is dependent on desire and perseverance—on that
extra effort. Students start their doctoral program expecting to be
successful, but only those who are willing to pay the price and do
what's required finish. There's an old saying, "A big shot is only a
little shot who kept shooting."
Stamina
High-altitude climbing takes a tremendous amount of energy. It
involves continual exertion and makes brutal demands on your legs,
lungs, and heart. Stamina is what it takes! It's not optional. Writing a dis-
sertation requires stamina—the strength to sustain long hours of work
and yet maintain high performance. This is especially difficult when
juggling the demands of a full-time job and sustaining family obliga-

tions while completing a doctorate. However, stamina is essential to sur-
viving the journey.
Lessons from athletes can be of great value. For example, athletes
learn to focus and trigger the relaxation response through deep and
steady breathing techniques. Meditation and visualization tech-
niques are extremely valuable in managing stress. You can get a sec-
ond wind by taking time to refresh and rest your brain and body.
Regular exercise also rejuvenates the mind and body and reduces
stress. Good nutrition and a good night's rest are also vital to main-
taining stamina. Staying emotionally healthy is easier if you are in
good shape physically.
Positive Mental Attitude

A significant psychological discovery in the past 20 years is that peo-
ple can choose the way they think. Henry Ford put it this way, "Whether
you think you can or can't, you're right." A positive mental attitude is at
the core of any high achievement and success in life. Try to avoid nega-
tive thoughts or negative self-talk whenever possible. These include
thoughts such as "I don't have time now so it's not worth starting" or
"This will be too hard." It also helps to remove from your vocabulary
words like can't, never, or awful. They
only keep you on a downward spiral.
One technique that works when you Everything can be taken from man
except the last of the human
hear yourself being negative is to say
freedoms, his ability to choose his
Stop! Stopping these negative thoughts
own attitude in any given set of
interrupts the downward spiral.
circumstances-to choose his own way.
I know many doctoral students who
focus on the difficulties, the unpleasant -Victor Frankl
times, and the pains associated with
struggling. Thus, they create for themselves a miserable experience. The
students I know who possess a positive mental attitude look for the
good in situations, even when it's hard to find. Their optimism is like a
beacon that propels them forward, thus creating a joyful experience
for them.
Courage
It takes courage to face the fears and doubts that often accompany
writing a dissertation. During the first class of the research sequence
at the university where I teach, I ask my students to describe the
greatest fears and anxieties they have about the dissertation process.
Their responses run the gamut from reasonable to unreasonable. Here

are the most commonly identified fears and anxieties:
• The negative impact on work and family

• Not measuring up to the task intellectually
• Lack of the necessary research skills
• Not enough time to do everything that needs to be done
• Fear of the unknown—don't know what they don't know
• Won't find an appropriate topic or an advisor
• Being overwhelmed
• Fear of criticism and committee rejections of their work
• Fear of failure
• Being emotionally vulnerable
These fears cause considerable anxiety at times, which can result in

self-doubt, insecurity, worry, and procrastination that keep you from
doing your best work and moving for-
Courage is the mastery of fear, not ward. I found that sharing these fears
the absence of fear. and anxieties with others lessens their
impact and helps you realize that
-Mark Twain
everyone involved in the dissertation
process has at least one or more of the
same vulnerabilities. Facing them openly and honestly goes a long way
toward bringing out the courage that sustains the most fearful.
Spirit of Adventure
Adventure is defined as (1) an undertaking usually involving danger
and unknown risks and (2) an exciting or remarkable experience. The
spirit of adventure means accepting a risk and standing up to your fear
of the unknown—taking the path less traveled. The central motivation
for adventuring is to attempt something you're not sure can be done, to
go somewhere you're not sure you can go.
If you know what you want, why you want it, and are willing to sac-
rifice and endure many obstacles to get it, then you have the true
spirit of adventure. It's all about being
Whatever you dream you can do, willing to explore your own limits.
begin it. Boldness has genius, power Whether it's a physical adventure or a
and magic. mental one, it is always replete with
-Goethe excitement, hazards, and triumphs
along the way. Are you comfortable
with ambieuitv? Climbers must risk
and face uncertainty. If you believe your journey to become a doctor is
an adventure filled with new learnings and discoveries about yourself,
others, a n d y o u r field o f interest, y o u r life will b e transformed, and y o u

will contribute significantly to y o u r w o r l d .
Summary
This first chapter h e l p e d y o u u n d e r s t a n d the dissertation j o u r n e y as a
p e a k experience, a transformative a n d fulfilling life event. C o m p l e t i n g
the j o u r n e y successfully requires u n d e r s t a n d i n g the sacrifices, stresses,
and uncertainties y o u face along the path. It also requires k n o w i n g
strategies to deal w i t h the m a j o r h a z a r d s facing dissertation writers:
procrastination, e m o t i o n a l barriers, a n d w r i t e r ' s block.
C l i m b i n g the dissertation m o u n t a i n safely a n d successfully requires
i n n e r essentials s u c h as c o m m i t m e n t , p e r s e v e r a n c e , s t a m i n a , a positive
m e n t a l attitude, c o u r a g e , a n d a spirit o f a d v e n t u r e . C o m m i t m e n t is the
p r o m i s e y o u m a k e to y o u r s e l f to c o m p l e t e the dissertation regardless of
the obstacles y o u face a l o n g the way. P e r s e v e r a n c e m e a n s staying the
c o u r s e e v e n w h e n y o u d o n ' t w a n t to. S t a m i n a requires the ability to sus
tain l o n g h o u r s o f w o r k w h i l e j u g g l i n g w o r k a n d family obligations a n d
still a c h i e v i n g y o u r goal. A p o s i t i v e m e n t a l attitude m a k e s the difference
b e t w e e n e x p e r i e n c i n g m i s e r y or j o y a l o n g the path. C o u r a g e o v e r c o m e s
fear a n d self-doubt. A spirit o f a d v e n t u r e m e a n s a w i l l i n g n e s s to explore
y o u r o w n limits a n d v i e w the dissertation j o u r n e y as a q u e s t filled w i t h
n e w learnings a n d discoveries.
T h e next chapter familiarizes y o u w i t h the m o u n t a i n ' s terrain—the
dissertation d o c u m e n t itself. Y o u learn about the dissertation's structure,
format, typical c o m p o n e n t s , major steps in the process, a n d individual's
roles a n d responsibilities.
2
What Exactly Is a
Dissertation?
A n y successful m o u n t a i n c l i m b , w h e t h e r actual or m e t a p h o r i c a l ,
requires k n o w l e d g e o f the terrain a n d the e n v i r o n m e n t . T h e m o r e
k n o w l e d g e , the better the c h a n c e o f success. N o m o u n t a i n e e r w o u l d
b e g i n a major a s c e n t w i t h o u t a solid u n d e r s t a n d i n g o f the u n i q u e n a t u r e
of the m o u n t a i n , its challenges, characteristics, a n d vagaries. S o , too,
m u s t a dissertation writer fully u n d e r s t a n d the n a t u r e o f the doctoral
dissertation. T h i s chapter describes the e s s e n c e o f the dissertation—its
c o m p o n e n t parts, major steps in the dissertation p r o c e s s , a n d the roles
a n d responsibilities o f those i n v o l v e d .
What Is a Doctoral Dissertation?

A doctoral dissertation is a formal d o c u m e n t that d e m o n s t r a t e s y o u r
ability to c o n d u c t research that m a k e s a n original contribution to t h e o r y
or practice. It is a partial fulfillment o f the r e q u i r e m e n t s for an E d D or
P h D degree. T h e t e r m original, a c c o r d i n g to the C o u n c i l o f G r a d u a t e
S c h o o l s (2002), " i m p l i e s s o m e n o v e l twist, fresh p e r s p e c t i v e , n e w
h y p o t h e s i s , or i n n o v a t i v e m e t h o d that m a k e s the dissertation project a
distinctive c o n t r i b u t i o n " (p. 10).
T h e dissertation requirement is v i e w e d differently in p r o g r a m s lead
ing to applied degrees, such as the E d D , D P A , a n d P s y D , than it is in those
awarding the P h D . T h e distinction in focus b e t w e e n the t w o is discussed
18
What Exactly Is a Dissertation? 19
in the Handbook of Accreditation of the Western Association of Schools and

Colleges (Western Association o f S c h o o l s a n d Colleges, 2008) as follows:
P h D D e g r e e s : T h e s t a n d a r d research-oriented d e g r e e w h i c h
indicates that the recipient h a s d o n e , a n d is p r e p a r e d to d o , orig
inal research in a major discipline. T h e P h D usually requires
three y e a r s or m o r e o f p o s t g r a d u a t e w o r k i n c l u d i n g an original
research dissertation or project.
M D , E d D , J D , etc.: D e g r e e s w i t h e m p h a s i s o n professional
k n o w l e d g e a n d practice. T h e s e d e g r e e s n o r m a l l y require three
or m o r e y e a r s o f p r e s c r i b e d p o s t g r a d u a t e w o r k (p. 5 6 ) .
W h i l e b o t h types o f doctorates e x p e c t original research, c a n d i d a t e s

in a n a p p l i e d doctoral p r o g r a m (e.g., E d D ) focus o n a p p l i e d research
that s u p p o r t s the a d v a n c e m e n t o f the profession.
T h e dissertation d o c u m e n t m a y v a r y in format d e p e n d i n g o n the
type o f study, b u t essentially all researchers define a p r o b l e m w i t h
researchable q u e s t i o n s , c o n d u c t a n e x h a u s t i v e r e v i e w o f the literature,
c h o o s e an appropriate m e t h o d o l o g y , collect a n d a n a l y z e data, a n d pre
sent the findings a n d c o n c l u s i o n s .
T h e l e n g t h o f dissertations varies dramatically. N o set n u m b e r o f
p a g e s is required. H o w e v e r , if it is e x c e s s i v e l y l o n g , readers m a y lose the
will to live. It h e l p s to follow the rule o f t h u m b illustrated b y this a p o c
r y p h a l story: A y o u n g boy, after m e e t i n g the t o w e r i n g A b r a h a m
Lincoln, a s k e d the president, " H o w long s h o u l d a m a n ' s legs b e ? "
Lincoln a n s w e r e d , " L o n g e n o u g h to r e a c h the g r o u n d . " It's the s a m e
w a y w i t h dissertations. T h e a p p r o p r i a t e l e n g t h d e p e n d s o n the d e g r e e
to w h i c h y o u r e s p o n s i b l y a n d c o m p r e h e n s i v e l y a n s w e r y o u r s t u d y ' s
research q u e s t i o n s .
C o m p l e t i n g a dissertation represents the p i n n a c l e o f a c a d e m i c
a c h i e v e m e n t . It requires high-level skills o f d i s c e r n m e n t a n d critical
analysis, proficiency in at least o n e research m e t h o d , a n d the ability to
c o m m u n i c a t e the results o f that research in a clear, coherent, a n d c o n c i s e
manner. N o p r e v i o u s w r i t i n g e x p e r i e n c e s prepare y o u for s u c h a chal
l e n g i n g a n d rigorous task. Basically, it's a learn-and-grow-as-you-go
process.
O n e efficient w a y to learn the dissertation terrain is to familiarize
yourself w i t h dissertations p r e v i o u s l y p u b l i s h e d in y o u r c h o s e n field of
study. T h i s h e l p s y o u u n d e r s t a n d the format a n d style o f a c c e p t e d dis
sertations. A l s o read dissertations c h a i r e d b y t h o s e individuals y o u are
c o n s i d e r i n g for a d v i s o r s . T h i s w a y y o u c a n o b t a i n i n s i g h t i n t o that
p e r s o n ' s e x p e c t a t i o n s a n d level o f s c h o l a r s h i p .
Typical Dissertation Structure

A dissertation's structure varies w i t h the a c a d e m i c discipline a n d the
m e t h o d o l o g y used. C h a p t e r n a m e s m a y b e different, b u t in o n e w a y or
another, the questions d i s p l a y e d as follows are a n s w e r e d . Figure 2.1 is
an o v e r v i e w o f a typical dissertation's b a s i c structure.
M o s t r e s e a r c h e r s try to r e s o l v e a specific p r o b l e m a n d a d v a n c e
l e a r n i n g b y a n s w e r i n g t h e q u e s t i o n s p o s e d in F i g u r e 2 . 1 . R e g a r d l e s s o f
a c a d e m i c d i s c i p l i n e , r e s e a r c h u s u a l l y f o l l o w s t h e scientific m e t h o d
a n d h a s t h e s a m e b a s i c format, w i t h s o m e v a r i a t i o n s . To c o n c e p t u a l i z e
y o u r study, d e t e r m i n e w h a t t h e o v e r a l l f o r m a t w i l l b e . I a s k m y
s t u d e n t s to c r e a t e a l o o s e - l e a f n o t e b o o k w i t h t a b s d e p i c t i n g the disser-
t a t i o n ' s m a j o r s e c t i o n s . T h e n o t e b o o k s e r v e s as an o u t l i n e for the entire
study. A s s t u d e n t s w r i t e i n d i v i d u a l s e c t i o n s , t h e y insert t h e m into t h e
notebook.
Figure 2.1 Typical Dissertation Structure
/ Chapter Two \
Review of J
y Literature "
/ What is known? Nv
^^<^ What is unknown? / " ^
/ Chapter One \ / Chapter \
Introduction 1 { Three I
y Significance / y Methodology /
Why am I doing it? niwi^innN /"warn I going

What do I hope to ότοΜΛΤΜη= / t 0 discover it?
discover? STRUCTURE /
/ Chapter F i v e y / \
/ Conclusions \ / Chapter Four \
I Recommendations!^ \ Results I
What does it mean? What are the

What are the findings?
recommendations for
action? For future
research?
F o l l o w i n g are s a m p l e formats o f studies u s i n g quantitative a n d

qualitative m e t h o d o l o g i e s a n d s o m e alternative formats. A quantitative
s t u d y g e n e r a l l y a d h e r e s to a rigid s t a n d a r d found in research studies,
a l t h o u g h the order o f the v a r i o u s sections m a y vary.
Studies Using Quantitative

Methodology: Sample Format
Chapter 1 Introduction/problem statement
P u r p o s e o f the s t u d y
Research questions/hypotheses
Significance o f the s t u d y
Delimitations/ assumptions
Definition o f t e r m s
Chapter 2 Literature r e v i e w
Chapter 3 Methodology
K i n d o f research
Population and sample
Instrumentation
D a t a collection p r o c e d u r e s
Statistical a n a l y s i s p r o c e d u r e s
Chapter 4 Limitations
Results
Findings
Chapter 5 Summary
Conclusions, implications, recommendations
S t u d i e s u s i n g qualitative m e t h o d o l o g y are m u c h less standardized

t h a n quantitative studies. H o w e v e r , t h e y s h o u l d b e consistent w i t h the
a s s u m p t i o n s inherent in the qualitative a p p r o a c h .
Studies Using Qualitative

Methodology: Sample Format
Chapter 1 Introduction
Conceptual framework
Topic a n d research p r o b l e m
R a t i o n a l e / p u r p o s e o f the s t u d y
Guiding questions
Significance o f the s t u d y
Delimitations
Chapter 2 R e v i e w o f the literature

Rationale a n d a s s u m p t i o n s for the qualitative
design
Type of design
R e s e a r c h e r ' s role
Site a n d s a m p l e selections
D a t a collection t e c h n i q u e s
M a n a g i n g a n d recording data
D a t a analysis p r o c e d u r e s
Chapter 4 M e t h o d s for v e r i f i c a t i o n / t r u s t w o r t h i n e s s
Chapter 5 Limitations
R e s u l t s / o u t c o m e o f the s t u d y
Discussion
C o n n e c t i o n s to previous research a n d
theories
Conclusions
Implications
S u g g e s t i o n s for future research
Alternative Formats
M o d e l - B u i l d i n g Studies
Chapter 1 Problem and purpose
Chapter 4 A n a l y s i s o f data
Chapter 5 Conclusion and model
C a s e Studies
Chapter 1 Problem and purpose
Chapters 4 - 6 C a s e studies
Chapter 7 Analysis of themes
Chapter 8 C o n c l u s i o n s , implications, a n d
recommendations
Components of a Typical Dissertation

Title Page
T h e title p a g e , the first p a g e o f y o u r dissertation, i n c l u d e s t h e title,
author, the d e g r e e r e q u i r e m e n t s that the dissertation fulfills, a n d the
date. T h e title o f the d i s s e r t a t i o n is a s u c c i n c t s u m m a r y o f the topic a n d

g e n e r a l l y s h o u l d n o t e x c e e d 15 w o r d s . A v o i d u n n e c e s s a r y w o r d s , s u c h
as " A S t u d y o f . . ." T h e title i n c l u d e s k e y t e r m s that readily identify the
s c o p e a n d n a t u r e o f y o u r study.
Copyright Page
Copyrighting the dissertation, although highly desirable, is
optional. It is n o t required that y o u formally register y o u r dissertation
w i t h the U . S . C o p y r i g h t Office in order to o b t a i n c o p y r i g h t protection,
b u t it is h i g h l y desirable to d o s o in c a s e o f a n y c o p y r i g h t litigation.
R e g a r d l e s s o f w h e t h e r y o u f o r m a l l y register w i t h the U . S . C o p y r i g h t
Office, a n o t i c e o f c o p y r i g h t s h o u l d a p p e a r o n the p a g e i m m e d i a t e l y fol
l o w i n g the title p a g e . T h i s i n f o r m s others that y o u r dissertation is n o t
available for unrestricted use.
Committee Approval Page

T h i s p a g e c o n t a i n s the d a t e o f a p p r o v a l a n d the original signatures
of y o u r dissertation c o m m i t t e e , the outside reader (if o n e is a p p o i n t e d ) ,
a n d the dean. B y s i g n i n g this p a g e , t h e y attest to the fact that they h a v e
read a n d a p p r o v e d y o u r w o r k .
Vita and Resume

Vitas a n d r e s u m e s are n o t typically i n c l u d e d in dissertations, b u t
t h e y c a n b e . If y o u c h o o s e to i n c l u d e a vita or r e s u m e , it s h o u l d b e selec
tive rather t h a n e x h a u s t i v e a n d s h o u l d b e l i m i t e d to o n e p a g e . M o s t dis
sertations i n c l u d e this at the e n d o f the dissertation, following the
references.
Abstract of the Dissertation

T h e abstract is a brief s u m m a r y o f the dissertation. T h e abstract
s h o u l d b e w e l l o r g a n i z e d , concise, a n d self-contained b e c a u s e it is often
p r i n t e d separately. A c o p y o f t h e a b s t r a c t is frequently b o u n d in the
dissertation.
Table of Contents
T h e t a b l e o f c o n t e n t s is e s s e n t i a l l y a t o p i c o u t l i n e o f y o u r d i s s e r
t a t i o n , i n c l u d i n g all h e a d i n g s a n d s u b h e a d i n g s , w i t h a c c o m p a n y i n g
page numbers. T h e following are generally included: acknowledg
ments, dedication, statement of the problem, review of the literature,
methodology, analysis o f the data, conclusions and r e c o m m e n d a

t i o n s , a p p e n d i x e s , a n d r e f e r e n c e s . E a c h t a b l e o f c o n t e n t s e n t r y must
c o r r e s p o n d e x a c t l y to t h e title in t h e text. C o n s i d e r p r e p a r i n g y o u r
t a b l e o f c o n t e n t s a h e a d o f t i m e as a t e n t a t i v e o u t l i n e for y o u r study.
It p r o v i d e s a g o o d c h e c k l i s t for w h a t n e e d s to b e d o n e in w r i t i n g t h e
dissertation.
List of Figures, Illustrations, and Tables

Separate lists s h o u l d b e created for figures, illustrations, a n d tables.
T h e s e lists s h o u l d i n c l u d e the n u m b e r a n d full n a m e o f e a c h table,
figure, or illustration as t h e y are stated in the text. In addition, t h e y
s h o u l d b e listed in order o f a p p e a r a n c e in the text, f o l l o w e d b y the
n u m b e r o f the p a g e o n w h i c h the table, figure, or illustration appears.
Acknowledgment Page (Optional)

A c k n o w l e d g m e n t s g i v e credit to others for their g u i d a n c e a n d assis
tance t h r o u g h o u t the dissertation process. It generally recognizes the
contributions o f s u c h individuals as c o m m i t t e e m e m b e r s , other signifi
cant faculty, helpful colleagues, technical consultants, typists, or family
a n d friends. A c k n o w l e d g m e n t s m a y a l s o e x p r e s s gratitude for t h e u s e
of c o p y r i g h t e d or other restricted materials.
Dedication Page (Optional)

You m a y c h o o s e to dedicate y o u r dissertation to a p e r s o n or p e r s o n s
w h o h a v e h a d a significant i m p a c t o n y o u r w o r k . It gives y o u the oppor
tunity to give special tribute to those w h o p r o v i d e d extraordinary sup
p o r t a n d e n c o u r a g e m e n t . T h e dedication tribute m a y b e p l a c e d at the
e n d o f the a c k n o w l e d g m e n t section, o r it m a y b e a separate section.
Chapter 1: Introduction or Problem Statement

T h i s section o f the dissertation g i v e s y o u a n o p p o r t u n i t y to g r a b
r e a d e r s ' attention a n d b r i n g t h e m o n b o a r d w i t h interest. It p r e s e n t s the
p r o b l e m a d d r e s s e d b y the research, a n d it s u p p l i e s a brief s u m m a r y o f
the m o s t relevant research a n d t h e o r y p e r t a i n i n g to the subject o f the
study. T h e p r o b l e m s t a t e m e n t s h o u l d tell t h e story b e h i n d the research
intent. It s h o u l d p r o v i d e the b a c k g r o u n d to the p u r p o s e s t a t e m e n t a n d
research q u e s t i o n s . In a d d i t i o n to the i n t r o d u c t o r y p r o b l e m s t a t e m e n t ,
this section u s u a l l y c o n t a i n s the p u r p o s e s t a t e m e n t , research q u e s t i o n s
or h y p o t h e s e s , the significance o f t h e study, a definition o f t e r m s ,
delimitations/assumptions, and o r g a n i z a t i o n o f t h e study. A s an

option, a b r i e f s u m m a r y o f the i n t r o d u c t i o n m a y a p p e a r at the e n d o f
t h e chapter. I n a d d i t i o n , s u m m a r i e s m a y b e u s e d to c o n c l u d e t h e s u b
sequent chapters.
Chapter 2: Review of the Literature

The r e v i e w o f literature is a s u m m a t i o n o f pertinent literature
directly related to y o u r study. It p r o v i d e s a b a c k g r o u n d for the i m p o r
tant variables or c o n c e p t s in y o u r s t u d y a n d d e s c r i b e s the similarity a n d
difference b e t w e e n y o u r w o r k a n d that o f o t h e r authors a n d researchers
in the field. T h i s r e v i e w o f the literature is traditionally y o u r s e c o n d
chapter, b u t there m a y b e r e a s o n s to i n c l u d e it later in the dissertation.
Chapter 3: Methodology
T h e m e t h o d o l o g y section d e s c r i b e s in detail h o w the s t u d y w a s c o n
ducted. T h i s c h a p t e r u s u a l l y consists o f the following sections: k i n d o f
research, s a m p l e a n d / o r p o p u l a t i o n , instrumentation, data collection
p r o c e d u r e s , data analysis, a n d limitations o f the study.
Chapter 4: Results or Findings

This section s u m m a r i z e s the data collected a n d details the statistical
treatment o f those data, if any. Tables, figures, or illustrations are u s e d to
report data clearly a n d economically. F i n d i n g s are usually s u m m a r i z e d
at the e n d o f the chapter. A qualitative study usually consists o f narrative
descriptions e m b o d i e d in t h e m e s a n d patterns g e n e r a t e d from the data.
Chapter 5: Conclusions,
Recommendations, Implications
This section describes w h a t the findings m e a n and w h a t conclusions
y o u drew from the research questions that guided y o u r study. It details
h o w y o u r findings c o m p a r e w i t h those in the literature and with y o u r
conceptual framework. Included in this chapter are practical implications
for professional practice as w e l l as r e c o m m e n d a t i o n s for further research.
References, Endnotes, or Bibliographies

A reference section at the e n d o f the dissertation s h o u l d list all w o r k s
cited in the dissertation. A b i b l i o g r a p h y i n c l u d e s related m a t e r i a l that
y o u r e v i e w e d a n d s t u d i e d b u t did n o t cite directly in the text. T h i s h e l p s
the reader d e t e r m i n e the s c o p e o f the research b e h i n d y o u r dissertation.

H o w e v e r , it s h o u l d n o t i n c l u d e e v e r y article or b o o k y o u read. T h e r e are
distinct formats for citing references, i n c l u d i n g e n d n o t e s , that y o u m a y
u s e d e p e n d i n g o n y o u r university's preference. O n c e a format is
selected, b e consistent a n d follow it t h r o u g h o u t the dissertation.
Appendixes
M a t e r i a l s that d o c u m e n t i m p o r t a n t c o m p o n e n t s o f t h e dissertation
that w o u l d b e too lengthy, a w k w a r d , or distracting to i n c l u d e w i t h i n
the text s h o u l d b e i n c l u d e d as a p p e n d i x e s . T h e s e m a t e r i a l s m i g h t b e
r a w data, letters o f i n t r o d u c t i o n to participants, l o n g or c o m p l e x tables,
a n d questionnaires. S u c h detail is useful to a n y o n e trying to replicate
y o u r s t u d y in the future. P l a c e i t e m s in the a p p e n d i x e s in t h e o r d e r
t h e y a p p e a r in the text. W h e n m o r e t h a n o n e a p p e n d i x is u s e d , e a c h
m u s t b e d e s i g n a t e d b y a letter (e.g., A p p e n d i x A , A p p e n d i x B ) as w e l l
as b y a title.
Major Steps in the Dissertation Process

F o l l o w i n g is a brief description o f the m a j o r steps n e e d e d to c o m p l e t e a
dissertation. P r o c e d u r e s v a r y from university to university, a n d m o s t
universities distribute specific directions to their dissertation writers. B e
sure to b e c o m e familiar w i t h these p r o c e d u r e s as early as possible.
1. Select a Dissertation Topic

D e c i d i n g if a particular topic has the potential for b e c o m i n g a dis
sertation is o n e o f the b i g g e s t c h a l l e n g e s faced b y doctoral students.
T h e r e are n o hard-and-fast rules in selecting a topic; h o w e v e r , the fol
l o w i n g are s o m e criteria that will h e l p in m a k i n g y o u r decision:
a. It n e e d s to h o l d y o u r interest o v e r a l o n g p e r i o d o f time.
b . It m u s t b e m a n a g e a b l e in size.
c. It m u s t h a v e the p o t e n t i a l to m a k e an original a n d significant

c o n t r i b u t i o n to k n o w l e d g e .
d. It s h o u l d b e d o a b l e w i t h i n y o u r t i m e frame a n d b u d g e t .
e. It m u s t b e b a s e d o n obtainable data.
f. It s h o u l d b e o f interest to a n advisor or c o m m i t t e e .
2. Prepare a Prospectus or Proposal

A prospectus is a 3 - to 5-page o v e r v i e w o f y o u r study. It is basically
a research c o n c e p t p a p e r that includes (1) b a c k g r o u n d information about
the topic w i t h a brief c o m m e n t a r y o n pertinent literature, (2) a p u r p o s e
statement, (3) research questions, and (4) appropriate methodology. This
p a p e r p r o v i d e s the b a s i s for d e v e l o p m e n t o f the p r o p o s a l itself. It c a n
also b e u s e d for discussions w i t h potential dissertation advisors and
c o m m i t t e e m e m b e r s . D i s c u s s i n g y o u r p r o s p e c t u s w i t h a potential advi
sor or w i t h potential c o m m i t t e e m e m b e r s h e l p s y o u obtain a d v i c e early
in the dissertation process about the suitability o f y o u r topic as a worth
w h i l e s t u d y a n d d e t e r m i n e if the research questions a n d m e t h o d o l o g y
are appropriate. A formal proposal e x p a n d s o n the prospectus and
includes m o s t of the c o m p o n e n t s found in C h a p t e r 1 a n d C h a p t e r 3.
3. Select an Advisor
S p e n d t i m e g e t t i n g to k n o w t h o s e i n d i v i d u a l s w h o a r e a v a i l a b l e
to b e y o u r a d v i s o r or c o m m i t t e e m e m b e r s . P r e s e n t y o u r p r o s p e c t u s /
p r o p o s a l to t h o s e w i t h w h o m y o u m i g h t like to w o r k , a n d get their
v i e w s a b o u t the topic a n d p r o p o s e d m e t h o d o l o g y . O n c e y o u select y o u r
advisor, y o u w o r k w i t h h i m or h e r to focus a n d refine y o u r topic into a
m a n a g e a b l e study.
4. Choose Committee Members

In c o n s u l t a t i o n w i t h y o u r advisor, select y o u r c o m m i t t e e m e m b e r s .
Ideally, t h e y s h o u l d p o s s e s s e a r n e d d o c t o r a t e s from an accredited insti
tution, b e c o n s i d e r e d o u t s t a n d i n g in their field, like y o u r topic, a n d b e
willing to s p e n d time r e v i e w i n g y o u r dissertation d o c u m e n t .
5. Complete and Defend the Proposal

T h e p r o p o s a l is u s u a l l y w r i t t e n in s e v e r a l drafts in r e s p o n s e to feed
b a c k from c o m m i t t e e m e m b e r s . A n a c c e p t a b l e p r o p o s a l v a r i e s a c c o r d
ing to u n i v e r s i t y g u i d e l i n e s a n d e x p e c t a t i o n s . A t m y university, an
a c c e p t a b l e p r o p o s a l c o n s i s t s o f a solid C h a p t e r 1 a n d C h a p t e r 3, either
an o u t l i n e or a full C h a p t e r 2 , the p r o p o s e d r e s e a r c h i n s t r u m e n t ( s ) to b e
u s e d in the study, a n d a b i b l i o g r a p h y . W h e t h e r or n o t the p r o p o s a l is
w r i t t e n in t h e future or p a s t t e n s e d e p e n d s o n the preference o f y o u r
advisor. W r i t i n g it in t h e p a s t t e n s e , h o w e v e r , k e e p s y o u from h a v i n g to
adjust the t e n s e w h e n t r a n s i t i o n i n g to t h e d i s s e r t a t i o n d o c u m e n t itself.
Generally, w h e n all c o m m i t t e e s u g g e s t i o n s h a v e b e e n i n c o r p o r a t e d a n d
y o u r a d v i s o r c o n c u r s , a formal p r o p o s a l m e e t i n g m a y b e held. In m o s t
instances, a p p r o v a l o f y o u r p r o p o s a l b e c o m e s a c o n t r a c t b e t w e e n y o u
a n d y o u r c o m m i t t e e . Y o u are to satisfactorily c o n d u c t the s t u d y as
d e s c r i b e d in the p r o p o s a l , a n d the c o m m i t t e e signs off o n t h e proposal.
6. Conduct the Research

In this p h a s e o f the dissertation, y o u refine y o u r i n s t r u m e n t ( s ) p e r
the r e c o m m e n d a t i o n s o f the c o m m i t t e e a n d c o n d u c t a pilot test to
d e t e r m i n e reliability a n d validity. Y o u collect, a n a l y z e , a n d interpret
y o u r data.
7. Write the Dissertation

T h e dissertation requires a h i g h level o f scholarly writing. Y o u m u s t
b e able to express y o u r s e l f logically, clearly, a n d precisely. If y o u h a v e
difficulty w i t h a c a d e m i c writing, c o n s i d e r hiring a n editor. T h i s c a n
save y o u c o n s i d e r a b l e t i m e a n d m a k e life easier for y o u r c o m m i t t e e b y
lessening t h e n u m b e r o f revisions n e e d e d . It e n a b l e s y o u r c o m m i t t e e ' s
c o m m e n t s to b e directed t o w a r d s u b s t a n c e rather t h a n style. Editorial
assistance for a dissertation is usually e n c o u r a g e d , b u t only in matters of
style, not content.
8. Schedule the Oral Defense

Your advisor typically leads the oral defense m e e t i n g in w h i c h y o u
present a n d defend y o u r dissertation in the p r e s e n c e o f the c o m m i t t e e
a n d other individuals p e r m i t t e d b y y o u r university. A n oral defense is
usually c o n s i d e r e d a public m e e t i n g . A t m o s t universities, following the
oral defense, the c o m m i t t e e certifies that the c a n d i d a t e h a s
a. P a s s e d w i t h n o revisions n e e d e d
b . P a s s e d w i t h m i n o r revisions
c. P a s s e d w i t h major revisions
d. N o t p a s s e d , yet, defense to b e c o n t i n u e d
e. F a i l e d
9. Make Corrections and Resubmit the Dissertation

Incorporate all the c h a n g e s resulting from input p r o v i d e d at the oral
defense. T h e n , follow the special p r o c e d u r e s outlined at y o u r university.
10. Graduate and Become a Doctor!

Roles and Responsibilities

Doctoral Candidate. A doctoral c a n d i d a t e is usually defined as a
student formally a d v a n c e d to c a n d i d a c y a n d d e e m e d ready to start
a dissertation study. It is the responsibility o f the c a n d i d a t e to w o r k
w i t h his or h e r a d v i s o r to select appropriate, qualified individuals to
s e r v e o n the dissertation c o m m i t t e e a n d to initiate d i a l o g u e w i t h
c o m m i t t e e m e m b e r s , to follow r e c o m m e n d e d timetables, a n d to
attend c o m m i t t e e m e e t i n g s in a c c o r d a n c e w i t h y o u r advisor. It is
also the c a n d i d a t e ' s responsibility to get all forms s i g n e d in p r o p e r
s e q u e n c e a n d to s u b m i t t h e m to the appropriate individuals.
Dissertation Advisor. T h e dissertation a d v i s o r is the doctoral c a n d i

date's p r i m a r y a d v i s o r d u r i n g all p h a s e s o f the dissertation process.
T h e a d v i s o r is the leader o f the dissertation c o m m i t t e e a n d usually
c o n d u c t s b o t h the p r o p o s a l a n d oral defense m e e t i n g s . In conjunc
tion w i t h o t h e r c o m m i t t e e m e m b e r s , the a d v i s o r is responsible for
p r o v i d i n g technical a n d c o n t e n t a d v i c e a n d assistance.
Dissertation Committee. Usually, individuals w h o h o l d earned doctoral

degrees from an accredited institution are invited to serve as m e m b e r s
of the dissertation c o m m i t t e e . T h e dissertation c o m m i t t e e generally
has three to five m e m b e r s , including the advisor. T h e c o m m i t t e e ' s role
is to provide different lenses through w h i c h to v i e w y o u r work. It is
an opportunity to b r o a d e n y o u r perspective b y seeing y o u r study
from various vantage points. C a n d i d a t e s first select the dissertation
advisor and, in consultation w i t h h i m or her, select the other c o m m i t
tee m e m b e r s . It is r e c o m m e n d e d that c o m m i t t e e m e m b e r s reflect the
range of expertise pertinent to the topic u n d e r study and the m e t h o d
ology likely to b e used. C o m m i t t e e m e m b e r s are called on to advise
the candidate throughout the process in areas appropriate to their
expertise and interests. T h e y also c o m m e n t o n written materials
d e v e l o p e d b y the doctoral candidate. C o m m i t t e e m e m b e r s are
responsible for evaluating a n d approving the proposal and the c o m
pleted dissertation.
Human Subjects Review Committee. T h i s c o m m i t t e e is c o m p o s e d o f a

g r o u p o f faculty m e m b e r s w h o r e v i e w e a c h research p r o p o s a l for
the p u r p o s e o f safeguarding the rights a n d a n o n y m i t y o f h u m a n
subjects u s e d for research p u r p o s e s .
T h e r e are a variety o f different roles w i t h i n e a c h university related to

the dissertation process. O n e important role is p l a y e d b y the d e p a r t m e n t
that processes the dissertation forms a n d m a k e s sure that appropriate
p r o c e d u r e s are followed. A l s o , there m a y b e university reviewers

responsible for editing a n d reviewing the dissertation d o c u m e n t for the
proper style format.
Summary
T h e doctoral dissertation is a formal d o c u m e n t that d e m o n s t r a t e s y o u r
ability to c o n d u c t original research that contributes to t h e o r y or practice.
A l t h o u g h variations exist, typical dissertations consist o f chapters that
p r o v i d e b a c k g r o u n d to the topic, a literature review, a description o f the
m e t h o d o l o g y , findings, c o n c l u s i o n s , a n d r e c o m m e n d a t i o n s for action
a n d future research. M a j o r steps in the dissertation p r o c e s s include
selecting a topic, p r e p a r i n g a p r o s p e c t u s , selecting an advisor a n d c o m
mittee m e m b e r s , c o m p l e t i n g a n d defending a p r o p o s a l , c o n d u c t i n g the
research, w r i t i n g the dissertation, participating in the oral defense, m a k
ing corrections, a n d graduating.
N o w that y o u k n o w the dissertation terrain, it's t i m e to consider the
ethical considerations in research. It is vital to b e a w a r e o f the v a r i e t y o f
ethical issues that arise in all p h a s e s o f the dissertation process. T h e n e x t
chapter describes ethical issues s u c h as the rights o f h u m a n subjects, the
ethics o f data collection a n d analysis, reporting findings, w r i t i n g u p
research, a n d c o p y r i g h t law.
3
What Are the Ethical
Considerations in
Research?
Research ethics is a very challenging subject which the research can

didate has to face, and which if not addressed correctly may cause the
result of the research work to be considered tainted or even invalid.
— R e m e n y i et al., 1998, p . 115
E thical issues arise in all aspects o f c o n d u c t i n g research. S u c h areas

include attention to h u m a n rights, data collection, data analysis and
interpretation, respect for the research site, writing, a n d disseminating
the research. This section will describe s o m e o f these central issues that
y o u should anticipate in designing y o u r dissertation study.
W h a t is c o n s i d e r e d ethical v a r i e s from p e r s o n to p e r s o n a n d from
institution to institution. H o w e v e r , m o s t professional organizations a n d
the v a r i o u s disciplines w i t h i n the social s c i e n c e s h a v e established their
o w n s t a n d a r d s or c o d e s o f ethics to g u i d e their research activities. T h e s e
guidelines, a c c o r d i n g to R o s s m a n a n d Rallis (1998), " s e r v e as s t a n d a r d s
for the ethical practice o f research a n d are b a s e d o n m o r a l principles
such as utilitarianism (the greatest g o o d for the greatest n u m b e r ) ,
theories o f individual rights (the rights o f the individual m a y s u p e r s e d e
the interests o f the greatest n u m b e r ) , a n d theories o f justice (fairness a n d
31
e q u i t y ) " (pp. 4 8 - 4 9 ) . F o l l o w i n g are s o m e e x a m p l e s o f professional ethi

cal guidelines a n d the w e b s i t e s w h e r e t h e y can b e found:
• T h e A m e r i c a n P s y c h o l o g i c a l A s s o c i a t i o n ' s Ethical Principles of

Psychologists and Code of Conduct, www.apa.org/ethics/code
.html
• T h e A m e r i c a n Educational Research Association Ethical Standards,
www.aera.net/AboutAERA/Default.aspx?menu_id=90&id=717
• T h e A m e r i c a n Sociological A s s o c i a t i o n C o d e o f Ethics, w w w 2
.asanet.org / m e m b e r s / ecoderev.html
• T h e A m e r i c a n A n t h r o p o l o g i c a l A s s o c i a t i o n ' s C o d e o f Ethics,
www.aaanet.org/committees/ethics/ethcode.htm
The following website offers a full listing o f guidelines and codes o f

ethics for those in the social sciences: www.bc.edu/research/meta-elements/
h t m / social_sciences.htm.
Institutional Review Boards

Colleges, universities, a n d other research institutions h a v e institutional
r e v i e w b o a r d s (IRBs) w h o s e m e m b e r s r e v i e w p r o p o s a l s a n d a p p r o v e all
research c o n d u c t e d at their institutions. T h e i r m a i n p u r p o s e is the pro
tection o f those participating in a research study, particularly a r o u n d
ethical issues such as informed consent, protection from h a r m , a n d c o n
fidentiality. Specifically, the I R B c o m m i t t e e ' s role is to protect partici
p a n t s from "stress, discomfort, e m b a r r a s s m e n t , i n v a s i o n o f p r i v a c y or
potential threat to reputation" ( M a d s e n , 1992, p. 8 0 ) .
If y o u d e c i d e to u s e q u e s t i o n n a i r e s or c o n d u c t i n t e r v i e w s , e x p e r i
m e n t s , or o b s e r v a t i o n s , y o u n e e d to s u b m i t a p r o p o s a l to u s e h u m a n
subjects to t h e I R B b e f o r e a c t u a l l y c o n d u c t i n g y o u r study. E a c h insti
tution h a s its o w n p r o c e d u r e s as to w h e n a n d h o w p r o p o s a l s s h o u l d
b e s u b m i t t e d to the c o m m i t t e e . B e c a u s e y o u r d i s s e r t a t i o n c o m m i t t e e
m e m b e r s m a y r e q u e s t c h a n g e s in y o u r o r i g i n a l p r o p o s a l , it w o u l d
b e h o o v e y o u to w a i t until after y o u r p r o p o s a l h a s b e e n f o r m a l l y
a p p r o v e d b y y o u r c o m m i t t e e to a p p r o a c h the I R B c o m m i t t e e . T h e I R B
c o m m i t t e e ' s s i g n e d p e r m i s s i o n is n e c e s s a r y b e f o r e y o u c a n collect
data. W h e n s u b m i t t i n g y o u r p r o p o s a l to t h e I R B , b e sure to p r o v i d e
d e t a i l e d a n d c o m p r e h e n s i v e i n f o r m a t i o n a b o u t y o u r study, the c o n
sent p r o c e s s , h o w p a r t i c i p a n t s will b e recruited, a n d h o w confidential
information will be protected.
T h e r e are t w o basic types o f requests m a d e to the I R B c o m m i t t e e :
e x p e d i t e d r e v i e w a n d full review. W h e n there is m i n i m a l risk to the
participants, psychologically, physically, or socially, then an e x p e d i t e d
What Are the Ethical Considerations in Research? 33
r e v i e w is appropriate. A c c o r d i n g to R u d e s t a m a n d N e w t o n (2007), there

is n o clear standard to j u d g e " m i n i m a l risk." T h e y state the following:
T h e criterion o f m i n i m a l risk c o u l d pertain to research i n v o l v i n g

brief questionnaires that d o n o t a d d r e s s q u e s t i o n s likely to b e
disturbing to the participants. Q u e s t i o n s r e g a r d i n g favored
sports or preferred television p r o g r a m s are p r o b a b l y n o t disturb-
ing; q u e s t i o n s regarding c h i l d h o o d victimization, current m e n -
tal status, a n d alcohol or d r u g a b u s e p r o b a b l y are. (p. 2 7 7 )
C l e a r ethical standards a n d principles exist r e g a r d i n g the rights o f

h u m a n subjects. T h e y deal p r i m a r i l y w i t h i m p a c t o n the subjects, confi-
dentiality, coercion, a n d consent. It is critical that y o u carefully t h i n k
through t h e s e issues w h e n p l a n n i n g y o u r research p r o c e d u r e s a n d that
y o u b e c o m e familiar w i t h y o u r institution's policies a n d p r o c e d u r e s in
t h e s e matters. T h e ethical issues i n v o l v e d in u s i n g h u m a n subjects in
research are d e s c r i b e d in the s e c t i o n that follows.
Rights of Human Subjects

T h e following rights m u s t b e granted to all participants in a research study.
Informed Consent
All prospective participants m u s t b e fully informed about the proce-
dures a n d risks involved in the research project before they agree to take
part. In addition, the principles o f freedom a n d a u t o n o m y allow individ-
uals to refuse to participate in the s t u d y or to w i t h d r a w at a n y time with
n o recriminations. In other words, their participation m u s t b e voluntary.
F o l l o w i n g are the b a s i c e l e m e n t s o f i n f o r m e d c o n s e n t that m u s t b e pro-
v i d e d to e a c h participant:
BASIC ELEMENTS OF INFORMED CONSENT

In seeking informed consent, the following information shall be provided to each
subject:
1. A statement that the study involves research, an explanation of the pur-

poses of the research and the expected duration of the subject's participa-
tion, a description of the procedures to be followed, and identification of
any procedures which are experimental;
(Continued)
(Continued)
2. A description of any reasonably foreseeable risks or discomforts to the

subject;
3. A description of any benefits to the subject or to others which may reason-

ably be expected from the research;
4. A disclosure of appropriate alternative procedures or courses of treatment,

if any, that might be advantageous to the subject;
5. A statement describing the extent, if any, to which confidentiality of records

identifying the subject will be maintained;
6. For research involving more than minimal risk, an explanation as to

whether any compensation and an explanation as to whether any medical
treatments are available if injury occurs and, if so, what they consist of, or
where further information may be obtained;
7. An explanation of whom to contact for answers to pertinent questions

about the research and research subjects' rights, and whom to contact in
the event of a research-related injury to the subject; and
8. A statement that participation is voluntary, refusal to participate will involve

no penalty or loss of benefits to which the subject is otherwise entitled, and
the subject may discontinue participation at any time without penalty of loss
of benefits to which the subject is otherwise entitled.
SOURCE: United States Department of Health and Human Services, Code of Federal
Regulations (45 CFR 46.116(a), pages 14-15.
It is i m p o r t a n t to n o t e that n o t all studies require informed consent.

R u d e s t a m a n d N e w t o n (2007) p o i n t e d out that m e t h o d o l o g i e s s u c h as
" s e c o n d a r y analysis o f data, archival research, a n d the systematic obser-
vation of publicly o b s e r v a b l e data, s u c h as s h o p p e r s in a s u b u r b a n
m a l l " m a y require o n l y " e x p e d i t e d r e v i e w " d u e to their classification o f
" m i n i m a l r i s k " (p. 2 7 6 ) .
Confidentiality
Assuring confidentiality is a p r i m a r y responsibility o f all researchers.
The t e r m confidentiality, according to Sieber (1992), "refers to a g r e e m e n t s
w i t h p e r s o n s a b o u t w h a t m a y b e d o n e w i t h their d a t a " (p. 5 2 ) . It refers
to the identity o f individual participants a n d to the information from
participants. All participants in a research study m u s t b e informed
about w h a t h a p p e n s to the data collected from t h e m or about t h e m a n d
be assured that all data will b e h e l d in confidence. Individual n a m e s
should not b e u s e d in a n y publication a b o u t the research study. O n c e a
s t u d y ' s data h a v e b e e n collected, n o o n e o t h e r t h a n the researcher

s h o u l d h a v e a c c e s s to it. S o m e statistical tests require p a i r i n g up partic-
i p a n t s ' pretest w i t h posttest scores, w h i c h presents a potential p r o b l e m
for confidentiality. In this case, it is appropriate to a s s i g n e a c h partici-
p a n t a n u m b e r or c o d e that e n a b l e s y o u to link the pretest a n d posttest
scores. In addition, electronic a n d p a p e r files that contain the partici-
p a n t s ' confidential data s h o u l d b e l o c k e d a n d stored in a p l a c e a w a y
from public access.
Oftentimes a n o n y m i t y is r e q u e s t e d , w h i c h m e a n s there are n o iden-
tifiers that indicate w h i c h individuals or organizations s u p p l i e d the
data. O n e t e c h n i q u e u s e d b y researchers, w h e n questionnaires are u s e d
to gather data, is to c o m b i n e the data so that individual r e s p o n s e s are
s u b s u m e d u n d e r the total a g g r e g a t e d data. A n o t h e r t e c h n i q u e is to u s e
fictional n a m e s to e n s u r e anonymity.
Specific strategies researchers c a n u s e to e n s u r e a n o n y m i t y in a con-
sent letter to participants w e r e offered b y J o a n Sieber (1992) in h e r b o o k ,
Planning Ethically Responsible Research:
To protect your privacy, the following measures will ensure that others do not
learn your identity or what you tell me.
1. No names will be used in transcribing from the audio tape or in writing up

the case study. Each person will be assigned a letter name as follows: Μ for
mother, F for father, MSI for male first sibling, and so on.
2. All identifying characteristics, such as occupation, city, and ethnic back-

ground will be changed.
3. The audio tapes will be reviewed only in my home (and in the office of my
thesis adviser).
4. The tapes and notes will be destroyed after my report of this research has
been accepted for publication (or in the case of an unpublished thesis-
after my thesis has been accepted by the university)...
(Sieber, 1992, p. 52)
In addition to issues relating to i n f o r m e d c o n s e n t a n d confidential-

ity, ethical c o n s i d e r a t i o n s m u s t also b e t a k e n into a c c o u n t a r o u n d the
m e t h o d o l o g i c a l principles a n d p r o c e d u r e s u n d e r g i r d i n g a research
design. Ethical issues arise a r o u n d all d e c i s i o n points in the research
process—from the initial d e s i g n p l a n n i n g , to collecting data, a c c e s s i n g a
research site, w r i t i n g it u p , a n d to d i s s e m i n a t i n g the results. Sensitivity
to t h e s e issues a n d h o w y o u r e s p o n d to t h e m d e t e r m i n e s w h e t h e r or n o t
others q u e s t i o n or trust the results from y o u r study.
Ethical Issues in Data Collection

It is i m p o r t a n t to exercise responsibility in the p r o c e s s e s y o u u s e to
gather data for y o u r study. In the social sciences, data are collected pri-
m a r i l y t h r o u g h questionnaires, interviews, participant observations, or
through an action research approach. U s e o f the Internet a n d o t h e r c o m -
m u n i c a t i o n t e c h n o l o g i e s to gather data also requires p e r m i s s i o n from
participants. F o l l o w i n g is a notice o f i m p l i e d c o n s e n t u s e d b y a doctoral
student to collect data using a w e b survey. W h e n participants clicked o n
the link to his w e b survey, t h e y w e r e presented w i t h the c o n s e n t infor-
m a t i o n a n d w e r e a d v i s e d that b y c o n t i n u i n g further, t h e y w e r e v o l u n -
tarily agreeing to participate.
Welcome! Thank you for participating in this important research project.
All students adjust to college life in different ways. With this research, I hope to
describe common thoughts, feelings, and experiences of UA students. This study
involves completing a questionnaire that typically takes 10 minutes.
Completing the questionnaire automatically enters you into a random drawing to

win one o f t e n iPods (valued between $80 and $150). Your participation is vol-
untary and your decision to complete or not complete the questionnaire will in
no way affect your status or treatment at the University of Alaska. By clicking on
the "next" button below, you consent to voluntarily participate in this study.
Thank you!
Student name
Title
University
Telephone
E-mail address
SOURCE: Schultz, Β. (2008). Freshmen Adjustment to College at the University of Alaska: A

Descriptive, Ex Post Facto Study. Doctoral Dissertation, University of La Verne.
Access to Research Sites

It is important that y o u respect the research site at all times. A s S t a k e
(1994) remarked, "Qualitative researchers are guests in the private spaces
of the world. Their m a n n e r s s h o u l d b e g o o d a n d their c o d e o f ethics
strict" (p. 244). T h e m a i n ethical c o n c e r n is the degree o f sensitivity y o u
display w i t h the site a n d the interaction w i t h the p e o p l e in it. M o s t

research sites h a v e gatekeepers—people in authority w h o control access to
the site. E x a m p l e s m i g h t b e a s c h o o l principal, college president, a c o m
p a n y ' s manager, or the I R B . F r o m t h e m , y o u m u s t a s k for a n d obtain per
m i s s i o n to c o n d u c t y o u r study at their site.
G a t e k e e p e r s h a v e c o n c e r n s a b o u t the i m p a c t o f y o u r s t u d y o n their
o r g a n i z a t i o n as w e l l as the p o s s i b l e disclosure o f confidential informa
tion outside the organization. It is, therefore, y o u r ethical responsibility
to fully inform t h e m a b o u t w a y s y o u r s t u d y m a y affect the w o r k o f the
organization a n d its m e m b e r s . Y o u s h o u l d also disclose w a y s the results
of y o u r s t u d y w o u l d benefit the organization. T h r o u g h collaboration
w i t h these g a t e k e e p e r s , y o u select those from w h o m y o u will collect
data a n d u n d e r w h a t c i r c u m s t a n c e s .
R e s p e c t i n g research sites i n v o l v e s disturbing the e v e r y d a y life a n d
flow o f activities as little as possible. C r e s w e l l (2005) s u g g e s t e d that par
ticipants b e r e m i n d e d " a d a y or t w o before data collection o f the exact
time a n d d a y w h e n y o u will o b s e r v e or interview t h e m . S t a g e the data
collection s o that t h e y will feel c o m f o r t a b l e r e s p o n d i n g , a n d s c h e d u l e it
at a t i m e that is m o s t c o n v e n i e n t for their s c h e d u l e s " (p. 2 2 5 ) .
It is i m p o r t a n t to r e m e m b e r that g a t e k e e p e r s h a v e a v e s t e d interest
in protecting their sites. F o r e x a m p l e , findings c o u l d h a v e political c o n
s e q u e n c e s ; thus, Sieber (1992) a d v i s e d us to b e a w a r e that
g a t e k e e p e r s a n d those t h e y s e r v e are n o t a l w a y s interested in

objectivity. T h e y w o u l d n o t w a n t the researcher to discover
s o m e t h i n g that w o u l d b e d a m a g i n g to t h e m or to their organiza
tion. T h e y m a y e v e n p r e s s u r e the researcher to p r o d u c e results
that m a k e t h e m l o o k g o o d ; h e n c e , the researcher m u s t b e careful
n o t to enter into unethical a g r e e m e n t s w i t h gatekeepers, (p. 85)
Your a w a r e n e s s and sensitivity to gatekeepers c o n c e r n s before con

ducting research o n their sites will h e l p y o u appropriately address them.
Recording Data
A u d i o a n d v i d e o recording raise significant ethical issues d u r i n g
data collection. To o b t a i n greater accuracy, t o d a y ' s researchers a l m o s t
a l w a y s record unstructured or s e m i s t r u c t u r e d interviews. First a n d
foremost, obtain p e r m i s s i o n from the participants a n d e x p l a i n w h y y o u
w i s h to a u d i o or v i d e o record the i n t e r v i e w or observation. In addition,
explain h o w the r e c o r d i n g s will b e u s e d a n d h o w t h e y will b e stored
a n d ultimately d e s t r o y e d following data transcription. A l s o , assure c o n
fidentiality b y u s i n g fictitious n a m e s or c o d e s .
Paul Oliver (2008), in his b o o k The Student's Guide to Research Ethics,

offered a strategy for relaxing participants during audio recording. H e
r e c o m m e n d e d that the researcher "place the tape or disc recorder within
easy reach o f the interviewee, a n d explain to t h e m before the interview
starts that they m a y u s e the p a u s e b u t t o n at a n y time . . . to consider their
response to a particular q u e s t i o n . . . or to reflect" (p. 4 6 ) . H e further
stated that participants could stop the recording if they w i s h e d . Oliver
(2008) also suggested that interviewees b e given the opportunity to listen
to the tape at the e n d o f the session a n d alter their w o r d s to m o r e accu
rately express their v i e w s .
Ethical Issues in Data Analysis
and Interpretation
Data analysis is m a k i n g sense o f the data a n d interpreting t h e m appro

priately so as to n o t m i s l e a d readers. T h e ethical issue is n o t a b o u t a
r e s e a r c h e r ' s h o n e s t error or h o n e s t differences o f data interpretation;
rather, it is in regard to the intent to d e c e i v e others or m i s r e p r e s e nt o n e ' s
w o r k . E x a m p l e s o f s u c h m i s c o n d u c t i n c l u d e u s i n g inappropriate statis
tical techniques or o t h e r m e t h o d s o f m e a s u r e m e n t to e n h a n c e the signif
icance of y o u r research or interpreting y o u r results in a w a y that
supports y o u r o p i n i o n s a n d biases. T h e s e are ethical issues o f fabrica
tion a n d falsification o f data.
Fabrication is m a k i n g u p d a t a or r e s u l t s , a n d falsification is c h a n g
i n g d a t a o r r e s u l t s to d e l i b e r a t e l y d i s t o r t t h e m a n d t h e n i n c l u d i n g
t h e m in y o u r r e s e a r c h r e p o r t . A c c o r d i n g to R e m e n y i et al. ( 1 9 9 8 ) ,
" A n y a t t e m p t to w i n d o w d r e s s or m a n i p u l a t e a n d t h u s d i s t o r t t h e
e v i d e n c e is o f c o u r s e u n e t h i c a l , a s is a n y a t t e m p t to o m i t i n c o n v e
n i e n t e v i d e n c e " (p. 111). R e m e n y i et al. ( 1 9 9 8 ) a l s o p o i n t e d o u t t h a t
s u c h s t r a t e g i e s a r e n o t useful or r a t i o n a l b e c a u s e " e v e n w h e n h y p o
t h e s e s or t h e o r e t i c a l c o n j e c t u r e s a r e r e j e c t e d , t h e r e s e a r c h is p e r f e c t l y
v a l i d " (p. 111). It is u n e t h i c a l to f u d g e r e s u l t s to m a k e y o u r s t u d y
s e e m m o r e a c c e p t a b l e a n d useful; n e g a t i v e r e s u l t s still a d d to t h e
b o d y of knowledge.
In research, the a c c u r a c y o f the data is p a r a m o u n t . Therefore, y o u
are obliged to e m p l o y validation strategies s u c h as triangulation,
m e m b e r checking, audit trail, p e e r debriefing, a n d external auditing to
c h e c k the a c c u r a c y o f data. F o r a detailed discussion o f ethics a n d their
implications for data analysis, see C h a p t e r 11 o f M i l e s a n d H u b e r m a n ' s
(1988) b o o k Qualitative Data Analysis. A s a n ethical researcher, it is y o u r
responsibility to b e n o n b i a s e d , accurate, a n d h o n e s t t h r o u g h o u t all
p h a s e s of y o u r dissertation.
Ethical Issues in Reporting Research Findings

Ethical researchers report results h o n e s t l y a n d objectively. T h e y d o n ' t
h i d e n e g a t i v e results, e n g a g e in selective reporting, or o m i t conflicting
data for d e c e p t i v e p u r p o s e s . F o r e x a m p l e , it is c o n s i d e r e d unethical to
trim outliers from a data set w i t h o u t d i s c u s s i n g y o u r reasons. R o i g
(2006) a d d r e s s e d this issue b y stating that
researchers h a v e an ethical responsibility to report the results o f
their studies a c c o r d i n g to their a priori plans. A n y p o s t h o c
m a n i p u l a t i o n s that m a y alter the results initially o b t a i n e d , s u c h
as the e l i m i n a t i o n o f outliers or the u s e o f alternative statistical
t e c h n i q u e s , m u s t b e clearly d e s c r i b e d a l o n g w i t h a n a c c e p t a b l e
rationale for using s u c h t e c h n i q u e s . " (p. 3 5 )
A n o t h e r e x a m p l e c o n c e r n s the ethics o f generalizability. It is i m p e r a

tive that y o u n o t try to generalize the findings from y o u r p o p u l a t i o n to
other populations or settings. Instead, m a k e reference to this situation in
the limitations section o f y o u r dissertation, usually found in the m e t h o d
ology. A s an ethical researcher, it is y o u r responsibility to accurately a n d
honestly record a n d report y o u r data using verifiable m e t h o d s .
Plagiarism
Warning! Writing a dissertation that i n c l u d e s p l a g i a r i s m c a n b e h a z
a r d o u s to y o u r career, y o u r d e g r e e , a n d y o u r reputation. S e v e r e p e n a l
ties c a n b e levied against t h o s e w h o i g n o r e the c o p y r i g h t l a w or take it
lightly. P l a g i a r i s m a n d c o p y r i g h t infringement are serious matters, o n e
of the w o r s t a c a d e m i c sins.
What is plagiarism?
Plagiarism is the theft o f ideas. T h e definition o f p l a g i a r i s m stated b y

B o o t h , C o l o m b , a n d W i l l i a m s (1995) is the m o s t c o m p r e h e n s i v e a n d
helpful o n e that I found in the literature:
You plagiarize w h e n , intentionally or not, y o u u s e s o m e o n e else's
w o r d s or ideas b u t fail to credit that person. You plagiarize e v e n
w h e n y o u d o credit the author b u t u s e his [or her] exact w o r d s
w i t h o u t so indicating w i t h quotation m a r k s or b l o c k indentation.
You also plagiarize w h e n y o u u s e w o r d s so close to those in y o u r
source, that if y o u p l a c e d y o u r w o r k n e x t to the source, y o u
w o u l d see that y o u c o u l d n o t h a v e written w h a t y o u did w i t h o u t
the source at y o u r elbow, (p. 167)
S o basically, there are t h r e e w a y s in w h i c h y o u c a n b e g u i l t y o f

plagiarizing:
1. U s i n g others' w o r d s or ideas without giving t h e m proper credit
2. Using others' exact words without quotation marks or indentation
3. C l o s e l y p a r a p h r a s i n g o t h e r s ' w o r d s (even if citing the source)
T h e third w a y is the m o s t c h a l l e n g i n g for doctoral students writing

their dissertations. T h e line b e t w e e n p a r a p h r a s i n g a n d plagiarizing is
n o t a l w a y s clear or straightforward, a n d it c a n c a u s e inadvertent plagia
rizing o f a n o t h e r ' s w o r k .
A s a researcher, y o u m u s t relate findings from the literature a n d
from other researchers, requiring that y o u p a r a p h r a s e or q u o t e y o u r
sources. Paraphrasing is s i m p l y restating in y o u r o w n w o r d s w h a t others
reported a n d then citing the source. H o w closely y o u parallel their
w o r d s , e v e n w h e n correctly citing the source, d e t e r m i n e s the degree to
w h i c h y o u m a y b e plagiarizing.
P a r a p h r a s i n g d o e s not m e a n c h a n g i n g a w o r d or t w o in a n o t h e r ' s
sentence, c h a n g i n g the s e n t e n c e structure, or c h a n g i n g s o m e w o r d s to
s y n o n y m s . If y o u rearrange sentences in t h e s e w a y s , y o u are writing too
closely to the o r i g i n a l — w h i c h is p l a g i a r i s m, n o t paraphrasing. B o o t h
et al. (1995) offered a s i m p l e test to ascertain w h e t h e r or n o t y o u are
inadvertently plagiarizing.
W h e n e v e r y o u u s e a source extensively, c o m p a r e y o u r p a g e w i t h
the original. If y o u t h i n k s o m e o n e c o u l d run h e r [or his] finger
a l o n g y o u r s e n t e n c e s a n d find s y n o n y m s or s y n o n y m o u s
phrases for w o r d s in the original in r o u g h l y the s a m e order, try
again, (p. 170)
It is important to realize that w o r d s as well as ideas can b e plagia

rized, so b e v e r y careful w h e n paraphrasing the w o r k o f others. If y o u
are ever suspected o f plagiarizing, it's extremely difficult to regain the
trust a n d respect of y o u r advisor or others w h o read y o u r dissertation.
Ethics of Writing Up Research

In addition to planning and conducting ethical research, y o u m u s t con
sider the ethics involved in writing it up. It is vital that y o u refrain from
using biased or discriminatory language that infers inferior status to those
with particular sexual orientations and lifestyles or w h o belong to a partic
ular racial or ethnic group. T h e APA Manual, 6th Edition (2010) states,
"Scientific writing m u s t b e free o f i m p l i e d or irrelevant evaluation o f the

g r o u p or groups b e i n g s t u d i e d " (p. 70) a n d offers guidelines a n d in-depth
discussion a b o u t these issues. R u d e s t a m a n d N e w t o n (2007) also refer to
the issue o f bias-free writing. T h e y a d v i s e writers to "stay current w i t h lan-
g u a g e that is sensitive to diverse g r o u p s b e c a u s e w h a t w a s acceptable ter-
m i n o l o g y yesterday m a y n o t b e acceptable t o d a y " (p. 2 8 2 ) . To h e l p
eliminate b i a s e d l a n g u a g e in scholarly writing, R u d e s t a m a n d Newton
(2007) offered the following helpful guidelines.
GUIDELINES TO HELP ELIMINATE BIAS

IN SCHOLARLY WRITING
1. Substitute gender-neutral words and phrases for gender-biased words. A com-
mon mistake is the inadvertent use of sexist terms that are deeply entrenched
in our culture, such as chairman instead of chairperson, mothering instead of
parenting, and mankind instead of humankind.
2. Use designations in parallel fashion to refer to men and women equally:

"5 men and 14 women," not "5 men and 14 females."
3. Do not assume that certain professions are gender related (e.g. "the scien-
tist.. . he") and avoid sexual stereotyping (e.g., "a bright and beautiful female
professor").
4. Avoid gender-biased pronouns (e.g., "A consultant may not always be able to
see his clients"). A few nonsexist alternatives to this pervasive problem are to:
a. Add the other gender: "his or her clients." This alternative should be used
only occasionally because it can become very cumbersome. It is, however,
preferable to awkward constructions such as s/he, him/her, or he(she).
b. Use the plural form: "Consultants... their clients."
c. Delete the adjective: "to see clients."

d. Rephrase the sentence to eliminate the pronoun: "Clients may not always
be seen by their consultants."
e. Replace the masculine or feminine pronouns with one or you.
5. Do not identify people by race or ethnic group unless it is relevant. If it is rel-

evant, try to ascertain the currently most acceptable terms and use them.
6. Avoid language that suggests evaluation or reinforces stereotypes. For

example, referring to a group as "culturally deprived" is evaluative, and
remarking that the "Afro-American students, not surprisingly, won the athletic
events" reinforces a stereotype.
7. Don't make unsupported assumptions about various age groups (e.g., that the
elderly are less intellectually able or are remarkable for continuing to work
energetically), (pp. 284, 288)
Other Ethical Considerations

Copyright Law
C o p y r i g h t protects original w o r k s o f authorship, i n c l u d i n g b o t h
p u b l i s h e d a n d u n p u b l i s h e d w o r k s . It gives the c o p y r i g h t o w n e r the
exclusive right to r e p r o d u c e his or h e r w o r k from the m o m e n t o f cre
ation u p to 70 years after the a u t h o r ' s death.
C o p y r i g h t l a w is an extensive, c o m p l e x b o d y o f law. T h i s section is
intended to provide initial information only. It is i n t e n d e d to help protect
y o u r dissertation from u n a u t h o r i z e d u s e a n d to protect o t h e r s ' w o r k s
that m a y b e u s e d in y o u r dissertation. M o r e c o m p r e h e n s i v e information
is provided at the following website: www.copyright.gov.
Protection of Your Dissertation

Copyright is secured automatically w h e n y o u r w o r k is created.
However, to offset unauthorized u s e o f your original work, I strongly
advise that y o u place the copyright notice o n your dissertation. Placing the
copyright notice on your dissertation notifies others o f your intent to pro
tect your rights. You do not h a v e to register your dissertation with the
Library of Congress unless y o u wish to do so. It is not a condition o f copy
right protection. However, there are advantages y o u should b e aware of,
w h i c h are addressed o n p a g e 11 o f the copyright website.
T h e form of the copyright notice consists o f three elements: (1) the sym
bol © , which is the letter C in a circle, the w o r d Copyright, or the abbrevia
tion Copr.; (2) the year of first publication of the work; and (3) the n a m e of
the copyright's owner (U.S. Copyright Office, www.copyright.gov, retrieved
2009). T h e elements n e e d not appear in any particular order; however, usu
ally they are in this order, for example:
© 2010 Carol M . Roberts
Your dissertation c a n b e c o n s i d e r e d p u b l i s h e d as s o o n as it appears

o n the library shelf or online or is o t h e r w i s e m a d e available to the
public. If y o u t h i n k y o u m a y w a n t to profit from y o u r dissertation b y
writing articles or a b o o k b a s e d o n y o u r dissertation, it is i m p o r t a n t to
obtain formal registration o f y o u r w o r k . To d o this, s u b m i t to the
C o p y r i g h t Office a fee, a form, a n d required c o p i e s o f y o u r dissertation.
T h e application form c a n b e d o w n l o a d e d from the following w e b s i t e o f
the U . S . C o p y r i g h t Office: www.copyright.gov. T h i s site also p r o v i d e s
additional information a b o u t c o p y r i g h t basics, current fees, h o w to reg
ister a w o r k , a n d s o on.
Protection of Others' Work Used in Your Dissertation

You n e e d n o t o b t a i n p e r m i s s i o n for t h o s e w o r k s in the public
domain, that is, w o r k s w i t h n o c o p y r i g h t p r o t e c t i o n or t h o s e w i t h
e x p i r e d c o p y r i g h t s . A c a d e m i c honesty, h o w e v e r , m a n d a t e s that y o u
a c k n o w l e d g e all s o u r c e s u s e d in y o u r dissertation, e v e n t h o s e in the
public d o m a i n . If y o u u s e c o p y r i g h t e d m a t e r i a l in y o u r dissertation,
y o u m u s t s e c u r e p e r m i s s i o n from the o w n e r to i n c l u d e it u n l e s s it falls
u n d e r the d o c t r i n e o f fair use, w h i c h a l l o w s l i m i t e d r e p r o d u c t i o n o f
c o p y r i g h t e d w o r k s for e d u c a t i o n a l a n d research p u r p o s e s . T h i s d o c
trine is rather c o m p l e x a n d c a n h a v e m a n y interpretations. M i l l e r a n d
Taylor (1987) r e p o r t e d that m o s t u n i v e r s i t y style m a n u a l s permit
" e x c e r p t s o f u p to 1 5 0 w o r d s , p r o v i d e d t h e y d o n o t c o n s t i t u t e a major
p o r t i o n o f the original w o r k " (p. 4 6 ) .
If y o u b e l i e v e that w h a t y o u are using falls u n d e r fair use, y o u n e e d
n o t obtain permission, b u t y o u m u s t cite the source in footnotes or e n d
notes and in the references. U s i n g c o p y r i g h t e d material in y o u r disserta
tion w i t h o u t obtaining p e r m i s s i o n c a n b e copyright infringement a n d is
called piracy if y o u profit from it in a n y way. B o t h are serious infractions.
B e sure to a l w a y s obtain written p e r m i s s i o n from the author or publisher
if y o u p l a n to u s e c o p y r i g h t e d material in y o u r dissertation, such as tests,
questionnaires, p o e m s , figures or other artwork, or large excerpts o f
b o o k s . M a d s e n (1992) e x p l a i n e d the process for obtaining permission:
Send the holder of the copyright—usually the publisher of
the b o o k or article—a simple form listing the work, the pages
a n d l i n e s y o u w i s h to c o p y o r q u o t e , a n d t h e title a n d p u b
l i s h e r o f t h e w o r k in w h i c h t h e m a t e r i a l w i l l b e p u b l i s h e d .
T h e f o r m a l s o s h o u l d i n c l u d e a p l a c e for t h e c o p y r i g h t h o l d e r ' s
signature, (p. 89)
T h i s p r o c e d u r e p r o b a b l y w i l l b e n e c e s s a r y if y o u later d e c i d e to
p u b l i s h a n article or w r i t e a b o o k b a s e d o n y o u r d i s s e r t a t i o n . S h o u l d
y o u w i s h to p u r s u e m o r e i n - d e p t h i n f o r m a t i o n a b o u t c o p y r i g h t law,
refer to W i l l i a m S. S t r o n g ' s (1998) The Copyright Book: A Practical Guide.
Recommended Websites
• Office o f R e s e a r c h Integrity
http: / /ori.dhhs.gov
• " A v o i d i n g Plagiarism, Self-Plagiarism, a n d O t h e r Q u e s t i o n a b l e

Writing Practices: A G u i d e to E t h i c a l W r i t i n g " b y M i g u e l Roig.
htrp://facpub.stjohns.edu/~roigm/plagiarism/Index.html
Recommended Books
• Israel, M., & Hay, I. (2006). Research ethics for social scientists.
T h o u s a n d O a k s , C A : Sage.
• K i m m e l , A. (1988). Ethics and values in applied social research.
N e w b u r y Park, NJ: Sage.
Summary
Ethical issues arise in all aspects o f c o n d u c t i n g research. This chapter
focused o n e n h a n c i n g y o u r u n d e r s t a n d i n g a b o u t ethical issues such as
the rights o f h u m a n subjects, data collection, data analysis a n d interpre
tation, reporting research findings, plagiarism, writing u p research, a n d
other ethical considerations s u c h as copyright law, protection o f y o u r
dissertation, a n d protection o f o t h e r s ' w o r k u s e d in y o u r dissertation.
N o w it is t i m e to prepare for the c l i m b . T h e first step is to select an inter
esting, researchable topic to investigate. T h e n e x t c h a p t e r p r o v i d e s s o m e
approaches to c h o o s i n g y o u r topic, w h e r e to l o o k for potential topics,
and criteria for topic selection.
PART II
Preparing
for the Climb
Good fortune is what happens when opportunity meets with

preparation.
—Anonymous
45
4
Choosing a
Dissertation Topic
T he first major c h a l l e n g e in the dissertation p r o c e s s lies in c h o o s i n g a

dissertation topic. Your choice d e t e r m i n e s h o w l o n g it will take y o u
to c o m p l e t e y o u r study. F o r m o s t doctoral students, it is an a g o n i z i n g
decision, m a i n l y b e c a u s e o f the uncertainty s u r r o u n d i n g it. H a s it
already b e e n a d e q u a t e l y researched? Is it w o r t h y of investigation? H o w
original d o e s it h a v e to b e ? Is it m a n a g e a b l e in s c o p e ? To k n o w w h e t h e r
or n o t it has b e e n researched, or if it is i m p o r t a n t to the field, y o u m u s t
first i m m e r s e y o u r s e l f in the literature b a s e . It w o u l d n o t b e w o r t h w h i l e
to c o n d u c t another s t u d y a b o u t a p r o b l e m that h a s b e e n sufficiently
investigated unless, h o w e v e r , y o u c o n d u c t a meta-analysis, m e t a - e t h n o
graphic analysis, or literature synthesis. T h e s e research a p p r o a c h e s syn
thesize findings across several studies.
Approaches to Choosing a Topic

In selecting a research topic, students s o m e t i m e s u s e w h a t R a y M a r t i n
(1980) called " d r e a m i n g in a v a c u u m . " H e stated that s o m e students
believe great ideas c o m e from m o m e n t s o f inspiration; students w h o
w a l k in the park, b a c k p a c k in the m o u n t a i n s , or sit in quiet places to
c o n t e m p l a t e learn a lot a b o u t parks, b a c k p a c k i n g , a n d c o n t e m p l a t i o n ,
b u t little else. Waiting for inspiration is n o t the b e s t a p p r o a c h to topic
selection. Dissertation topics do n o t m y s t i c a l l y appear. S o m e students
46
Choosing a Dissertation Topic 47
a t t e m p t to find a topic that fits a set o f already-collected data, a certain

p o p u l a t i o n to w h i c h the s t u d e n t h a s access, or a preferred research
m e t h o d o l o g y . T h i s b a c k w a r d a p p r o a c h is also inappropriate a n d certain
to irritate a potential advisor. T h e m o s t effective a n d efficient w a y s to
select a topic are the following:
1. B e c o m e s t e e p e d in the relevant literature.
2. E n g a g e in discussions w i t h faculty a n d other scholars in y o u r

field.
3. Write a b o u t y o u r topic to h e l p crystallize a n d o r g a n i z e y o u r

understanding.
C o m m o n l y , s t u d e n t s c o n s i d e r three to five potential topics before

finally settling o n one. S c r a p p i n g a topic a n d starting over at least o n c e
is the n o r m .
Where to Look for Potential Topics

Dissertation topics rarely e m e r g e out o f the b l u e ; y o u m u s t proactively
search t h e m out. H e r e are s o m e potential sources:
1. Your own professional interests. W h a t excites a n d energizes y o u ?

W h a t career g o a l s c o u l d b e e n h a n c e d b y s t u d y i n g a particular
topic?
2. Faculty members, professional colleagues, and fellow students. Listen

to their suggestions a b o u t potential topics.
3. Professional journals in your field. T h i s is w h e r e y o u c a n find out

the hot topics o f the d a y a n d for the n e a r future.
4. Librarians. A s k t h e m to h e l p y o u run a d a t a b a s e search o n s o m e

topic of interest. M a k e a list o f k e y w o r d s a n d p h r a s e s to initiate
the search. T h e results o f a c o m p u t e r search s h o u l d h e l p y o u dis
c o v e r w h e t h e r a dissertation is p o s s i b l e o n this topic or w h e t h e r
the topic h a s b e e n " d o n e to death."
5. Dissertations. R e v i e w p r e v i o u s l y w r i t t e n dissertations. C o n s u l t
P r o q u e s t D i s s e r t a t i o n s a n d T h e s e s Dissertation Abstracts
International a n d American Doctoral Dissertations, from w h o m
y o u c a n order dissertations o f interest. C h a p t e r 5 o f m o s t disser
tations i n c l u d e s a section titled " R e c o m m e n d a t i o n s for F u t u r e
R e s e a r c h . " T h i s is a g o l d m i n e o f potential topics.
48 Preparing for the Climb
6. Oral defenses. T h e discussions that o c c u r d u r i n g a dissertation's

oral defense often s u g g e s t potential topics. A t t e n d as m a n y o f
these as y o u can. It o p e n s y o u r e y e s to w h a t h a p p e n s d u r i n g a
dissertation defense.
7. Current theories. H a v e a n y n e w theories c o m e o u t in y o u r field,

or are existing theories b e i n g q u e s t i o n e d ?
8. The Internet. A variety o f sources exist o n the Internet.
9. Conferences and seminars. Often these deal w i t h current interest

areas in the field. Talk w i t h presenters a n d authors to get their
ideas a b o u t researchable topics.
10. Outside agencies or professional organizations that conduct research.

Excellent resources are the 10 National Educational R e g i o n a l
Laboratories, w w w . e d . g o v / E d R e s / E d F e d / R e g L a b . h t m l , and
the A m e r i c a n Educational Research Association ( A E R A ) , h t t p : / /
aera.net.
11. Leading scholars in your interest areas. Usually, a u t h o r s and

researchers e a g e r l y talk w i t h s o m e o n e interested in their ideas
a n d research. Call a n d find o u t w h a t t h e y are currently d o i n g
a n d a s k their advice a b o u t potential studies.
12. Your current job setting. A r e there p r o b l e m s that n e e d solutions in

y o u r w o r k p l a c e ? Y o u r b o s s m i g h t h a v e a p e t topic that c o u l d
e n h a n c e y o u r career opportunities. H o w e v e r , b e cautious. If y o u
think a topic m i g h t b e s u g g e s t e d in w h i c h y o u h a v e n o interest,
y o u are better s e r v e d n o t to c o n d u c t this research. A dissertation
is an e x t e n s i v e , scholarly endeavor, a n d the topic s h o u l d b e o n e
in w h i c h y o u h a v e strong interest.
13. References in your field. M a n y h a n d b o o k s a n d b i b l i o g r a p h i e s exist

in m o s t subject areas. S o m e useful e x a m p l e s in the field o f e d u
cation are the following:
a. Handbook of Research on Teaching. P u b l i s h e d b y t h e A E R A , this
handbook provides highly comprehensive reviews of educa
tional research.
b . Harvard Educational Review. E d i t e d a n d p u b l i s h e d b y g r a d
uate students at H a r v a r d University, this journal provides
reviews and opinions on the most topical educational
issues.
c. Review of Educational Research. P u b l i s h e d b y t h e A E R A , this
q u a r t e r l y j o u r n a l p u b l i s h e s r e v i e w articles t h a t s u m m a r i z e ,
in a c o m p r e h e n s i v e a n d i n t e g r a t e d fashion, r e s e a r c h o n
educational topics,
d. Yearbook of the National Society for the Study of Education (NSSE).
Since 1 9 0 2 , the y e a r b o o k h a s p u b l i s h e d a n a n n u a l v o l u m e
organized a r o u n d s o m e central t h e m e , for e x a m p l e , B e h a v i o r
Modification in Education. Distinguished scholars in these
areas write the articles. T h e topics are selected b e c a u s e o f their
timeliness or i m m e d i a t e practical v a l u e to educators and
researchers (Martin, 1980, p. 7 ) .
All discipline areas h a v e their o w n encyclopedias, handbooks , or year

books. You can access t h e m o n the Internet b y keying in y o u r area (e.g.,
sociology, psychology) followed b y the w o r d handbook, yearbook, and so on.
Some Criteria for Topic Selection

H o w d o y o u k n o w if y o u r particular topic has the potential to b e c o m e a
scholarly dissertation? M o s t universities a n d doctoral faculties agree that
the doctoral dissertation s h o u l d b e an original piece o f research a n d sig
nificant to the field. H o w e v e r , w h a t constitutes originality or significance
is o p e n to interpretation a n d usually differs a m o n g v a r i o u s faculty advi
sors. M a d s e n (1992) clarified the elusive t e r m originality. H e c l a i m s that a
topic m u s t h a v e the potential to d o at least o n e o f the following:
U n c o v e r n e w facts or principles, s u g g e s t relationships that w e r e
p r e v i o u s l y u n r e c o g n i z e d , c h a l l e n g e existing truths or a s s u m p
t i o n s , afford n e w i n s i g h t s i n t o l i t t l e - u n d e r s t o o d p h e n o m e n a ,
or s u g g e s t n e w i n t e r p r e t a t i o n s o f k n o w n facts t h a t c a n alter
p e o p l e ' s p e r c e p t i o n s o f the w o r l d a r o u n d t h e m . (p. 3 8 )
N o hard-and-fast rules exist for selecting a topic. O g d e n (1993)

reminded us that "the basic purpose of a dissertation is to demonstrate
that y o u can do acceptable research in your field. It is not your life's w o r k "
(p. 39). Following are s o m e general criteria for considering potential topics:
1. It needs to hold your interest for a long time. It takes l o n g e r t h a n y o u

anticipate to w r i t e a n a c c e p t a b l e dissertation.
2. It must be manageable in size. M o s t s t u d e n t s b e g i n w i t h a topic that

is t o o large. R e m e m b e r y o u c a n ' t d o it all. Y o u r goal is to a d d a
small b u t significant p i e c e to the k n o w l e d g e b a s e a n d graduate!
S a v e the N o b e l P r i z e - l e v e l research to d o as a postgraduate.
3. It must have the potential to make an original and significant contribu-

tion to knowledge. C a n y o u find a h o l e , a g a p , a m i s s i n g p i e c e in the
k n o w l e d g e b a s e y o u c a n fill a n d w o u l d b e useful to t h e o r y or
practice?
4. It must be doable within your time frame and budget. G i v e n y o u r cur-

rent situation, is it a feasible topic to u n d e r t a k e ? Traveling to
Russia or c o n d u c t i n g a longitudinal s t u d y m a y n o t b e possible.
5. It has to have obtainable data. You must b e able to collect data for the
study from an appropriate sample size in a reasonable period of time.
6. It has not already been sufficiently researched. T h e r e is n o v a l u e to

conducting one m o r e study about a topic that has b e e n
researched o v e r a n d o v e r again.
7. It should be acceptable to your advisor and committee members. T h e

signatures o f these individuals d e t e r m i n e w h e t h e r or n o t y o u
b e c o m e "doctor."
HELPFUL HINT
Start a dissertation topic file. As you get ideas about possible topics, place them
in a separate file folder that you can review from time to time. This helps keep
your topic antenna up and alert for new ideas.
I cannot emphasize e n o u g h the importance o f m a k i n g a concerted

effort to b e c o m e familiar with the literature and to talk with experts in
your field. You cannot k n o w for certain if the topic y o u desire is significant,
nor can y o u have a clear notion about w h a t is k n o w n and not k n o w n
about the topic. Just because you don't know, doesn't m e a n it is not known.
HELPFUL HINT
• A truism: You will encounter a wide range of opinions regarding the worth
of any dissertation topic. Some might think it outstanding, while others
claim it has no value. Such a variety of opinions reflects each individual's
particular interest, experience, or bias. The thing to remember is that you
only have to satisfy your dissertation committee to pursue a topic that
interests you.
• Another truism: Stubbornness in pursuing a dissertation topic no one

believes worthy of research can lead to ABDism. Time spent pursuing a lost
cause can cost you valuable time and make it difficult to obtain an advisor.
In other words, as the adage says, if the horse dies, get off!
Replication Studies
O n e strategy in p u r s u i n g a dissertation topic is to replicate a p r e v i o u s
study. R e p l i c a t i o n s i m p l y m e a n s d o i n g the s t u d y again. Often students
think repeating a n o t h e r ' s s t u d y is c h e a t i n g a n d j u s t a n e a s y w a y out. It
is quite the opposite. K n o w l e d g e a c c u m u l a t e s i n c r e m e n t a l l y t h r o u g h
studies that b u i l d o n e a c h o t h e r o v e r time, a n d replication a d d s strength
a n d clarity to research findings. Y o u c a n m a k e a v a l u a b l e contribution
b y repeating an i m p o r t a n t study.
It m a y b e i m p o r t a n t to verify, reinforce, or contradict the results o f
earlier studies (Balian, 1994).
REMEMBER
Caution: It would not be wise to replicate a trivial study or one with weak
methodology or incorrect statistics.
Research studies m a y b e replicated in several ways. You might choose

to alter parts of the research design o f a previous study. It w o u l d also b e
appropriate to a d d or subtract variables, restate the research questions, or
alter the research instrument(s). You m i g h t replicate it in a different geo-
graphic area, with a different population, or using different instrumenta-
tion (e.g., an interview instead of the original survey). T h e s e modifications,
provided there is justification, can help clarify existing results.
You m a y adapt the research instrument(s) to fit the n e w population
u n d e r study. However, if y o u u s e the exact instrument from the previous
study, it is a "professional n i c e t y " to ask the a u t h o r ' s permission. You also
m u s t invent a w h o l e n e w literature review. Replicating a study is not
nearly as e a s y as it s e e m s .
In w r i t i n g the dissertation, y o u m u s t state a rationale indicating
w h y replication is i m p o r t a n t (the p r e v i o u s s t u d y w a s c o n d u c t e d 15
years a g o , there are u p d a t e d v a r i a b l e s that m a y influence the results,
etc.). Y o u m u s t also a c k n o w l e d g e the replication a n d c o m p a r e y o u r
findings w i t h p r e v i o u s findings.
Replication Studies Dos and Don'ts

Do Don't
• Highlight the need to replicate • Choose a topic for

• Cite replication convenience
• Contact original author for agreement (put • Appear to be plagiarizing
agreement letter in appendixes) • Copy bibliography,
• Make it your own study literature review, or table
• Bring a copy of the original study to your advisor format
• Mention the replication in your purpose • Confuse adaptation with
statement and in your findings and replication
interpretation chapters
Summary
Selecting a n appropriate topic is o n e o f the m o s t i m p o r t a n t decisions
y o u m a k e o n y o u r dissertation journey. T h i s chapter s u g g e s t e d s o m e
effective a n d efficient w a y s to select a topic a n d offered s e v e n criteria to
consider. Replicating a previous s t u d y is often desirable a n d appropri-
ate since k n o w l e d g e a c c u m u l a t e s t h r o u g h studies that b u i l d o n e a c h
other over time.
With the n e c e s s a r y gear a n d a topic that interests y o u , the n e x t step
is obtaining expert g u i d e s to h e l p y o u reach the p e a k . T h e n e x t chapter
concentrates o n selecting a n d w o r k i n g w i t h y o u r dissertation advisor,
c o m m i t t e e m e m b e r s , a n d others responsible for guiding the dissertation
process.
5
Creating Your
Dissertation Team
Peak Principle: Always Climb Fully Equipped

C l i m b i n g h i g h m o u n t a i n s w i t h o u t b e i n g fully e q u i p p e d is folly.
B e i n g fully e q u i p p e d i n c l u d e s h a v i n g e x p e r t g u i d e s . E x p o s u r e , h i g h
winds, treacherous ledges, bone-chilling cold, and unpredictable
w e a t h e r p o s e g r a v e d a n g e r s for t h e n o v i c e c l i m b e r . To r e a c h t h e t o p
a n d r e t u r n safely, y o u m u s t h a v e k n o w l e d g e o f w h e r e , w h e n , a n d
h o w to c l i m b . T h i s k i n d o f k n o w l e d g e c o m e s o n l y f r o m e x p e r t
guides.
E x p e r t g u i d e s are p e o p l e w h o h a v e a l r e a d y b e e n w h e r e y o u w a n t
to g o . T h e y p o s s e s s t h e w i s d o m o f e x p e r i e n c e , k n o w t h e terrain, a n d
c a n a s s e s s t h e abilities a n d l i m i t a t i o n s o f t h o s e b e i n g g u i d e d . E x p e r t
g u i d e s a l s o i n s p i r e c o n f i d e n c e a n d c o n v e y w h a t m u s t b e d o n e to
accomplish the goal. For your survival, you must have absolute con
f i d e n c e a n d trust in t h e i r a b i l i t i e s a n d b e w i l l i n g to g o a l o n g w i t h
their i n s t r u c t i o n s .
D o n ' t take the j o u r n e y to E d D or P h D lightly, for there are multiple
challenges a n d obstacles a l o n g the way. S e l e c t i n g a dissertation a d v i s o r
is the m o s t vital decision y o u m a k e ; that's t h e p e r s o n y o u rely o n to help
y o u face the c h a l l e n g e s a n d o v e r c o m e the obstacles. T h i s p e r s o n ' s
p r i m a r y responsibility is to g u i d e y o u r w o r k . H e or she b e c o m e s y o u r
significant other t h r o u g h o u t the entire dissertation process. T h u s , it
b e h o o v e s y o u to select wisely.
53
Selecting a Dissertation Advisor

T h e dissertation a d v i s o r ' s m a i n role is to offer a d v i c e a n d c o u n s e l dur
ing e a c h p h a s e o f the dissertation process. H e or s h e h e l p s y o u d e v e l o p
a n d refine y o u r research topic a n d m e t h o d o l o g y , critiques multiple
drafts o f e a c h c h a p t e r o f the dissertation, a n d g u i d e s y o u t h r o u g h the
p r o p o s a l a n d oral defense m e e t i n g s . In addition, y o u r a d v i s o r p r o v i d e s
encouragement, shepherds you through any roadblocks, and acknowl
e d g e s y o u r g o o d w o r k . H o w e v e r , h i s or h e r ultimate responsibility lies
in e n s u r i n g that y o u p r o d u c e a high-quality dissertation—one relevant
a n d useful to the field a n d o n e that m e e t s y o u r university's standards o f
scholarly research. Your w o r k reflects n o t o n l y y o u r o w n scholarship
b u t also that o f y o u r advisor. Your professional reputation a n d that o f
y o u r advisor a n d university are all o n the line w h e n s o m e o n e reads y o u r
dissertation.
Criteria for Selecting an Advisor

O n g o i n g p r o g r a m e v a l u a t i o n s c o n d u c t e d at m y university found
that the top five factors m o s t helpful to students in c o m p l e t i n g their dis
sertations dealt w i t h the student-advisor relationship. T h e s e five fac
tors, in order o f their significance, w e r e the following:
1. Student-chair c o m p a t i b i l i t y
2. C h a i r reliability
3. C h a i r r e s p o n s i v e n e s s
4. C h a i r u n d e r s t a n d i n g o f s t u d e n t ' s n e e d s
5. C h a i r accessibility
T h e s e results suggest s o m e criteria y o u m i g h t use in considering y o u r

choice of an advisor. Before m a k i n g that choice, take time to investigate
and get to k n o w potential advisors. Y o u m i g h t talk with students w h o
w o r k e d with a particular advisor, read dissertations chaired b y an indi
vidual with w h o m y o u are interested in working, or take potential advi
sors to lunch and explore their interest in y o u r topic.
A d v i s o r s exhibit a b r o a d array o f expertise, style, a n d personality;
plus, they h a v e different expectations o f advisees. I n selecting a c o m p a t
ible advisor, an i m p o r t a n t criterion is the level o f comfort y o u feel w i t h
that person. D o e s the p e r s o n ' s style o f w o r k i n g m a t c h y o u r o w n prefer
ences? For e x a m p l e , d o y o u prefer w o r k i n g w i t h s o m e o n e directive a n d
highly structured ( w h o closely m o n i t o r s y o u r w o r k , adheres strictly to
Creating Your Dissertation Team 55
timelines, h o l d s regular m e e t i n g s , etc.), or d o y o u prefer s o m e o n e m o r e

laissez-faire ( w h o waits to b e c o n t a c t e d b y y o u , allows m o r e l e e w a y to
follow y o u r o w n leanings, expects a greater a m o u n t o f i n d e p e n d e n t
thinking, etc.)? D o y o u n e e d n u r t u r i n g a n d m u c h s u p p o r t along the way,
or are y o u a confident, i n d e p e n d e n t w o r k e r ?
W h i c h a d v i s i n g s t y l e fits y o u ? W h i c h is m o s t c o m p a t i b l e w i t h
y o u r n e e d s ? A s y o u c o n s i d e r y o u r c h o i c e , k e e p in m i n d s o m e a d d i
t i o n a l criteria:
1. T h e p e r s o n likes y o u r topic. It is not necessary that the advisor be an

expert in your topic. C o m p a t i b i l i t y is often m o r e i m p o r t a n t t h a n
expertise. H o w e v e r , it then b e c o m e s crucial that at least o n e c o m
m i t t e e m e m b e r p o s s e s s e s expertise in y o u r research area or
methodology.
2. T h e p e r s o n reads drafts in a t i m e l y m a n n e r .
3. T h e p e r s o n m a k e s s o u n d , helpful c o m m e n t s a n d suggestions.
4. T h e p e r s o n is a c c e s s i b l e — w i l l i n g to talk w i t h y o u or m e e t regu
larly w i t h y o u .
5. T h e p e r s o n is sensitive to y o u r n e e d s yet d e m a n d s quality w o r k .
The best advisor is one who can be your ally, advocate, and adversary when
he or she needs to be.
Selecting the Committee

T h e d i s s e r t a t i o n c o m m i t t e e u s u a l l y c o n s i s t s o f three or five m e m b e r s
(including the advisor), depending on the type of degree and each uni
v e r s i t y ' s policy. Preferably, t h e s e m e m b e r s p o s s e s s e a r n e d d o c t o r a t e s
a n d are h i g h l y r e g a r d e d p r o f e s s i o n a l s in their field. S e l e c t t h e m for
their ability to m a k e specific a n d useful c o n t r i b u t i o n s to y o u r study.
T h e s e c o n t r i b u t i o n s m i g h t b e e x p e r t i s e in t h e t o p i c , m e t h o d o l o g y , or
a n a l y s i s u s e d in the s t u d y o r t h e ability to e a s i l y a c c e s s t h e s t u d y ' s
population.
T h e c o m m i t t e e ' s p r i m a r y responsibility lies in contributing n e w
ideas, suggestions, a n d insights for e a c h chapter. In addition, the c o m
mittee j u d g e s the w o r t h a n d quality o f y o u r dissertation a n d its defense.
C o m m i t t e e m e m b e r s s h o u l d participate actively in all p h a s e s o f the dis
sertation process. E a r l y i n v o l v e m e n t contributes to their s e n s e o f o w n
ership in the dissertation a n d h e l p s e l i m i n a t e a n y surprises at the oral
defense. T h e y s h o u l d n o t b e c o n s i d e r e d " r u b b e r s t a m p s " o f the advisor.
C h o o s e the c o m m i t t e e in c o n c e r t w i t h y o u r advisor. A l w a y s discuss

prospective c o m m i t t e e m e m b e r s w i t h y o u r advisor before issuing invita-
tions to t h e m to participate in y o u r study.
T h e s a m e criteria u s e d to select an advisor are appropriate for select-
ing c o m m i t t e e m e m b e r s , b u t b e c a u s e o f their s e c o n d a r y role in the dis-
sertation process, t h e y are less crucial. A c o m p a t i b l e a d v i s o r a n d helpful
c o m m i t t e e m e m b e r s contribute greatly to y o u r s u c c e s s in c o m p l e t i n g a
scholarly dissertation.
The Care and Nurture of

Advisors and Committee Members
A g o o d working relationship with y o u r advisor and committee is vital to
finishing your dissertation. I offer the following as a guide for obtaining
the help and support n e e d e d in your j o u r n e y to b e c o m e a doctor.
RULE 1
Always Submit Drafts of Your Best Work
Resist the temptation to submit drafts that are not carefully thought out,
organized, or well written. It is inappropriate to throw something
together in the h o p e that it gets approved or that y o u r advisor will think
and edit for you. With a polished draft, y o u r c o m m i t t e e can focus its feed-
b a c k on substance rather than style and format. Take time to carefully
proofread each page. Y o u can pick up m a n y mistakes b y reading it aloud
to yourself or to another. It also helps to h a v e a critical friend read it over
before y o u submit it to the committee. Very often c o m m i t t e e m e m b e r s '
initial impressions are lasting ones. D a v i d Sternberg (1981) said it well:
It h a s b e e n m y e x p e r i e n c e as a dissertation a d v i s e r a n d e d i t o r /
consultant for several publishers that the r e a d e r ' s attitudes a n d
appraisal o f a m a n u s c r i p t are disproportionately s h a p e d b y the
first draft w h i c h c o m e s to his [or her] attention. If the first
i m p r e s s i o n is unfavorable, successive drafts—even substantially
revised o n e s — n e v e r quite erase the m e m o r y or s m e l l o f the first
stinker, (p. 131)
Sloppy, careless w o r k is unappreciated, a n d it reflects an attitude

that y o u willingly cut corners a n d d o n ' t care a b o u t quality. It also s h o w s
a lack o f respect for y o u r c o m m i t t e e ' s time. A l w a y s do y o u r b e s t w o r k
w i t h e a c h draft y o u submit.
RULE 2
Accept Criticism With Grace and Nondefensiveness
Your dissertation s h o u l d reflect s c h o l a r l y research a n d , as such, requires

quality t h i n k i n g a n d w r i t i n g that is clear, concise, a n d c o h e s i v e . E x p e c t
to m a k e m u l t i p l e revisions to create such a d o c u m e n t . It is critical that
y o u a c c e p t y o u r c o m m i t t e e ' s f e e d b a c k w i t h o u t getting y o u r feelings
h u r t or b e i n g defensive. D e v e l o p professional maturity, a n d r e m e m b e r
the c o m m i t t e e ' s j o b is to p r o v i d e c o m m e n t s a n d s u g g e s t i o n s that
strengthen y o u r s t u d y a n d e n s u r e that it a d h e r e s to y o u r university's
h i g h standards. S h o w that y o u are t e a c h a b l e , flexible, a n d o p e n to the
c o m m i t t e e ' s advice.
RULE 3
Always Incorporate Your Committee's Recommendations for Revisions
C o m m i t t e e m e m b e r s s p e n d c o n s i d e r a b l e t i m e r e a d i n g a n d critiquing
y o u r drafts. Usually, t h e y are c o n s c i e n t i o u s a b o u t m a k i n g s u g g e s t i o n s
for i m p r o v e m e n t . It is n o t O K to i g n o r e their s u g g e s t i o n s . T h e y trust
y o u to i n c o r p o r a t e their ideas into y o u r study. B e sure to indicate o n
y o u r r e t u r n drafts w h e r e y o u i n c o r p o r a t e d their s u g g e s t i o n s (boldfaced,
c o l o r e d highlighter, or italics, or in a p e r s o n a l n o t e to t h e m ) . Often, sug-
gestions are n e g o t i a b l e . If y o u disagree w i t h a n y o f the c h a n g e s sug-
gested b y a c o m m i t t e e m e m b e r , call that p e r s o n to discuss the situation.
P r e s e n t y o u r ideas p e r s u a s i v e l y a n d w i t h tact a n d diplomacy. S h o w that
y o u are flexible a n d o p e n to their o p i n i o n s rather than defensive o f y o u r
o w n position. S u c h an a p p r o a c h resolves y o u r differences in an a m i a b l e
fashion.
RULE 4
Respect Your Committee's Time Constraints
F a c u l t y are b u s y p e o p l e a n d m u s t b e g i v e n sufficient lead t i m e to

r e s p o n d to drafts a n d inquiries. D o n ' t d e m a n d instant t u r n a r o u n d or
i m m e d i a t e a p p o i n t m e n t s . H o w e v e r , it is r e a s o n a b l e to a s k w h e n a
r e s p o n s e m i g h t b e forthcoming. A c o m m e n t that all advisors d r e a d
h e a r i n g is, " I realize I ' v e t a k e n six m o n t h s to revise C h a p t e r 1, b u t
w o u l d y o u b e able to read it b y t o m o r r o w ? " O n e professor e x p l a i n e d ,
" B a d p l a n n i n g o n y o u r part d o e s n o t constitute an e m e r g e n c y o n m i n e . "

D o k e e p to y o u r timeline as m u c h as possible. Often, faculty m e m b e r s
m a k e decisions about a d d i n g additional a d v i s e e s b a s e d o n w h e n y o u
plan to c o m p l e t e y o u r dissertation.
RULE 5
Keep a Positive, Cheerful Attitude
Enthusiasm engenders enthusiasm and m a k e s working with y o u so m u c h

more pleasant. Your committee wants y o u to have a positive experience. If
you appear morose and whiny, it negatively affects your working relation-
ship. Even if y o u don't feel positive and cheerful, fake it!
RULE 6
Take the Initiative, but Expect Guidance
A n important goal in writing a dissertation is d e v e l o p i n g the ability to

w o r k independently. Y o u n e e d advice a n d c o u n s e l a l o n g the way, b u t it
is y o u r responsibility to d e t e r m i n e the direction o f the research, m a n a g e
y o u r time, a n d persist in getting the w o r k d o n e . Take control o f y o u r
o w n dissertation. W h a t d o y o u w a n t to k n o w ? W h a t is i m p o r t a n t to
y o u ? A g o o d advisor e n c o u r a g e s y o u to m a k e y o u r o w n decisions; after
all, it is your dissertation. D o n ' t w a i t to b e told w h a t to do. It delights
y o u r advisor w h e n y o u b r i n g fresh ideas a n d n e w insights a n d per-
spectives a b o u t y o u r study. K e e p self-sufficiency a n d d e p e n d e n c e in
proper b a l a n c e . It's u p to y o u to s u c c e e d .
RULE 7
Maintain Contact
S c h e d u l e regular m e e t i n g s (at least o n c e a m o n t h for o n e h o u r ) w i t h

y o u r advisor to discuss progress a n d to get advice o n specific p r o b l e m s
y o u m a y b e h a v i n g . It h e l p s k e e p y o u in his or h e r m e m o r y , h e l p s to
m a i n t a i n the relationship, a n d s h o w s y o u r c o m m i t m e n t to c o m p l e t i n g
the dissertation in a t i m e l y manner.
C o n s i d e r m a k i n g regular p r o g r e s s reports to y o u r c o m m i t t e e .
M a u c h a n d Birch (1993) b e l i e v e d this to b e the "single m o s t effective
w a y to stay in t o u c h in a c o n s t r u c t i v e w a y w i t h e a c h c o m m i t t e e
m e m b e r " (p. 134). T h e i r s u g g e s t e d format is as follows:
Project title:
From: To:
Date:
Period covered:
Investigator's telephone:
Activities completed:
Activities continued:
Activities initiated:
Problems:
Other:
In a d d i t i o n to s e n d i n g a w r i t t e n p r o g r e s s r e p o r t b y m a i l , fax, o r
e-mail, y o u s h o u l d also m a k e a t e l e p h o n e c o n t a c t e v e r y m o n t h or six
w e e k s to k e e p c o m m u n i c a t i o n c h a n n e l s open.
B e sure to s e e k a d v i c e w h e n y o u n e e d it. Often, s t u d e n t s inhibit
t h e m s e l v e s in this regard a n d d o n ' t w a n t to a p p e a r i g n o r a n t or i n c o m -
petent. It is e a s y for a d v i s o r s to o v e r e s t i m a t e the d e p t h o f their s t u d e n t s '
k n o w l e d g e . J u s t d o n ' t b e a pest! R e m e m b e r to share the j o y o f d i s c o v e r y
as w e l l as the obstacles o v e r c o m e .
A d h e r i n g to these s e v e n rules creates a m o r e h a r m o n i o u s relation-
ship w i t h y o u r a d v i s o r a n d c o m m i t t e e m e m b e r s a n d e n s u r e s a relation-
ship b a s e d o n m u t u a l respect a n d s h a r e d responsibility.
How to Approach a Potential Advisor

Faculty can choose which dissertations they will or will not chair. Following
appropriate etiquette improves your chance of obtaining the advisor y o u
want. First of all, b e adequately steeped in the literature related to your
topic so y o u can talk intelligently about it. Also, prepare a well-thought-out
prospectus or proposal to s h o w a potential advisor. This document should
clearly define the problem and methodology of your study. If done well, it
provides insights into the clarity of your thinking a n d writing—something
advisors look for in potential advisees.
Next, g i v e y o u r p r o s p e c t u s or p r o p o s a l to a potential advisor a n d
request a n a p p o i n t m e n t to discuss it. B e direct a b o u t y o u r situation—are
y o u s h o p p i n g for a n a d v i s o r o r h a v e y o u d e c i d e d o n o n e ? D o n ' t e x p e c t
an a g r e e m e n t to chair y o u r dissertation right away, a n d d o n ' t feel
rejected if y o u get a " n o . " Typically, faculty turn a w a y students if they are
overcommitted, n o t interested in the topic, or do n o t feel comfortable

w i t h the m e t h o d o l o g y or analysis procedures. S o m e t i m e s they are just
not willing to w o r k w i t h a particular individual.
What If No One Agrees to Be Your Advisor?

A t this point, y o u n e e d to ask y o u r s e l f w h y n o o n e will chair y o u r dis
sertation a n d do s o m e soul-searching. H e r e are s o m e c o m m o n reasons
w h y potential a d v i s o r s t u r n students d o w n :
1. The topic. It's too b r o a d a n d ill defined; it m a y b e trivial, p o o r l y

t h o u g h t out, or t h e y are j u s t n o t interested in the topic.
2. Students lack academic skills. T h e t i m e a n d a g o n y o f w o r k i n g w i t h

p o o r writers, superficial thinkers, or those k n o w n for cutting cor
ners are n o t w o r t h the effort.
3. Personal attributes. S t u d e n t s w h o are antagonistic, abrasive, stub

b o r n , or ^independable a l w a y s h a v e a h a r d t i m e c o n v i n c i n g a fac
ulty m e m b e r to chair their dissertation.
You n e e d to appraise y o u r situation a n d d e c i d e w h e r e y o u m i g h t

n e e d to c h a n g e . P e r h a p s y o u s h o u l d adjust y o u r b e h a v i o r a n d attitude
or get s o m e professional h e l p w i t h specific skills y o u m a y lack. It is h a r d
to o v e r c o m e a n e g a t i v e reputation.
A t m y university, the d e a n assigns an advisor for y o u if all faculty
m e m b e r s t u r n e d y o u d o w n . T h i s m e a n s that the professor a s s i g n e d h a s
n o c h o i c e in the m a t t e r a n d m u s t w o r k w i t h y o u w h e t h e r or n o t h e or
she likes it. This is n o t a g o o d p l a c e to b e .
Choosing Outfitters and Bearers

(Other Specialized Consultants)
In addition to expert guides, difficult c l i m b s also require outfitters a n d
bearers. Y o u can o n l y reach a h i g h goal w i t h h e l p from other p e o p l e . B e
smart a n d u s e all the resources available to y o u . T h e r e are consultants
(editors, statisticians, research specialists, etc.) y o u c a n call o n for e x p e r t
h e l p a n d advice. T h e r e are c a m p u s services available for y o u r u s e , as
w e l l as supportive, caring faculty a n d s t u d e n t p e e r s e a g e r to h e l p y o u
o n y o u r way. G o i n g it a l o n e c a n b e inefficient a n d costly—it m a y e v e n
cost y o u y o u r degree. C h o o s e y o u r g u i d e s a n d m e n t o r s carefully a n d
then h e e d their advice a n d counsel.
Technical Assistance
Often, students require assistance w i t h the technical aspects o f writ
ing a dissertation. G e t t i n g h e l p w i t h q u e s t i o n n a i r e d e s i g n a n d statistical
analysis is reasonable. U n l e s s y o u w e r e the valedictorian o f y o u r statis
tics class, it b e h o o v e s y o u to c o n s u l t a statistician; h o w e v e r , it is vital
that y o u k n o w e n o u g h a b o u t statistics to u n d e r s t a n d his or h e r advice.
A n e x p e r i e n c e d statistician c a n assist y o u w i t h analysis techniques,
interpretation o f the n u m b e r s g e n e r a t e d , table presentations, a n d tech
nical writing. H e or she s h o u l d act as a tutor to h e l p y o u u n d e r s t a n d
w h y a particular test w a s u s e d a n d w h a t the results m e a n . H o w e v e r ,
y o u are responsible for u n d e r s t a n d i n g y o u r statistics a n d defending
their u s e at y o u r oral defense.
Writing Assistance
C o n s i d e r u s i n g an editor t h r o u g h o u t the dissertation p r o c e s s .
C o m m i t t e e m e m b e r s d o s o m e editing; h o w e v e r , their p r i m a r y role is to
assist y o u w i t h c o n c e p t u a l clarity. T h e y appreciate receiving drafts that
p a s s the literacy test. A n editor c a n b e a close friend skilled in g r a m m a r
w h o u n d e r s t a n d s dissertation-style writing. If y o u r w r i t i n g leaves a bit
to b e desired, then definitely hire a professional. It s a v e s y o u h o u r s o f
grief a n d a m u l t i t u d e o f drafts. J u s t r e m e m b e r that editorial assistance
for a dissertation is p e r m i s s i b l e a n d e n c o u r a g e d , b u t only in matters of
style, not content.
Word Processing Typist

It takes a t r e m e n d o u s a m o u n t o f skill to prepare tables, figures, a n d
so forth a n d to type the dissertation m a n u s c r i p t in the appropriate style
format. T h e final d o c u m e n t h a s to b e precisely in the style required b y
y o u r university. M o s t students d o n o t p o s s e s s this expertise n o r d o they
h a v e t i m e to learn it. Therefore, m y a d v i c e is don't do your own final copy.
Type it y o u r s e l f t h r o u g h the oral defense, if y o u w i s h , b u t then hire a
professional to c o m p l e t e the final copy. T h i s s a v e s y o u m u c h anxiety,
time, a n d money. B e sure to c o n t r a c t w i t h a typist early in the disserta
tion process. P r o v i d e an a p p r o x i m a t e date w h e n y o u will h a n d o v e r
your manuscript.
Where to Locate Specialists

C h e c k w i t h y o u r o w n university to see if there is a list o f experts available
to assist you. Also, the A S G S website, www.asgs.org has a database of
professional consultants (editors, w o r d processors, a n d writing consul

tants). T h e n a m e s are arranged according to expertise areas and g e o
graphic location. You can click o n a n a m e and v i e w detailed information,
including services and hourly rates. A n o t h e r g o o d w a y to locate reliable
technical specialists is to simply ask prior dissertation students and uni
versity faculty w h o m they k n o w and r e c o m m e n d . Try to get at least t w o
n a m e s so y o u can h a v e a choice a n d n o t feel tied to s o m e o n e with w h o m
y o u m a y not b e compatible.
O n c e y o u h a v e a list o f n a m e s , c o n t a c t them. L e t t h e m k n o w w h o
r e c o m m e n d e d t h e m a n d share y o u r timetable for c o m p l e t i n g the dis
sertation. Also, let t h e m k n o w w h a t k i n d o f h e l p y o u n e e d a n d find o u t
if they h a v e the t i m e to assist y o u a n d w h a t t h e y charge.
Summary
Selecting an advisor a n d c o m m i t t e e m e m b e r s is o n e o f the m o s t vital
decisions y o u m a k e . Ideally, these individuals s h o u l d like y o u r topic,
m a k e helpful suggestions, return drafts in a t i m e l y m a n n e r , b e accessi
ble, a n d h o l d y o u a c c o u n t a b l e for quality w o r k . In this chapter, I sug
gested s e v e n rules to h e l p y o u m a i n t a i n a g o o d w o r k i n g relationship
w i t h y o u r advisor a n d c o m m i t t e e m e m b e r s a n d offered g u i d a n c e in
o b s e r v i n g appropriate etiquette w h e n a p p r o a c h i n g a potential advisor.
O t h e r available resources to h e l p y o u c o m p l e t e the dissertation are sta
tisticians, editors, typists, a n d so on.
Your preparation for the c l i m b t h u s far i n c l u d e d filling y o u r b a c k
p a c k w i t h the inner essentials, identifying a topic to research, a n d select
ing expert guides, outfitters, a n d bearers. T h e n e x t c h a p t e r centers o n
p e e r dissertation s u p p o r t g r o u p s a n d p r o v i d e s strategies o n their for
m a t i o n a n d structure.
6
Dissertation
Support Groups
T he fact that only about 4 0 % to 5 0 % of doctoral students complete their

degrees is a consistent research finding. E v e n t h o u g h the reasons vary
c o n s i d e r a b l y the issue o f support—kind a n d amount—usually affects
this attrition in s o m e way. S o u r c e s o f support c o m e from family, other
students, consultants, a n d faculty. You e n h a n c e y o u r c h a n c e of obtaining
y o u r doctorate w h e n y o u deliberately seek out all sources of support.
C h a p t e r 5 d e s c r i b e d the role o f advisors, c o m m i t t e e m e m b e r s , a n d
o t h e r consultants a n d h o w t h e y s u p p o r t y o u a l o n g the journey. T h i s
c h a p t e r focuses o n p e e r dissertation s u p p o r t g r o u p s a n d offers general
guidelines o n their formation, goals, a n d organization.
J o i n i n g a s u p p o r t g r o u p p r o v i d e s b o t h e m o t i o n a l a n d a c a d e m i c sup
p o r t d u r i n g the dissertation p r o c e s s . R e s e a r c h i n g a n d w r i t i n g a disser
tation can b e l o n e l y a n d isolating. F o r the m o s t part, it is a solitary
journey. It's e a s y to d r o p out w h e n y o u feel as if n o o n e u n d e r s t a n d s or
cares. S o s u r r o u n d i n g y o u r s e l f w i t h p e o p l e w h o e m p a t h i z e a n d s u p p o r t
y o u c a n b e a v a l u a b l e asset.
F e w p e o p l e outside y o u r doctoral p e e r g r o u p u n d e r s t a n d what
y o u ' r e g o i n g t h r o u g h e m o t i o n a l l y or h a v e a c l u e a b o u t h o w to help y o u
academically. S u p p o r t - g r o u p m e m b e r s u n d e r s t a n d y o u r d i l e m m a s a n d
frustrations a n d help lift y o u r spirits. T h e y p r o v i d e an ear to listen, a
s h o u l d e r to c r y on, a n d a foot to b o o s t y o u b a c k o n track w h e n n e c e s
sary. T h e y h e l p y o u w h e n y o u ' r e stuck. T h e y are y o u r c h e e r i n g s q u a d
a n d reliable critics w h o c o n t r i b u t e v a l u a b l e insight a n d s u g g e s t i o n s
from c o n c e p t u a l i z i n g a research topic to i m p r o v i n g y o u r written drafts.
63
Critical Decisions
T h e r e are n o clear-cut rules for creating a viable dissertation support
group. E a c h g r o u p m u s t d e t e r m i n e its o w n goals, expectations, a n d
w o r k i n g procedures. B u t before j u m p i n g into a g r o u p or a t t e m p t i n g to
create o n e , s o m e critical decisions s h o u l d b e m a d e if the g r o u p is to sur
vive a n d benefit all m e m b e r s . H e r e are s o m e to consider:
• S h o u l d the g r o u p h a v e a formal leader, rotate leadership, or b e

leaderless?
• W h a t are the g r o u p ' s goals? W h a t d o e s e a c h p e r s o n w a n t from the
g r o u p ? (Primarily a c a d e m i c — f o c u s e d o n critiquing written drafts
or discussing m e t h o d o l o g y ? P r i m a r i l y support—focuse d o n pro
v i d i n g social a n d e m o t i o n a l support for p e r s o n a l p r o b l e m s ? )
• H o w m a n y m e m b e r s s h o u l d there b e ? N e e d t h e y b e at the s a m e
stage in the dissertation process?
• H o w often a n d for h o w long s h o u l d the g r o u p m e e t ? W h e r e ?
• W h a t n o r m s s h o u l d b e established? W h a t will h a p p e n if s o m e o n e
consistently violates the n o r m s (chronically late, fail to b r i n g a
p r o m i s e d draft, etc.)?
Strategies and Structures
of Successful Support Groups
W h a t strategies and structures have effective dissertation support groups

used? In the 1992 Dissertation News (Vol. 8), 12 rules for forming and struc
turing support groups were suggested. Additional suggestions were added
in 1997 in the Association for Support of Graduate Students (ASGS) "Best
of D o c Talk." (See www.asgs.org; reprinted with permission from ASGS.)
T h e y are as follows:
1. G e t at least 5 s t u d e n t s ( s o m e w i l l d r o p ; less t h a n 4 d o e s n ' t

a l l o w e n o u g h diversity) w i t h different b a c k g r o u n d s in y o u r
field (a m e t h o d o l o g i s t , a g o o d writer, a c o m p u t e r w h i z , etc.).
M e m b e r s s h o u l d b e o f a b o u t the s a m e a c a d e m i c caliber so t h e y
all feel they're getting as m u c h as t h e y ' r e giving.
2. M e e t o n c e a w e e k a n d give all m e m b e r s a c o p y of e v e r y b o d y ' s

dissertation at the first session. It m a y b e that s o m e groups
m i g h t b e s t m e e t infrequently—say o n c e a m o n t h — t o a c c o m m o
date m e m b e r s ' j o b s a n d family obligations.
3. Feature 2 m e m b e r s ' research per meeting, about 4 5 m i n u t e s each.

Dissertation Support Groups 65
4. P r o v i d e e a c h m e m b e r an abstract o f w h a t will b e discussed,

at least 3 d a y s before m e e t i n g s .
5. K e e p criticism constructive, w i t h s u g g e s t i o n s for i m p r o v e m e n t .

A k e y to y o u r s u p p o r t g r o u p ' s s u c c e s s is for e v e r y o n e to k n o w
h o w to m a k e s u p p o r t i v e criticisms.
6. A g r e e to s p e n d 3 hours e a c h w e e k (1 to read and critique; 2 to

meet). B e clear about w h a t activities you'll expect group m e m b e r s
to carry out a n d h o w m u c h time y o u expect m e m b e r s to devote
to the group. Will students read e a c h o t h e r ' s chapter drafts and
m a k e c o m m e n t s ? W h a t k i n d o f c o m m e n t s (conceptual, organiza
tional, editorial, etc.) will they b e e x p e c t e d to m a k e ?
7. H a v e e a c h m e m b e r tape record the session focusing o n his or

h e r dissertation.
8. E n d each meeting with 15 minutes for m e m b e r s to report progress

and mention specific problems.
9. Restrict discussions to dissertation m a t t e r s only.
10. If y o u h a v e less than 4 students, postpone the meeting. Otherwise,

presenting students w o n ' t get a variety of viewpoints.
11. G e t w r i t t e n a g r e e m e n t for confidentiality at the first session, so

e v e r y o n e c a n s p e a k openly, e v e n a b o u t faculty or other students.
12. A c k n o w l e d g e dissertation victories. Celebrate accomplishments

such as getting the dissertation approved and passing the defense.
O t h e r successful strategies s t u d e n t s u s e at m y university are contin

gency enforcement a n d timeline monitoring. C o n t i n g e n c y e n f o r c e m e n t
m e a n s that w h e n a g r o u p m e m b e r fails to a c c o m p l i s h a stated disserta
tion goal or task or m e e t a specific deadline, or m i s s e s a m e e t i n g , the
g r o u p enforces that p e r s o n ' s c o n t i n g e n c y plan. T h e p l a n m i g h t b e as
s i m p l e as b u y i n g lottery tickets for all, p a y i n g for e v e r y o n e ' s m e a l , or
e v e n s e n d i n g a c h e c k to an o r g a n i z a t i o n d e s p i s e d b y the "errant"
student. T h e y are also g o o d at l a y i n g o n guilt trips a n d threatening
public disgrace—all in g o o d fun!
T h e s e s u p p o r t g r o u p s b o n d s t u d e n t s in significant a n d touching
w a y s . T h e y frequently attend e a c h o t h e r ' s oral defense a n d take n o t e s
so their friend c a n c o n c e n t r a t e o n the feedback h e or she receives. G r o u p
m e m b e r s often b e c o m e lifetime friends w h o creatively celebrate e a c h
o t h e r ' s s u c c e s s e s e v e n b e y o n d the dissertation years. T h e y h a v e great
times together, l a u g h i n g a n d s h a r i n g the j o y s a n d s o r r o w s o f dissertat
ing. S o m e g r o u p s stay t o g e t h e r until the last p e r s o n g r a d u a t e s , h a v i n g
faithfully a t t e n d e d e a c h o t h e r ' s g r a d u a t i o n c e r e m o n y a n d party.
Students also help e a c h other m o n i t o r dissertation timelines. E a c h

student brings to the s u p p o r t group m e e t i n g his or h e r projected timeline
for c o m p l e t i n g the dissertation. T h e timeline consists o f all major tasks to
b e completed, from obtaining an advisor to m a k i n g final revisions. T h e y
are held accountable b y the group for staying o n that timeline.
CAVEAT
Select group members carefully. There are certain personality types that make
group work difficult and tiresome. Domineering types; shy, retiring types; and
negative thinkers place considerable stress on a group. Also, there are those
who are extremely needy emotionally and drain the group's energy by asking
everyone to help them cope. For the group to be satisfying, all participants need
to both give and take equally—to critique and be critiqued.
Other Considerations
Rather than joining a s u p p o r t group, consider w o r k i n g w i t h o n e other
person—a dissertation buddy. S o m e o n e y o u k n o w w e l l a n d w i t h w h o m
y o u are v e r y compatible c o u l d b e m o r e efficient than a larger group. In
today's world, y o u m i g h t consider creating a virtual s u p p o r t group.
With compatible software a n d c o m p u t e r skills, it s e e m s the s a m e a m o u n t
of support could b e given online through chat r o o m s , online editorial cri-
tiques, online coaches (faculty or c o m p e t e n t alumni), a n d so on.
Summary
Consider joining a peer dissertation support group. It can provide both
emotional and a c a d e m i c s u p p o r t d u r i n g the dissertation process.
However, before creating or joining a dissertation support group, consider
the following: type o f leadership, individual needs, n u m b e r s o f m e m b e r s ,
stage in the dissertation process, and time schedules. This chapter identi-
fied s o m e successful strategies that could enhance the support group's
effectiveness. In lieu o f a dissertation support group, consider w o r k i n g
with a dissertation b u d d y or creating a virtual support group.
Before b e g i n n i n g the c l i m b u p the m o u n t a i n , y o u s h o u l d p a y atten-
tion to organizing yourself. T h e n e x t chapter provides helpful hints o n
organizing y o u r w o r k s p a c e a n d y o u r time, w o r k i n g smart, a n d m a i n -
taining b a l a n c e in y o u r life.
7
Organizing Yourself
Organizing is what you do before you do something so that when

you do it, it's not all mixed up.
— C h r i s t o p h e r R o b i n in
A . A . M i l n e ' s Winnie the Pooh
S uccessfully completing your dissertation requires organization and

planning. Working hard is not enough, y o u m u s t also w o r k smart.
Working smart m e a n s organizing a place conducive to writing and devel
oping a time schedule to w h i c h y o u faithfully adhere even if y o u lack inspi
ration. K n o w i n g yourself, the peaks and ebbs of y o u r energy patterns, is
also essential to efficiently getting the job done. Working smart also requires
maintaining balance in your life. Today, m a n y doctoral students are mar
ried with children and hold full-time jobs, m a k i n g it essential to balance
dissertation activities and other life obligations. This chapter offers sugges
tions for organizing your workspace, your time, and yourself for effective
dissertating and for mamtaining balance in the process. T h i n k of these sug
gestions as options. Try t h e m out to see w h i c h ones w o r k for you.
Organize Your Workspace

It is e x t r e m e l y i m p o r t a n t that y o u find a suitable place for dissertating
w h e r e y o u can b e productive. D e t e r m i n e w h e r e y o u d o y o u r b e s t w o r k ,
a n d plan to b e there e a c h t i m e y o u w o r k o n the dissertation. Your dis
sertation w o r k s p a c e m a y b e y o u r office at w o r k , y o u r office at h o m e , or
67
a separate area in your h o m e designed exclusively for y o u r dissertation

work. It should b e quiet, private, a n d free o f interruptions a n d distrac
tions such as posters, TV, fish tank, portraits, and pleasure books. Let the
answering m a c h i n e take p h o n e m e s s a g e s w h i l e y o u work. If m u s i c helps
y o u write, then keep C D s or y o u r i P o d handy. Relegate to this office only
those activities related to the dissertation—no writing letters, paying bills,
or surfing the Internet. H a v i n g a smgle-rninded focus m a k e s y o u m u c h
m o r e efficient. W h e r e v e r y o u work, m a k e sure y o u h a v e the following:
• C o m p u t e r a n d printer
• C o m f o r t a b l e , e r g o n o m i c chair
• Sturdy, decent-sized d e s k
• G o o d lighting
• A p p r o p r i a t e reference m a t e r i a l s (dictionary, t h e s a u r u s , style
m a n u a l , etc.)
• N e c e s s a r y materials (printer ink cartridges, etc.)
• B o o k c a s e
• Filing cabinet
• File folders
• Writing materials (pens, pencils, sticky notes, tablets, etc.)
• " I d e a s " n o t e b o o k to j o t d o w n ideas that c o m e to y o u
A n organized w o r k s p a c e dedicated e x c l u s i v e l y to y o u r dissertation

study goes a l o n g w a y t o w a r d m a i n t a i n i n g o p t i m u m efficiency.
Organize Your Time

B e c a u s e n o deadlines are i m p o s e d o n y o u w h i l e w r i t i n g the disserta
tion, t i m e c a n e s c a p e quite easily. C o m p l e t i n g a dissertation requires
that y o u m a n a g e y o u r t i m e well. Realistically assess h o w m u c h t i m e
y o u c a n d e v o t e to y o u r dissertation study. It is a b i g c h a l l e n g e to find
time in a n already b u s y daily schedule. T h e reality is that y o u h a v e to
make time. T h o s e w h o don't, relegate t h e m s e l v e s to the title A B D (all
but-dissertation).
P l a n n i n g a n d s c h e d u l i n g t i m e are the k e y s to m a k i n g things h a p
pen. P l a n n i n g is d e c i d i n g what to do. S c h e d u l i n g is d e c i d i n g when to d o
it—picking the t i m e to do the activities. It is m o r e like a c o m m i t m e n t ,
w h e r e a s p l a n n i n g is the intention. Scheduled things tend to happen. To b e
truly efficient, create at least three s c h e d u l i n g plans. First, d e s i g n an
overall dissertation timeline, w h i c h h e l p s y o u s e e the b i g picture a n d
k e e p s y o u o n track. S e c o n d , create a t i m e s c h e d u l e to w h i c h y o u c o m
m i t so m a n y h o u r s e a c h d a y or w e e k . T h i r d , create a to-do list—a daily
r e m i n d e r o f the tasks that n e e d to b e d o n e e a c h day. T h e following
Organizing Yourself 69
describes these three t e c h n i q u e s a n d offers s o m e r e c o m m e n d a t i o n s to

m a k e t h e m w o r k for y o u .
1. The Dissertation Timeline

The Gantt chart—a useful m e t h o d for creating a dissertation timeline—
can b e as detailed as y o u w i s h . To construct a G a n t t chart, list the major
p h a s e s or specific activities o f the dissertation d o w n the left side o f the
p a g e . A c r o s s the top, list the t i m e for c o m p l e t i n g the entire dissertation
process. T h e n , create a b a r g r a p h that s h o w s the begirining a n d e n d i n g
t i m e s for e a c h major p h a s e or activity. W h e n creating this l o n g - r a n g e
plan, it h e l p s to w o r k b a c k w a r d s from c o m m e n c e m e n t . W h e n d o y o u
n e e d to turn in the dissertation to y o u r g r a d u a t e office? To d o that, w h e n
w o u l d y o u n e e d to defend? To d o that, w h e n w o u l d y o u n e e d to get it
to the c o m m i t t e e ? S e e A p p e n d i x A for an e x a m p l e o f a G a n t t chart.
2. Time Schedule
Creating a strict schedule of h o u r s each d a y or w e e k to w o r k on y o u r
dissertation is essential. I cannot e m p h a s i z e this enough. N o real progress
can b e m a d e without o n g o i n g i n v o l v e m e n t with y o u r study. Otherwise,
y o u spin y o u r w h e e l s trying to figure out w h e r e y o u left off the last time.
Try to schedule as m a n y u n b r o k e n hours as possible for uninterrupted
concentration. I find that in a b l o c k o f t w o hours, I can m a k e considerable
progress. A s m u c h as possible, maintain daily progress—even if it is only
15 m i n u t e s at a time. This w a y y o u r m i n d stays focused a n d y o u r sub-
conscious working. It helps to set a goal for h o w m u c h w o r k y o u will
accomplish e a c h d a y or w e e k a n d to k e e p a record to determine if y o u r
goal w a s met. This keeps y o u m o v i n g a n d motivated.
REMEMBER
• Plan each day. Block out 30 minutes, an hour, three hours, or whatever time
you can to work on your dissertation.
• Choose a scheduling strategy that works for you. You may choose to work in
terms of hours and minutes worked or pages written. Figure out which works
best for you.
• Stick to your schedule.
3. TO-DO List
In the t i m e m a n a g e m e n t literature, experts s u g g e s t m y r i a d tech-
n i q u e s for m a n a g i n g a To-Do list. S o m e r e c o m m e n d listing e v e r y t h i n g
that n e e d s to b e d o n e a n d r e v i e w i n g the list first thing in the m o r n i n g to

confront items that still n e e d to b e d o n e . O t h e r s r e c o m m e n d k e e p i n g a
short, d o a b l e To-Do list. T h e y say y o u s h o u l d p l a c e o n l y three to six
items o n y o u r To-Do list a n d m a k e sure y o u a c c o m p l i s h t h e m . T h i s
forces the habit o f finishing w h a t y o u p l a c e o n y o u r list a n d results in a
feeling o f a c c o m p l i s h m e n t .
O n e g o o d w a y to b e efficient is to write out a To-Do list e v e r y day.
Separate y o u r To-Do list into A , B , a n d C priorities. A items are y o u r
high-priority activities; Β items m a y b e urgent b u t n o t as important;
C items are those that w o u l d b e nice to do if y o u get the time. Start w i t h
the A items—the o n e s that m u s t b e d o n e . T h e n m o v e to the Β items—the
ones that probably s h o u l d b e d o n e . C items are least important. D o n ' t
w o r k on a C just b e c a u s e it's e a s y to do. C h e c k off items as y o u c o m p l e t e
t h e m to give yourself a sense of a c c o m p l i s h m e n t .
A n o t h e r w a y to prioritize y o u r T o - D o list is found in the b o o k Time
Tactics of Very Successful People b y G r i e s s m a n (1994). H e s u g g e s t e d y o u
prioritize b y asking the following questions o f e a c h item:
• Will it help m e do m y thesis or o t h e r w i s e m a k e m y life better?

• D o e s it h a v e a real deadline that will cost m e if I m i s s it?
• Is it a c o m m a n d from s o m e o n e I c a n ' t ignore?
• Will it h e l p m e fulfill m y potential?
• Will it m a t t e r a y e a r from n o w ?
It m a k e s little difference w h i c h type o f priority t e c h n i q u e y o u u s e as

long as it w o r k s for y o u . T h e m a i n thing is to d e v e l o p the habit o f first
things first.
HELPFUL HINT
Be sure to keep your To-Do list handy, on your bulletin board or day planner or
in your purse or pocket.
Working Smart
W o r k i n g h a r d is n o t e n o u g h — y o u n e e d to w o r k smart to e n s u r e that the
h o u r s y o u s c h e d u l e for dissertation w o r k are truly p r o d u c t i v e ones.
D e v e l o p i n g efficient habits a n d routines a n d a p p l y i n g the v a r i o u s tech-
n i q u e s described in this b o o k are s o m e o f the w a y s y o u c a n w o r k w i t h
the least a m o u n t o f w a s t e d time, m o t i o n , a n d money. H e r e are s o m e rec-
o m m e n d a t i o n s for w o r k i n g smart.
1. Work on Your Dissertation

During Times That You Are Most Productive
Are you a night owl?
or
Are you an early bird?
Pay attention to your biorhythms. Determine the hours most pro-

ductive for you and try to schedule those hours for dissertation work—
your number one priority. If you're an early bird, consider rising two
hours earlier than usual; if a night owl, stay up two hours later. Schedule
routine tasks for your low-energy periods and your dissertation tasks
when you're alert and energetic. It's more productive to work with your
daily rhythms and ride your energy peaks.
2. Learn to Say No
Learn to say no to nonvital, trivial requests. In the book Secrets for a
Successful Dissertation (Fitzpatrick, Secrist, & Wright, 1998), the authors
expressed this idea well:
Are you able to say no to favors, fun times, fund-raising, chair

positions, family reunions, and frolicking in the park on Sunday
afternoons? Because if you are ever going to gain control over
your days and nights, and manage your time efficiently, the first
lesson to learn is to say no. Say it regretfully, say it remorsefully,
say it with clenched teeth, or say it with joy—but say it loud and
clear. The world is Full of Time Zappers who will steal your time
if you allow them, so put all your good deeds on hold and use
the word no freely. You'll be glad you did. (p. 97)
Practice making responses such as, "I'm sorry, I'm not available that
night," "I can't do that task today, but how about next week?" "How about
asking John instead?" or "What would
you like me to give up to do this?" Be Life can get away from us through
gracious with people, but be firm with time. thousands of little dribs and drabs.
Your dissertation year is not the
- Β . E. Criessman
time to be president or chairperson of
anything, take on additional responsi-
bilities, give a presentation, or attend a conference. Eliminate unneces-
sary activities and accept only those obligations you consider absolutely
necessary. You must be ruthless with your time and energy. Learn to say
no when you should, and learn to say it without guilt.
3. Schedule Frequent "Joy Breaks"

Throughout your working time, stop and do something plea
surable. Stretch, move about, take some deep breaths, play with
your dog, m a k e s o m e tea, or take a walk. T h e s e activities ener
g i z e y o u a n d k e e p y o u f o c u s e d . A l s o , t h e m i n d is q u i t e r e m a r k
a b l e . W h e n a l l o w e d t o w a n d e r , it o f t e n c o m e s u p w i t h c r e a t i v e
ideas and decisions. You m u s t let y o u r b o d y a n d m i n d rest to do
your best creative work.
4. Know Your Timewasters

T w o useful t a s k s to m a i n t a i n m a x i m u m efficiency are (a) deter
m i n e t h o s e t h i n g s that w a s t e y o u r t i m e a n d (b) w o r k o n r e d u c i n g or
e l i m i n a t i n g t h e m . D e v e l o p a m i n d - s e t that j u d g e s e v e r y activity in
t e r m s o f w h e t h e r it b r i n g s y o u c l o s e r to c o m p l e t i n g y o u r dissertation.
P e o p l e m u s t l e a r n to r e s p e c t y o u r t i m e as m u c h as y o u d o . M a k e a list
of 5 to 10 t i m e w a s t e r s in y o u r life a n d t h e n p r i o r i t i z e in o r d e r o f
importance. Determine what you think might b e the cause(s) of each
t i m e w a s t e r a n d g e n e r a t e s o m e p o s s i b l e s o l u t i o n s to r e d u c e or e l i m i
nate each one.
5. Reward Your Efforts

B e h a v i o r persists w h e n it is r e w a r d e d , so g i v e y o u r s e l f r e w a r d s
along the way. W h e n y o u m e e t a deadline, h a v e coffee w i t h a friend, d o
a c r o s s w o r d p u z z l e , rent a m o v i e , b u y y o u r s e l f a n ice c r e a m , or d o
s o m e t h i n g else that m a k e s y o u feel g o o d a b o u t y o u r a c c o m p l i s h m e n t .
Tell y o u r s e l f y o u c a n ' t d o that thing until y o u a c c o m p l i s h the allotted
a m o u n t o f dissertation w o r k . P u n i s h m e n t s c a n also w o r k . S o m e p e o p l e
find it useful to say, " I f I d o n ' t get this d o n e b y that date, then I c a n ' t do
Maintain Balance
F i n d i n g the right b a l a n c e b e t w e e n y o u r dissertation a n d the rest o f
y o u r life is difficult. All w o r k a n d n o p l a y p u t s c o n s i d e r a b l e p r e s s u r e
o n y o u . It c a u s e s illness, d e p r e s s i o n , b u r n o u t , a n d e x h a u s t i o n . M o s t
doctoral students I h a v e k n o w n report the first t h i n g that g o e s is their
fitness routine. T h e y a l s o m e n t i o n the strain the dissertation c a u s e s in
family relationships.
H a v i n g a life b e y o n d the dissertation is important. To finish, y o u
n e e d to put the dissertation first. T h i s m e a n s p u t t i n g other life areas o n
hold from time to time. However, you needn't always give up other
important life activities and devote every waking moment to your dis-
sertation. Working all the time will likely lead to burnout.
One way to get a handle on balancing your life while dissertating is
to write down all the things most important in your life (health, family,
friends, hobbies, fun, etc.). Then you can identify strategies to help keep
them in balance.
Strategies for Getting a Life While Dissertating

1. Take Care of Your Body
Because you must be well to do your best work, remember to get
plenty of rest and eat nutritious meals. Also, there is considerable evi-
dence about the benefits of deep breathing and regular exercise to your
well-being. The extra oxygen sent to the brain provides energy and
helps you think more clearly and creatively. It is also considered a
stress buster.
2. Increase Family Support

To maintain family support, block out hours during the week
for family and friends. For example, agree that Saturday nights are
available for socializing with friends, Wednesday and Friday nights
plus Sunday are reserved for family time. Such a plan maintains pos-
itive and healthy relationships with the important people in your
life. In addition, it cuts down on the guilt so many students feel when
these vital relationships are ignored. If you stay true to these time
commitments, your friends and family can readily adjust to the
schedule.
Another recommendation is to keep your family and friends
informed about how you're progressing on the dissertation and even
involve them as much as possible.
Children love being a part of some- The key to completing a dissertation
thing so significant in your life. Let is not brilliance or even inspiration,
them experience your university cam- but organization.
pus firsthand, and include them in all
- D a v i d Sternberg (1981)
celebratory activities.
Organizing effectively is critical to
your success in the dissertation journey. It takes time to learn to be effi-
cient with your time, but it's well worth the effort. I do hope you try
some of these techniques.
Summary
M a k e organization a n d p l a n n i n g a top priority in y o u r dissertation j o u r
ney. It is i m p o r t a n t to o r g a n i z e y o u r w o r k s p a c e so y o u c a n concentrate
a n d b e productive. It is e q u a l l y i m p o r t a n t to o r g a n i z e y o u r t i m e to m a x
imize e n e r g y a n d k e e p o n track. C r e a t e at least three s c h e d u l i n g plans:
(a) an overall dissertation timeline, (b) a daily or w e e k l y schedule, a n d
(c) a To-Do list. W o r k s m a r t b y d e v e l o p i n g efficient habits a n d routines
such as (a) w o r k i n g at a time w h e n y o u are m o s t productive, (b) learning
to say no, (c) scheduling frequent joy breaks, (d) knowing your timewasters,
a n d (e) r e w a r d i n g y o u r efforts. M a i n t a i n b a l a n c e b e t w e e n y o u r disser
tation a n d the rest o f y o u r life b y taking care o f y o u r b o d y a n d increas
ing family support.
F o l l o w i n g the g u i d e l i n e s a n d r e c o m m e n d a t i o n s p r e s e n t e d t h u s far
p u t s y o u firmly o n t h e p a t h a n d r e a d y to b e g i n t h e c l i m b to the top.
T h e n e x t c h a p t e r h e l p s y o u a c q u i r e the skills o f u s i n g t h e I n t e r n e t a n d
t e c h n o l o g y to c o n d u c t r e s e a r c h t h r o u g h o u t t h e v a r i o u s p h a s e s o f writ
i n g a d i s s e r t a t i o n a n d offers tips to k e e p y o u s a n e a n d p r o d u c t i v e in
the p r o c e s s .
PART III
Beginning the Climb
The journey of a thousand miles begins and ends with one step.
— L a o Tse
75
8
Using the Internet
and Technology
to Conduct Research
B e c o m e c o m p u t e r l i t e r a t e a n d I n t e r n e t s a v v y ! Y o u d o n ' t n e e d to
b e c o m e a c o m p u t e r g e e k , b u t y o u d o n e e d to u n d e r s t a n d h o w
to e x p l o i t y o u r c o m p u t e r to m a k e y o u r d i s s e r t a t i o n r e s e a r c h e a s i e r .
It b e h o o v e s y o u t o b e c o m e a p o w e r u s e r o f y o u r c o m p u t e r a n d its
m a j o r p r o g r a m s . T h e r e c e r t a i n l y a r e d o w n s i d e s to c o m p u t e r s . A n y
u s e r k n o w s t h e f r u s t r a t i o n o f c r a s h e s , l o s t files, a n d i n o p e r a b l e soft
w a r e . B u t for t h e m o s t p a r t , it w i l l b e y o u r b e s t f r i e n d a n d m o s t
e s s e n t i a l t o o l for c o m p l e t i n g y o u r d i s s e r t a t i o n . H a r d w a r e a n d soft
w a r e a d v a n c e s c o n t i n u e to m a k e c o n d u c t i n g r e s e a r c h m o r e and
m o r e efficient.
T e c h n o l o g y a n d t h e I n t e r n e t m a y b e u s e d in a v a r i e t y o f w a y s
t h r o u g h o u t t h e d i s s e r t a t i o n p r o c e s s . T h e y m a y b e u s e d for the
following.
N u m e r o u s s o f t w a r e p a c k a g e s a r e a v a i l a b l e to h e l p y o u in e a c h o f
t h e a r e a s l i s t e d . It is b e y o n d t h e s c o p e o f t h i s b o o k to p r o v i d e in-
depth information. Several online resources, books, and articles are
a v a i l a b l e to a s s i s t y o u . I w i l l , h o w e v e r , offer s o m e r e s o u r c e s a n d
h e l p f u l tips for u s i n g t h e I n t e r n e t a n d t e c h n o l o g y in t h e r e s e a r c h
process.
76
Using the Internet and Technology to Conduct Research 77
Writing the Dissertation Conducting Literature Searches

• Word processing • Online access to libraries
• Editing and revising • Internet search engines
• Spelling • Online databases
• Thesaurus • CD-ROM searches
• Outlining and mind mapping • Online note cards
• Style • Abstracts
• Other writing aids-—Internet • Scanning
• Speech recognition software • Managing bibliographies
Preparing Surveys
• Mailing labels
• Survey processor
• Desktop publishing
Collecting and Analyzing Data Communicating Via the Internet

• Fax • E-mail
• E-mail • Wikis
• Interview notes (software for voice • Discussion groups and forums
input) • World Wide Web indexes and
• Database for tracking data
• Statistical analysis • Chat rooms
• Qualitative analysis • UseNet news groups
• Questionnaires on e-mail and • Weblogs (blogs)
websites • Conferencing software
• Computerized polling
• Digital tablets
Conducting Literature Searches
CAVEAT
Remember, anyone can put whatever they like on the Web. The information may
or may not be accurate. Always be a critical and careful consumer of
information and ensure that the information source is valid. Refereed journals,
books, and so on are still the key to high-quality information collection.
To c o n d u c t a n effective literature s e a r c h r e q u i r e s specific k n o w l e d g e

a n d skills. Y o u s h o u l d b e c o m e familiar w i t h s e a r c h e n g i n e s a n d h o w
t h e y w o r k (e.g., u s i n g k e y w o r d s , B o o l e a n o p e r a t o r s , t r u n c a t i o n , a n d
online help).
78 Beginning the Climb
Search Engines
Search e n g i n e s are tools d e s i g n e d to s c a n the W o r l d W i d e W e b for
sites a n d p a g e s , w h i c h are t h e n stored in i n d e x e s or databases. Y o u
search the c o n t e n t s o f d a t a b a s e s b y t y p i n g selected k e y w o r d s in the text
b o x located o n the search e n g i n e ' s h o m e p a g e . T h e search e n g i n e t h e n
retrieves d o c u m e n t s that m a t c h y o u r k e y w o r d s a n d displays the results
r a n k e d in order o f that e n g i n e ' s relevance.
Comparisons of Search Engines

T h e three major search e n g i n e s u s e d t o d a y are G o o g l e ( w w w . g o o g l e
.com), Yahoo! S e a r c h ( h t t p : / / s e a r c h . y a h o o . c o m ) , a n d A s k . c o m ( w w w
.ask.com). A search engine for scholarly or a c a d e m i c links is G o o g l e
Scholar ( h t t p : / / s c h o l a r . g o o g l e . c o m ) . Y o u will find m a n y p e e r - r e v i e w e d
articles, b o o k s , a n d so on, as w e l l as h o w often t h e y are cited in other
publications.
A t a b l e d e t a i l i n g t h e features o f r e c o m m e n d e d s e a r c h e n g i n e s w a s
developed b y the Teaching Library at the University o f California at
Berkeley (www.lib.berkeley.edu/TeachingLib/Guides/Internet/Search
Engines.html).
T h e r e are also specialty search e n g i n e s a n d virtual libraries in differ
ent disciplines, s u c h as the W W W Virtual L i b r a r y for A n t h r o p o l o g y
( w w w . a n t h r o p o l o g i e . n e t ) or for S o c i o l o g y ( h t t p : / / s o c s e r v . m c m a s t e r
. c a / w 3 v i r t s o c l i b ) , a n d so on.
You c a n find l i s t i n g s for a v a r i e t y o f s p e c i a l t y s e a r c h e n g i n e s at
SearchEngineGuide (www.searchengmeguide.com/searchengines.html).
A v a l u a b l e resource for searching the " D e e p W e b " (a vast repository
of i n f o r m a t i o n n o t a c c e s s i b l e b y s e a r c h e n g i n e s a n d d i r e c t o r i e s ) m a y
b e found o n the O n l i n e C o l l e g e B l o g titled "Useful Tips a n d Tools to
Research the D e e p W e b . " T h e author provides tips, strategies, and helpful
articles a n d resources for d e e p searching (www.online-college-blog
. c o m / i n d e x . p h p / f e a t u r e s / 1 0 0 - u s e f ul-tips-and-tools-to-research-the
deep-web).
Online Help
Instructions for using search e n g i n e s are built into the s y s t e m . L o o k

for online h e l p b u t t o n s or links s u c h as " a d v a n c e d s e a r c h " a n d "search
tips." C o n s u l t online h e l p to learn the following:
• H o w to enter searches
• W h a t truncation s y m b o l to u s e
• H o w to display results
• H o w to print or d o w n l o a d records
Evaluating Websites
Since a n y o n e c a n p o s t i n f o r m a t i o n o n the Internet w i t h o u t a n y over
sight or editing or fact c h e c k i n g , it is i m p o r t a n t that y o u e v a l u a t e a n y
information that y o u find o n the Internet to d e t e r m i n e its credibility a n d
authority before using it in y o u r research. L o o k at the U R L to see if it is
a p e r s o n a l w e b s i t e , an e d u c a t i o n a l site, a c o m m e r c i a l site, or a nonprofit
organization site. L o o k for a u t h o r s h i p o f the site (is there an " A b o u t U s "
link s o m e w h e r e o n the p a g e ? ) a n d w h e n the p a g e w a s last u p d a t e d .
D o e s the site try to p e r s u a d e or to sell s o m e t h i n g , or is it s i m p l y p r o
v i d i n g information? Is there a n y b i a s that y o u c a n detect? C a n y o u val
idate the information t h r o u g h a n o t h e r s o u r c e ? T h e Teaching L i b r a r y at
the U n i v e r s i t y o f California at B e r k e l e y h a s a n o t h e r e x c e l l e n t g u i d e o n
evaluating web pages (www.lib.berkeley.edu/TeachingLib/Guides/
Internet/Evaluate.html).
Social Networking on the Web (Web 2.0)

Social m e d i a is b e c o m i n g an important tool for research. T h e emerg
ing p o w e r o f the World W i d e W e b involves the p o w e r o f p e o p l e around
the w o r l d to post, discuss, a n d c o m m e n t o n information relevant to
them. A s a researcher, this p o w e r allows y o u to tap into the k n o w l e d g e of
r e s e a r c h e r s a r o u n d the w o r l d . A c c o r d i n g to 0 D o c h a r t a i g h (2007),
" W e b 2.0 is u s e d as a shorthand to describe a n e w generation o f online
services that, a m o n g other things, integrate writer and reader, producer
and c o n s u m e r a n d b l u r the b o u n d a r i e s b e t w e e n b o t h " (p. 99). S o m e aca
demic journals n o w p r o m o t e online discussion and c o m m e n t a r y on their
published articles. Here are s o m e relevant resources for y o u to investigate
to see h o w y o u m i g h t b e able to u s e t h e m for y o u r dissertation research.
Blogs
One genre for W e b c o m m u n i c a t i o n is the blog. T h e t e r m blog, a con

traction o f web log, is u s e d for a website with free searchable journals of
opinions and links u p d a t e d daily b y an individual or a group displayed in
reverse chronological order. T h e y provide c o m m e n t a r y o n a particular
subject, describe events, or function as personal online diaries. Blogs usu
ally c o m b i n e text, images, a n d links to other b l o g s and W e b pages related
to its topic. A n appealing feature o f b l o g s is the ability for readers to leave
c o m m e n t s o n the items posted. Accessing b l o g s as a researcher can pro
vide a perspective o n your topic that is unavailable elsewhere. According
to 0 Dochartaigh (2007), " I f y o u r research involves an issue o f c o n t e m p o
rary controversy, this provides a genuinely novel kind o f resource for
detailed investigation o f the minute details of very specific issues" (p. 100).
Searching Blogs
There are a variety o f b l o g search engines available; however, I found

G o o g l e Blog Search to b e o n e of the fastest and o n e that returns posts right
o n topic. T h e m a i n focus of G o o g l e Blog Search is o n relevance, but posts
can also b e sorted b y date (click o n the top right o f the results page). In
addition, y o u can keep track o f n e w postings in y o u r areas of interest via
R S S feeds—short s u m m a r i e s sent from y o u r favorite websites.
Wikis
For group projects, a w i k i is a wonderful resource. A w i k i is a w e b -
site that users c a n c h a n g e u s i n g a w e b browser. O n e o f the b e s t k n o w n
wikis is W i k i p e d i a , the e n c y c l o p e d i a created a n d edited b y its users.
Since a n y o n e can p o s t to s o m e w i k i s , y o u n e e d to b e careful to evaluate
the information a n d the credibility o f the p e o p l e p o s t i n g the informa
tion. D o a G o o g l e search o n a topic s u c h as "bilingual e d u c a t i o n w i k i s , "
a n d y o u will find a variety o f resources.
Other Helpful Technology

To h e l p in y o u r literature review, c o n s i d e r s o m e t e c h n o l o g y c u r r e n t l y
o n the m a r k e t . F o r e x a m p l e , to p e r s o n a l l y t r a c k y o u r r e a d i n g , s c a n n e r s
can b e v e r y helpful. T h r e e t y p e s o f s c a n n e r s are a v a i l a b l e for s c a n n i n g
text into y o u r c o m p u t e r : a flatbed scanner, a s m a l l p o r t a b l e scanner,
a n d a p e n scanner. P e n s c a n n e r s slide o v e r text m u c h like a h i g h l i g h t e r
a n d c a n h o l d u p to 1,000 p a g e s o f s c a n n e d text. W h e n y o u ' r e d o n e
s c a n n i n g , y o u c a n transfer t h e text directly to y o u r c o m p u t e r . T h i n k o f
all the t i m e y o u c a n s a v e b y b r i n g i n g y o u r l a p t o p c o m p u t e r a n d p e n
s c a n n e r to the l i b r a r y w h e n y o u d o y o u r literature search!
T h e digital tablet is a n o t h e r t e c h n o l o g y i t e m to consider. Y o u c a n
m a k e h a n d - w r i t t e n notes directly onto the screen as y o u w o u l d w i t h
p e n and paper. It is especially useful for d r a w i n g graphics that m i g h t b e
difficult to d o w i t h a m o u s e . Your n o t e s a n d graphics c a n then transfer
to y o u r computer.
T h e m a r k e t o n p e r s o n a l digital assistants ( P D A s ) is e x p a n d i n g dra
matically. T h e s e portable devices k e e p track o f y o u r calendar, contacts,
and e-mail. T h e y also e x c h a n g e information w i t h P C s a n d other P D A s ,
d o w n l o a d m u s i c , a l l o w y o u to surf the w e b , a n d m o r e . S e v e r a l types are
available, s u c h as W i n d o w s P o w e r e d P o c k e t P C a n d P a l m O S . O n e w a y
to find out a b o u t these devices is to c o n d u c t an Internet search. F o r
e x a m p l e , enter " p e r s o n a l digital a s s i s t a n t s" o n G o o g l e .
A n o t h e r helpful tool in w r i t i n g y o u r dissertation is s p e e c h recogni
tion software. T h i s software e n a b l e s a c o m p u t e r to r e s p o n d to the
h u m a n v o i c e in p l a c e o f a k e y b o a r d o r m o u s e . Y o u talk, it types! S o m e
products for your consideration are Dragon Naturally Speaking 9 Preferred,
W i n d o w s S p e e c h R e c o g n i t i o n ( i n c l u d e d w i t h the W i n d o w s Vista oper
ating s y s t e m ) , a n d for M a c s , M a c S p e e c h D i c t a t e .
You m a y also obtain a s m a l l digital r e c o r d e r that a l l o w s y o u to i n p u t
data from a n y w h e r e . Y o u c a n c a p t u r e m e e t i n g s , i n t e r v i e w s , p h o n e calls,
p e r s o n a l t h o u g h t s , a n d so on, w h i c h c a n t h e n b e transferred directly
into y o u r c o m p u t e r t h r o u g h the s p e e c h r e c o g n i t i o n p r o g r a m . T h e r e are
several p r o d u c t s o n the m a r k e t : Sony, O l y m p u s , a n d D r a g o n are s o m e
y o u m i g h t l o o k into.
D i s s e r t a t i o n s u p p o r t g r o u p s m i g h t find c o n f e r e n c i n g software a n
excellent w a y to h o l d w e b m e e t i n g s or o n l i n e c o n f e r e n c e s . Y o u c a n find
out about two good programs at t h e following sites: G e n e s y s
(www.genesys.com) and Saba Centra (https://nal.saba.com/Default
.aspx).
Using the Internet for Data Collection

T h e Internet h a s b e c o m e m o r e t h a n a p l a c e to locate a n d d i s s e m i n a t e
information; it c a n b e a m e t h o d o f data collection as w e l l . B e c a u s e o f the
proliferation o f s u r v e y a u t h o r i n g software p a c k a g e s a n d online s u r v e y
services, collecting data from the Internet h a s b e c o m e easier a n d faster.
T h e following b o o k s c a n assist y o u w i t h information a b o u t survey
d e s i g n a n d u s i n g the Internet to collect s u r v e y data.
Best, S., & Krueger, B. (2004). Internet data collection (quantitative applications in
the Social Sciences). Thousand Oaks, CA: Sage.
Couper, M. (2008). Designing effective web surveys. New York: Cambridge
University Press.
Dillman, D. (2007). Mail and Internet surveys: The tailored design method (2nd ed.).
New York: Wiley.
Sue, V. (2007). Conducting online surveys. Thousand Oaks, CA: Sage.
If y o u are c o n s i d e r i n g c o n d u c t i n g a w e b survey, I h i g h l y r e c o m
m e n d that y o u r e a d the f o l l o w i n g article:
Wright, Κ. B. (2005). Researching inter-based populations: Advantages and dis
advantages of online survey research, online questionnaire authoring soft
ware packages, and web survey services, journal of Computer-Mediated
Communication, 30(3), article 11. Available from http://jcmc.indiana.edu/
voll0/issue3/wright.html
T h i s v e r y helpful article d i s c u s s e s the a d v a n t a g e s a n d disadvan

tages o f c o n d u c t i n g o n l i n e s u r v e y research a n d e v a l u a t e s v a r i o u s w e b
s u r v e y software p a c k a g e s a n d o n l i n e survey-related s e r v i c e s in t e r m s o f
their available features, costs, a n d limitations.
A n o t h e r excellent r e s o u r c e that discusses m e t h o d s o f online data

access, analysis, a n d collection is
Rudestam, Κ. E., & Newton, R. R. (2007). Surviving your dissertation: A compre

hensive guide to content and process. Thousand Oaks, CA: Sage.
In the c h a p t e r titled " O n l i n e D a t a A c c e s s a n d C o l l e c t i o n , " the

authors describe strategies for a c c e s s i n g p r i m a r y a n d s e c o n d a r y data
a n d Internet-based data analysis. I n c l u d e d in the c h a p t e r are t w o c o m
p r e h e n s i v e tables that p r o v i d e (1) data archives a n d libraries w i t h the
n a m e of the site, U R L , a n d c o m m e n t s ; a n d (2) online services for s u r v e y
d e s i g n a n d data collection.
Using Your Library's Electronic Search Capability

It is essential that y o u b e c o m e familiar with your university's library.
Cultivate a librarian or t w o w h o c a n assist y o u in learning the ins a n d
outs of the library. Also, m o s t librarians are highly skilled in researching
topics, w h i c h c o m e s in h a n d y w h e n conducting literature reviews. M a n y
university libraries maintain large collections of electronic databases a n d
online catalogs. Often, y o u m a y d o w n l o a d full dissertations a n d theses.
Using Your Instructional Technology Center

Frequently, universities' instructional t e c h n o l o g y centers p r o v i d e ser
vices for students in the u s e o f t e c h n o l o g y a n d m u l t i m e d i a . Y o u m a y
receive technical s u p p o r t a n d training in v a r i o u s software p r o g r a m s .
Additional Online Resources

Dissertation D o c t o r www.dissertationdoctor.com
ASGS www.asgs.org
Writing and Presenting Your Thesis or www.learnerassociates.net/
Dissertation (S. Joseph Levine, P h D ) dissthes
Citation S t y l e s O n l i n e ( M L A / A P A / www.bedfordstmartins.com/on
Chicago/CBE) line/citex.html
Tips to Keep You Sane and Productive

A s y o u u s e y o u r c o m p u t e r to write y o u r dissertation, these tips will
p r o v e invaluable.
1. B e c o m e familiar w i t h y o u r c o m p u t e r software a n d accessories

before b e g i n n i n g y o u r dissertation research. Familiarity w i t h
t e c h n o l o g y resources s a v e s y o u m u c h t i m e a n d frustration a n d
i m p r o v e s the a p p e a r a n c e o f y o u r dissertation.
2. U s e y o u r required style m a n u a l at the outset. It's m u c h easier

a n d s a v e s c o n s i d e r a b l e t i m e if y o u d e v e l o p the habit o f citing
information in the correct style rather t h a n revising it later.
3. Computers crash at very inopportune times, so b e sure to back up all

your files regularly o n t h u m b drives, external hard drives, C D s , or
D V D s . B e sure to place t h e m in a place safe from fire, flood, theft,
or other catastrophes. You might keep one at the office, at a friend's
house, or in a safe-deposit b o x . Your w o r k is too valuable to lose.
R e m e m b e r that M u r p h y ' s L a w also prevails in the research world.
4. S a v e y o u r w o r k as y o u g o along. After e v e r y few sentences, click

o n " S a v e . " Y o u w o n ' t regret it. W o r d p r o c e s s i n g p r o g r a m s such
as W o r d h a v e a " S a v e A u t o R e c o v e r " function. T h e user can
define the frequency d o w n to e v e r y o n e m i n u t e . G o to " W o r d
O p t i o n s , " " S a v e , " t h e n click in the " S a v e A u t o R e c o v e r info
every: m i n u t e s " b o x a n d c h a n g e the t i m e to o n e m i n u t e .
5. B u y a surge protector to plug your computer into in case o f electric-

ity blackouts or surges. A b e t t e r protective device is an uninterrupt-
ible p o w e r supply (UPS). This device allows your computer to keep
running for a short time w h e n p o w e r is lost. It contains a battery
that kicks in w h e n it senses a loss of power, w h i c h gives y o u time
to save any data y o u are working on. W h e n p o w e r surges occur, a
U P S intercepts the surge so it doesn't d a m a g e your computer.
6. Before m a k i n g revisions, c o p y y o u r draft into another file with a

different n a m e a n d date it. This w a y y o u can keep your original
draffs intact. You m a y decide later that an earlier version w a s best.
7. D o n o t b o r r o w software. First o f all, it is illegal, a n d viruses c a n

a p p e a r a n d c a u s e great h a v o c .
8. P u r c h a s e a high-quality virus protection p r o g r a m . Virus protec-

tion software s u c h as S y m a n t e c ' s " N o r t o n A n t i v i r u s " a n d
M c A f e e are d e s i g n e d to p r e v e n t or b l o c k viruses, w o r m s , Trojan
h o r s e s , a n d so on.
REMEMBER
"If anything can go wrong, it will!" And, "If there is a possibility of several things
going wrong, the one that will cause the most damage will be the one to go wrong."
Corollary: "If there is a worst time for something to go wrong, it will happen then."
9. Purchase firewall software if y o u h a v e a D S L - or cable-connected

system. It protects y o u from hackers. T h e following are three
excellent options:
Symantec www.symantec.com
BlacklCE Defender www.black-ice-firewall.com
ZoneAlarm www.zonealarm.com
T h e s e c a n b e d o w n l o a d e d from the W e b . S y m a n t e c offers free

d o w n l o a d s . B l a c k l C E D e f e n d e r c a n b e d o w n l o a d e d for pur
chase. Z o n e A l a r m has several options available for d o w n l o a d
a n d p u r c h a s e . Firewalls c a n create access p r o b l e m s w i t h p r o x y
servers, so b e w a r e !
10. P a y attention to y o u r p h y s i c a l self w h i l e sitting at the computer.
Set your computer up e c o n o m i c a l l y and use a proper
e r g o n o m i c chair a n d g o o d posture. To learn h o w to set u p y o u r
w o r k s p a c e for g o o d e r g o n o m i c s , refer to P a s c a r e l l i ' s ( 2 0 0 4 )
Dr. Pascarelli's Complete Guide to Repetitive Strain Injury: What You
Need to Know About RSI and Carpal Tunnel Syndrome.
11. A l s o , c o n s i d e r p u r c h a s i n g a glare protector for y o u r screen to
help w i t h eyestrain. T h e r e are also special eyeglasses for use
w h i l e reading a c o m p u t e r screen.
12. Take frequent breaks. Stretch, g o for a w a l k , p l a y w i t h y o u r dog.
Technology continues to c h a n g e at an a m a z i n g pace, w h i c h m a k e s it

difficult to m a k e too m a n y hard-and-fast recommendations. B y the time
y o u read this chapter, it could b e obsolete! I attempted to provide the
most up-to-date w e b addresses available; however, b e c a u s e websites con
stantly change, it is impossible to stay current for any length o f time. If
y o u find an invalid website, either because it doesn't exist a n y longer or
the address changed, simply d o a k e y w o r d search o n the subject. For the
time being, the information contained in this chapter should b e helpful as
y o u w o r k w i t h these m o s t important tools—technology and the Internet.
Summary
L e a r n i n g to use the Internet a n d t e c h n o l o g y efficiently s a v e s consider
able time in c o n d u c t i n g y o u r research. T h e y are v a l u a b l e tools in all
p h a s e s o f the dissertation process: writing the d o c u m e n t , c o n d u c t i n g
the literature search, preparing surveys, collecting a n d a n a l y z i n g data,
a n d c o m m u n i c a t i n g via the Internet.
F o l l o w i n g the guidelines a n d r e c o m m e n d a t i o n s presented t h u s far
p u t s y o u firmly o n the p a t h a n d ready to c l i m b to the top. T h e n e x t
chapter h e l p s y o u acquire the skills to c o n d u c t a substantive, c o m p r e
hensive, a n d systematic literature r e v i e w in y o u r field o f interest.
9
Reviewing
the Literature
T he greatest gift y o u c a n g i v e y o u r s e l f as a researcher is to read a n d

a n a l y z e the literature s u r r o u n d i n g y o u r s t u d y as early as possible.
Too often, students see the literature r e v i e w as s o m e t h i n g to do w h i l e
w a i t i n g for their data to b e collected. T h i s m a y b e b e c a u s e t h e y d o n ' t
fully u n d e r s t a n d the i m p o r t a n c e a n d p u r p o s e o f the review. It m a y also
b e b e c a u s e t h e y are uncertain o f the e x a c t p r o c e d u r e s to follow for con
ducting a literature search. T h e i m p o r t a n c e o f a literature search is
stated b y H a r t (1998) in his b o o k Doing a Literature Review:
A r e v i e w o f the literature is i m p o r t a n t b e c a u s e w i t h o u t it y o u
will n o t acquire an u n d e r s t a n d i n g o f y o u r topic, o f w h a t h a s
already b e e n d o n e o n it, h o w it h a s b e e n researched, a n d w h a t
the k e y issues are. In y o u r w r i t t e n project y o u will b e e x p e c t e d
to s h o w that y o u u n d e r s t a n d p r e v i o u s research o n y o u r topic.
T h i s a m o u n t s to s h o w i n g that y o u h a v e u n d e r s t o o d the m a i n
theories in the subject area a n d h o w t h e y h a v e b e e n a p p l i e d a n d
d e v e l o p e d , as w e l l as the m a i n criticisms that h a v e b e e n m a d e o f
w o r k o n the topic, (p. 1)
A similar n o t i o n w a s a d v a n c e d b y B o o t e a n d Beile (2005) in their

article titled, "Scholars Before Researchers: O n the Centrality o f the
Dissertation Literature R e v i e w in Research Preparation." T h e y m a d e the
following points: " A substantive, thorough, sophisticated literature
review is a precondition for doing substantive, thorough, sophisticated
85
research A researcher cannot perform significant research without

first understanding the literature in the field. N o t understanding the prior
research clearly puts a researcher at a d i s a d v a n t a g e " (p. 3 ) .
A c o m p r e h e n s i v e , up-to-date literature r e v i e w a l l o w s y o u to get to
the frontier in y o u r area o f research a n d , at the s a m e time, b e c o m e an
expert in y o u r field. In addition, the insights a n d k n o w l e d g e y o u gain
provide the b a s i s for a better-designed s t u d y a n d e n h a n c e the possibil
ity o f obtaining significant results. A r e v i e w o f the literature is a vital
part o f the research process.
A l i t e r a t u r e r e v i e w is a t w o - p h a s e activity. I n t h e first p h a s e y o u
conduct the review b y identifying appropriate resources, searching
for r e l e v a n t m a t e r i a l s , a n d a n a l y z i n g , s y n t h e s i z i n g , a n d o r g a n i z i n g
t h e r e s u l t s ; t h e s e c o n d p h a s e is t h e a c t u a l w r i t i n g o f t h e r e v i e w —
t h a t w h i c h c u l m i n a t e s in t h e c o m p l e t e d p r o d u c t . The literature
r e v i e w s e c t i o n o f a s t u d y is f o u n d w h e r e r e f e r e n c e is m a d e to t h e
related research and theory around your topic. T h e location m a y
vary depending o n y o u r s e l e c t e d m e t h o d o l o g y . F o r e x a m p l e , in
s o m e q u a l i t a t i v e s t u d i e s , a u t h o r s m i g h t c h o o s e to l o c a t e t h e l i t e r a
ture section toward the end of the dissertation, following discussion
o f t h e e m e r g i n g t h e o r y , w h i c h , a c c o r d i n g to C r e s w e l l ( 2 0 0 8 ) , " a l l o w s
t h e v i e w s o f t h e p a r t i c i p a n t s to e m e r g e w i t h o u t b e i n g c o n s t r a i n e d
b y t h e v i e w s o f o t h e r s f r o m t h e l i t e r a t u r e " (p. 9 0 ) . R e s e a r c h e r s in
quantitative studies typically place their discussion of the literature
at t h e b e g i n n i n g o f a study, u s u a l l y in a s e p a r a t e c h a p t e r t i t l e d
" R e v i e w o f t h e L i t e r a t u r e . " F r e q u e n t l y , t h e l i t e r a t u r e is r e f e r r e d to
a g a i n at t h e e n d o f t h e s t u d y w h e n c o m p a r i n g t h e s t u d y ' s f i n d i n g s
to t h e l i t e r a t u r e .
This chapter helps y o u acquire the skills to conduct and write a thor
o u g h and systematic review o f the literature in y o u r field of interest. T h e
chapter includes the p u r p o s e and scope o f the literature review, notes on
its preparation, specific steps in conducting a literature review, and strate
gies and techniques for writing the literature review.
Purpose and Scope

W h a t is a literature r e v i e w ? A c c o r d i n g to C r e s w e l l (2008), " A literature
review is a written s u m m a r y o f j o u r n a l articles, b o o k s , a n d other d o c u
m e n t s that describe the p a s t a n d current state o f information; organizes
the literature into topics; a n d d o c u m e n t s a n e e d for a p r o p o s e d study."
(p. 89). R e v i e w i n g the literature involves locating, analyzing, synthesiz
ing, a n d organizing p r e v i o u s research a n d d o c u m e n t s (periodicals,
b o o k s , abstracts, etc.) related to y o u r s t u d y area. T h e goal is to obtain a
Reviewing the Literature 87
detailed, cutting-edge k n o w l e d g e o f y o u r particular topic. To d o this,

y o u m u s t i m m e r s e y o u r s e l f in y o u r subject b y reading e x t e n s i v e l y a n d
voraciously. A solid a n d c o m p r e h e n s i v e r e v i e w o f the literature a c c o m
plishes several i m p o r t a n t p u r p o s e s . It h e l p s y o u to d o the following:
1. F o c u s the p u r p o s e of y o u r s t u d y m o r e precisely
2. D e v e l o p a c o n c e p t u a l or theoretical f r a m e w o r k that m i g h t b e
u s e d to g u i d e y o u r research
3. Identify k e y v a r i a b l e s for s t u d y and suggest relationships

a m o n g t h e m if y o u are c o m p l e t i n g a quantitative study; if y o u
are c o n d u c t i n g a qualitative study, identify the c o n c e p t s or top
ics y o u p l a n to s t u d y
4. P r o v i d e a historical b a c k g r o u n d for y o u r s t u d y
5. U n c o v e r p r e v i o u s research similar to y o u r o w n that c a n b e

meaningfully extended
6. D e t e r m i n e the relationship o f y o u r topic relative to current a n d

p a s t studies
7. Identify scholars a n d theorists in y o u r area o f s t u d y
8. F o r m a b a s i s for d e t e r m i n i n g the significance o f y o u r s t u d y
9. U n c o v e r questionnaires or tests p r e v i o u s l y v a l i d a t e d
10. L i n k y o u r findings to p r e v i o u s studies ( D o y o u r findings sup

port or contradict t h e m ? )
I h o p e I c o n v i n c e d y o u of the i m p o r t a n c e o f d o i n g an early a n d c o m
p r e h e n s i v e r e v i e w o f the literature. T h e benefits are n u m e r o u s , espe
cially in the initial stages o f d e s i g n i n g a dissertation study.
O n e o f the b i g g e s t frustrations s t u d e n t s e n c o u n t e r is d e t e r m i n i n g
h o w l o n g a n d h o w c o m p r e h e n s i v e the r e v i e w s h o u l d b e . E v e n t h o u g h
y o u m u s t read b r o a d l y to d e v e l o p p e r s p e c t i v e a b o u t y o u r topic, d o n ' t
m a k e the m i s t a k e o f thinking that y o u m u s t i n c l u d e in the b i b l i o g r a p h y
e v e r y b o o k , article, or s t u d y read. T h e literature r e v i e w is n o t a n aggre
g a t i o n o f e v e r y b o o k a n d article related to y o u r topic; it is a l w a y s selec
tive. Therefore, y o u m u s t b e d i s c r i m i n a t i ng a n d i n c l u d e only the m o s t
relevant information. R e m e m b e r that bigger is not better! T h e s h o t g u n
a p p r o a c h indicates a lack o f k n o w l e d g e a b o u t w h a t is relevant informa
tion. Unfortunately, n o m a g i c formula exists to g u i d e y o u r selection; it
is a j u d g m e n t call o n y o u r part. Y o u k n o w it is t i m e to quit w h e n y o u
k e e p e n c o u n t e r i n g the s a m e references a n d c a n ' t find i m p o r t a n t n e w
resources.
G e n e r a l l y s p e a k i n g , m o s t advisors prefer the literature review

chapter to b e a r o u n d 2 0 to 4 0 p a g e s . H o w e v e r , k e e p in m i n d that this
can v a r y d e p e n d i n g o n the b r e a d t h a n d c o m p l e x i t y o f y o u r s t u d y a n d
the preferences o f y o u r advisor. Take time to clarify w i t h y o u r advisor
his or h e r preferences prior to writing the review.
Preparation
In m u c h the s a m e w a y y o u r advisor b e c o m e s y o u r significant other dur
ing the dissertation process, the library b e c o m e s y o u r second h o m e .
M u c h time is spent there, a n d it b e h o o v e s y o u to c o m p l e t e l y familiarize
yourself w i t h the library before starting y o u r literature review. K n o w
w h a t references are available a n d w h e r e to find them, w h a t services the
library provides, a n d the regulations a n d procedures regarding the u s e
of library materials. S p e n d t i m e b r o w s i n g the stacks; use call n u m b e r s
related to y o u r topic to find the appropriate sections.
It is also w i s e to c u l t i v a t e a l i b r a r i a n or t w o . T h e i r k n o w l e d g e a n d
e x p e r t i s e c a n s a v e y o u c o n s i d e r a b l e t i m e s e a r c h i n g for i n f o r m a t i o n .
M o s t l i b r a r i a n s are w i l l i n g to m a k e a p p o i n t m e n t s to h e l p y o u c r e a t e
a s e a r c h strategy, d e t e r m i n e a p p r o p r i a t e p r i n t a n d e l e c t r o n i c data
b a s e s for y o u r r e s e a r c h n e e d s , a n d e x p l a i n i n t e r l i b r a r y l o a n s e r v i c e s
a v a i l a b l e to y o u . It is a l s o a g o o d i d e a to c o n s u l t l i b r a r i a n s a b o u t n o n
t r a d i t i o n a l s o u r c e s o n y o u r topic, s u c h as t h i n k t a n k s , p r o f e s s i o n a l
a s s o c i a t i o n s , g o v e r n m e n t d o c u m e n t s , a n d p u b l i c a t i o n s from nonprofit
organizations.
D o take t i m e to explore other libraries a n d materials centers. Y o u
m a y b e able to u s e regional college or university or special libraries n e a r
y o u r h o m e t h r o u g h consortia a r r a n g e m e n t s w i t h y o u r h o s t university.
You m a y also b e able to p u r c h a s e a library card to get access to another
library; however, s p e n d t i m e d o i n g an o n l i n e search o f the library's cat
alog for relevant resources before s p e n d i n g y o u r money. A s k y o u r local
librarian to h e l p y o u locate local libraries or information centers that
m a y b e relevant to y o u r research.
Steps in Conducting a Literature Review

C o n d u c t i n g a t h o r o u g h a n d scholarly r e v i e w o f the literature i n v o l v e s
eight basic steps. T h e steps are n o t necessarily sequential; y o u will p r o b
ably m o v e b a c k a n d forth b e t w e e n t h e m .
Step 1: Identify k e y w o r d s or descriptors
Step 2: Create a search q u e r y

S t e p 3: Identify relevant literature sources
S t e p 4: S e a r c h the literature a n d collect relevant materials
Step 5: Critically read a n d a n a l y z e the literature
Step 6: S y n t h e s i z e the literature
Step 7: O r g a n i z e the literature
Step 8: Write the literature r e v i e w
Step 1: Identify Key Words or Descriptors

Before b e g i n n i n g a search o f the literature, it is important to develop
a search strategy that effectively locates useful, relevant information. This
involves identifying k e y w o r d s or descriptors to guide y o u r review o f the
literature. Begin b y creating a preliminary w o r k i n g title for y o u r study
that focuses y o u on w h a t it is y o u w a n t to know. B e c a u s e it's a w o r k i n g
title, it can always b e revised. A l s o , state a central research question that
describes the variables or concepts y o u n e e d to e x a m i n e in y o u r literature
review. Forcing yourself to write y o u r topic as a single question requires
y o u to bring it into clearer focus. T h e n , identify the k e y concepts in your
title a n d central research question. T h e following are s o m e examples:
• W h a t effect d o e s parental i n v o l v e m e n t h a v e o n the drop-out rate

of b i l i n g u a l m i d d l e s c h o o l s t u d e n t s ?
• W h a t are the differences b e t w e e n Mexicans and Mexican
A m e r i c a n s in their perceptions o f and feelings toward their pets?
• H o w d o e s l a n g u a g e u s e s h a p e the identity o f l a n g u a g e - m i n o r i t y
students?
Precise questions s u c h as these h e l p focus a n d g u i d e the literature

review. D e p e n d i n g o n the c o m p l e x i t y o f y o u r research, y o u m a y require
several research q u e s t i o n s to i n c o r p o r a t e all o f the v a r i a b l e s or c o n c e p t s
y o u w i s h to e x a m i n e in y o u r dissertation. A l s o i n c l u d e alternative w a y s
of p h r a s i n g a n d expressing c o n c e p t s a n d i d e a s b y consulting subject
dictionaries a n d e n c y c l o p e d i a s for the c o m m o n t e r m i n o l o g y in y o u r
s t u d y area. U s i n g an i n d e x or t h e s a u r u s is also a d v i s a b l e in order to
establish useful terms. Various a c a d e m i c disciplines h a v e their o w n the
sauri. S o m e e x a m p l e s are Thesaurus of ERIC Descriptors, Thesaurus of
Psychological Index Terms, a n d Sociological Indexing Terms. F i n k (2010)
described a thesaurus as " A controlled v o c a b u l a r y that p r o v i d e s a c o n
sistent w a y to retrieve information across fields that m a y u s e different
terms for the s a m e c o n c e p t " (p. 2 3 ) .
F r o m y o u r research question(s) a n d w o r k i n g title, c o m p i l e a list o f
k e y w o r d s , or descriptors, related to y o u r topic.
Example:
W h a t effect d o e s parental i n v o l v e m e n t h a v e o n the drop-out rate of
bilingual m i d d l e school students? K e y w o r d s are
• parental i n v o l v e m e n t
• drop-out rate
• bilingual
• m i d d l e school students
S y n o n y m s for parental i n v o l v e m e n t are parent participation, mother

involvement, a n d father involvement. S y n o n y m s for bilingual include
English as a second language a n d English language learners.
HELPFUL HINT
Since you will be returning to the library time and again to continue your review,
it is wise to develop a system of keeping track of which key words or descriptors
you have checked in which volumes of which indexes. One effective way is to use
a sheet of paper for each abstract or index you consult and create a matrix.
Across the top, include the key words, or descriptors, you selected for that
reference; down the left margin, list the dates of the volumes, starting with the
most recent. As you go through each volume, place a check under the descriptors
you used next to the date of the volume you used.
Step 2: Create a Search Query

O n c e y o u h a v e identified y o u r k e y w o r d s , y o u are r e a d y to create a
search query to use in the electronic databases. U s i n g the e x a m p l e from
Step 1, " W h a t effect d o e s parental i n v o l v e m e n t h a v e o n the drop-out
rate o f bilingual m i d d l e school s t u d e n t s ? " y o u w o u l d create a search
query that looks like this:
("parental i n v o l v e m e n t " or " m o t h e r i n v o l v e m e n t " or "father

i n v o l v e m e n t " or "parent participation") A N D (dropout* or
"drop out*") A N D (bilingual or " E n g l i s h l a n g u a g e learner*" or
" E n g l i s h as a s e c o n d l a n g u a g e " ) a n d ( " M i d d l e school student*"
or "junior h i g h school student*")
Boolean Operators
B o o l e a n operators define the relationships b e t w e e n w o r d s or g r o u p s

of w o r d s . T h e s e c o m m a n d s to the d a t a b a s e e x p a n d or limit y o u r search
b y c o m b i n i n g t e r m s u s i n g the w o r d s A N D , O R , or N O T . F o r e x a m p l e ,
to search for " W h a t effect d o e s a l c o h o l h a v e o n college s t u d e n t s ' self-
e s t e e m ? " type as y o u r w o r d s : alcohol, college students, self-esteem.
• AND n a r r o w s the search b y obtaining only those items w i t h b o t h

C o n c e p t 1 and C o n c e p t 2 ("college students" AND "self-esteem")
• OR b r o a d e n s the s e a r c h b y o b t a i n i n g all i t e m s w i t h either
C o n c e p t 1 or C o n c e p t 2 ("self-esteem" OR "self-confidence").
• NOT obtains i t e m s w i t h C o n c e p t 1 b u t eliminates t h o s e w i t h
C o n c e p t 2 ("alcohol" NOT "illegal drugs")
Notice that m u l t i w o r d phrases w e r e placed inside quotation marks.

This is necessary to search those w o r d s in that order as a phrase.
R e m e m b e r to put phrases o f t w o or m o r e w o r d s in quotation marks.
Truncation
T h r o u g h this process, y o u find variations o f key w o r d s b y adding a

truncation s y m b o l to the root. For example, to retrieve all variations on the
root " p s y c h o l o g " (i.e., to find psychological, psychologist, psychology), type
Psycholog*
Truncation s y m b o l s v a r y w i t h different databases (e.g., * ? $ ! ) .
Online Help
Instructions for u s i n g electronic d a t a b a s e s are built into the system.
L o o k for online h e l p b u t t o n s or links s u c h as " a d v a n c e d s e a r c h " a n d
"search tips." C o n s u l t o n l i n e h e l p to learn
• H o w to enter searches
• W h a t truncation s y m b o l to use
• H o w to display results
• H o w to print or d o w n l o a d records
Step 3: Identify Relevant Literature Sources

T h e b e s t p l a c e to b e g i n y o u r s e a r c h is w i t h the d a t a b a s e s a n d
i n d e x e s in y o u r a c a d e m i c area. T h e y h e l p y o u identify a n d l o c a t e
r e s e a r c h articles a n d o t h e r s o u r c e s o f i n f o r m a t i o n related to y o u r
r e s e a r c h topic. A d e t a i l e d d e s c r i p t i o n o f a v a i l a b l e s e c o n d a r y s o u r c e s is
b e y o n d t h e s c o p e o f this b o o k . H o w e v e r , as a n e x a m p l e , I list s o m e
m a j o r r e s o u r c e s t r a d i t i o n a l l y u s e d b y e d u c a t i o n a n d social s c i e n c e
r e s e a r c h e r s . To find r e s o u r c e s in y o u r specific a c a d e m i c d i s c i p l i n e , d o
a k e y w o r d s e a r c h in y o u r u n i v e r s i t y l i b r a r y ' s o n l i n e c a t a l o g for y o u r
d i s c i p l i n e (e.g., sociology, psychology, anthropology) f o l l o w e d b y the

w o r d handbook, encyclopedia, bibliography, thesaurus, dictionary, abstract,
measures, a n d so on. A l s o , c o n s u l t w i t h l i b r a r i a n s at y o u r u n i v e r s i t y
library o r w i t h faculty in y o u r g r a d u a t e p r o g r a m for r e s o u r c e s t h e y
turn to w h e n b e g i n n i n g a n e w r e s e a r c h project.
In p l a n n i n g y o u r search strategy, it is important to d e t e r m i n e w h i c h
a c a d e m i c disciplines are c o n d u c t i n g research in y o u r topic area. M o r e
than likely y o u r research overlaps w i t h other disciplines. F o r e x a m p l e : In
the third research question in Step 1, " H o w does l a n g u a g e u s e s h a p e the
identity of language-minority students?" you must decide what aca-
d e m i c disciplines might conduct research on this topic. Possibilities include
anthropology, psychology, education, communication, and sociology.
The following lists a variety o f literature sources:
Selected Multidiscplinary Databases
Academic Search Premier (EbscoHost)
Communication and Mass Media (EbscoHost)
Research Library (ProQuest)
Social Sciences Citation Index (Web of Science)
Wilson OmniFile (H. W. Wilson)
Selected Anthropology Databases
Anthropology Plus (FirstSearch)
AnthroSource (American Anthropological Association)
Anthropological Index Online (Royal Anthropological Institute)
Sociological Abstracts (Cambridge Scientific Abstracts)
Selected Education Databases
Education Resources Information Center (ERIC): http://eric.ed.gov/
Education Research Complete (EbscoHost)
Education Full-Text (H. W. Wilson)
ProQuest Education (ProQuest)
Selected Psychology Databases
PsycArticles (American Psychological Association)
Psyclnfo (American Psychological Association)

ProQuest Psychology (ProQuest)
Psychology and Behavioral Sciences Collection (EbscoHost)
Selected Sociology Databases
Sociological Abstracts (Cambridge Scientific Abstracts)
Soclndex With Full-Text (EbscoHost)
Social Sciences Index (H.W. Wilson)
Social Sciences Citation Index (Web of Science)
Social Services Abstracts (Cambridge Scientific Abstracts)
Bibliographies, Encyclopedias, and Dictionaries
Biographical Dictionary of Social and Cultural Anthropology
Cambridge Dictionary of Sociology
Corsini Encyclopedia of Psychology and Behavioral Science
Encyclopedia of Education
Encyclopedia of Leadership
Handbooks and Reviews of Research Literature
Bass and Stogdill's Handbook of Leadership
Handbook of Research on the Education of Young Children
Handbook of Research in Emotional and Behavioral Disorders
The Handbook of Research on Teaching
Handbook of School Psychology
Dissertations
American Doctoral Dissertations (print)
Dissertation Abstracts International (print)
Index to Tests Used in Educational Dissertations by Emily Fabiano
ProQuest Dissertations & Theses Database (ProQuest)
Literature Related to Published and Unpublished Measures
Published Measures (Reviews of Instruments)
ETS TestLink
(Continued)
(Continued)
(www.ets.org/portal/site/ets/menuitem.1488512ecfd5b8849a77bl3bc3921509/7vgnext
oid=ed462d3631df4010VgnVCM1000O022f95190RCRD&vgnextchannel=85afl97a484f40
10VgnVCM10000022f95190RCRD)
Mental Measurement Yearbook

(http://buros.unl.edu/buros/jsp/search.jsp) Free searching, but charges to see
review—also available full text from vendors such as EbscoHost
PRO-ED Test Review
Tests in Print
Unpublished Measures (Sample Instruments)
Assessments A to Z: A collection of 50 Questionnaires, Instruments, and Inventories
Handbook of Family Measurement Techniques (vol. 3)
Handbook of Organizational Measurement
Handbook of Tests and Measurement in Education and the Social Sciences
Measures for Clinical Practice
Scales for the Measurement of Attitudes
These are only a few sources of measurement available. Check with your library
and the Internet under your specific academic discipline.
Books
Ebrary (full text electronic books available through subscription by your library)
Google Book Search
(http://books.google.com/books?um=l&q=&btnG=Search+Books)
NetLibrary (full text electronic books available through subscription by your library)
Project Gutenberg (www.gutenberg.org/wiki/Main_Page)
WorldCat (catalog of library holdings worldwide) (www.worldcat.org)
Grey Literature
Grey literature is literature not available through published databases or indexes. It

can be in print and electronic formats. These are documents published by
governmental agencies, academic institutions, corporations, research centers,
professional organizations, and so on. Some examples are
• Working papers
• Technical reports
• Government documents
• Government documents
• Conference or symposia proceedings
• White papers
• Business documents
• Newsletters
• Monographs
• Letters and diaries
While these are not scholarly documents, they can provide up-to-date facts and
statistics to broaden knowledge about a particular topic. The downside is that
they are often difficult to find, and they must be carefully evaluated as they are
not peer reviewed. One way to locate grey literature is to search the agency or
institution that produces the literature; another w a y is to consult a librarian. For a
thorough explanation of grey literature and how to find it, refer to Doing a
Literature Search by Chris Hart (2004), Chapters 7 and 8. You will also find a
selection of web-based resources in grey literature at Grey Literature Network
Service (www.greynet.org).
Existing Literature Review and Systematic Literature Review Articles
These articles, including meta-analysis and meta-synthesis, consist solely of a

literature review and are invaluable sources of data. They provide a good
overview of research that has been conducted by synthesizing findings from
individual studies. Many peer-reviewed systematic reviews are available in
journals as well as from databases and other electronic sources. The bibliographic
references are also very helpful.
Additional Useful Sources
American Educational Research Association (www.aera.net)
U. S. Deparment of Education (www.ed.gov)
WestEd (www.wested.org)
U.S. Regional Educational Laboratories (http://ies.ed.gov/ncee/edlabs)
Locating Statistics (www.FedStats.gov)
United States Government Printing Office (www.gpo.gov)
Step 4: Search the Literature

and Collect Relevant Materials
B e g i n y o u r s e a r c h for r e l e v a n t l i t e r a t u r e b y s e a r c h i n g t h e d a t a b a s e s ,
i n d e x e s , b o o k s , a n d o t h e r s o u r c e s listed in S t e p 3. E x a m i n e y o u r results.
A r e t h e m a t e r i a l s y o u are f i n d i n g r e l e v a n t ? D o y o u s e e o t h e r k e y w o r d s
y o u c o u l d a d d or s u b t r a c t from y o u r s e a r c h ? D o p a r t i c u l a r a u t h o r s s e e m
to b e c o n d u c t i n g r e s e a r c h o n this t o p i c ? D o p a r t i c u l a r j o u r n a l s s e e m to
b e p u b l i s h i n g research in this area? U s e this information to h e l p y o u

focus y o u r search.
W h e n searching the Internet for literature, r e m e m b e r that s o m e infor
mation m a y n o t b e d e p e n d a b l e , m e a n i n g it has n o t p a s s e d the standards
of peer reviewers—journal editors or b o o k publishers. Creswell (2008)
elaborated this point b y stating, "Material obtained from W e b sites n o t in
national, refereed journals n e e d s to b e carefully screened to d e t e r m i n e
the qualifications of the author, the quality o f the writing, a n d the scope
and rigor o f data collection and a n a l y s i s " (p. 104). F o r additional infor
mation o n evaluating websites, please see C h a p t e r 8 in this b o o k .
O n c e y o u have reviewed the list of references located in your database
searches, the next step is to determine w h i c h b o o k s and articles are m o s t
relevant to your study and collect each primary source. Primary source
documents contain the original w o r k of researchers and authors. A s a seri
ous researcher, y o u should not rely solely o n secondary sources. T h e y do
not always provide reliable information. Secondary sources interpret, ana
lyze, or s u m m a r i z e primary sources. T h e y include such published w o r k s
as newspapers, encyclopedias, handbooks, conference proceedings, and so
on. Your review should b e b a s e d o n primary sources w h e n e v e r possible.
Collecting p r i m a r y literature consists o f b r o w s i n g , s k i m m i n g , read
ing, a n d p h o t o c o p y i n g b o o k s a n d d o c u m e n t s related to y o u r study. T w o
types of literature y o u s h o u l d collect for y o u r r e v i e w are the theoretical
literature a n d the research literature. Since m o s t dissertations h a v e a
theoretical b a s e , y o u n e e d to b e familiar w i t h t h o s e c o n c e p t u a l areas
related to y o u r study. In addition, y o u m u s t b e t h o r o u g h l y familiar w i t h
previous research in y o u r subject area.
C o l l e c t i n g literature is a n o n g o i n g p r o c e s s , a n d y o u n e e d s o m e
m e c h a n i s m for classifying it into t h o s e that h a v e a direct b e a r i n g o n
y o u r topic a n d t h o s e that b e a r g e n e r a l l y o n y o u r topic. S i n c e it is n o t
feasible to collect all the titles y i e l d e d in y o u r s e a r c h o f s e c o n d a r y
s o u r c e s , y o u m u s t b e s e l e c t i v e a n d c h o o s e o n l y t h o s e m o s t r e l e v a n t to
y o u r study. A l w a y s k e e p in m i n d y o u r s t u d y ' s p u r p o s e . A s y o u g a t h e r
a n d sort d o c u m e n t s , a s k yourself, H o w d o e s this relate to m y p r o b
l e m ? O n e s t r a t e g y is to c a t e g o r i z e e a c h b o o k or article as either very
important, moderately important, or somewhat important to y o u r study. If
y o u t o o k the t i m e to familiarize y o u r s e l f w i t h t h e library, l o c a t i n g a n d
o b t a i n i n g d o c u m e n t s will b e c o n s i d e r a b l y m o r e efficient.
Keeping Track of Pertinent Documents: Organizing Strategies

It is h e l p f u l to k e e p a r e c o r d o f e a c h b o o k or d o c u m e n t y o u c o n
sult. W i t h s o m a n y to r e a d , y o u c a n e a s i l y l o s e t r a c k o f t h o s e a l r e a d y
r e v i e w e d . Y o u s h o u l d p r e p a r e b i b l i o g r a p h i c c i t a t i o n s for e a c h . O n e
s i m p l e w a y is to list t h e b i b l i o g r a p h i c i n f o r m a t i o n o n i n d e x c a r d s
and keep t h e m arranged alphabetically b y the last n a m e of the

author. A n o t h e r w a y is to s i m p l y m a i n t a i n a n o n g o i n g r e c o r d o f t h e
b i b l i o g r a p h i c d a t a in y o u r c o m p u t e r . R e f e r e n c e m a n a g e m e n t soft-
w a r e p r o g r a m s y o u d o w n l o a d to y o u r c o m p u t e r , s u c h as E n d N o t e ,
P r o C i t e , C o n n o t e a , a n d Z o t e r o , e n a b l e y o u to c r e a t e a list o f c i t a t i o n s ,
a n d t h e y a u t o m a t i c a l l y c o n v e r t t h e m i n t o t h e a p p r o p r i a t e s t y l e for-
m a t . T h e n e w e s t r e l e a s e o f M i c r o s o f t W o r d 2 0 0 7 a l s o a l l o w s u s e r s to
choose a citation style format, such as APA. Reference m a n a g e m e n t
d a t a b a s e s , s u c h as R e f W o r k s , s t o r e y o u r c i t a t i o n s o n t h e i r s e r v e r a n d
a l l o w y o u to a c c e s s y o u r r e c o r d s f r o m a n y c o m p u t e r t h a t h a s a c c e s s
to t h e I n t e r n e t . C h e c k w i t h y o u r l i b r a r y o r y o u r g r a d u a t e p r o g r a m to
see which programs they provide or support.
A t this point, y o u m u s t decide o n the specific bibliographic style y o u
plan to u s e in y o u r dissertation. I r e c o m m e n d that y o u consult w i t h y o u r
advisor o n this issue. M a n y o f t h e m h a v e preferred styles o f citation.
A s e c o n d o r g a n i z i n g s t r a t e g y is to d e v e l o p a t w o - d i m e n s i o n a l
m a t r i x in w h i c h y o u identify the v a r i a b l e s or k e y d e s c r i p t o r s in e a c h
p u b l i c a t i o n y o u consult. To d o this, list y o u r v a r i a b l e s or d e s c r i p t o r s
across the top o f t h e p a g e . T h e n , d o w n the left-hand side o f the p a g e ,
list e a c h reference a n d its p u b l i c a t i o n date. Y o u c a n t h e n p l a c e a c h e c k
m a r k w h e r e the variable a n d reference intersect. F o l l o w i n g is an e x a m p l e
of this m a t r i x .
Example: Principles of Effective Professional Development

F i g u r e 9.1
Frequency of Reference
Name A Β C D Ε F G Etc.
Arpin, Krant, 1991 X
Betaini, Tafel, 1989 X X X X
Castle, 1989 X
Fullan, 1991 X X X X X X
Garmston, 1991 X X X X
Etc.
Total 16 9 9 11 15 12
SOURCE: Nevills (1995).

NOTE: The letters at the top of the table represent the principles of effective professional develop-
ment that were identified through a literature review. The total indicates the frequency with which
each item appeared.
A=Adults as learners; Β = Self-directing; C = Practical, relevant; D = Involved in planning; Ε = Evaluation
and assessment; F = Focus on needs and concerns; G = Mentoring feedback; etc.
T h i s m a t r i x provides a graphic portrayal o f the variables or c o n c e p t s

m o s t frequently d i s c u s s e d in the literature. N o t o n l y d o e s this process
help y o u k e e p track o f y o u r reading in the literature, it h e l p s y o u ini-
tially select y o u r variables a n d k e y c o n c e p t s y o u m i g h t w i s h to study. It
also is a g o o d m e c h a n i s m for d e v e l o p i n g y o u r research instruments.
A variation of this organizing strategy is the author-subtopic matrix in
w h i c h y o u note the specific p a g e s on w h i c h subtopic information can b e
located. This is accomplished b y putting the p a g e n u m b e r s across from
the subtopic and u n d e r the correct author. F o r example:
Authors
Subtopics McClellan, 1980 Hersey/Blanchard, 1988 Yuki, 1989
Sources of Power p. 280 p. 204 p. 14
Charisma, etc. p. 218 p. 204
After locating pertinent articles for review, y o u s h o u l d d o w n l o a d

the full text to y o u r c o m p u t e r ' s h a r d drive or to a p o r t a b l e storage
device such as a j u m p drive or external h a r d drive. If the articles are in
a print journal, p h o t o c o p y t h e m to read at a m o r e c o n v e n i e n t time. I
suggest y o u m a k e a c o m p l e t e p h o t o c o p y o f all articles central to y o u r
topic, especially those y o u w a n t to cite.
D i s s e r t a t i o n s directly relating to y o u r s t u d y c a n b e p u r c h a s e d f r o m
Proquest's Dissertation Express (www.proquest.com/products_
u m i / d i s s e r t a t i o n s / d i s e x p r e s s . s h t m l ) . Before p u r c h a s i n g , c h e c k w i t h
y o u r university library; the full text o f dissertations m a y b e available to
y o u at n o additional c h a r g e t h r o u g h t h e P r o Q u e s t D i s s e r t a t i o n s &
T h e s e s d a t a b a s e . O t h e r dissertations n o t available in the library m i g h t
b e o b t a i n e d t h r o u g h the interlibrary l o a n p r o c e s s .
Step 5: Critically Read and Analyze the Literature

W h i l e collecting y o u r literature, it is n e c e s s a r y to read it critically.
This i n v o l v e s questioning, speculating, evaluating, thinking through,
a n d a n a l y z i n g w h a t y o u read. W h a t original insights c a n y o u gather
about y o u r topic that are n o t stated in a n y o f the references? W h a t
important facts a n d o p i n i o n s relate to y o u r s t u d y ? A r e there i m p o r t a n t
issues that are n o t well addressed? Y o u m u s t b e able to evaluate a n d
integrate the material y o u read.
Noting and Summarizing References
1. Do an in-depth reading of your v e r y i m p o r t a n t publications first so

you can understand them thoroughly. Highlight i m p o r t a n t parts a n d
write d o w n a n y ideas, insights, or q u e s t i o n s that c o m e to y o u

w h i l e reading. Y o u c a n a l s o w r i t e o n sticky n o t e s or m a k e nota
tions in the m a r g i n s .
2. For every book or article you read, write a brief summary in your own
words that illustrates the essential points. A l s o i n c l u d e inferences
you can make about your study and conclusions you can draw
from the b o o k or article.
3. Be sure to accurately record the bibliographic reference exactly as it will

appear in the final reference list placed in the dissertation. I n c l u d e the
library call n u m b e r if it is a b o o k .
4. Develop a coding system so you can identify the type of materials con
tained on each summary sheet. Usually, this is d o n e b y y o u r vari
ables, k e y topics, or b y t h e descriptors u s e d in locating the
references. Write the n a m e at the top o f the sheet.
5. As you are reading, be alert for quotations that might be useful in pre
senting your review. If y o u find q u o t a b l e material, b e sure to c o p y
it carefully w i t h the q u o t a t i o n m a r k s a n d i n c l u d e the p a g e from
w h i c h it w a s taken. I n c l u d i n g q u o t a t i o n m a r k s h e l p s y o u r e m e m
b e r w h i c h s t a t e m e n t s are direct quotations. Y o u do n o t w a n t to
i n a d v e r t e n t l y p l a g i a r i z e o t h e r s ' i d e a s . T o o often, s t u d e n t s
o v e r u s e q u o t a t i o n s in their dissertations. A g o o d rule o f t h u m b
for d e t e r m i n i n g w h e t h e r or n o t to directly q u o t e an a u t h o r w a s
p r o v i d e d b y B o r g a n d G a l l (1983). T h e y said to q u o t e " o n l y m a t e
rials that are stated v e r y skillfully, or in v e r y c o n c i s e t e r m s , or are
typical a n d clear reflections o f a particular p o i n t o f v i e w the
s t u d e n t w i s h e s to illustrate" (pp. 1 8 2 - 1 8 3 ) . Try to limit the number
of direct quotations.
6. Place your summaries in a computer file and then print it out, leaving
wide margins. Y o u n o w h a v e a c o m p l e t e record o f w h a t the litera
ture stated a b o u t the v a r i a b l e s or k e y c o n c e p t s in y o u r study.
7. Read through your summaries and lookfor important themes, big issues,
commonalities, and differences. M a k e n o t a t i o n s in the m a r g i n s o f
y o u r s u m m a r y sheets. T h i s p r o v i d e s the basis for d e v e l o p i n g a
logical, c o h e r e n t outline.
A t e c h n i q u e that c a n b e u s e d in p r e p a r a t i o n for s y n t h e s i s w r i t i n g is
to build tables to summarize the literature, a t e c h n i q u e p r o m o t e d b y G a l v a n
(2006). H e b e l i e v e s that b u i l d i n g tables is an effective w a y to overview,
organize, a n d s u m m a r i z e the literature. In his b o o k , Writing Literature
Reviews, G a l v a n (2006) p r o v i d e d e x a m p l e s o n h o w to b u i l d s u m m a r y
tables s u c h as a table o f definitions a n d k e y t e r m s a n d c o n c e p t s , a table
of research m e t h o d s , a table o f research results, or a table that s u m m a

rizes theories relevant to y o u r study. O t h e r tables c o u l d s u m m a r i z e
related quantitative or qualitative studies. M a n y k i n d s o f tables c a n b e
d e v e l o p e d to help y o u get a c o m p r e h e n s i v e o v e r v i e w o f the literature,
w h i c h is quite useful in the early stages o f synthesizing literature.
Step 6: Synthesize the Literature

After y o u h a v e critically read a n d a n a l y z e d the collected literature,
it is time to synthesize the ideas a n d information that w a s gathered.
Synthesizing involves c o m p a r i n g , contrasting, a n d m e r g i n g disparate
pieces o f information into o n e coherent w h o l e that p r o v i d e s a n e w per
spective. This w o r k s m u c h like a j i g s a w puzzle: T h e individual pieces o f
information are p l a c e d into a n e w w h o l e , creating an original w o r k .
Critical synthesis is m o s t difficult for students to achieve. Too often,
students discuss the literature as a c h a i n o f isolated s u m m a r i e s o f pre
v i o u s studies, such as " W h i t e says . . . " ; " S m i t h found . . . " ; " F r e n c h c o n
c l u d e d . . . " w i t h n o a t t e m p t to e x p l a i n the relationship a m o n g t h e m or
to c o m p a r e w h a t is b e i n g studied. L i k e individual b e a d s o n a n e c k l a c e ,
they string together a series o f a n n o t a t i o n s that d e s c r i b e the current
state o f k n o w l e d g e about the s t u d y b u t fail to o r g a n i z e the material.
This reflects a s h o t g u n a p p r o a c h a n d m i s s e s the point o f an integrated
literature review. R e m e m b e r , b o o k s a n d articles are n o t b r i c k s w i t h m o r
tar b a n d i n g t h e m together. You n e e d to create the mortar.
A high-quality literature review reflects careful analysis o f all
sources a n d a critical synthesis in w h i c h y o u s h o w h o w p r e v i o u s stud
ies a n d information are related to e a c h other a n d to y o u r study.
D e s c r i b i n g trees represents the analysis p r o c e s s ; describing the forest is
the synthesis process a n d i n v o l v e s "creating a u n i q u e n e w forest"
(Galvan, 2 0 0 6 , p. 72). Y o u synthesize the literature w h e n y o u
• Identify relationships a m o n g studies (such as w h i c h ones w e r e

l a n d m a r k studies l e a d i n g to s u b s e q u e n t studies)
• C o m p a r e ( s h o w c o m m o n a l i t i e s ) a n d contrast ( s h o w differences)
the w o r k s , ideas, theories, or c o n c e p t s from v a r i o u s authors
• C o m m e n t o n the major t h e m e s a n d p a t t e r n s y o u d i s c o v e r e d
• S h o w e v i d e n c e o f c o m m o n results using data from multiple
sources
• D i s c u s s the pros a n d c o n s o f the issues
• E x p l a i n a conflict or contradiction a m o n g different sources
• Point out gaps in the literature, reflecting o n w h y these exist b a s e d
o n the u n d e r s t a n d i n g s y o u gained in reading in y o u r s t u d y area
• N o t e inconsistencies across studies o v e r t i m e
• M a k e generalizations across studies
• D i s c u s s h o w a n d w h y i d e a s a b o u t y o u r topic h a v e c h a n g e d o v e r
time
• M a k e c o n n e c t i o n s b e t w e e n the sources cited
• Discuss literature that has a direct b e a r i n g o n y o u r area o f study
Before y o u c a n w r i t e a g o o d s y n t h e s i s , h o w e v e r , y o u m u s t first rec-

o g n i z e t h e m a i n p o i n t s a n d k e y i d e a s o f the s o u r c e s y o u u s e . T h e n , as
y o u r e a d t h r o u g h y o u r w r i t t e n s u m m a r i e s , identify t h e m a j o r t h e m e s ,
trends, or p a t t e r n s a n d the b i g i s s u e s , c o m m o n a l i t i e s , a n d differences
a m o n g the different a u t h o r s , a n d identify y o u r o w n i n s i g h t s that g o
b e y o n d w h a t a n y o n e else said. W h e n y o u d o this, y o u b r i n g y o u r o w n
v o i c e f o r w a r d r a t h e r t h a n that o f t h e a u t h o r s cited. After all, this is
y o u r s t u d y a n d , therefore, it is y o u r r e s p o n s i b i l i t y to m a k e s e n s e o f t h e
literature to h e l p r e a d e r s s e e the i n f o r m a t i o n a n d y o u r topic in a n e w
w a y a n d in g r e a t e r d e p t h . T h e b o t t o m line is to c r i t i q u e t h e literature;
d o n ' t d u p l i c a t e it. T h i s s o u n d s e a s i e r t h a n it is, for r a r e l y are t h e s e
trends, p a t t e r n s , a n d s o o n s p e l l e d o u t in the literature. T h e y b e c o m e
a p p a r e n t to y o u as y o u d e v e l o p i n s i g h t into t h e b i g p i c t u r e that
emerged over time.
Techniques for Synthesizing the Literature
Various t e c h n i q u e s c a n b e u s e d to s y n t h e s i z e the literature. T h i s sec-

tion p r o v i d e s a n o v e r v i e w o f s o m e o f these techniques. O n e useful tech-
n i q u e I u s e w i t h doctoral s t u d e n t s is a synthesis matrix. A synthesis
m a t r i x chart identifies t h e m e s a n d patterns or a r g u m e n t s across sources.
T h e top o f the m a t r i x lists the v a r i o u s sources o f c o m p a r i s o n (by a u t h o r
or article), a n d the side represents the c o m m o n t h e m e s , a r g u m e n t s , or
m a i n ideas identified in the articles. S e e F i g u r e 9.2.
Figure 9.2 Visionary Leadership Synthesis Matrix
Common Themes Source 1 Source 2 Source 3 Source 4 Source 5

Vision is a key element in both • •
charismatic and transformational
leadership theories
The visioning process includes at • •
least two stages: creating the
vision and communicating the
vision
Visions are best developed • • •
collaboratively
(Continued)
Figure 92 (Continued)
Common Themes Source 1 Source 2 Source 3 Source 4 Source 5

Definitions of vision include the • • •
ideas of providing direction and
purpose
Vision seems vital to an •
organization's success
The outcome of visions is • •
commitment
Metaphors used • •
1. "Glue" that holds the school
together
Etc.
A synthesis m a t r i x s u c h as this h e l p s y o u b e g i n to link studies

together a n d identify the t h e m e s a n d patterns that a p p e a r across y o u r
literature sources.
A n o t h e r useful t e c h n i q u e for synthesis w r i t i n g is to bring your own
voice to the foreground. A c c o r d i n g to R i d l e y (2008), this m e a n s presenting
y o u r o w n v o i c e assertively b y "taking control o f the text a n d l e a d i n g
y o u r reader through the content. This c a n b e d o n e b y m a k i n g y o u r o w n
assertions w i t h appropriate citations to p r o v i d e support, a n d b y includ-
ing explicit linking w o r d s a n d p h r a s e s to s h o w c o n n e c t i o n s b e t w e e n
citations a n d the different sections a n d c h a p t e r s in the t e x t " (p. 1 3 1 ) .
R i d l e y ' s b o o k , The Literature Review: A Step-by-Step Guide for Students,
provides rich e x a m p l e s o n h o w to u s e l a n g u a g e a n d citations to fore-
g r o u n d y o u r o w n v o i c e in w r i t i n g y o u r literature review.
Constructing a "literature m a p " is an idea p r o m o t e d b y C r e s w e l l
(2009) in his b o o k , Research Design: Qualitative, Quantitative, and Mixed
Methods Approaches. T h i s t e c h n i q u e p r o v i d e s a visual s u m m a r y o f the lit-
erature—a figure or d r a w i n g . N o t o n l y d o e s this t e c h n i q u e p r o v i d e an
o v e r v i e w o f the existing literature, it also "helps y o u see overlaps in
information or major topics in the literature a n d c a n h e l p y o u d e t e r m i n e
h o w a p r o p o s e d s t u d y a d d s to or extends the existing literature rather
than duplicates p a s t s t u d i e s " (Creswell, 2 0 0 9 , p . 1 0 7 ) .
You c o u l d a l s o c r e a t e a s u m m a r y c h a r t o f t h e literature u s i n g a c o n -
c e p t m a p p i n g p r o g r a m s u c h as I n s p i r a t i o n (free 3 0 - d a y trial d o w n l o a d
a v a i l a b l e at w w w . i n s p i r a t i o n . c o m ) . A c o n c e p t m a p is a d i a g r a m s h o w -
i n g the r e l a t i o n s h i p s a m o n g c o n c e p t s . C o n c e p t s , u s u a l l y r e p r e s e n t e d
as b o x e s or circles, are c o n n e c t e d w i t h l a b e l e d a r r o w s in a d o w n w a r d -
b r a n c h i n g h i e r a r c h i c a l structure r e v e a l i n g r e l a t i o n s h i p s a n d p a t t e r n s
among concepts.
Step 7: Organize the Literature

O n c e analysis a n d s y n t h e s i s o f the literature are c o m p l e t e , y o u m u s t
c o n s i d e r h o w y o u r r e v i e w w i l l b e o r g a n i z e d a n d written. O f p r i m a r y
i m p o r t a n c e is that y o u r r e v i e w b e structured in a logical a n d coherent
manner. Too often, d i s c u s s i o n s o f related literature are d i s o r g a n i z e d
r a m b l i n g s . T h e r e is n o design, n o structure that o r g a n i z e s a n d integrates
the m a t e r i a l discussed. F o l l o w i n g are s o m e g u i d e l i n e s for organizing
y o u r review:
5e/ecf an Organizational Framework
Prior to w r i t i n g y o u r first draft, y o u n e e d to d e c i d e o n an organiza

tional structure for y o u r review. T h e r e are a variety o f organizational
principles to organize a n d structure y o u r literature review. B e l o w are
s o m e c o m m o n l y u s e d in social science research.
a. Chronological—the " a c o r n to o a k " approach. O r g a n i z i n g y o u r

r e v i e w c h r o n o l o g i c a l l y m e a n s that y o u g r o u p a n d discuss y o u r
sources in order o f their a p p e a r a n c e (usually p u b l i c a t i o n ) , high
lighting the e m e r g e n c e o f a topic o v e r a p e r i o d o f time. T h i s
a p p r o a c h is useful for historical research or other studies w h e r e
t i m e is a n i m p o r t a n t e l e m e n t .
b . Thematic—the "four schools o f t h o u g h t . . . " or "six themes that
e m e r g e . . . " approach. Organizing y o u r review thematically m e a n s
discussing your sources in terms of themes, topics, important con
cepts, or major issues. This approach integrates the literature and
depends o n y o u r ability to synthesize information effectively.
c. General to Specific—the " V " or "funnel" approach. First, discuss gen
eral material to provide a comprehensive perspective. Last, discuss
material m o s t closely related to y o u r study. R u d e s t a m and N e w t o n
(2007) u s e d the m e t a p h o r o f filmmaking to explain this approach.
T h e y discussed "long shots a n d close u p s " to display the degrees o f
depth required relative to the closeness and relevance of the litera
ture to your study. Long shots refer to a topic's b a c k g r o u n d infor
mation and are described m o r e generally. Medium shots are those
sources m o r e closely related to y o u r study and are critiqued in m o r e
detail. Close-ups refer to those sources with direct bearing o n your
study, thus requiring a m o r e critical examination.
Create a Topic Outline
If y o u w a n t y o u r r e v i e w to b e c o h e r e n t , logical, a n d w e l l o r g a n i z e d ,
create a topic outline. It h e l p s to d o this p r i o r to w r i t i n g ; h o w e v e r , d o n ' t
b e s u r p r i s e d if it c h a n g e s as y o u w r i t e . I n w r i t i n g y o u r outline, first list
the m a i n topics a n d t h e o r d e r in w h i c h t h e y s h o u l d b e p r e s e n t e d . T h e n ,
u n d e r e a c h h e a d i n g d e t e r m i n e the logical s u b h e a d i n g s . A d d i n g addi-
tional s u b h e a d i n g s d e p e n d s o n the c o m p l e x i t y o f y o u r p r o b l e m . T h e
outline h e l p s y o u see h e a d i n g s that n e e d r e a r r a n g i n g to create a logical
flow o f thought. F o l l o w i n g is an e x a m p l e o f a partial topic o u t l i n e from
a dissertation.
EXAMPLE: REVIEW OF THE LITERATURE

Topical Outline
A Case Study of the Perceived Characteristics and Life Events
That Enabled Four Women to Become University Presidents
I. Introduction
A. Focus on women college presidents
B. Overview of the areas to be covered
C. Restatement of the purpose of the study and its importance
II. Affirmative Action

A. Women's participation in higher education
B. Discrimination in access to education and employment
C. Legislative changes; women and underrepresented groups
III. Networks and Training Opportunities

A. Early studies about the status of women in education
B. Identification of women leaders and the development of networks
IV. Status of Women in Higher Education Administration

A. Lack of women presidents
B. Studies of women executives in higher education
1. Degrees attained
2. Age
3. Religious affiliation
4. Marital status
5. Career ladders
SOURCE: Cooper (1992).
With a c o m p l e t e d outline, y o u c a n sort y o u r references u n d e r their

appropriate s u b h e a d i n g s . T h e n y o u m u s t decide in w h i c h order the
h e a d i n g s s h o u l d b e presented. It is a c h a l l e n g i n g task to c o m b i n e a n d
interpret the literature into a well-organized a n d unified picture o f the
state o f k n o w l e d g e in y o u r area.
HELPFUL HINT
Obtain a 9" χ 12" box in which you can hang file folders. Then, create a file
folder for each heading and subheading in your outline. Insert the articles and
notes related to each in the folder. The advantage of putting them in a box
rather than a file cabinet is that you can keep it near your computer at all times,
and you can carry it with you if necessary.
Step 8: Write the Literature Review

P r e t e n d y o u r literature r e v i e w is a d i s c u s s i o n w i t h a friend regard-
ing w h a t a u t h o r s h a v e written a b o u t y o u r p r o b l e m area. Basically, y o u r
review is an informative " s t o r y " o f w h a t is k n o w n a b o u t y o u r topic—a
s u m m a r y o f the state o f the art. Y o u s h o u l d write for a n a u d i e n c e w h o
is intelligent b u t n o t k n o w l e d g e a b l e a b o u t y o u r study. T h i s m e a n s l i m -
iting as m u c h as p o s s i b l e j a r g o n a n d specialized n o m e n c l a t u r e .
Style Manuals
M o s t universities require consistent u s e o f a particular style m a n u a l

to format y o u r dissertation d o c u m e n t a n d to cite references. T h o s e
w i d e l y u s e d in the social s c i e n c e s are the following:
American Anthropological Association. (2003). AAA style guide. Retrieved from

www.aaanet.org/publications/style_guide.pdf
American Psychological Association. (2010). Publication manual of the American
Psychological Association (6th ed.). Washington, DC: American Psychological
Association.
American Psychological Association. (2007). APA style guide to electronic
resources. Available from http://books.apa.org/books.cfm?id=4210509
American Sociological Association. (1997). ASA style guide (2nd ed.).
Washington, DC: American Sociological Association.
American Sociological Association. (2008). A quick style guide for students writing
sociology papers. Retrieved August 18,2008 from www.asanet.org/page.ww?
name=Quick+Style+Guide&section=Sociology+Depts
Gibaldi, J. (2003). MIA handbook for writers of research papers (6th ed.). New York:
Modern Language Association of America.
Lipson, C. (2006). Cite right: A quick guide to citation styles—MLA, APA, Chicago,
the sciences, professions, and more. Chicago: University of Chicago Press.
Modern Language Association. (2008). MLA style manual and guide to scholarly
publishing (3rd ed.). New York: Modern Language Association of America.
Turabian, K. L. (2007). A manual for writers of term papers, theses, and dissertations:
Chicago style for students and researchers (7th ed.). Chicago: University of
Chicago Press.
University of Chicago. (2003). The Chicago manual of style: The essential guide for
writers, editors, and publishers (15th ed.). Chicago: University of Chicago Press.
I h i g h l y r e c o m m e n d that y o u b e c o m e familiar w i t h y o u r r e q u i r e d
style m a n u a l a n d b e g i n u s i n g it c o n s i s t e n t l y in w r i t i n g y o u r literature
r e v i e w as w e l l as o t h e r s e c t i o n s o f y o u r dissertation. It's n o t as e a s y as
it s e e m s to learn the n u a n c e s o f h e a d i n g s , in-text c i t a t i o n s , end-of-text
references, footnotes, a n d tables a n d figures. M a s t e r i n g t h e s e tech-
n i q u e s e a r l y s a v e s y o u c o n s i d e r a b l e t i m e a n d effort in t h e l o n g run.
Techniques for Writing the Literature Review

Typically, a r e v i e w o f the literature b e g i n s w i t h a b r i e f i n t r o d u c t i o n that
tells a b o u t the p r e s e n t a t i o n o f y o u r literature r e v i e w — w h a t it is about,
the s c o p e , a n d the o r g a n i z a t i o n a l structure y o u selected. F o l l o w i n g the
introduction, p r e s e n t the v a r i o u s sections w h e r e y o u r e v i e w a n d syn-
thesize the literature. F o r e a c h s u b s e c t i o n , w r i t e an i n t r o d u c t i o n a n d
then d e s c r i b e the i n f o r m a t i o n a n d relevant studies. F o r e x a m p l e :
This section is organized chronologically to p r o v i d e a perspec-

tive o f trends in the formal evaluation o f s c h o o l superintendents.
Use Headings and Subheadings

This helps the reader follow y o u r train of thought. Usually, h e a d i n g s
reflect y o u r s t u d y ' s major variables or t h e m e s found in the literature.
Employ Summary Tables

W h e r e considerable research exists, s u m m a r y tables help cut through
a h u g e m a s s o f literature. S u c h a table m i g h t l o o k like the following:
Research on Cognitive Coaching Classroom
Subjects Results
Garmston & Eight university professors of Maximally effective at

Hyerle (1988) mathematics, geology, producing increased
communications studies, school confidence about
administration, counseling, and enthusiasm for teaching
theater arts in a peer coaching
cognitive coaching project
SOURCE: Costa & Garmston (1994).
You c a n modify this table format b y including o t h e r topics o f c o m -

parison s u c h as m e t h o d o l o g y or c o n c l u s i o n s .
Use Transition Phrases

S u c h p h r a s e s g u i d e the reader from o n e p a r a g r a p h to the next. It is
i m p o r t a n t that y o u m a k e strong c o n n e c t i o n s b e t w e e n w h a t h a s already
b e e n r e v i e w e d a n d the m a t e r i a l that follows.
Summarize
Pull t o g e t h e r e a c h major section w i t h a brief s u m m a r y at the e n d .
S u m m a r i e s h i g h l i g h t a n d clarify the m a i n points o f a section, especially
if it is long a n d c o m p l e x . C o n c l u d e b y h i g h l i g h t i n g a n d s u m m a r i z i n g
the k e y points m a d e t h r o u g h o u t the literature review.
Emphasize Relatedness
R e m e m b e r to link studies together b y c o m p a r i n g the similarities
a n d differences a m o n g t h e m . To k e e p from b o r i n g the reader, b e sure to
u s e transitions to integrate p a r a g r a p h s .
If s e v e r a l s t u d i e s s a y e s s e n t i a l l y the s a m e thing, it is n o t n e c e s s a r y
to d e s c r i b e e a c h o n e . Y o u c a n m a k e a s u m m a r y s t a t e m e n t
f o l l o w e d b y all t h e r e l a t e d references, for e x a m p l e , " S e v e r a l s t u d i e s
h a v e f o u n d . . . ( B r o w n , 2 0 0 7 ; J o n e s , 2 0 0 8 ; S m i t h , 2 0 0 6 ) . " B e careful n o t
to i g n o r e s t u d i e s that c o n t r a d i c t o t h e r s t u d i e s . Y o u m a y e v a l u a t e t h e m
a n d try to figure o u t a p l a u s i b l e e x p l a n a t i o n , for e x a m p l e , " C o n t r a r y
to t h e s e s t u d i e s is t h e w o r k o f S m i t h a n d J o n e s ( 1 9 9 8 ) , w h o f o u n d . . . ."
Advice on Writing a Literature Review

1. Be Thorough
I n c l u d e b o t h c o m p u t e r a n d h a n d searches; a v o i d shortcuts. Y o u
m u s t c o v e r the full s c o p e o f the field. A solid literature r e v i e w estab
lishes y o u as a n e x p e r t a n d p r o v i d e s a strong b a c k g r o u n d to y o u r
research effort.
2. Write With Authority

You are in c h a r g e o f y o u r literature review, so d e v e l o p a critical per
spective in d i s c u s s i n g o t h e r s ' w o r k . C i t e relevant a u t h o r s to e m p h a s i z e
your a r g u m e n t or to p r o v i d e n o t a b l e e x a m p l e s o f the point you are m a k
ing. D o n ' t start a p a r a g r a p h w i t h s o m e o n e else's n a m e ; rather, start e a c h
p a r a g r a p h w i t h the point y o u w i s h to m a k e followed b y studies a n d
e x a m p l e s that illustrate a n d e n h a n c e y o u r point.
3. Critique Rather Than Just Report the Literature

You m u s t evaluate a n d integrate the material y o u read. C o m p a r e and
contrast the various studies related to y o u r problem. C o m m e n t o n the
major t h e m e s and issues y o u discovered. In other w o r d s , b r i n g m e a n i n g
to the literature y o u review; d o n ' t just review w h a t h a s b e e n reported.
4. Avoid Excessive Use of Quotations

U s e quotations o n l y w h e n the material q u o t e d is impactful, stated in
a u n i q u e way, or c a n b e inserted w i t h o u t i m p a i r i n g the continuity o f
y o u r writing. A n a c c u m u l a t i o n o f quotations linked b y a s e n t e n c e or
t w o results in a r e v i e w that is disjointed a n d difficult to read.
5. Be Selective
Avoid the t e m p t a t i o n to report e v e r y t h i n g y o u read. A literature
review is n o t a collection o f e v e r y b o o k a n d article relating to a topic.
Include o n l y material directly related to y o u r s t u d y ' s p u r p o s e a n d the
n e c e s s a r y b a c k g r o u n d to y o u r variables. All the b o o k s a n d articles y o u
read w e r e n e c e s s a r y to h e l p y o u b e c o m e an expert in y o u r s t u d y area.
Like in a c o u r t r o o m , all the a d m i s s i b l e e v i d e n c e p r e s e n t e d m u s t pertain
directly to the case a n d question at h a n d .
6. Be Careful Not to Plagiarize

To plagiarize is "to steal a n d p a s s off the ideas a n d w o r d s o f a n o t h e r
as o n e ' s o w n w i t h o u t crediting the source . . . to c o m m i t literary theft"
(Webster's Collegiate Dictionary, Tenth Edition, p. 8 8 8 ) . U s i n g s o m e o n e
else's w o r d s w i t h o u t quotation m a r k s , closely p a r a p h r a s i n g o t h e r s ' sen
tences, a n d stating o t h e r s ' ideas as if they w e r e y o u r s are all forms o f
plagiarism. R e m e m b e r to a l w a y s a c k n o w l e d g e a n o t h e r ' s ideas w h e n
ever y o u cite or b o r r o w t h e m .
7. Critique the Literature; Don't Duplicate It

It is y o u r j o b to organize a n d s u m m a r i z e references in a meaningful
way. D o n ' t q u o t e long p a s s a g e s or cite at length o t h e r s ' ideas a n d
w o r d s . First, present y o u r o w n r e v i e w followed b y a p a r a p h r a s e or
short, direct quotations. U s e long quotations o n l y for g o o d reason.
8. Use Primary Sources

Primary sources give y o u information "straight from the horse's
mouth." T h e y are preferable to secondary sources that are the interpretation
of a n o t h e r ' s w o r k . F i n d the original b o o k s a n d articles a n d r e a d t h e m

yourself. If y o u c a n n o t locate the original s o u r c e , then follow y o u r style
m a n u a l ' s guidelines for citing s e c o n d a r y sources. " R e f e r e n c e s to the
w o r k o f o n e a u t h o r as q u o t e d in that o f a n o t h e r m u s t cite b o t h w o r k s "
(Turabian, 1 9 9 6 , p. 1 6 3 ) . F o l l o w i n g is a literature r e v i e w checklist to
assess the quality a n d t h o r o u g h n e s s o f y o u r literature review.
Literature Review Checklist

After writing the first draft o f the literature review, use the following
checklist to assess the thoroughness and quality of w h a t y o u wrote. Before
sending it to y o u r advisor, ask a critical friend to read and c o m m e n t on
your review. Your advisor will b e eternally grateful! A well-thought-out,
well-written, and interesting review o f the literature is a j o y to read.
P l e a s e n o t e that the items in this checklist c o m p r i s e a generic set o f
"to d o s " w h e n d e s i g n i n g a literature review. N o t all the items are rele
v a n t for all r e v i e w s . Select o n l y those that fit y o u r particular situation,
a n d u s e t h e m as a g u i d e .
The literature r e v i e w is c o m p r e h e n s i v e (covers the major
p o i n t s o f the topic).
T h e r e is b a l a n c e d c o v e r a g e o f all variables in the study.
T h e r e v i e w is w e l l o r g a n i z e d . It f l o w s logically. It is n o t
fragmented.
T h e writer critically a n a l y z e s the literature rather t h a n string
i n g together a series o f citations.
T h e r e is a logical c o r r e s p o n d e n c e b e t w e e n the Introduction

c h a p t e r a n d the Literature R e v i e w .
A t least three-fourths o f the r e v i e w focuses o n the variables or

c o n c e p t s identified in the p u r p o s e s t a t e m e n t a n d research
questions. T h e r e m a i n i n g one-fourth sets the stage a n d gives
the b i g picture a n d b a c k g r o u n d to the study.
For e a c h v a r i a b l e or c o n c e p t , there is s o m e historical a n d cur

rent c o v e r a g e ; the e m p h a s i s is o n current c o v e r a g e .
T h e r e v i e w relies o n e m p i r i c a l research studies, n o t o p i n i o n

articles in " p o p " j o u r n a l s .
T h e r e v i e w c o n t a i n s o p p o s i n g p o i n t s o f v i e w (especially if the
researcher h a s a strong bias).
T h e r e is a s u m m a r y at the e n d o f e a c h m a j o r section as w e l l as
at the e n d o f the chapter.
. T h e b i b l i o g r a p h y contains at least 4 0 to 60 references.
T h e majority o f references w e r e p u b l i s h e d w i t h i n the p a s t
5 years.
P r i m a r y sources are u s e d in the majority o f citations.
T h e r e is an appropriate a m o u n t o f p a r a p h r a s i n g a n d direct
quotation.
T h e direct quotations do n o t detract from the readability o f the
chapter.
A u t h o r s w h o m a k e the s a m e point are c o m b i n e d in the citation.
_ _ _ T h e review synthesizes a n d integrates m e a n i n g to the litera

ture; it is n o t just a catalog o f sources.
Summary
It is i m p o r t a n t to r e a d a n d a n a l y z e t h e literature s u r r o u n d i n g your
s t u d y as e a r l y as p o s s i b l e in the d i s s e r t a t i o n p r o c e s s . To d o this effi
ciently, y o u s h o u l d t h o r o u g h l y f a m i l i a r i z e y o u r s e l f w i t h the library
a n d its v a r i o u s s e a r c h tools. T h e r e are e i g h t b a s i c s t e p s for c o n d u c t i n g
a literature r e v i e w :
1. Identify k e y w o r d s or descriptors
2. Create a search q u e r y
3. Identify relevant literature sources
4. S e a r c h the literature a n d collect relevant materials
5. Critically read a n d a n a l y z e the literature
6. S y n t h e s i z e the literature
7. O r g a n i z e the literature
8. Write the literature r e v i e w
Presenting the results of a literature review is a challenging task. To

create a well-organized and integrated review, y o u should first create a
topic outline to help provide a logical flow of thought. In presenting the
review, e m p l o y techniques such as headings and subheadings, s u m m a r y
tables, transition phrases, and summaries. It is important that y o u critique
and bring meaning to the literature rather than just report w h a t others say.
The next chapter focuses on the writing phase. It offers y o u s o m e
important tips for attaining a strong, vigorous, and scholarly writing style.
10
Mastering the
Academic Style
Anyone who wishes to become a good writer should endeavor, before

he allows himself to be tempted by the more showy qualities, to be
direct, simple, brief, vigorous, and lucid.
— F o w l e r a n d Fowler, The King's English
Qualities of Scholarly Writing

T h e qualities e s p o u s e d b y F o w l e r a n d F o w l e r in the o p e n i n g q u o t e rep
resent the h e a r t a n d soul o f g o o d e x p o s i t o r y writing. H o w e v e r , t w o
additional qualities define the scholarly, a c a d e m i c writing required for
dissertation writing: precision a n d logic. K n o w i n g h o w to express y o u r
ideas in logical s e q u e n c e a n d in a clear a n d c o n c i s e m a n n e r is critical to
y o u r success as a scholarly practitioner. T h e qualities o f logic, precision,
clarity, directness, a n d b r e v i t y are also qualities o f effective m i n k i n g .
Z i n s s e r (1994) stated, "Writing is thinking o n p a p e r . . . . If y o u c a n think
clearly a b o u t the things y o u k n o w a n d care about, y o u c a n w r i t e — w i t h
confidence a n d e n j o y m e n t " (p. vii).
E v e r y dissertation advisor I k n o w w o u l d affirm that scholarly writ
i n g is i m p o s s i b l e w i t h o u t clear, logical, a n d precise thinking. T h e r e is a
close a n d reciprocal relationship b e t w e e n g o o d w r i t i n g a n d clear think
ing. Since w r i t i n g is a reflection of thinking, the quality o f y o u r w r i t i n g
d e p e n d s o n h o w w e l l y o u think. Clear, logical thinking usually p r e c e d e s
writing; h o w e v e r , the act o f w r i t i n g clarifies y o u r thinking a n d d e v e l o p s
logical thought. This is w h y m a n y dissertation advisors, rather than

endlessly discussing y o u r dissertation, say, " P u t it in writing a n d then
w e can discuss it."
To b e able to express y o u r s e l f clearly, logically, a n d w i t h precision,
y o u m u s t b e in c o m m a n d o f b a s i c w r i t i n g skills s u c h as constructing
g r a m m a t i c a l s e n t e n c e s , u s i n g appropriate transitions, a n d r e m a i n i n g
focused a n d concise. If y o u h a v e difficulty e x p r e s s i n g y o u r s e l f clearly, I
strongly s u g g e s t that y o u hire an editor early o n to assist y o u w i t h the
writing process. Y o u r c o m m i t t e e s h o u l d n o t h a v e to s p e n d its t i m e edit-
ing or teaching y o u b a s i c c o m p o s i t i o n skills.
E v e n if y o u write reasonably well, y o u may, like m o s t students, ini-
tially experience difficulty writing in the scholarly, a c a d e m i c style
required for dissertations. This can b e verified b y m a n y dissertation
advisors w h o received drafts o f dissertation chapters that could b e clas-
sified as clumsy, m u d d l e d , a n d verbose. R e a d i n g such writing is tortu-
ous a n d dulls the senses. T h e better y o u write, the fewer revisions y o u
will m a k e and the s o o n e r y o u will obtain those three signatures required
for graduation.
T h e g o o d n e w s is that this k i n d o f w r i t i n g c a n b e learned. Y o u d o n ' t
n e e d inspiration, just a g o o d d o s e o f determination, p e r s e v e r a n c e , a n d
patience. T h e s e three characteristics u s u a l l y c a n o v e r c o m e a n y lack of
innate talent. T h e r e are m a n y excellent b o o k s w i t h g o o d a d v i c e o n
i m p r o v i n g y o u r writing. H o w e v e r , the b e s t w a y to learn to w r i t e m o r e
effectively is to write a lot, obtain f e e d b a c k o n y o u r writing, a n d rewrite.
For m o s t p e o p l e , w r i t i n g is a difficult, c o m p l e x , a n d laborious task
requiring self-discipline a n d m e n t a l c o n c e n t r a t i o n to stay the c o u r s e for
a n y length of time. A s a doctoral student, y o u h a v e the extra b u r d e n o f
k n o w i n g that y o u r d o c u m e n t will b e o p e n to public scrutiny a n d j u d g -
m e n t , first to y o u r c o m m i t t e e a n d then to the a c a d e m i c c o m m u n i t y at
large. Your reputation as a scholar a n d that o f y o u r c o m m i t t e e are at
stake w h e n y o u r dissertation is s i g n e d a n d printed.
This section presents guidelines and tips to help y o u understand s o m e
of the critical elements that contribute to scholarly writing. It incorporates
key thoughts on writing from a variety o f sources plus m y o w n experience
in guiding students in writing academic papers and dissertations.
T h i s b o o k c a n n o t b e g i n to c o v e r the m y r i a d topics d e v o t e d to
i m p r o v i n g the writing process. Instead, I focus o n m y o b s e r v a t i o n s a n d
those o f m y colleagues as to the m a j o r errors m a d e b y doctoral students
in writing their p a p e r s a n d dissertations. I also i n c l u d e information
a b o u t effective w r i t i n g from noted
What is written without effort is, in a u t h o r i t i e s in the field. T h e following
general, read without pleasure. section identifies s o m e c o m m o n writ-
-Samuel Johnson i nS P r o ' followed b y eight
b l e m s tips
for g o o d writing.
Mastering the Academic Style 113
Common Writing Problems

I a s k e d a g r o u p o f dissertation a d v i s o r s to r e s p o n d to the question,
" W h a t are the m o s t c o m m o n w r i t i n g p r o b l e m s y o u see w h i l e g u i d i n g
dissertation s t u d e n t s ? " T h e i r r e s p o n s e s r e v o l v e d a r o u n d four major
areas: organization, p a r a g r a p h s , s e n t e n c e construction, a n d direct q u o
tations. F o l l o w i n g s u m m a r i z e s their responses:
Organization
• R a m b l i n g in literature r e v i e w
• Failure to d e v e l o p ideas in a logical s e q u e n c e
• P r o b l e m s t a t e m e n t s that are "all o v e r the w a l l "
• L a c k o f o r g a n i z a t i o n
• L a c k o f c o n s i s t e n c y
• Failure to u s e h e a d i n g s
• Inappropriate u s e o f the required style m a n u a l
• Little e v i d e n c e o f proofreading
Paragraphs
• O n e - s e n t e n c e p a r a g r a p h s
• U n c l e a r a n t e c e d e n t for this
• P a r a g r a p h s n o t d e v e l o p e d as a clear center o f t h o u g h t
• L a c k o f transitions
• W e a k transitions
• Failure to indicate w h e r e the p a r a g r a p h is g o i n g — " b o n e s w i t h o u t
a skeleton"
• I n t r o d u c i n g a topic a n d t h e n failing to d i s c u s s the topic
• L a c k o f details that are explicit a n d related to the m a i n idea
• P a r a g r a p h s that l a c k focus
Sentence Construction
• O v e r l o n g s e n t e n c e s
• Subject-verb a g r e e m e n t (e.g., data were is correct, n o t data was)
Direct Quotations
• I n a p p r o p r i a t e u s e o f direct q u o t a t i o n s
• E x c e s s i v e q u o t i n g
T h e following section offers s o m e tips to h e l p o v e r c o m e these writ

i n g p r o b l e m s a n d others e n c o u n t e r e d in the w r i t i n g process.
Tips for Good Writing
Tip 1: Write in a Conversational Tone
D o y o u r b e s t to write n a t u r a l l y as if y o u w e r e c o n v e r s i n g w i t h an
intelligent p e r s o n unfamiliar w i t h y o u r topic. W h e n y o u d o this, y o u r
writing takes o n the e n e r g y a n d liveliness o f g o o d conversation. S o
often students b e l i e v e t h e y m u s t w r i t e in a formal, stilted, g r a n d i o s e
m a n n e r quite different from the w a y t h e y talk. T h e r e is artificiality
about this k i n d o f writing that m a k e s it b o r i n g a n d tedious for readers.
People prefer reading simple, u n d e r s t a n d a b l e writing.
Tip 2: Trim Excess Words

S a y w h a t y o u n e e d to say in as few w o r d s as possible, using the s i m
plest l a n g u a g e . S t r u n k a n d W h i t e (1979) stated this idea clearly:
Vigorous writing is concise. A s e n t e n c e s h o u l d c o n t a i n n o u n n e c

essary w o r d s , a p a r a g r a p h n o u n n e c e s s a r y sentences, for the
s a m e reason that a d r a w i n g s h o u l d h a v e n o u n n e c e s s a r y lines
a n d a m a c h i n e n o u n n e c e s s a r y parts. T h i s requires n o t that the
writer m a k e all his sentences short, or that h e a v o i d all detail a n d
treat his subjects o n l y in outline, b u t that e v e r y w o r d tell. (p. 23)
S t r u n k a n d W h i t e (1979, p. 24) p r o v i d e d s o m e c o m m o n l y u s e d phrases

that violate c o n c i s e n e s s , a l o n g w i t h s o m e briefer options:
h e is a m a n w h o he
this is a subject that this subject
the reason w h y that is because
o w i n g to the fact that since
Preposition Alert!
A n o t h e r e x a m p l e o f verbosity includes the o v e r u s e o f prepositions

(e.g., by, under, because, of, for, with). G o o d w r i t i n g is clear, concise, a n d
interesting. O v e r u s i n g prepositions creates the opposite o f that; it c a u s e s
w o r d y writing—boring a n d h a r d to u n d e r s t a n d . It's so m u c h easier to
d r o p in preposition after preposition t h a n to find active verbs that k e e p
y o u r writing powerful a n d interesting. Preposition o v e r u s e is a c o m
m o n writing fault that c a n b e easily corrected. M u n t e r (1997) offered a
technique to o v e r c o m e this habit. S h e s u g g e s t e d "circling, or h a v i n g a
c o m p u t e r p r o g r a m highlight, all the prepositions in a s a m p l e p a g e o f
y o u r writing. If y o u consistently find m o r e t h a n four in a s e n t e n c e , y o u
n e e d to revise a n d shorten. ' O f is usually the w o r s t offender" (p. 70). S o
h e l p t r i m e x c e s s w o r d s in y o u r w r i t i n g b y e l i m i n a t i n g o v e r u s e o f p r e p o -
sitions a n d their w o r d y b a g g a g e .
A d d i t i o n a l culprits to a v o i d are the c o m p o u n d prepositional p h r a s e
a n d v e r b s w i t h prepositions. F o l l o w i n g is a list o f c o m m o n c o m p o u n d
prepositional p h r a s e s a n d v e r b s w i t h prepositions a n d their m o r e con-
cise counterparts:
1. Compound Prepositional Phrase Write
with reference to, with regard/ respect to about, concerning

by reason of because
during the course of during
in close proximity to near
in order to to
2. Verbs With Prepositions Write
make an examination of examine

perform an analysis of analyze
make assumptions about assume
give consideration to consider
is dependent on depends on
Qualifiers
It is also i m p o r t a n t to t r i m little qualifiers from y o u r writing. W o r d s

that s a y h o w y o u feel a n d think dilute the forcefulness a n d p e r s u a s i v e -
n e s s o f y o u r writing. E x a m p l e s o f s u c h qualifiers are sort of, kind of, quite,
very, too, a n d α little.
Tip 3: Use Short Sentences Rather Than Long

L o n g , c o m p l e x s e n t e n c e s filled w i t h c o n v o l u t e d p h r a s e s a n d multi-
ple c l a u s e s are obstacles to e a s y reading. Trying to d e c i p h e r s u c h writ-
i n g drains y o u r r e a d e r s ' e n e r g y a n d interest. D o n ' t b e afraid to b r e a k
l o n g s e n t e n c e s into t w o or m o r e shorter s e n t e n c e s . M u n t e r (1997)
offered three o p t i o n s for b r e a k i n g u p l o n g sentences:
1. B r e a k into three s e n t e n c e s u s i n g transitions: first, s e c o n d . . .
2. B r e a k u p l o n g s e n t e n c e s w i t h internal e n u m e r a t i o n : (1), ( 2 ) . . .
3. B r e a k u p l o n g s e n t e n c e s w i t h bullet points
R e m e m b e r , e a c h s e n t e n c e s h o u l d c o n t a i n one thought and one

thought only.
Tip 4: Write Clear, Well-Constructed Paragraphs

A well-constructed p a r a g r a p h organizes y o u r t h o u g h t s coherently.
Create p a r a g r a p h s that contain o n l y o n e m a i n idea. Usually, the m a i n
idea is e x p r e s s e d as a topic s e n t e n c e at the b e g i n n i n g o f the paragraph.
It is helpful to b e g i n e a c h p a r a g r a p h w i t h a topic s e n t e n c e followed b y
supporting sentences that illustrate, explain, or clarify y o u r m a i n point.
S u p p o r t i n g information m i g h t i n c l u d e a specific fact, statistic, direct
quotation, a n e c d o t e , a n d so on. B e sure n o t to w r i t e extra-long para
graphs b e c a u s e they are o v e r w h e l m i n g to readers. A l s o , d o n ' t w r i t e sin
gle sentences as p a r a g r a p h s . M u r r a y (1995) r e m i n d e d u s to u s e the
old-fashioned " C U E " m e t h o d to d e v e l o p p a r a g r a p h s :
Coherence. O n e thing s h o u l d logically l e a d to the n e x t
Unity. E v e r y t h i n g in the p a r a g r a p h s h o u l d b e a b o u t o n e thing
Emphasis. T h e m a i n p o i n t o f the p a r a g r a p h s h o u l d b e clear (p. 2 0 5 )
R e m e m b e r to p a y particular attention to the last s e n t e n c e o f e a c h

paragraph, for it's the critical s p r i n g b o a r d to the following paragraph.
Tip 5: Use the Active Voice

W h e n e v e r possible, u s e the active v o i c e in y o u r writing. A c t i v e
verbs give vitality to y o u r writing. " T h e active v o i c e is usually m o r e
direct a n d vigorous than the p a s s i v e . . . a n d m a k e s for forcible w r i t i n g "
(Strunk & W h i t e , 1979, p. 18). T h e following e x a m p l e s contrast the p a s
sive a n d active voices:
Passive: T h i s p a p e r w a s written b y m e .
Active: I wrote the paper.
Passive: T h e n u r s e is supervisor o f the h e a l t h p r o g r a m .
Active: The nurse supervises the health program.
Passive: T h e advisor w a s hesitant to a p p r o v e the research design.
Active: The advisor hesitated to approve the design.
Passive: T h e dissertation will b e edited b y m e m b e r s o f the c o m m i t t e e .
Active: The committee will edit the dissertation.
One sign of the passive voice is the use of linking verbs such as was, will
be, have been, and is. Sentences containing any form of the verb to be are eli
gible for rewriting in active voice. Circle all the linking verbs in your o w n
writing or have a computer highlight them. You will find that "75 percent
of them can be eliminated" (Munter, 1997, p. 69). Write as straightforwardly
as you can, using strong verbs—not ones that lack action (z's, was, etc.).
The choice between using the active or passive voice in writing is
a matter of style, not correctness. There is nothing inherently wrong
with the passive voice, but if you can say the same thing in the active
mode, do so.
Passive Voice Usage

The passive voice can be used by you. Both active voice and passive
voice have advantages. The active voice reduces wordiness and makes
your writing strong and interesting. The passive voice is more formal
and more readily accepted in scientific writing because you can write
without using personal pronouns or names of specific researchers. It
represents the conventional means of impersonal reporting and gives
the article an air of objectivity (Example: "Experiments have been con-
ducted to test the hypothesis."). The passive voice also can be used to
good effect in these ways:
1. To de-emphasize responsibility
Example: Rather than "You made an error," write "An error was
made."
2. To de-emphasize the writer
Example: Instead of "I recommend," write "It is recommended
that."
3. When the performer of the action is unknown or irrelevant
Example: "A house was broken into on Main Street."
Example: "Office mail is delivered twice a day."
Situations requiring use of passive voice occur infrequently. If your

writing does not require these special situations, then reduce the unnec-
essary passive voice sentences that usually make your writing tedious
and hard to understand. Remember, a
sequence of passive verbs can have Pick up any Scientific American
the air of authority, but what it often magazine and read the feature
has is air! articles. You will notice very little
How do you know if you've used passive voice writing in them because
too many passive constructions? On the magazine editors and the writers
your document, circle (or make note want the readers to read the articles.
of) every form of the verb be (am, is, are, (Continued)
had, has, was, were, been, etc.). Passive
voice constructions always include some

(Continued)
form of "to be." If y o u r p a g e is c o v e r e d
Therefore, they communicate with w i t h circles, rewrite the p a g e using
their readers in a concise and direct active verbs.
way without sacrificing objectivity.
You should do the same when you
are writing a scientific paper. Do Tip 6: Use Transitional Words
not confuse objective with detached
and Phrases
and wordy.
Transitions b u i l d b r i d g e s b e t w e e n
-Jeffrey Strausser,
y o u r ideas a n d h e l p y o u a c h i e v e a
Painless Writing (2001, p. 77)
coherent d o c u m e n t . T h e y act as road
signs that g u i d e y o u r readers from o n e
idea to the next. Transitions h e l p m a k e y o u r discussion e a s y to follow.
R e a d e r s m u s t u n d e r s t a n d h o w the topics relate to o n e another. E v e r y
sentence s h o u l d b e a logical sequel to the o n e that p r e c e d e d it. Y o u sig-
nal the relationships b e t w e e n sentences and p a r a g r a p h s b y the following
s a m p l i n g o f transitional w o r d s a n d phrases:
Frequently Used Transitions
To Signal Examples
Contrast but, whereas, yet, still, however, nevertheless, despite, on the

contrary, although, on the other hand, conversely
Addition furthermore, subsequently, besides, next, moreover, also,

similarly, too, second
Example for instance, an illustration, thus, such as, that is, specifically
Time or place afterwards, earlier, at the same time, subsequently, later,

simultaneously, above, below, further on, so far, until now
Conclusion therefore, in short, thus, then, in other words, in conclusion,

consequently, as a result, accordingly, finally
Sequence then, first, second, third, next
Tip 7: Simplify Your Vocabulary

A c a d e m i c w r i t e r s t e n d to u s e t e c h n i c a l t e r m s w i t h a b a n d o n . T h e y
a s s u m e r e a d e r s u n d e r s t a n d their s p e c i a l i z e d l a n g u a g e . Resist jargon—
it excludes and mystifies. If y o u m u s t u s e a s p e c i a l t e r m , e x p l a i n it at t h e
outset. A l s o r e m e m b e r to c h o o s e s h o r t w o r d s o v e r l o n g o n e s , e s p e -
cially if t h e y h a v e the s a m e m e a n i n g . " O f the 7 0 1 w o r d s in L i n c o l n ' s
S e c o n d I n a u g u r a l A d d r e s s , a m a r v e l o f e c o n o m y itself, 5 0 5 are w o r d s
of o n e s y l l a b l e a n d 1 2 2 are w o r d s o f
The secret of good writing is to strip
t w o s y l l a b l e s " (Zinsser, 1 9 9 4 , p . 1 1 2 ) .
every sentence to its cleanest
components. Every word that serves
Beware, then, of the long word
no function, every long word that
that's no better than the short
could be a short word, every adverb
word: assistance (help), numerous
that carries the same meaning that's
(many), facilitate (ease), individual
already in the verb, every passive
(man or w o m a n ) , remainder (rest),
construction that leaves the reader
initial (first), implement (do), suffi-
unsure of who is doing what-these
cient (enough), attempt (try), are the thousand and one adulterants
referred to as (called), and hun- that weaken the strength of a
dreds more. (Zinsser, 1994, p. 16) sentence. And they usually occur in
proportion to education and rank.
Tip 8: Use -William Zinsser, On Writing

Quotations Sparingly Wel1 0994, P . 7)
A research p a p e r i n v o l v e s assimi-
lating the w o r k s o f others a n d g i v i n g p r o p e r a c k n o w l e d g m e n t . O v e r -
q u o t i n g is a c o m m o n m i s t a k e . S t u d e n t s often string together a series o f
quotations c o n n e c t e d b y w o r d s s u c h as similarly, likewise, a n d on the other
hand. D o n ' t d o this! Q u o t a t i o n s s h o u l d b e u s e d sparingly. B o o t h ,
C o l o m b , a n d W i l l i a m s (1995) p r o v i d e d pertinent rules o f t h u m b a b o u t
w h e n to use direct q u o t a t i o n s a n d w h e n to p a r a p h r a s e y o u r sources:
U s e direct quotations:
• W h e n y o u use the w o r k o f others as p r i m a r y data

• W h e n y o u w a n t to a p p e a l to their authority
• W h e n the specific w o r d s o f y o u r s o u r c e m a t t e r b e c a u s e
ο T h o s e w o r d s h a v e b e e n i m p o r t a n t to other researchers
ο Y o u w a n t to focus o n h o w y o u r s o u r c e says things
ο T h e w o r d s o f the source are especially v i v i d or significant
ο You dispute your source and y o u want to state his or her case fairly
P a r a p h r a s e y o u r sources:
• W h e n y o u are m o r e interested in content, findings, or c l a i m s than

in h o w a source e x p r e s s e s h i m s e l f or herself
• W h e n y o u c o u l d h a v e said the s a m e thing y o u r s e l f m o r e clearly
(p. 174)
It is i m p o r t a n t that y o u take control o f interpreting the w o r k o f

others. E x c e s s i v e q u o t i n g is a form o f laziness o n y o u r part. In d o i n g so,
y o u a b d i c a t e responsibility for b e i n g selective a n d d o i n g y o u r o w n
interpretation for the reader.
D o n ' t start y o u r s e n t e n c e s w i t h a q u o t a t i o n followed b y y o u r o w n

w o r d s . Instead, start w i t h y o u r w o r d s a n d s u p p o r t t h e m w i t h q u o t e d or
p a r a p h r a s e d material.
Useful Verbs
A variety o f useful w o r d s c a n i n t r o d u c e quotations a n d h e l p a v o i d
repetitive constructions s u c h as " S m i t h s a i d , " or " S m i t h stated." M o r e
than just variety, these w o r d s also p r o v i d e e x a c t n e s s .
acknowledged confirmed implied

addressed contended maintained
affirmed contradicted negated
agreed declared noted
argued discussed refuted
asserted disputed reported
believed emphasized thought
commented endorsed wrote
Further Reading
Bolker, J. (1998). Writing your dissertation in fifteen minutes a day. New York: Holt.
Danziger, E. (2001). Get to the point. New York: Three Rivers.
Hacker, D. (2007). A writer's reference (6th ed.). Boston: Bedford/St. Martin's.
O'Conner, P. (2009). Woe is I: The grammarphobe's guide to better English in plain
English (3rd ed.). New York: Riverhead.
Shulman, M. (2005). In focus: Strategies for academic writers. Ann Arbor:
University of Michigan Press.
Venolia, J. (2001). Write right! A desktop digest of punctuation, grammar, and style.
Berkeley, CA: Ten Speed Press.
Helpful Websites
P u r d u e ' s O n l i n e Writing L a b ( O W L )
• http: / / owl.english.purdue.edu/index.htm
T h e Writing C e n t e r (University o f N o r t h C a r o l i n a )
• www.unc.edu/depts/wcweb
Duke University Research Guide

• http://library.duke.edu/services/mstruction/libraryguide
F u s s y Professor S t a r b u c k ' s C o o k b o o k o f H a n d y - D a n d y Prescriptions

for A m b i t i o u s A c a d e m i c A u t h o r s or W h y I H a t e Passive Verbs and
L o v e M y W o r d Processor
• http://pages.stern.nyu.edu/-wstarbuc/Writing/Fussy.htm
Summary
Scholarly, a c a d e m i c w r i t i n g requires the ability to express y o u r ideas
logically, clearly, concisely, a n d w i t h precision. S u c h w r i t i n g requires
c o m m a n d o f b a s i c w r i t i n g skills s u c h as logical organization, g o o d sen
tence a n d p a r a g r a p h construction, a n d appropriate transitions. T h i s
chapter offered eight tips d e s i g n e d to o v e r c o m e b a s i c p r o b l e m s disser
tation students face in scholarly writing. T h e n e x t c h a p t e r e x p l a i n s the
c o m p o n e n t s o f a dissertation's introductory chapter a n d offers e x a m p l e s
to clarify h o w to w r i t e e a c h section.
PART IV
Climbing
to Base Camp
Success is never the result of spontaneous combustion. You must

set yourself on fire.
—Arnold Glasow
122
11
Writing the
Introduction
T he i n t r o d u c t i o n c h a p t e r o f y o u r d i s s e r t a t i o n sets t h e s t a g e for y o u r
s t u d y a n d t y p i c a l l y c o n s i s t s o f the f o l l o w i n g s e c t i o n s : t h e r e s e a r c h
p r o b l e m , t h e t h e o r e t i c a l or c o n c e p t u a l f r a m e w o r k , p u r p o s e s t a t e m e n t ,
r e s e a r c h q u e s t i o n s / h y p o t h e s e s , s i g n i f i c a n c e o f t h e study, d e l i m i t a
t i o n s , a s s u m p t i o n s , definition o f t e r m s , o r g a n i z a t i o n o f t h e r e m a i n i n g
c h a p t e r s , a n d a s u m m a r y t h a t s t a t e s t h e k e y p o i n t s m a d e in t h e
c h a p t e r . M o s t i n t r o d u c t i o n s in t h e s o c i a l s c i e n c e s f o l l o w a s i m i l a r
p a t t e r n ; h o w e v e r , t h e y m a y v a r y a c c o r d i n g to t h e t y p e o f r e s e a r c h
methodology used.
Usually, the o v e r a l l structure o f C h a p t e r 1 m o v e s from the g e n e r a l
to the specific, b e g i n n i n g w i t h an o v e r v i e w o f the g e n e r a l area u n d e r
s t u d y a n d e n d i n g w i t h specific r e s e a r c h q u e s t i o n s / h y p o t h e s e s . T h i n k
of w r i t i n g C h a p t e r 1 in a V or f u n n e l - s h a p e d fashion, as s h o w n in
Figure 1 1 . 1 .
Let m e elaborate o n this funnel n o t i o n b y guiding y o u through a
thinking process to focus y o u r introduction. First, d r a w a large funnel
and fill it in to help y o u visually focus y o u r topic. T h e top o f the funnel
b e g i n s w i t h a description o f the general area to b e studied. Next, identify
a more specific p r o b l e m w i t h i n the general area. S a y w h y this p r o b l e m is
important to study a n d specify w h a t is already k n o w n about the prob
lem. T h e n , specify w h a t is not known about the p r o b l e m that is important
to study. Finally, state a specific p u r p o s e statement in o n e or t w o sen
tences followed b y research questions that g u i d e the study.
123
124 Climbing to Base Camp
Figure 11.1 Funnel from the General to the Specific
\ . General Area Under Study /
\ Problem Statement /
\ What we know and don't /
\ know about the /
\ Your specific study /
\ Questions /
Problem Statement
A research p r o b l e m c a n b e defined as " t h e issue that exists in the litera-
ture, in theory, or in practice that leads to a n e e d for the study. T h e
research p r o b l e m in a s t u d y b e c o m e s clear w h e n the researcher asks,
' W h a t is the n e e d for this s t u d y ? ' or ' W h a t p r o b l e m influenced the n e e d
to u n d e r t a k e this s t u d y ? ' " (Creswell, 2 0 0 2 , p. 8 0 ) . Basically, the p r o b l e m
statement provides an o v e r v i e w o f the study. It states (1) w h a t the s t u d y
is about, (2) w h y it is i m p o r t a n t a n d timely, (3) w h a t contributions are
m a d e to k n o w l e d g e a n d practice, a n d (4) h o w the s t u d y fits into the
existing state o f the art. T h e p r o b l e m statement tells the story b e h i n d
the variables or c o n c e p t s to b e studied a n d provides b a c k g r o u n d for the
p u r p o s e statement a n d research questions.
Fi ure 1 1 2 Example ° f Using a Funnel to Develop and Narrow the

Problem Statement
Improved student performance K-university continues to be a national priority

The availability of qualified teachers is critical to solving this problem
Past studies have shown a number of reasons for the teacher shortage: pay,
working conditions, support, recognition, and reward
Writing the Introduction 125
There is also a shortage of qualified and available substitute teachers

Past studies indicate various reasons for the shortage of substitutes: pay, working
conditions, support, recognition, reward, and student behavior
What isn't known is whether the decisions of current substitutes to stay in or leave
teaching are the same as those in past studies
The purpose of this study is . . .
SOURCE: Gonzales (2002).
T h e p r o b l e m s t a t e m e n t s h o u l d d o the following:
• H a v e a line of logic that l e a d s t h e r e a d e r to the p u r p o s e s t a t e m e n t

• P r o v i d e a background to the v a r i a b l e s or c o n c e p t s to b e studied
• C i t e literature sources, b u t n o t e x t e n s i v e l y
• C o n c l u d e w i t h the "need to know"
Line of Logic
T h e p r o b l e m s t a t e m e n t b e g i n s w i t h a g e n e r a l i n t r o d u c t i o n to the
s t u d y a n d , t h r o u g h a careful line o f r e a s o n i n g , focuses d o w n to b e c o m e
m o r e detailed a n d specific to y o u r study. Y o u r w r i t i n g s h o u l d b e clear,
precise, a n d directional. T h e r e s h o u l d b e a s e q u e n t i a l line o f logic. " T h e
d e l i n e a t i o n o f the p r o b l e m l e a d s directly to t h e s t a t e m e n t o f the pur-
p o s e . T h e p u r p o s e o f a n y s t u d y is to h e l p s o l v e the stated p r o b l e m "
(Martin, 1980, p. 4 0 ) . An important point to remember is that the line of logic
comes from you. It cannot be found directly in the literature.
Background to the Study

P r o v i d i n g b a c k g r o u n d i n f o r m a t i o n to t h e s t u d y requires a n s w e r i n g
the f o l l o w i n g q u e s t i o n s :
1. W h a t d o w e a l r e a d y k n o w a b o u t this t o p i c ?
2. W h a t d o w e not k n o w a b o u t this topic? W h a t h a s n o t b e e n

a n s w e r e d a d e q u a t e l y in p r e v i o u s r e s e a r c h a n d p r a c t i c e ?
3. W h a t d o w e w a n t to k n o w a b o u t this topic?
T h e p r o b l e m s t a t e m e n t is t h e d i s c r e p a n c y b e t w e e n w h a t w e a l r e a d y
k n o w a n d w h a t w e w a n t to k n o w . It is n e c e s s a r y to p r o v i d e b a c k -
g r o u n d i n f o r m a t i o n a b o u t b o t h w h a t is k n o w n a n d w h a t is n o t k n o w n .
T h e p r o b l e m s t a t e m e n t a l s o tells the s t o r y a b o u t w h y w e c a r e — w h y w e
s h o u l d c o n d u c t this study. It is i m p o r t a n t for the r e a d e r to k n o w w h a t
is u n i q u e a n d different from p r e v i o u s research. Try to c o n c e i v e o f y o u r

s t u d y as a large j i g s a w p u z z l e w i t h a p i e c e m i s s i n g . O r y o u m a y c o n -
ceive o f y o u r s t u d y as fulfilling a n i n d i c a t e d n e e d for further a d v a n c e -
m e n t o f p r e v i o u s research. T h a t m i s s i n g p i e c e is t h e g a p y o u w a n t to
fill. To d i s c o v e r that m i s s i n g p i e c e , y o u m u s t r e a d w i d e l y i n t h e litera-
ture b a s e o f y o u r topic area.
W h e n all o f t h e s e studies a r e a g g r e g a t e d , y o u c a n t h e n tell s o m e -
thing a b o u t t h e p r o b l e m ' s d o m a i n . (See F i g u r e 11.3.)
Figure 11.3 Defining the Problem's Domain
/ I 1 1 Whole
( Your Study I 1 1 Probien
I . I I A Domain
\v \ — ^ \ Other Studies
Other Studies
Literature Sources
T h e variables o r factors y o u selected for s t u d y m u s t exist w i t h i n
s o m e conceptual or theoretical framework that y o u develop from reading
the literature. You c a n n o t j u s t pull y o u r topic o u t o f a hat. A p p r o p r i a t e
citations from the literature help p r o v i d e a justification for selecting
these variables or concepts. Creating a c o n c e p t u a l f r a m e w o r k is o n e o f
the few places w h e r e y o u h a v e t h e o p p o r t u n i t y to display original
thought. If, h o w e v e r , y o u c o n d u c t a n inductive qualitative study, y o u r
variables or c o n c e p t s e m e r g e from t h e data. R a t h e r than starting w i t h a
conceptual framework, y o u investigate broad, general areas that
b e c o m e m o r e focused t h r o u g h data gathering in t h e field.
Your p r o b l e m s t a t e m e n t m u s t e x p l a i n h o w y o u r s t u d y fits into t h e
existing state o f t h e art. M a r t i n (1980), in h i s b o o k Writing and Defending
a Thesis or Dissertation in Psychology and Education, delineated some of
the c i r c u m s t a n c e s into w h i c h y o u r p r o b l e m m i g h t fit:
1. T h e r e is little or n o r e s e a r c h o n a p a r t i c u l a r topic.
2. T h e r e is s o m e r e s e a r c h b u t it h a s n o t b e e n a p p l i e d to e n o u g h
s a m p l e s or in e n o u g h s i t u a t i o n s to b e c o n s i d e r e d a r e l i a b l e
phenomenon.
3. T h e r e is a g o o d deal o f research, b u t the findings are contradictory,

(pp. 3 9 ^ 0 )
Citing the literature h e l p s y o u b u i l d a case for w h y y o u r research

should b e undertaken. T h e references a n d quotations s u p p o r t y o u r argu
m e n t s . H o w e v e r , k e e p in m i n d that in m o s t cases, citations should b e
u s e d sparingly in the p r o b l e m statement. It is n o t a formal review o f the
literature.
For i m p a c t , k e e p y o u r s e n t e n c e s s h o r t a n d w r i t e a n o p e n i n g sen
tence that s t i m u l a t e s interest. In short, y o u r i n t r o d u c t o r y chapter
should convince your readers of the study's need and value.
Need to Know
W h a t is the n e e d for this p a r t i c u l a r s t u d y ? W h y d o e s this specific
s t u d y n e e d to b e c o n d u c t e d ? S o w h a t ? W h a t will y o u r s t u d y a d d to the
k n o w l e d g e b a s e ? " T h e n e e d for the s t u d y is e s t a b l i s h e d b y s h o w i n g
that there is a p r o b l e m o f s o m e i m p o r t a n c e , e s t a b l i s h i n g that there is a
g a p in the k n o w l e d g e b a s e , a n d b y s h o w i n g w h y filling that p a r t i c u l a r
g a p is i m p o r t a n t or at least r e l e v a n t " ( O g d e n , 1 9 9 3 , p . 8 4 ) . H o w e v e r , the
major d i s c u s s i o n o f the s t u d y ' s i m p o r t a n c e m a y b e f o u n d in the s e c t i o n
" S i g n i f i c a n c e o f the S t u d y . "
Common Errors in Writing the Problem Statement

H e r e are s o m e c o m m o n errors s t u d e n t s m a k e in s u b m i t t i n g drafts
of their p r o b l e m s t a t e m e n t s .
• F a i l i n g to get to the point. A v o i d t e d i o u s l e n g t h in i n t r o d u c i n g

the study. T h e r e a d e r w a n t s to k n o w w h a t y o u r s t u d y is about.
• M a k i n g the r e a d e r b e l i e v e that w e a l r e a d y k n o w the answer. If
w e k n o w it, then w e d o n ' t n e e d to s t u d y it.
• C o v e r i n g e x t r a n e o u s i s s u e s , w h e t h e r i n t e r e s t i n g or not. T h e s e are
" r a b b i t r u n s " — i n t e r e s t i n g b u t irrelevant to the topic. Resist the
t e m p t a t i o n to s h a r e w i t h t h e r e a d e r the v o l u m e o f interesting b u t
irrelevant i n f o r m a t i o n y o u a c c u m u l a t e d .
• B e i n g i n c o n s i s t e n t . T h e p r o b l e m s h o u l d b e c l e a r l y a n d logically
related to the p u r p o s e s t a t e m e n t a n d r e s e a r c h q u e s t i o n s .
• S t a t i n g w h a t w e s h o u l d do r a t h e r t h a n w h a t w e w a n t to know.
S u c h p h r a s e s as " w e m u s t . . . , " " w e s h o u l d . . . , " a n d "it is
i m p e r a t i v e t h a t . . . " b e l o n g in a p o s i t i o n paper. In short, stay off
a soapbox.
• Writing in " d i s s e r t a t i o n e s e " rather t h a n in English. T h i s c a u s e s
y o u r w r i t i n g to b e stilted, a w k w a r d , a n d artificial. J u s t s a y w h a t
y o u m e a n in n a t u r a l p h r a s e s .
• U s i n g u n n e c e s s a r y t e c h n i c a l l a n g u a g e a n d j a r g o n . T h i s k e e p s the
reader from u n d e r s t a n d i n g the m a i n idea o f w h a t y o u ' r e trying
to say.
• U s i n g e x t e n s i v e q u o t a t i o n s a n d references. T h e s e get in the w a y
of the logical flow o f ideas.
• U s i n g abstruse a r g u m e n t s . Refrain from m a k i n g p o i n t s that are
u n c l e a r or difficult to u n d e r s t a n d . Write in a clear, s i m p l e , a n d
straightforward m a n n e r .
• E n g a g i n g in p e r s o n a l reflections or editorializing. R e s e r v e this
for C h a p t e r 5.
• M a k i n g u n s u p p o r t e d c l a i m s or s t a t e m e n t s . T h e p r o b l e m m u s t b e
w r i t t e n in the c o n t e x t o f t h e o r y a n d relevant literature.
• U s i n g disjointed recitation o f the s t u d i e s cited. You c r e a t e the
line o f l o g i c a n d u s e literature citations to s u b s t a n t i a t e your
points.
T h e o p e n i n g s e n t e n c e s o f y o u r dissertation s h o u l d b e a p p r o a c h e d
thoughtfully a n d carefully, for this is the p l a c e to w i n or lose y o u r audi
ence. Therefore, introduce y o u r topic in a w a y that e n g a g e s r e a d e r s —
that captures their interest a n d m a k e s t h e m w a n t to c o n t i n u e reading.
Creswell (2008) called these o p e n i n g lines the "narrative h o o k , " a t e r m
h e c l a i m e d is " d r a w n from E n g l i s h c o m p o s i t i o n , m e a n i n g w o r d s that
serve to draw, e n g a g e , or h o o k the reader into the s t u d y " (p. 102). A con
v i n c i n g narrative h o o k , a c c o r d i n g to C r e s w e l l (2005), c o u l d i n c l u d e the
following:
1. Statistical data (e.g., " M o r e t h a n 5 0 p e r c e n t o f the adult p o p u l a

tion e x p e r i e n c e s d e p r e s s i o n t o d a y " )
2. A p r o v o c a t i v e q u e s t i o n (e.g., " W h y are s c h o o l policies that b a n

s m o k i n g in h i g h s c h o o l s n o t b e i n g e n f o r c e d ? " )
3. A clear n e e d for research (e.g., " S c h o o l s u s p e n s i o n is d r a w i n g

increased attention a m o n g scholars in teacher education.") (p. 67)
T h e r e are a v a r i e t y o f other possibilities for i n t r o d u c i n g y o u r study;

the m a i n thing to r e m e m b e r is to b e g i n in an e n g a g i n g m a n n e r that will
interest y o u r a u d i e n c e s o t h e y k e e p o n reading.
Theoretical or Conceptual Framework

Doctoral students hate to hear these w o r d s from their dissertation advisor:
"Your study sounds promising, but w h a t is your theoretical framework?"
This question is often m e t with silence, raised eyebrows, or shrugged
shoulders mdicating m o r e information is n e e d e d about this term. In dis
cussing the theoretical framework, M e r r i a m (2001) stated, " A colleague of
mine once c o m m e n t e d that if she could h a v e figured out w h a t a theoreti
cal framework w a s early on, she could h a v e cut a year off of her graduate
studies! Indeed, the theoretical or conceptual framework of a study and
where theory fits into a research study continue to mystify and frustrate
m a n y a novice (and s o m e t i m e s experienced) researcher" (pp. 4 4 - 4 5 ) . F e w
texts or b o o k s about writing a dissertation or thesis discuss the process,
importance, or purpose o f developing a conceptual or theoretical frame
w o r k and m a k i n g it explicit. It is often the missing link in student scholar
ship. Hopefully, this section will ground y o u r understanding in this
important aspect o f designing and clarifying your research.
What Is a Conceptual or Theoretical Framework?

It is a lens t h r o u g h w h i c h y o u r research p r o b l e m is v i e w e d . It can b e
a theory, a construct that c o n c e p t u a l i z e s y o u r s t u d y ' s focus, or a
research perspective. M i l e s a n d H u b e r m a n (1994) defined it this w a y :
" A c o n c e p t u a l f r a m e w o r k e x p l a i n s , either graphically or in narrative
form, the m a i n things to b e studied—the k e y factors, constructs, or vari
a b l e s — a n d the p r e s u m e d relationships a m o n g t h e m . F r a m e w o r k s c a n
b e r u d i m e n t a r y or elaborate, theory-driven or c o m m o n s e n s i c a l , descrip
tive, or c a u s a l " (p. 18). S o m e o f the visual forms a c o n c e p t u a l f r a m e w o r k
m i g h t take c o u l d b e tree d i a g r a m s , m i n d m a p s , flow charts, c o n c e p t
m a p s , or d i a g r a m s such as triangles, circles, a n d so on. In their b o o k ,
Qualitative Data Analysis, M i l e s a n d H u b e r m a n (1994) p r o v i d e d several
graphic illustrations followed b y descriptive narrative that s e r v e d as
e x a m p l e s o f c o n c e p t u a l or theoretical f r a m e w o r k s .
The conceptual or theoretical framework provides the boundaries, or
scaffolding, for your study. Like a microscope, it narrows your field o f
vision, thus helping you limit the scope of your study. After all, it is usually
not possible to study everything about your research topic. A conceptual
or theoretical framework identifies w h i c h o f the " k e y factors, constructs, or
variables" (Miles & H u b e r m a n , 1994, p. 18) are in and w h i c h are out.
M a k i n g your conceptual or theoretical framework explicit provides clarity
for the reader as to exactly w h a t y o u r study is about and provides the
focus and content for m a k i n g decisions about y o u r study's design. B y not
grounding your study within an explicit conceptual or theoretical frame,
your study takes o n a "so w h a t ? " quality.
How Does a Conceptual Framework
Differ From a Theoretical Framework?
Often, the t e r m s conceptual framework a n d theoretical framework are

u s e d interchangeably, a n d rarely is a differentiation m a d e . A t h e o r y is
a discussion a b o u t related c o n c e p t s , a s s u m p t i o n s , a n d g e n e r a l i z a t i o n s ,
w h i l e c o n c e p t s c a n b e defined as w o r d s or p h r a s e s that represent sev
eral interrelated ideas. If y o u r s t u d y is g r o u n d e d in a particular t h e o r y
or theories, t h e n p e r h a p s the b e t t e r t e r m w o u l d b e theoretical framework,
since t h e o r y w o u l d b e u s e d to e x p l a i n the particular p h e n o m e n o n
u n d e r study. It i m p l i e s a h i g h e r level o f c o n c e p t u a l organization. If
y o u r s t u d y d o e s n o t i n c l u d e a specific theory, it still c o n t a i n s c o n c e p t s
a n d s u b c o n c e p t s that define the interrelationship o f the i d e a s c o n t a i n e d
in y o u r study. S o m e studies c o n t a i n a r e v i e w o f t h e o r y as w e l l as a c o n
ceptual f r a m e w o r k . I r e c o m m e n d a c o n f e r e n c e w i t h y o u r dissertation
a d v i s o r to d e t e r m i n e the b e s t a p p r o a c h for y o u r particular study.
R e m e m b e r , n o s t u d y is w i t h o u t s o m e implicit f r a m e w o r k . Your c h a l
l e n g e is to d i s c o v e r it a n d m a k e it explicit.
Why Do You Need a Conceptual
or Theoretical Framework?
A w e l l - d e f i n e d c o n c e p t u a l or t h e o r e t i c a l f r a m e w o r k h e l p s y o u to
v i e w y o u r a r e a o f i n t e r e s t m o r e acutely. L i k e a t e l e s c o p e or m i c r o
s c o p e , a c o n c e p t u a l or t h e o r e t i c a l f r a m e w o r k n a r r o w s a n d b r i n g s
i n t o f o c u s y o u r field o f v i s i o n , w h i c h is n e c e s s a r y for l i m i t i n g t h e
s c o p e o f y o u r study. It h e l p s d e f i n e t h e r e s e a r c h p r o b l e m a n d struc
tures t h e w r i t i n g o f y o u r l i t e r a t u r e r e v i e w . I n a d d i t i o n , it a c t s as a fil
t e r i n g t o o l to s e l e c t a p p r o p r i a t e r e s e a r c h q u e s t i o n s a n d to g u i d e d a t a
c o l l e c t i o n , a n a l y s i s , a n d i n t e r p r e t a t i o n o f f i n d i n g s . A c c o r d i n g to
M e r r i a m ( 2 0 0 1 ) , " A l l a s p e c t s o f t h e s t u d y are affected b y its t h e o r e t i c a l
f r a m e w o r k " (p. 4 7 ) .
How Do You Find a Conceptual
or Theoretical Framework?
T h e b e s t w a y to select a n a p p r o p r i a t e c o n c e p t u a l or theoretical
f r a m e w o r k for y o u r s t u d y is to i m m e r s e y o u r s e l f in the research a n d
theoretical literature related to y o u r topic o f interest. Y o u m a y n o t find
a specific t h e o r y to g u i d e y o u r study; h o w e v e r , y o u will d i s c o v e r a
variety o f interrelated c o r e c o n c e p t s a n d s u b c o n c e p t s from w h i c h to
frame y o u r study.
EXAMPLE 1 OF A CONCEPTUAL FRAMEWORK
F o l l o w i n g are s e c t i o n s from a q u a n t i t a t i v e d i s s e r t a t i o n a b o u t s t u d e n t
p e r s i s t e n c e a n d a c a d e m i c s u c c e s s in an institution o f h i g h e r e d u c a t i o n .
T h e researcher p r e p a r e d a s e p a r a t e section in C h a p t e r O n e d e v o t e d to
the s t u d y ' s u n d e r l y i n g theories.
CONCEPTUAL FRAMEWORK
To properly frame this study... it was appropriate to go to the recognized experts
in college persistence. These theorists studied college persistence for over 35 years
and developed models that have been tested and validated.
Student persistence is complex, made up of many variables (Lewallen, 1993).
Studies since the 1970s attempted to isolate the most important and influential
elements of student retention, attrition, and ultimately persistence to bachelor
degree completion. Two theorists who heavily influenced the direction of this
research were Vincent Tinto and Alexander Astin (Blecher, Michael, & Hagedon,
2002; Colbert, 1999; Hutto, 2002).
Vincent Tinto in 1975 developed his "Model of Student Departure," which
postulated that students come to a college with a particular background
molded by their own unique genetics and environmental experiences and are
guided by certain aspirations toward particular goal completions. This back-
ground and goal setting impacted the academic and social integration of the
student at the university. Ultimately, Tinto theorized that the successful aca-
demic and social integration of a student led to successful persistence to
degree completion (Blecher, Michael, & Hagedorn, 2002; Tinto, 1975). Tinto's
theory has been widely quoted and reviewed over the last 30 years as evi-
denced by over 400 citations and at least 170 dissertations focusing on this
theory (Braxton, Milem, & Sullivan, 2000). The basic precepts of the theory
have been affirmed by many researchers (Aitken, 1982; Benjamin, 1993;
Pascarella, 1983; Terenzini, 1980, 1977, 1985).
In 1970, Alexander Astin began with a general education model focusing on
how students are impacted by their college experience. He then developed and
expanded it over the next few years and referred to it as the "Input-Environment-
Output" persistence model (Astin, 1970, 1975). Students enter higher education
with unique "input" variables, again based on their own genetics and particular
environmental experiences (Astin, 1970). Astin described these inputs as...Astin
defined the "environment" variables as "those aspects of higher educational insti-
tutions that are capable of affecting the student" (Astin, 1970, p. 3). These envi-
ronmental variables can be anything from institutional policies, associations with
other students, support programs, facilities, to specific curriculum (Astin, 1970).
(Continued)
(Continued)
The final aspect of the model, the "output" variables, refers t o . . . In

conjunction with this structure, Astin designed a 'Theory of Involvement" and
theorized that the level of involvement of a student's interactions within the
university environment was a major factor in the eventual persistence of the
student (Astin, 1970, 1984).
. . . Hutto's literature review on student retention revealed that Astin is
considered the foremost researcher on student involvement theory primarily
because.. .Astin has led the nation's longest running study of college
environments (Astin, 2003).
Both Tinto and Astin use an Input-Environment-Output approach to student
persistence. Both acknowledge the role of student biological and environmental
independent variables on the dependent outcome variables of persistence and
ultimate academic success and the possible mediating role of university
environmental variables on the input variables.
Note: The researcher then proceeded to describe the applicability of the Input-
Environment-Output Model to his particular study.
Spindle, B. (2006). A study of Alaska native student persistence and academic success at the
University of Alaska Anchorage. Doctoral Dissertation, University of La Verne.
EXAMPLE 2 OF A CONCEPTUAL FRAMEWORK

This example is from a dissertation titled "An Exploratory Study of the Ways
in Which Superintendents Use Their Emotional Intelligence to Address
Conflict in Their Organizations" by Lori Ceery (1997). Her purpose was the
following:
The purpose of this study was to describe the knowledge, skills, behaviors,
and strategies associated with emotional intelligence that superintendents
perceived they use to address conflict in their organizations. This study also
determined the impact use of emotional intelligence had on superinten-
dents' perceptions of their ability to lead and manage their organizations.
(Ceery, 1997)
The conceptual framework for this study was the five concept areas of emo-
tional intelligence: understanding their own emotions, managing their own
emotions, motivating themselves, recognizing emotions of others, and
handling relationships with others. The matrix that outlines this conceptual
framework follows. Notice how this framework mirrors the purpose of the
study.
Knowledge Skills Behaviors Strategies
Understanding -Uses emotional self- -Displays self-regard -Is confident -Recognizes one's strengths and
their own emotions awareness -Is intuitive -Is assertive weaknesses
-Uses emotional self- -Is insightful -Capitalizes on strengths and improves
knowledge -Is reflective weaknesses through self-improvement
Managing their -Understands and uses -Is resilient -Holds back negative emotions to remain -Reframes problems
own emotions impulse control -Is flexible positive -Uses humor
-Understands and uses -Displays a tolerance for -Displays positive emotional behavior -Takes time out to relax
self-control dealing with stress
Motivating -Understands and believes -Is optimistic -Delays gratification -Sets personal goals
themselves in one's potential (potency) -Is hopeful -Displays positive energy -Breaks down large tasks into smaller
-Is persistent -Accepts responsibility for own behavior steps and
-Approaches challenges with -Focuses attention on the task at hand -Celebrates small successes
enthusiasm
Recognizing -Understands and -Reads people's nonverbal -Pays attention to people and -Develops rapport with colleagues and
emotions of others demonstrates empathy behavior relationships employees
-Listens actively -Mirrors other's movements and tones -Allows employees to express emotions
-Demonstrates insight about -Demonstrates regard and compassion -Provides emotional support for others
other's feelings, motives, for others
and concerns
Handling -Understands how to -Influences, persuades, and -Demonstrates respect for others -Models emotional intelligence
relationships with develop relationships inspires others -Recognizes and responds appropriately -Builds trust in relationships
others -Appropriate expression and to people's feelings and concerns -Boosts organizational morale
transfer of emotion -Makes personal connections with others -Builds collaboration among people
-Harnesses the willing -Promotes cooperation -Gives praise, recognition, and rewards
participation of others
Conceptual Framework That Is Used to Describe and Classify Emotional Intelligence (Ceery, 1997, p. 100).
133
To see additional e x a m p l e s o f describing a c o n c e p t u a l or theoretical

framework, refer to J o h n C r e s w e l l ' s b o o k , Research Design: Qualitative,
Quantitative, and Mixed Methods Approaches (2nd ed.). In this b o o k ,
Creswell (2002) p r o v i d e d m o d e l s for writing a quantitative theoretical
perspective section (see pp. 1 2 7 - 1 3 0 ) . H e also p r o v i d e d a description
a n d e x a m p l e s o f qualitative theory u s e (see p p . 1 3 1 - 1 3 6 ) .
Purpose Statement
B y the time the reader gets to the purpose statement, there should b e n o
doubt about w h a t y o u will b e doing in your study. T h e purpose statement,
usually written in a single sentence or paragraph, clearly and succinctly
states the intent of your study—what exactly you're going to find out. It
represents the essence of your study and reflects its parameters. T h e pur
pose statement, according to Creswell (2009), "is the m o s t important state
m e n t in the entire study, and it needs to b e clearly and specifically
presented" (p. 111). T h e purpose is clarified w h e n y o u specify the variables
or concepts under study and indicate whether your study is descriptive in
nature or whether it is a relationship or differences study. In any one study,
y o u m a y find one or m o r e o f these three types o f measurements.
Following are s o m e examples to help y o u differentiate a m o n g them:
Example 1: A Purpose Statement
In a Descriptive Study
T h e p u r p o s e o f this s t u d y w a s to d e t e r m i n e w h i c h strategies
p r i n c i p a l s u s e d to i m p l e m e n t s h a r e d d e c i s i o n m a k i n g in
selected e l e m e n t a r y s c h o o l s a n d to d e t e r m i n e h o w effective
t h e y w e r e p e r c e i v e d to b e b y the principal, a teacher, a n d a
p a r e n t at e a c h site. (Walkington, 1 9 9 1 )
in a Relationships Study
T h e p u r p o s e o f this s t u d y w a s to identify the relationship

b e t w e e n the p e r c e i v e d effectiveness o f teacher w o r k t e a m s a n d
teacher m o t i v a t i o n a l n e e d s .
in a Differences Study
T h e p u r p o s e o f this study w a s to d e t e r m i n e w h e t h e r there is a

significant difference b e t w e e n the limited-English-speaking h i g h
school students attending year-round schools and limited-

English-proficient students attending traditional h i g h schools in
the areas o f (1) student attendance, (2) student g r a d e point aver-
age, (3) student a c a d e m i c a c h i e v e m e n t as m e a s u r e d b y units
e a r n e d t o w a r d graduation, a n d (4) student oral English-language
acquisition as m e a s u r e d b y L a n g u a g e A s s e s s m e n t S u r v e y (LAS).
(Miranda, 1993)

in a Differences and Relationships Study
T h e p u r p o s e o f this s t u d y w a s to d e t e r m i n e the differences
b e t w e e n p u b l i c a n d n o n - p u b l i c s c h o o l special e d u c a t i o n princi-
p a l s a n d t e a c h e r s o f s t u d e n t s w i t h s e v e r e e m o t i o n a l distur-
b a n c e s o n their l e a d e r s h i p orientations. It also d e t e r m i n e d
w h e t h e r a relationship e x i s t e d b e t w e e n t h e s e l e a d e r s h i p orien-
tations a n d v a r i a b l e s o f s c h o o l s u c c e s s as m e a s u r e d b y s t u d e n t
absenteeism, suspensions, expulsions, and teacher absenteeism.
(Hernandez, 1996)

in a Descriptive and Differences Study
T h e p u r p o s e o f this s t u d y w a s to d e s c r i b e the collective bar-
g a i n i n g p r o c e d u r e s u s e d b y s e l e c t e d c o m m u n i t y college dis-
tricts a n d t h e c l i m a t e s o f the colleges. It w a s a l s o the p u r p o s e o f
this s t u d y to d e s c r i b e t h e differences b e t w e e n a p o p u l a t i o n w i t h
training in n o n - a d v e r s a r i a l collective b a r g a i n i n g strategies a n d
a p o p u l a t i o n w i t h o u t training in collective b a r g a i n i n g strate-
gies. ( G a r c i a - L i p s c o m b , 1 9 9 7 )
REMEMBER
Include in each chapter the purpose statement and research questions. Be sure
they appear exactly the same throughout the dissertation. Don't get creative!
It is i m p o r t a n t to realize that p u r p o s e s t a t e m e n t s v a r y a c c o r d i n g to
specialized research designs. A qualitative purpose statement uses
w o r d s d r a w n from that s p e c i a l i z e d line o f i n q u i r y a n d often reflects the
p r o c e d u r e s o f an e m e r g i n g d e s i g n format. S o m e t i m e s qualitative
r e s e a r c h e r s u s e w o r d s s u c h as intent, aim, or objective to d r a w attention
136 Climbing; to Base Camp
to the s t u d y ' s intent. E x a m p l e s that illustrate t h e difference b e t w e e n

qualitative, quantitative, a n d m i x e d - m e t h o d s p u r p o s e s t a t e m e n t s c a n
b e found in Research Design: Qualitative, Quantitative, and Mixed Methods
Approaches b y C r e s w e l l (2009).
Research Questions/Hypotheses
" A q u e s t i o n w e l l stated is a q u e s t i o n half a n s w e r e d . "
Your topic w a s introduced, b a c k g r o u n d information provided, a n d the

purpose clearly stated. In this section of the dissertation, y o u state the
research questions or h y p o t h e s e s for the study. Your research q u e s t i o n s /
hypotheses guide the study a n d usually provide the structure for pre-
senting the results o f the research. Generally, g o o d research questions
should h a v e the following:
• Clear variables/concepts
• O b v i o u s m e a s u r e m e n t type (description, relationship, difference)
• N o how or why q u e s t i o n s
• "Thing words" clarified (success, processes, achievement,
factors, etc.)
• N o q u e s t i o n s that c a n b e a n s w e r e d b y c o u n t i n g or b y a n s w e r i n g
" y e s " or " n o "
In quantitative studies, research h y p o t h e s e s state the e x p e c t a t i o n s

of the researcher c o n c e r n i n g the relationship b e t w e e n variables. T h e y
indicate w h a t the researcher t h i n k s t h e o u t c o m e o f the s t u d y will b e . If
y o u r s t u d y is l o o k i n g at differences, y o u m a y w i s h to state y o u r
h y p o t h e s e s as null h y p o t h e s e s that state there is n o difference b e t w e e n
variables. F o l l o w i n g is a n e x a m p l e o f a d e s c r i p t i v e p u r p o s e s t a t e m e n t
w i t h research q u e s t i o n s . N o t i c e t h e a l i g n m e n t b e t w e e n t h e m . T h e
research q u e s t i o n s o p e r a t i o n a l l y define t h e g e n e r a l t e r m s u s e d in the
p u r p o s e s t a t e m e n t (e.g., changes a n d factors).
EXAMPLE
Purpose Statement
T h e p u r p o s e s o f this s t u d y w e r e to d e s c r i b e t h e c h a n g e s that o c c u r r e d
at three California m i d d l e s c h o o l s w h e r e s c h o o l - l i n k e d services w e r e
delivered a n d to identify the factors that facilitated a n d b a r r i e r s that
i m p e d e d the d e l i v e r y o f services.
RESEARCH QUESTIONS
1. W h a t services w e r e d e l i v e r e d at California m i d d l e s c h o o l s , a n d
h o w did s t u d e n t s a c c e s s t h e s e s e r v i c e s ?
2. W h a t c h a n g e s o c c u r r e d in the r e s o u r c e s o f m o n e y , p e r s o n n e l ,
facilities, t i m e , a n d e n e r g y ?
3. W h a t c h a n g e s o c c u r r e d in the roles a n d responsibilities o f s c h o o l

personnel?
4. W h a t c h a n g e s in c u r r i c u l a r or e x t r a c u r r i c u l a r areas o c c u r r e d
since the d e l i v e r y o f s c h o o l - l i n k e d s e r v i c e s ?
5. W h a t c h a n g e s in s t u d e n t d i s c i p l i n e or p a r e n t involvement
o c c u r r e d since the d e l i v e r y o f s c h o o l - l i n k e d s e r v i c e s ?
6. W h a t factors at the s c h o o l sites facilitated the d e l i v e r y o f s c h o o l -

linked services?
7. W h a t b a r r i e r s i m p e d e d the d e l i v e r y o f s c h o o l - l i n k e d services?
SOURCE: Kinley (1996).
B e c a u s e the qualitative r e s e a r c h p a r a d i g m is c h a r a c t e r i z e d b y the

e m e r g e n c e o f q u e s t i o n s d u r i n g the c o u r s e o f data c o l l e c t i o n a n d analy-
sis, the a u t h o r m a y (a) p r e s e n t the original r e s e a r c h q u e s t i o n s in this
c h a p t e r a n d then, in the m e t h o d o l o g y chapter, d i s c u s s h o w these
c h a n g e d d u r i n g data c o l l e c t i o n a n d analysis; or (b) p r e s e n t the final
q u e s t i o n s that e m e r g e d d u r i n g data c o l l e c t i o n a n d a n a l y s i s .
Significance of the Study

T h i s section is a m o r e detailed e x p l a n a t i o n of the why o f y o u r study.
D o e s it explore a n i m p o r t a n t issue, m e e t a r e c o g n i z e d n e e d , or fill in a
g a p in the k n o w l e d g e b a s e ? Y o u m u s t b u i l d an a r g u m e n t for the w o r t h
or significance o f y o u r r e s e a r c h — h o w it s h o u l d b e useful to k n o w l e d g e ,
practitioners, a n d policy m a k e r s .
You h a v e to c o n v i n c e y o u r reader, e s p e c i a l l y y o u r a d v i s o r a n d c o m -
mittee, o f the n e e d for this p a r t i c u l a r study. To s u p p o r t y o u r a r g u m e n t ,
y o u c a n s u m m a r i z e w r i t i n g s o f e x p e r t s w h o identified y o u r p r o b l e m as
an i m p o r t a n t o n e a n d u r g e d that r e s e a r c h b e c o n d u c t e d a b o u t it.
S e c o n d , y o u c a n s h o w specific data that i n d i c a t e the severity o f the
p r o b l e m a n d the n e e d to r e s o l v e it.
O g d e n (1993) p r o v i d e d s o m e i m p o r t a n t p o i n t s to r e m e m b e r a b o u t
w r i t i n g this section. First, she stated, " T h e rationale s h o u l d b e u n d e r
s t a n d a b l e to a n y r e a s o n a b l y e d u c a t e d i n d i v i d u a l , n o t j u s t to p e o p l e in
y o u r field." S e c o n d , she c a u t i o n e d y o u n o t to " o v e r s e l l the c o n t r i b u t i o n
to the field." It will n o t n e c e s s a r i l y solve a n a t i o n a l p r o b l e m . Finally,
she p o i n t e d out that " n o m a t t e r w h i c h w a y the results c o m e out, the
v a l u e o f this s t u d y c o u l d b e d e f e n d e d " ( O g d e n , 1 9 9 3 , p. 8 6 ) .
C r e s w e l l (2009) p r o v i d e d additional insight into w r i t i n g the signif
icance section o f y o u r dissertation. In d e s i g n i n g this section, h e a d v i s e s
i n c l u d i n g the following:
• T h r e e or four r e a s o n s that the s t u d y a d d s to the s c h o l a r l y

research a n d literature in the field
• T h r e e or four reasons a b o u t h o w the s t u d y h e l p s i m p r o v e practice
• T h r e e or four reasons as to w h y the s t u d y will i m p r o v e policy
(p. 107)
Delimitations
T h i s section clarifies the b o u n d a r i e s o f y o u r study. It is the w a y to indi
cate to the reader h o w y o u n a r r o w e d y o u r s t u d y ' s s c o p e . Y o u control
the d e l i m i t a t i o n s — w h a t will b e i n c l u d e d a n d w h a t will b e left out.
F o l l o w i n g are s o m e typical delimitations:
• T i m e o f the study: F e b r u a r y 2 0 0 8 t h r o u g h A p r i l 2 0 0 9
• L o c a t i o n o f the study: districts in s o u t h e r n California or u r b a n
areas o n l y
• S a m p l e o f the study: p r i n c i p a l s a n d s u p e r i n t e n d e n t s
• S e l e c t e d a s p e c t s o f the p r o b l e m
• S e l e c t e d criteria o f the s t u d y
F o l l o w i n g are s o m e w a y s to e x p r e s s a d i s s e r t a t i o n ' s delimitations:
1. O n l y t h o s e districts w i t h s t u d e n t e n r o l l m e n t s less t h a n 1,000

w e r e i n c l u d e d in this study.
2. T h o s e s u r v e y e d in this s t u d y c o n s i s t e d o f female m a n a g e r s in
their first s u p e r v i s o r y position.
3. T h e s t u d y i n c l u d e d o n l y t h o s e o r g a n i z a t i o n s that m a t c h e d the
selection criteria e s t a b l i s h e d for t h e study. T h e criteria for selec
tion i n c l u d e d . . . .
Often the t e r m s delimitation a n d limitation are c o n f u s e d . M a u c h a n d

Birch (1993) offered a c l e a r d i s t i n c t i o n b e t w e e n the t w o . T h e y stated,
" A l i m i t a t i o n is a factor that m a y or w i l l affect the s t u d y in a n i m p o r

tant way, b u t is not under control o f t h e r e s e a r c h e r ; a d e l i m i t a t i o n dif
fers, principally, in that it is controlled b y t h e r e s e a r c h e r " (p. 103). S i n c e
l i m i t a t i o n s p r i m a r i l y i n v o l v e t h e i n h e r e n t w e a k n e s s e s in t h e m e t h o d
ology, t h e y are u s u a l l y p l a c e d in t h e m e t h o d o l o g y section.
Assumptions
N o t all s t u d i e s i n c l u d e a s s u m p t i o n s . W h e t h e r or n o t t h e y are i n d i c a t e d
d e p e n d s o n the desires o f y o u r a d v i s o r a n d c o m m i t t e e m e m b e r s .
Basically, a s s u m p t i o n s are w h a t y o u take for g r a n t e d relative to y o u r
study. F o l l o w i n g are s o m e e x a m p l e s o f a s s u m p t i o n s :
1. T h e s a m p l e s t u d i e d w a s r e p r e s e n t a t i v e o f the total p o p u l a t i o n o f
n u r s e s e m p l o y e d at the St. P a u l ' s M e m o r i a l H o s p i t a l .
2. R e s p o n s e s r e c e i v e d from the p a r t i c i p a t i n g m a n a g e r s a c c u r a t e l y
reflected their p r o f e s s i o n a l o p i n i o n s .
3. H i g h school students can r e m e m b e r w h a t their perceptions w e r e of

the bilingual p r o g r a m in w h i c h they participated 10 to 12 years ago.
4. T h e participants in this s t u d y a n s w e r e d all o f t h e i n t e r v i e w q u e s

tions o p e n l y a n d honestly.
Definition of Terms
T h i s section o f the dissertation p r o v i d e s t h e definition for the t e r m s
u s e d that d o n o t h a v e a c o m m o n l y k n o w n m e a n i n g or that h a v e the
possibility o f b e i n g m i s u n d e r s t o o d . T h e s e t e r m s s h o u l d b e opera
tionally defined—that is, defined a c c o r d i n g to h o w the t e r m s are u s e d
in y o u r study. Y o u c a n c h o o s e to define t h e m in a n y w a y y o u like in
order to clarify w h a t y o u m e a n w h e n y o u u s e that p a r t i c u l a r term.
U n l e s s t h e y are c l e a r l y defined, t h e y c a n b e o p e n to n u m e r o u s inter
pretations. F o r e x a m p l e , the t e r m achievement in e d u c a t i o n c a n refer to
a v a r i e t y o f m e a n i n g s . O n e o p e r a t i o n a l definition m a y b e the level o f
test scores t h r o u g h o u t a s c h o o l , or it c o u l d m e a n skill in p l a y i n g the
p i a n o . It is a p p r o p r i a t e to p a r a p h r a s e or to specifically cite definitions
u s e d from the literature. F o l l o w i n g are s o m e e x a m p l e s o f definition o f
t e r m s u s e d in dissertations:
Transformational leader. S o m e o n e in a u t h o r i t y w h o articulates a clear

vision for the future.
Empowerment. A p r o c e s s that e n a b l e s p e o p l e to d o w h a t t h e y d o b e s t
a n d for w h i c h t h e y are h e l d a c c o u n t a b l e .
Site-based management. A s y s t e m that i n c r e a s e s p e o p l e ' s authority at

the s c h o o l site a n d i n v o l v e s t h e m in i m p l e m e n t i n g decisions.
jjj REMEMBER
Define each new term the first time it appears in the study.
Organization of the Study

Usually, C h a p t e r 1 c o n c l u d e s w i t h a section that d e l i n e a t e s the c o n t e n t s
of the r e m a i n i n g c h a p t e r s in the study. H e r e is an e x a m p l e :
The r e m a i n d e r of the s t u d y is organized into five chapters, a b i b -

liography, a n d a p p e n d i x e s in the following manner. C h a p t e r 2
presents a r e v i e w o f the related literature dealing w i t h e v o l v i n g
trends in the practices a n d p r o c e d u r e s u s e d to evaluate superin-
tendents. C h a p t e r 3 delineates the research d e s i g n a n d m e t h o d -
ology o f the study. T h e i n s t r u m e n t u s e d to gather the data, the
p r o c e d u r e s followed, a n d d e t e r m i n a t i o n of the s a m p l e selected
for s t u d y are described. A n analysis o f the data a n d a discussion
of the findings are presented in C h a p t e r 4 . C h a p t e r 5 contains
the s u m m a r y , c o n c l u s i o n s , a n d r e c o m m e n d a t i o n s o f the study.
The study concludes with a bibliography and appendixes.
Summary
W h e n w r i t i n g y o u r d i s s e r t a t i o n ' s i n t r o d u c t o r y chapter, b e sure to
i n c l u d e b a c k g r o u n d i n f o r m a t i o n to all the v a r i a b l e s a n d c o n c e p t s
directly related to y o u r study, the i m p o r t a n c e of y o u r s t u d y to the field,
a n d an explicit d i s c u s s i o n o f y o u r s t u d y ' s c o n c e p t u a l or theoretical
f r a m e w o r k . Write a clear a n d s u c c i n c t p u r p o s e s t a t e m e n t a n d research
q u e s t i o n s that clearly define the p a r a m e t e r s o f y o u r study. It is also
i m p o r t a n t to i n c l u d e a d e l i m i t a t i o n s section that clarifies the s c o p e o f
y o u r s t u d y a n d a definition o f t e r m s section that o p e r a t i o n a l l y defines
the specific t e r m s u s e d in y o u r study. A c o n c l u d i n g s t a t e m e n t delin-
eates the c o n t e n t s o f the s t u d y ' s r e m a i n i n g c h a p t e r s .
T h e n e x t c h a p t e r g u i d e s y o u t h r o u g h the p r o c e s s o f selecting a n d
describing your study's methodology.
12
Selecting and Describing
the Methodology
Selecting the Methodology

B e g i n n i n g the c l i m b o n the dissertation m o u n t a i n i n v o l v e s c h o o s i n g a
dissertation topic, c o n d u c t i n g a r e v i e w o f the literature, a n d selecting
a n d d e s c r i b i n g a research m e t h o d o l o g y . T h e s e are n o t linear processes;
t h e y u n d u l a t e b a c k a n d forth a n d often g o o n simultaneously. R e v i e w i n g
the literature g r o u n d s y o u in u n d e r s t a n d i n g w h a t is k n o w n a n d n o t
k n o w n a b o u t y o u r s t u d y ' s topic a n d h e l p s p r o v i d e the b a s i s for select
ing a n appropriate m e t h o d o l o g y . W h a t e v e r m e t h o d o l o g y y o u c h o o s e ,
y o u n e e d to u n d e r s t a n d the t e c h n i q u e s a n d p r o c e s s e s o f that particular
m e t h o d . Very few students r e m e m b e r w e l l the c o n t e n t from their
research m e t h o d o l o g y or statistics c o u r s e s .
Selection Considerations
S t u d e n t s frequently ask, " H o w d o I g o a b o u t selecting a m e t h o d o l
ogy for m y s t u d y ? " T h e a n s w e r isn't s i m p l e ; it is p o s s i b l e to identify
several different methodological approaches for a single topic.
M e t h o d o l o g y selection rests p r i m a r i l y o n the (1) p r o b l e m to b e investi
gated, (2) p u r p o s e o f the study, (3) t h e o r y b a s e , a n d (4) nature o f the
data. Selection m a y also d e p e n d o n y o u r research skills a n d t h o s e o f
y o u r c o m m i t t e e m e m b e r s . I r e c o m m e n d that o n e o f y o u r c o m m i t t e e
m e m b e r s p o s s e s s the e x p e r t i s e in t h e m e t h o d o l o g y y o u select. H o w
141
comfortable are y o u w i t h statistics? D o y o u h a v e the required literary

writing skills n e c e s s a r y for qualitative research? It is essential that y o u
are able to express y o u r s e l f clearly a n d explicitly. D o n ' t w o r r y if y o u d o
not feel comfortable w i t h y o u r level of k n o w l e d g e a b o u t research
m e t h o d o l o g y or w i t h the skills required to c o n d u c t an original research
study. In m y e x p e r i e n c e , m o s t students d o not c o m e to the dissertation
process confident a n d e a g e r to a p p l y research skills. " L e a r n i n g b y
d o i n g " is the n a m e of the g a m e . W i t h g u i d a n c e from y o u r c o m m i t t e e ,
y o u r learning e v o l v e s over t i m e as y o u p r o c e e d t h r o u g h e a c h stage o f
the dissertation. Don't try to make your study fit a predetermined research
methodology.
T h e research a p p r o a c h y o u select for y o u r s t u d y will b e quantitative,
qualitative, or a c o m b i n a t i o n o f the t w o . In this section, I present a c o m
parison o f these t w o p a r a d i g m s b u t focus o n the qualitative a p p r o a c h
b e c a u s e o f the increased interest a n d u s e o f this m e t h o d o l o g y in e d u c a
tion and the social sciences. T h i s b o o k , h o w e v e r , is not a m e t h o d o l o g y
text, a n d I refer y o u to the Further R e a d i n g section at the e n d o f this
c h a p t e r for d e t a i l e d i n f o r m a t i o n in t h e v a r i o u s m e t h o d o l o g i c a l
approaches.
The Methodology of Research

All research m e t h o d o l o g y can b e classified u n d e r t w o b r o a d generic
categories: quantitative or qualitative. E a c h h a s a variety o f s u b m e t h o d
ologies, or designs, w i t h their o w n protocol for collecting a n d analyzing
data. A h y b r i d a p p r o a c h is o b t a i n e d w h e n quantitative a n d qualitative
a p p r o a c h e s are u s e d together. B l e n d i n g these t w o a p p r o a c h e s generally
allows greater d e p t h o f u n d e r s t a n d i n g a n d insight t h a n w h a t is possible
using just o n e approach. Plus, b l e n d i n g h e l p s o v e r c o m e the biases
inherent in each m e t h o d .
Quantitative Versus Qualitative Research
W h a t is the difference b e t w e e n qualitative and quantitative research?

Staindack and Staindack (1988) explained it this way: "Qualitative
research differs from quantitative research in its theoretical/philosophical
rationale" (p. 4 ) . In philosophical terms, the quantitative approach is
called logical positivism. Inquiry begins with a specific plan—a set of
detailed questions or hypotheses. Researchers seek facts and causes o f
h u m a n behavior and w a n t to k n o w a lot about a few variables so differ
ences can b e identified. T h e y collect data that are primarily numerical and
result from surveys, tests, experiments, and so on. M o s t quantitative
a p p r o a c h e s m a n i p u l a t e variables a n d control the research setting.
Quantitative designs include descriptive research, experimental research,
Selecting and Describing the Methodology 143
quasi-experimental research, e x p o s t
Not everything that can be counted
f a c t o / c a u s a l comparative research, and
counts, and not everything that
correlational research.
counts can be counted.
T h e qualitative approach is b a s e d o n
the philosophical orientation called phe- -Albert Einstei
nomenology, w h i c h focuses on people's
experience from their perspective. Inquiry begins with broad, general
questions about the area u n d e r investigation. Researchers seek a holistic
picture—a comprehensive and complete understanding of the p h e n o m e n a
they are studying. T h e y g o into the field to collect data. T h e y m a y m a k e
observations; conduct in-depth, open-ended interviews; or look at written
documents. Rather than n u m b e r s , the data are w o r d s that describe peo-
ple's knowledge, opinions, perceptions, and feelings as well as detailed
descriptions o f people's actions, behaviors, activities, and interpersonal
interactions. Qualitative research m a y also focus o n organizational
processes. In other words, qualitative researchers look at the essential char-
acter or nature of something, not the quantity (how much, h o w many).
This approach is s o m e t i m e s called naturalistic inquiry b e c a u s e the
research is conducted in real-world settings; no attempt is m a d e to manip-
ulate the environment. Researchers are interested in the meanings people
attach to the activities and events in their w o r l d and are open to whatever
emerges. Qualitative research is really an umbrella term that refers to sev-
eral research genres that share certain characteristics. T h e y g o b y different
names, such as case study research, historical research, ethnography,
grounded theory, narrative analysis, action research, and hermeneutics.
Why Do Qualitative Research?
Strauss a n d C o r b i n (1990) offer five r e a s o n s for d o i n g qualitative

research:
1. T h e conviction o f the researcher b a s e d o n research e x p e r i e n c e
2. T h e n a t u r e o f the research p r o b l e m
3. To u n c o v e r a n d u n d e r s t a n d w h a t lies b e h i n d a n y p h e n o m e n o n
a b o u t w h i c h little is yet k n o w n
4. To gain n o v e l a n d fresh slants o n things a b o u t w h i c h quite a bit is

already k n o w n
5. To give intricate details o f p h e n o m e n a that are difficult to c o n v e y

w i t h quantitative m e t h o d s (p. 19)
T h e m o s t salient differences b e t w e e n qualitative a n d quantitative

a p p r o a c h e s are listed in F i g u r e 12.1.
Figure 12.1 Research Methodologies: A Comparison
Qualitative Quantitative
• Naturalistic designs • Experimental designs

• Descriptive • Explanatory
• Inductive analysis (generate • Deductive analysis (test hypotheses)
hypotheses) • Standardized measures
• Observations/interviews • Validity depends on careful
• The researcher is the instrument instrument construction
• Trustworthiness depends on the • Breadth (limited set of variables
researcher's skill and competence measured)
• Depth (collection of intensive data) • Large samples (random sampling)
• Small samples (purposive sampling) • Testing/verifying theories and
• Discovering/exploring concepts concepts
• Extrapolations • Generalizations
B o t h research orientations p l a y a n i m p o r t a n t role in e x t e n d i n g

k n o w l e d g e . W h i c h e v e r y o u select for y o u r study, b e sure to r e a d
w i d e l y in that m e t h o d o l o g i c a l area so y o u are k n o w l e d g e a b l e a b o u t the
analysis a n d data collection p r o c e d u r e s n e c e s s a r y to c o n d u c t your
study. R e m e m b e r , in the e n d , y o u m u s t justify y o u r c h o i c e o f m e t h o d -
o l o g y a n d clarify w h y it w a s the b e s t w a y to c o n d u c t y o u r study.
B e c a u s e there are n o inferential statistics to b e p e r f o r m e d in qualitative
research, s o m e s t u d e n t s m i s t a k e n l y b e l i e v e it to b e easier to c o n d u c t
than a quantitative study. T h i s is n o t true! A n a l y z i n g h u g e a m o u n t s o f
qualitative data into m e a n i n g f u l t h e m e s a n d p a t t e r n s is a n a w e s o m e
task requiring c o n s i d e r a b l e t i m e a n d effort. A c c o r d i n g to P a t t o n (2002),
" O n a v e r a g e , a o n e - h o u r i n t e r v i e w will yield 10 to 15 s i n g l e - s p a c e d
p a g e s o f text; 10 t w o - h o u r i n t e r v i e w s will y i e l d r o u g h l y 2 0 0 to 3 0 0
p a g e s o f t r a n s c r i p t s " (p. 4 4 0 ) .
Mixed Methods
A l t h o u g h qualitative a n d quantitative a p p r o a c h e s are g r o u n d e d in

different p a r a d i g m s , it is p o s s i b l e to c o m b i n e t h e m into o n e study. T h e
m i x e d - m e t h o d s a p p r o a c h is e x p a n d i n g as a viable m e t h o d o l o g y in the
social a n d h u m a n sciences, e v i d e n c e d b y a variety o f b o o k s a n d j o u r n a l s
reporting and promoting mixed-methods research. C r e s w e l l (2002)
reported that "entire b o o k s n o w exist a b o u t p r o c e d u r e s for c o n d u c t i n g
m i x e d m e t h o d s studies—similar b o o k s w e r e n o t available a d e c a d e a g o
(Greene & Caracelli, 1997; N e w m a n & B e n z , 1 9 9 8 ; R e i c h a r d t & Rallis,
1994; Tashakkori & Teddlie, 1 9 9 8 ) " (p. 2 0 8 ) .
H e r e are s o m e w a y s to i n c o r p o r a t e b o t h qualitative a n d quantita-

tive a p p r o a c h e s into a s i n g l e study. N u m e r i c a l d a t a m a y b e i n c l u d e d in
a qualitative study, a n d n a r r a t i v e d a t a (such as o p e n - e n d e d q u e s t i o n -
naire r e s p o n s e s ) m a y b e i n c l u d e d in a q u a n t i t a t i v e study. F o r e x a m p l e ,
y o u m a y start g a t h e r i n g d a t a w i t h a s u r v e y to get a b r o a d p e r s p e c t i v e
a n d t h e n select c a s e s to s t u d y in d e p t h b y c o n d u c t i n g o p e n - e n d e d
i n t e r v i e w s . Y o u m a y a l s o start w i t h a c a s e s t u d y d e s i g n a n d find vari-
ables to a s k o n a survey. S t r a u s s a n d C o r b i n (1990) offered o t h e r
e x a m p l e s o f h o w qualitative a n d q u a n t i t a t i v e a p p r o a c h e s c a n b e c o m -
b i n e d : " O n e m i g h t u s e qualitative d a t a to illustrate or clarify quantita-
tively d e r i v e d findings; or, o n e c o u l d quantify d e m o g r a p h i c findings.
Or, u s e s o m e f o r m o f q u a n t i t a t i v e d a t a to p a r t i a l l y v a l i d a t e o n e ' s qual-
itative a n a l y s i s " (p. 1 9 ) .
Qualitative a n d quantitative a p p r o a c h e s in a single s t u d y c o m p l e -
m e n t e a c h o t h e r b y p r o v i d i n g results w i t h greater b r e a d t h a n d depth.
C o m b i n i n g what w i t h a p o s s i b l e why a d d s p o w e r a n d richness to y o u r
e x p l a n a t i o n o f the data. W i t h quantitative m e t h o d s , y o u c a n s u m m a r i z e
large a m o u n t s o f data a n d r e a c h g e n e r a l i z a t i o n s b a s e d o n statistical pro-
jections. Qualitative research tells a s t o r y from the v i e w p o i n t o f the par-
ticipants that p r o v i d e s rich descriptive detail. F i g u r e 12.2 is a n e x a m p l e
of a table from a dissertation b y C l a r k (2002) that c o m b i n e s qualitative
a n d quantitative data.
Example: Summary of Responses From Interviews

Describing Collaboration Activities
Interview Question Summary Phrase Frequency

Describe
Describe hohoww th
thee Cooperative working relationship 9
partners
partners worke
worked d
Consistent communication with partner 6
together
together iin
n buildin
buildingg
the
the schoo
schooll Contentious negotiations 6
Easier to work with high-level decision maker 1
Outward appearance of good relationship with 1
partner, but then there is reality
G a y a n d A i r a s i a n (2003) offered a practical resource for u n d e r s t a n d -

ing h o w to m i x qualitative a n d quantitative m e t h o d s . T h e y offered three
m o d e l s o f m i x e d - m e t h o d s research:
1. T h e Q U A L - Q u a n m o d e l w h e r e qualitative data are collected first

a n d are m o r e h e a v i l y w e i g h t e d t h a n quantitative
2. T h e Q U A N - Q u a l m o d e l w h e r e quantitative data are collected

first a n d are m o r e h e a v i l y w e i g h t e d t h a n qualitative
3. T h e Q U A N - Q U A L m o d e l w h e r e qualitative a n d quantitative are

equally w e i g h t e d a n d are collected c o n c u r r e n t l y (pp. 1 8 4 - 1 8 5 )
F o l l o w i n g are s o m e resources that e x p l a i n in detail v a r i o u s research

designs w i t h i n the qualitative, quantitative, a n d m i x e d - m e t h o d s para
d i g m s . N u m e r o u s b o o k s are available o n research m e t h o d o l o g y , m a n y
h i g h l y t h e o r e t i c a l — d e s i g n ed for professional researchers. I selected
these b o o k s for their readability, clarity in e x p l a i n i n g research c o n c e p t s ,
a n d usefulness in w r i t i n g dissertations.
Further Reading
Qualitative Research
Corbin, J., & Strauss, A. (2008). Basics of qualitative research (3rd ed.). Thousand
Oaks, CA: Sage.
Denzin, Ν. K., & Lincoln, Y. S. (Eds.). (2005). The Sage handbook of qualitative
research (3rd ed.). Thousand Oaks, CA: Sage.
Lightfoot, S. L. (1985). The good high school: Portraits of character and culture. New
York: Basic Books. (An exemplary model for case study research)
Merriam, S. B. (2001). Qualitative research and case study applications in education.
San Francisco: Jossey-Bass.
Miles, Μ. B., & Huberman, A. M. (1994). Qualitative data analysis: An expanded
sourcebook. Thousand Oaks, CA: Sage.
Patton, M. Q. (2002). Qualitative research & evaluation methods (3rd ed.).
Thousand Oaks, CA: Sage.
Rossman, G. B., & Rallis, S. F. (2003). Learning in the field: An introduction to qual
itative research (2nd ed.). Thousand Oaks, CA: Sage.
Journals
• Forum: Qualitative Social Research

• International Journal of Qualitative Methods
• The Qualitative Report
• Qualitative Research Journal
Resources on the Web
A s s o c i a t i o n for Qualitative R e s e a r c h
• www.aqr.org.au/
F o r u m : Qualitative Social R e s e a r c h
• http: / / qualitative-research.net / f qs
Q u a l P a g e : R e s o u r c e s for Q u a l i t a t i v e R e s e a r c h
• www.qualitativeresearch.uga.edu/QualPage
Internet E-mail Discussion Groups (listservs)
Q U A L - L Q u a l i t a t i v e R e s e a r c h M a i l i n g List
• www.scu.edu.au/schools/gem/ar/arr/qual.html
Q U A L R S - L Q u a l i t a t i v e R e s e a r c h for the H u m a n S c i e n c e s
• h t t p : / / w w w . l s o f t . c o m / s c r i p t s / w l . e x e ? s l l = q u a l r s - l & h = l i s t s e r v
.uga.edu
NOTE: These lists of resources are not exhaustive and may change over time.
Quantitative Research
Babbie, E. (2001). Survey research methods (9th ed.). Belmont, CA: Wadsworth.
Cox, J., & Cox, K. (2007). Your opinion, please! How to build the best questionnaires
in the field of education (2nd ed.). Thousand Oaks, CA: Corwin.
Fowler, F. J. (2002). Survey research methods (3rd ed.). Thousand Oaks, CA:
Sage.
Gravetter, F. J . , & Wallnau, L. B. (2008). Statistics for the behavioral sciences
(8th ed.). Belmont, CA: Wadsworth.
Marsh, C. (2009). Exploring data: An introduction to data analysis for social scien
tists (2nd ed.). New York: Polity.
Tufte, E. R. (2001). The visual display of quantitative information (2nd ed.).
Cheshire, CT: Graphics Press.
Journals
Journal of Applied Quantitative Methods

• http://jaqm.ro
Journal of Statistics Education

• www.amstat.org/PUBLICATIONS/JSE
Resources on the Web
Rice Virtual L a b in Statistics

• http: / / o n l i n e s t a t b o o k . c o m / r v l s . h t m l
Statistics.com
• w w w . s t a t i s t i c s . c o m
Electronic Statistics T e x t b o o k
• www.statsoft.com/textbook/stathome.html
Mixed-Methods Research
Creswell, J. W. (2009). Research design: Qualitative, quantitative, and mixed methods
approaches (3rd ed.). Thousand Oaks, CA: Sage.
Creswell, J. W., & Piano Clark, V. L. (2007). Designing and conducting mixed meth
ods research. Thousand Oaks, CA: Sage.
Gay, L. R., Mills, G., & Peter, A. (2008). Educational research: Competencies for analy
sis and applications (9th ed.). Upper Saddle River, NJ: Merrill Prentice Hall.
Neuman, W. L. (2005). Social research methods: Quantitative and qualitative
approaches (6th ed.). Boston: Allyn & Bacon.
Tashakkori, Α., & Teddlie, C. (Eds.). (2003). Handbook of mixed methods in the
social and behavior sciences. Thousand Oaks, CA: Sage.
journals
Journal of Mixed Methods Research

• http://mmr.sagepub.com
Describing the Methodology

T h e methodology chapter of a dissertation describes the design and the spe
cific procedures used in conducting your study. It is vital that this section is
clear, comprehensive, and sufficiently detailed so that other researchers can
adequately judge the results y o u obtain and can validly replicate the study.
In a quantitative study, the methodology chapter usually contains the fol
lowing sections: introduction, research design, population and sample, sam
pling procedures, instrumentation, data collection procedures, data analysis,
and limitations. Qualitative studies typically use different terminology in
describing the methodology section. For example, a qualitative study's sec
tions often include the following: rationale and assumptions for the qualita
tive design, type of design, researcher's role, site selection, data sources,
data collection techniques, managing and recording data, data analysis pro
cedures, m e t h o d s for verification or tmstworthiness, and limitations.
Following is a description of these sections.
Introduction
You m a y introduce the methodology chapter several w a y s , depending
o n the style a n d preference of y o u r advisor a n d committee. Generally, there
is an opening paragraph stating the chapter's organization. This is some
times followed with a restatement o f your study's purpose and research
questions. A brief description of the problem might also b e included.
Research Design
In this section, state the type o f research a n d d e s i g n u s e d in the
s t u d y as w e l l as the rationale for y o u r selection. T h e research design y o u
select is b a s e d o n the p u r p o s e a n d nature o f y o u r study. S o m e alterna-
tive d e s i g n s are historical, descriptive, d e v e l o p m e n t a l , c a s e study, cor-
relational, e x p o s t facto, true e x p e r i m e n t a l , a n d q u a s i - e x p e r i m e n t a l .
Isaac a n d M i c h a e l (1995) p r o v i d e d a n e x c e l l e n t r e s o u r c e to h e l p y o u
understand a n d d e s c r i b e t h e research d e s i g n a p p r o p r i a t e for y o u r
study. F o l l o w i n g is a n e x a m p l e from a d i s s e r t a t i on o f o n e w a y to
describe a descriptive study's methodology:
EXAMPLE
Descriptive research methodology was used to identify the current socialization
processes for beginning elementary principals in the central coast region of
California. This method was selected because it is a means to describe system-
atically, factually, and accurately the characteristics of an existing phenomenon.
(Isaac & Michael, 1981)
In this study the phenomenon includes the assistance and support experi-
ences of beginning principals in learning needed information, determining the
expectations for a given role, and understanding and adjusting to the operating
norms of the school and district.... (Boullion, 1996)
N o t e that the researcher did n o t just g i v e a definition of descriptive

research from a n o t e d authority, she also related the definition directly
to h e r s t u d y a n d w h y it w a s appropriate for h e r study.
Population and Sample

T h e p o p u l a t i o n a n d s a m p l e (or d a t a s o u r c e s ) s e c t i o n i n c l u d e s a
d e s c r i p t i o n o f t h e i n d i v i d u a l s w h o p a r t i c i p a t e d in y o u r s t u d y a n d the
p r o c e d u r e s u s e d to select t h e m . Ideally, a n entire p o p u l a t i o n w o u l d b e
u s e d to g a t h e r i n f o r m a t i o n . H o w e v e r , this is u s u a l l y n o t feasible as
m o s t g r o u p s o f interest a r e e i t h e r t o o large or are s c a t t e r e d g e o g r a p h -
ically. W h e n y o u d o n ' t h a v e an o p p o r t u n i t y to s t u d y a total g r o u p ,
select a s a m p l e as r e p r e s e n t a t i v e as p o s s i b l e o f the total g r o u p in
w h i c h y o u are i n t e r e s t e d . G a y a n d A i r a s i a n (1996) p r o v i d e d a c l e a r
definition o f t h e t e r m s sampling a n d population to h e l p in distinguish-
ing between the two:
S a m p l i n g is t h e p r o c e s s o f s e l e c t i n g a n u m b e r o f i n d i v i d u a l s
for a s t u d y in s u c h a w a y that t h e i n d i v i d u a l s r e p r e s e n t t h e
l a r g e r g r o u p from w h i c h t h e y w e r e s e l e c t e d . T h e i n d i v i d u a l s
s e l e c t e d c o m p r i s e a s a m p l e a n d t h e l a r g e r g r o u p is referred to
as a p o p u l a t i o n . . . . T h e p o p u l a t i o n is the g r o u p o f interest to
t h e researcher, t h e g r o u p to w h i c h s h e or h e w o u l d l i k e t h e
results o f t h e s t u d y to b e g e n e r a l i z a b l e . (pp. 1 1 1 - 1 1 2 )
REMEMBER
1. The bigger your sample, the more it represents the total population and the
less sampling error is present.
2. Before deciding how many to select for your sample, you must know the
size of your population so that you can reliably draw the appropriate sam-
ple size.
3. Your sample size represents the number of individuals to be contacted for

their participation in your study. It does not represent the number of indi-
viduals who must respond.
Sampling Procedures
Your s t u d y ' s credibility relies o n the quality o f p r o c e d u r e s y o u u s e d
to select the s a m p l e . T h e s e p r o c e d u r e s s h o u l d b e described in detail
since they d e t e r m i n e the generalizability o f y o u r findings. Y o u r descrip-
tion s h o u l d i n c l u d e the following:
1. T h e specific type o f s a m p l i n g used, s u c h as probability s a m p l i n g

( r a n d o m , systematic, stratified, cluster) or n o n p r o b a b i l i t y s a m -
pling (purposive, expert)
2. T h e n u m b e r o f individuals i n c l u d e d a n d w h e r e they are located
3. W h y y o u selected this particular n u m b e r a n d the unit o f analysis
4. T h e criteria y o u u s e d for inclusion in the s a m p l e
5. A step-by-step a c c o u n t o f exactly h o w y o u w e n t a b o u t selecting

your sample
F o l l o w i n g is an e x a m p l e from a dissertation o f o n e w a y to describe

s a m p l i n g a n d rationale for criteria selection:
EXAMPLE
The population for this study consisted of forty-six (46) elementary schools in
California implementing one of three national school reform projects.... Purposive
sampling was used to identify schools within the population that met specific criteria.
The criteria for selection included
1. Schools in their first or second year of implementation of their selected

national school reform project,
2. Schools where the current principal was also the principal at the time of
initiating the national school reform project, and
3. Schools willing to participate in the study.
Rationale for Selection of Criteria
The rationale for selecting the first criterion was twofold. The ability of individu-
als to accurately recall information regarding the period of time prior to imple-
mentation of their reform project would be difficult after more than two
years... .The second criterion is related to the role of the principal in initiating
any change process Because this research study focused on reform projects
that change the structure and culture of a school, having the same principal who
was also the principal at the time of the initiation phase was necessary to this
study. The third criterion suggests that each principal's willingness to participate
is critical to this study. Since the design of this research involved detailed ques-
tionnaires, participants needed to be willing to take the time necessary to
respond. (Chaffee, 1995)
Instrumentation
T h i s s e c t i o n i n c l u d e s a d e s c r i p t i o n o f all i n s t r u m e n t s u s e d to collect
data—questionnaires, interview schedules, observation forms, and so
on. E a c h i n s t r u m e n t s h o u l d b e d e s c r i b e d in detail in the m e t h o d o l o g y
section. P r o v i d e t h e f o l l o w i n g i n f o r m a t i o n , a s relevant:
1. A p p r o p r i a t e n e s s o f t h e i n s t r u m e n t for y o u r p o p u l a t i o n and
setting
2. T h e v a l i d i t y a n d reliability o f the i n s t r u m e n t s (Validity is t h e

d e g r e e to w h i c h y o u r i n s t r u m e n t truly m e a s u r e s w h a t it p u r p o r t s
to m e a s u r e . I n o t h e r w o r d s , c a n y o u trust t h a t f i n d i n g s from y o u r
i n s t r u m e n t a r e t r u e ? Reliability is the d e g r e e t o w h i c h y o u r instru-
m e n t c o n s i s t e n t l y m e a s u r e s s o m e t h i n g from o n e t i m e to another.
If y o u m e a s u r e d t h e s a m e t h i n g a g a i n , w o u l d y o u find t h e s a m e
results?)
3. H o w the i n s t r u m e n t is a d m i n i s t e r e d a n d scored
4. Interrater reliability—a c h e c k o n the c o n s i s t e n c y b e t w e e n raters,

or b e t w e e n a rater a n d an e x p e r t (This information is n e c e s s a r y
w h e n m e a s u r e m e n t involves subjective interpretation, such as
o p e n - e n d e d questions.)
5. Type o f response categories—rating scales, c h e c k lists, ranking,

a n d so o n (If y o u d e v e l o p a n e w instrument, y o u s h o u l d also
recount h o w it w a s d e v e l o p e d a n d i n c l u d e a description o f the
field tests that w e r e c o n d u c t e d a n d the s u b s e q u e n t revisions.
Place in the a p p e n d i x a c o p y o f all instruments u s e d , unless they
are copyrighted.)
REMEMBER
Copyrighted instruments are not reproduced in a dissertation. If you wish to use

copyrighted instruments, permission should be obtained in writing from the
holder of the copyright.
Developing Your Own Instrument
If y o u are u n a b l e to locate a satisfactory i n s t r u m e n t that a d e q u a t e l y

m e a s u r e s y o u r s t u d y ' s variables or c o n c e p t s , y o u m a y either m o d i f y an
existing validated i n s t r u m e n t or create y o u r o w n instrument. It is
appropriate to c h a n g e the w o r d i n g or e l i m i n a t e questions w h e n m o d i -
fying an i n s t r u m e n t for a different population. H o w e v e r , k e e p in m i n d
that the c h a n g e s y o u m a k e m a y affect the reliability a n d validity of the
instrument. If y o u m o d i f y an instrument, it is y o u r responsibility to j u s -
tify the c h a n g e s m a d e a n d to provide information a b o u t the reliability
and validity o f the revised instrument.
HELPFUL HINT
A good idea: When developing items for your instrument, it is critical that
you align the items with your research questions to ensure that all research
variables are adequately covered in your instrument. A good technique is
to create a matrix in which you display your research questions on the left
side and the questionnaire items on the right. The following shows an
alignment matrix.
Alignment of Research Questions and Variables With Questionnaire Items
Research Question and Variable Questionnaire Item(s)
Research Question 1 Part II: Items 1, 2, 3, 4, 5
Variable A: Planning
Research Question 1 Part II: Item 6
Variable B: Communicating the Change
Research Question 1 Part II: Items 1 1 , 1 2
Variable C: Visioning
Research Question 1 Part II: Items 7, 8
Variable D: Decision Making
Research Question 1 Part II: Item 9
Variable E: Managing Conflict
Research Question 1 Part II: Items 1 0 , 1 3
Variable F: Goal Setting
Research Question 2 Part III: Item 14
Variable A: Advocacy From Central

Administration
Research Question 2 Part III: Item 15
Variable B: Teacher Advocacy
Research Question 2 Part III: Items 1 6 , 1 7 , 1 8 , 1 9 , 20
Variable C: Access to Information
Research Question 2 Part III: Items 21, 22, 23
Variable D: Community
Pressure/Support/Apathy
Research Question 2 Part III: Items 24, 25, 26
Variable E: New Policies and Funds
Research Question 3 Part IV: Items 27, 28, 29, 30, 31
Variable A: Relative Advantage
Research Question 3 Part IV: Items 32, 33
Variable B: Compatibility
Research Question 3 Part IV: Items 34, 35
Variable C: Complexity
W h e n describing y o u r instrument(s), it is i m p o r t a n t to explain y o u r

rationale for selection. F o l l o w i n g is a n e x a m p l e o f s u c h a p a r a g r a p h that
a p p e a r e d in a dissertation:
EXAMPLE
In an e x h a u s t i v e r e v i e w o f the literature, the research s u p p o r t i n g

the u s e o f the S A C Q far o u t w e i g h e d the criticism o f the assess-
m e n t tool. T h e S A C Q h a s b e e n u s e d as an a s s e s s m e n t tool in
m o r e than o n e h u n d r e d dissertations a n d theses. E v e n w i t h its
limitations, the majority o f the research s u p p o r t e d the u s e o f the
S A C Q in u n d e r s t a n d i n g student adjustment to college. (Schultz,
2 0 0 8 , p. 110)
F o l l o w i n g this rationale statement, the student t h e n d e s c r i b e d his

instrument's n o r m s , reliability, a n d validity.
Field Testing
A n y time y o u create y o u r o w n i n s t r u m e n t or m o d i f y an existing

one, it m u s t b e field tested. You c a n select from five to 10 p e o p l e to test
the instrument a n d to m a k e j u d g m e n t s a b o u t its validity. T h e p e o p l e
selected s h o u l d n o t b e i n v o l v e d in the s t u d y b u t s h o u l d b e like those in
the study. L o o k for the following in pretesting an instrument:
• U n d e r s t a n d a b l e instructions
• Clear wording
• Adequate answers
• Sufficient detail
• R e g i o n a l differences
• Difficult sections
• Irrelevant questions
• Length
• Convenience
F o l l o w i n g is a n o t h e r e x a m p l e o f h o w a d i s s e r t a t i o n student
obtained feedback from field testing an online s u r v e y instrument. In h i s
dissertation, h e wrote:
The w e b - b a s e d questionnaire w a s a d m i n i s t e r e d to e i g h t e e n
student e m p l o y e e s w h o , after c o m p l e t i n g the questionnaire on-
line, w e r e a s k e d to p r o v i d e f e e d b a c k o n access to a n d n a v i g a t i o n
w i t h i n the survey, technical difficulties e x p e r i e n c e d , clarity o f

instructions, t y p o g r a p h i c a l or g r a m m a t i c a l errors, a n d general
observations. T h e field test results a n d test participant f e e d b a c k
s u p p o r t e d the validity a n d clarity o f the s u r v e y a n d data collec-
tion m e t h o d (see a p p e n d i x A ) (Schultz, 2 0 0 8 , p . 116).
S c h u l t z (2008) a s k e d r e s p o n d e n t s to r e s p o n d to t h e s e questions
a b o u t their field test e x p e r i e n c e :
1. O v e r a l l , h o w e a s y w a s it for y o u to access the s u r v e y a n d navi-

g a t e from p a g e to p a g e ?
2. Please d e s c r i b e a n y technical p r o b l e m s that y o u e n c o u n t e r e d

w h i l e a t t e m p t i n g to access or n a v i g a t e from p a g e to p a g e .
3. W e r e the directions clear a n d e a s y to u n d e r s t a n d ? If not, h o w can

t h e y b e m a d e easier for first-time s t u d e n t s ?
4. W e r e there a n y t y p o g r a p h i c a l errors that y o u d i s c o v e r e d ?
5. P l e a s e share a n y other c o m m e n t s or s u g g e s t i o n s y o u m a y h a v e
that w o u l d h e l p m a k e this s u r v e y m o r e successful, (pp. 2 0 4 - 2 0 7 )
Following the field test, it is usually necessary to revise your instrument

to reflect the various recommendations from the field test respondents. B e
sure to state in this section w h a t revisions were m a d e to your instrument.
The examples that follow should help to clarify these directions:
EXAMPLE 1
A pilot study w a s conducted in o n e of the districts selected for the sample.

Within that district, t w o elementary schools that w e r e not included in the
sample were chosen for the pilot. T h e principals were selected because
they h a d b e e n implementing shared decision a m i n i m u m o f o n e year and
were willing to cooperate in the s t u d y . . . . T h e principals w e r e interviewed
using the Interview Guide. T h e researcher selected o n e teacher and one
parent from the leadership t e a m for individual interviews. All six sessions
were tape recorded with permission o f the participants Appropriate
changes were m a d e in the instrument to clarify the questions and to pro-
vide an easier format for recording answers for purposes of limiting the
data to that w h i c h w a s m o s t pertinent to the study. Question six w a s
expanded to include m o r e prompts, and clarified to include n o m o r e than
three o f the groups m o s t involved in the decision m a k i n g process.
Question ten w a s e x p a n d e d to (Walkington, 1991)
EXAMPLE 2
The modified interview schedule w a s field tested using five beginning

principals from outside the central coast region in California w h o were
first-year principals during the 1 9 9 2 - 1 9 9 3 school year. T h e field test uti-
lized telephone interviews to simulate the actual data collection process. In
addition to responding to the interview schedule, these principals gave
feedback o n the interview schedule b y answering the following questions:
1. Is the interview schedule too long? (If yes, what would you suggest be dropped?)
2. Are the directions and wording clear and unambiguous? (If not, please note
directions or words that are unclear.)
3. Is the format conducive to ease of response?
4. Do some of the questions need to be rephrased or dropped?
5. Are there additional questions that I should ask? (If yes, which questions would
you suggest?)
As a result of the field test, no substantive changes were made to the interview
schedule. Only minor modifications in wording were needed to make the questions
flow more smoothly during the interviews. (Boullion, 1996)
Response Rate
T h e following questions are often a s k e d b y doctoral students con-

ducting a questionnaire study:
1. W h a t is an a c c e p t a b l e response rate for questionnaires?
2. H o w can I increase m y response rate?
A major d i s a d v a n t a g e o f questionnaire studies is a l o w response

rate, typically m u c h l o w e r t h a n for p e r s o n a l interviews. R e s p o n s e rates
for personal interviews are about 9 5 % , w h e r e a s m a i l s u r v e y return rates
are usually b e t w e e n 2 0 % a n d 4 0 % . T h e rule o f t h u m b regarding an
appropriate r e s p o n s e rate is as follows:
B e l o w 5 0 % there is n o defense
B e l o w 6 0 % is questionable b u t c o u l d b e O K
You s h o u l d try for 7 0 % or a b o v e
T h e r e are several strategies y o u c a n e m p l o y to i m p r o v e your

response rate. S o m e e x a m p l e s are as follows:
1. S e n d a letter o f e n d o r s e m e n t b y s o m e o n e w i t h w h o m the respon-

dent c a n identify.
2. U s e a professional-looking form.
3. P r e p a r e an introductory letter that sells the r e s p o n d e n t o n the

l e g i t i m a c y a n d v a l u e o f y o u r study, its benefit to h i m or her, a n d
g u a r a n t e e s o f confidentiality a n d a c o p y o f the results.
4. Offer inducements to respond. A p p e a l to the respondent's goodwill

and altruism b y stating y o u n e e d his or her help. Other m e t h o d s
include such things as offering lottery tickets, a raffle prize, a $1.00
bill, a tea bag, and so o n enclosed with the questionnaire form.
P r o b a b l y the m o s t effective m e t h o d to increase y o u r r e s p o n s e rate is

to u s e follow-ups such as a r e m i n d e r p o s t c a r d sent five d a y s after the
questionnaire. To those w h o d o n ' t r e s p o n d , a p p r o x i m a t e l y t w o w e e k s
later s e n d a s e c o n d follow-up that i n c l u d e s a n o t h e r r e m i n d e r letter a n d
a r e p l a c e m e n t questionnaire w i t h a return e n v e l o p e . After approxi-
m a t e l y t w o m o n t h s , y o u c a n s e n d b y certified m a i l a n o t h e r letter a n d
r e p l a c e m e n t questionnaire.
Data Collection Procedures

T h i s s e c t i o n d e s c r i b e s in d e t a i l all o f t h e s t e p s t a k e n to c o n d u c t y o u r
s t u d y a n d t h e o r d e r in w h i c h t h e y o c c u r r e d . It is i m p o r t a n t t h a t y o u r
w r i t i n g is c l e a r a n d p r e c i s e s o t h a t o t h e r r e s e a r c h e r s c a n r e p l i c a t e
y o u r study. Y o u r d e s c r i p t i o n s h o u l d state h o w a n d w h e n t h e d a t a
w e r e c o l l e c t e d . T h e f o l l o w i n g e x a m p l e from a d i s s e r t a t i o n d e s c r i b e s
o n e w a y to r e p o r t d a t a c o l l e c t i o n p r o c e d u r e s :
EXAMPLE
Data collection began in September of 1995 and was completed by October. On
September 9, 1995, surveys (Appendix C) were mailed to the eighteen (18) princi-
pals of the schools in the sample population. Each of the 18 principals received a
telephone call from the researcher on September 9, 1995, to inform them that the
survey was in the mail, and that they would be asked to complete and return it
within one week. A cover letter was included describing the purpose of the research
(Appendix C). Respondents were assured that neither their personal identity nor the
identity of their school would be released in the dissertation.... Principals were
asked to complete and return the survey to the researcher within one week.
Principals who had not responded within two weeks received a follow-up telephone
call from the researcher.... By October 26, 1995, there were a total of sixteen
completed surveys, an 89 percent response rate. (Chaffee, 1996)
REMEMBER
Since sampling procedures were described in the "Sample and Population" sec-
tion and your measures explained in the "Instrumentation" section, you do not
need to repeat this information in this section.
HELPFUL HINT
A good idea: To help you efficiently deal with organizing data collection, create
a Source of Data Chart. This chart keeps track of each data source in your study
(e.g., who was interviewed, who received questionnaires, and what documents
were analyzed). It also organizes the data sources by your research questions.
See Appendix Β for an example of a Source of Data Chart.
Best Time to Collect Data

W h e n to collect data is a critical issue b e c a u s e it c a n greatly affect
y o u r response rate. It is i m p o r t a n t for y o u to c o n s i d e r the availability of
y o u r population. F o r e x a m p l e , in e d u c a t i o n there are several w i n d o w s
of opportunity w h e n p e o p l e are available. S e p t e m b e r , C h r i s t m a s , a n d
J u n e are n o t the b e s t times g i v e n the typical s c h o o l c a l e n d a r of events.
Your b e s t o p p o r t u n i t y to collect data is usually O c t o b e r through
N o v e m b e r a n d J a n u a r y t h r o u g h April. T h e s e dates c a n v a r y if the
school s y s t e m is o n a year-round s c h e d u l e b e c a u s e p e o p l e are " o f f
t r a c k " t h r o u g h o u t the s c h o o l year.
D a t a collection a l w a y s t a k e s l o n g e r t h a n y o u realize. A rule o f
t h u m b is to set a r e a s o n a b l e t i m e l i n e , then d o u b l e it! It t a k e s t i m e to
s c h e d u l e i n t e r v i e w s , field test, travel, a n d follow-up o n n o n - r e s p o n -
dents. Refer to A p p e n d i x C for a n e x a m p l e o f a participant letter a n d
questionnaire.
Data Analysis
This section includes an explanation o f h o w y o u a n a l y z e d the data as
well as y o u r rationale for selecting a particular analysis m e t h o d . If y o u r
study is quantitative, report the descriptive or inferential statistical tests
a n d procedures y o u used, h o w they w e r e treated, a n d the level o f statis-
tical significance that g u i d e d y o u r analysis. Since statistical tests m a y
v a r y b y research question, y o u s h o u l d explain y o u r tests a n d procedures

for e a c h question. A n e x a m p l e follows.
Research questions four t h r o u g h n i n e focused o n the differences
in students' attitudes in l o o p e d a n d c o n v e n t i o n a l classrooms.
C o m p o s i t e m e a n s a n d standard deviations w e r e c o m p u t e d for
each of the attributes: self-concept, motivation, instructional m a s
tery, a n d sense o f control. T h e data w e r e a n a l y z e d using f-test
c o m p u t a t i o n s to d e t e r m i n e if a significant difference existed
b e t w e e n students in l o o p e d a n d c o n v e n t i o n a l c l a s s r o o m s o n e a c h
of the attitudes assessed. (Johnston, 2000)
If y o u r s t u d y is qualitative, p r o v i d e a description o f m a t r i c e s u s e d to
display the data a n d identify the c o d i n g p r o c e s s e s u s e d to c o n v e r t the
r a w data into t h e m e s or categories for analysis. Your description s h o u l d
i n c l u d e specific details a b o u t h o w y o u m a n a g e d the large a m o u n t o f
data a s s o c i a t e d w i t h qualitative analysis. I n c l u d e information a b o u t u s e
o f software, sticky notes, i n d e x cards, or other p r o c e s s e s used. T h i s
h e l p s readers u n d e r s t a n d h o w y o u r e d u c e d or t r a n s f o r m e d the data.
E v e r y researcher a p p r o a c h e s the c o d i n g p r o c e s s differently. T h e r e is
n o o n e right w a y to c o d e textual data. O n e excellent g u i d e to h e l p y o u
u n d e r s t a n d t h e c o d i n g p r o c e s s is p r o v i d e d b y Tesch ( 1 9 9 0 ) . He
described, in eight steps, a s y s t e m a t i c p r o c e s s to a n a l y z e textual data:
1. G e t a s e n s e o f the w h o l e . R e a d all the transcriptions carefully.

P e r h a p s j o t d o w n s o m e i d e a s as t h e y c o m e to m i n d .
2. P i c k o n e d o c u m e n t (e.g., o n e i n t e r v i e w ) — t h e m o s t interesting
one, the shortest, the o n e o n the top o f the pile. G o t h r o u g h it ask
ing yourself, " W h a t is this a b o u t ? " D o n o t think a b o u t the " s u b
s t a n c e " o f the information b u t its u n d e r l y i n g m e a n i n g . Write
t h o u g h t s in the m a r g i n .
3. W h e n y o u h a v e c o m p l e t e d this task for several informants, m a k e

a list o f all topics. C l u s t e r t o g e t h e r similar topics. F o r m these top
ics into c o l u m n s that m i g h t b e a r r a y e d as major topics, u n i q u e
topics, a n d leftovers.
4. N o w t a k e this list a n d g o b a c k to y o u r data. A b b r e v i a t e the topics

as c o d e s a n d w r i t e the c o d e s n e x t to t h e appropriate s e g m e n t s o f
the text. Try this p r e l i m i n a r y o r g a n i z i n g s c h e m e to s e e if n e w cat
egories a n d c o d e s e m e r g e .
5. Find the m o s t descriptive w o r d i n g for y o u r topics a n d turn t h e m

into categories. L o o k for w a y s of reducing y o u r total list of cate
gories b y grouping topics that relate to e a c h other. Perhaps d r a w
lines b e t w e e n y o u r categories to s h o w interrelationships.
6. M a k e a final d e c i s i o n o n t h e a b b r e v i a t i o n for e a c h c a t e g o r y a n d
alphabetize these codes.
7. A s s e m b l e t h e d a t a m a t e r i a l b e l o n g i n g to e a c h c a t e g o r y in o n e
place and perform a preliminary analysis.
8. I f n e c e s s a r y r e c o d e y o u r e x i s t i n g data. (pp. 1 4 2 - 1 4 5 )
The f o l l o w i n g e x a m p l e illustrates h o w one dissertation student

e x p l a i n e d h e r c o d i n g p r o c e s s . S h e d e s c r i b e s a five-step p r o c e s s for a n a -
l y z i n g i n t e r v i e w transcripts. T h i s p r o c e s s i n v o l v e d g o i n g from a h o l i s t i c
p e r s p e c t i v e to i n d i v i d u a l p a r t s a n d b a c k to a h o l i s t i c l o o k at the data.
EXAMPLE
Step 1: Initial Reading of Transcripts
After all thirty-one tape-recorded interviews were transcribed, the researcher

reviewed all the data twice before developing a preliminary list of categories,
themes, and patterns. Several prominent themes emerged from the initial reading.
Each theme was given an initial coding.
Step 2: Organization and Coding of Responses
Next, the responses were sorted and grouped by research question. The researcher read
through all the responses for each research question, highlighting pertinent information,
and developed a master coding list of response categories (see Appendix F). Within each
research question, response categories were counted by frequency.
Step 3: Review of Total Transcripts and Final Coding
Using the master coding list developed in Step 2, the researcher coded the full
transcript of each participant, noting when second or third references were made in
a response category. The coding list was then finalized.
Step 4: Completion of Data Analysis and Report of Findings
The analysis of each response to research questions and analysis of each interview
transcript were conducted. This resulted in themes, patterns, and categories for the
research questions.
Step 5: Review of Total Transcript to Ascertain Validity of Findings
The researcher reviewed all the transcripts a final time to ascertain that the findings
and the main themes and patterns were consistent with the data. A comparison of
the literature was made to determine which findings were supported or not
supported by the literature. (Boullion, 1996)
A v a r i e t y o f q u a l i t a t i v e software p r o d u c t s are a v a i l a b l e for a n a l y z -

i n g q u a l i t a t i v e data; h o w e v e r , t h e y d o t a k e t i m e to l e a r n h o w to u s e
t h e m w e l l . A b o o k titled Computer Programs for Qualitative Data Analysis
b y W e i t z m a n a n d M i l e s ( 1 9 9 5 ) offers g u i d a n c e in l e a r n i n g t h e v a r i o u s
software programs.
Validating the Findings

In this section o n d a t a a n a l y s i s , it is i m p o r t a n t to i n c l u d e h o w y o u
a d d r e s s e d the issue o f validity. Q u a l i t a t i v e r e s e a r c h e r s often u s e the t e r m
trustworthiness to refer to the c o n c e p t o f validity. It's t h e credibility factor
that h e l p s the r e a d e r trust y o u r d a t a a n a l y s i s . F o r e x a m p l e , in qualitative
studies, t e c h n i q u e s s u c h as triangulation, m e m b e r c h e c k s , a n d interrater
reliability are u s e d to v a l i d a t e findings. F o l l o w i n g is a n e x a m p l e o f h o w
to report the p r o c e s s u s e d to establish interrater reliability:
EXAMPLE
Interrater reliability is established through a process in which two or more peo-
ple independently analyze the same qualitative data and then compare the find-
ings. This process of multiple analysis reduces the potential bias of a single
researcher collecting and analyzing the data (Patton, 1990). An expert practi-
tioner in the socialization of elementary principals as well as in content analysis
of qualitative data analyzed six transcripts from the interview data. The
researcher and the expert analyzed the same six transcripts. Both the researcher
and the expert used the research questions as a conceptual framework in ana-
lyzing the data. The researcher found thirteen common themes, patterns, and
categories while the expert found twelve. These findings were the same 92 per-
cent of the time. (Boullion, 1996)
H e r e is a n e x a m p l e o f h o w o n e r e s e a r c h e r r e p o r t e d triangulated
data. S h e v a l i d a t e d i n t e r v i e w i n f o r m a t i o n w i t h a r c h i v a l data.
EXAMPLE
In addition to the responses from the interviews, the case data from archival
records such as board policies, memos, newsletters, and other such documents
were reviewed. These records were reviewed to validate or extend the state-
ments made by the superintendents or the stakeholders in each of the districts.
(Butt, 1993)
T h i s e x a m p l e e x p l a i n s the p r o c e s s o f v a l i d a t i n g c a s e s t u d y findings
b y o b t a i n i n g f e e d b a c k from r e s p o n d e n t s :
EXAMPLE
To further validate the findings, drafts of each case report were submitted to the
coordinator at each school site. They each reviewed the presentation of data for
their site. There was overwhelming concurrence with the researcher's findings.
Based on the comments from the coordinators, minor corrections were made
regarding the titles of personnel delivering services, the use of funds, and the
responsibilities of staff. There was also clarification of a factor that impeded ser-
vices at one site and an addition to the factors impeding the delivery of services
at another site. (Kinley, 1996)
[ REMEMBER
Whe n explaining how you handled your data, be sure to relate how it was
reported-standardized scores, raw data, percentages, mean, median, and so on.
Also state how it was displayed-matrices, tables, graphs, charts, figures, or nar-
rative text.
Limitations
L i m i t a t i o n s are p a r t i c u l a r features o f y o u r s t u d y t h a t y o u k n o w m a y
n e g a t i v e l y affect the results o r y o u r ability to g e n e r a l i z e . L i m i t a t i o n s are
u s u a l l y areas o v e r w h i c h y o u h a v e n o c o n t r o l . S o m e t y p i c a l l i m i t a t i o n s
are s a m p l e size, m e t h o d o l o g y c o n s t r a i n t s , l e n g t h o f t h e study, a n d
r e s p o n s e rate.
All s t u d i e s h a v e s o m e l i m i t a t i o n s , a n d it is i m p o r t a n t that y o u state
t h e m o p e n l y a n d h o n e s t l y s o that p e o p l e r e a d i n g y o u r d i s s e r t a t i o n c a n
d e t e r m i n e for t h e m s e l v e s the d e g r e e to w h i c h t h e l i m i t a t i o n s s e r i o u s l y
affect the study. F o l l o w i n g is a n e x a m p l e t h a t d e s c r i b e s t h e l i m i t a t i o n s
of s a m p l e size a n d m e t h o d o l o g y :
EXAMPLE 1
The major limitation of the study is the relatively small sample size. Six districts
and twelve schools were selected for the study. The source of information used
to obtain this sample may not be complete. This may affect the generalizability
of the study to other districts.
Another limitation is the use of the observation method. There is a possibility
of observer bias anytime data are obtained from observations. (Walkington, 1991)
EXAMPLE 2
1. This descriptive study was limited to participants' self-reported perceptions of
their experiences adjusting to college.
2. Individual results are based on a volunteer sample and do not necessarily

define the population to which the individuals belong.
3. Since there were only six participants from the campus, the findings may
not be generalized to that campus.
4. The SACQ provides a snapshot measurement of participants' self-reported per-

ceptions. Their emotional state may be at a unique point given the survey was
administered during the last three weeks of participants' first college semes-
ter. (Schultz, 2008, p. 119)
T h e following section offers a checklist o f the e l e m e n t s to include in

y o u r m e t h o d o l o g y chapter.
Checklist of Elements to Include

in the Methodology Chapter
After y o u h a v e written y o u r first draft o f the m e t h o d o l o g y chapter,
c h e c k off the following e l e m e n t s . M a r k y o u r draft w h e r e e a c h o f these
e l e m e n t s is located.
Research Design
Type o f research
R a t i o n a l e for selection
A p p r o p r i a t e n e s s to y o u r s t u d y
Population and Sample or Participants

Description of respondents
How many
W h e r e t h e y are located
R a t i o n a l e for selection
Size o f p o p u l a t i o n or s a m p l e
Criteria for i n c l u s i o n
Specific type o f s a m p l i n g u s e d
Step-by-step s a m p l i n g p r o c e d u r e s
Instrumentation
Detailed description o f all instruments
Type o f r e s p o n s e categories
A p p r o p r i a t e n e s s o f instruments to y o u r s t u d y
Information o n validity
Information o n reliability
H o w instruments are a d m i n i s t e r e d a n d s c o r e d
Interrater reliability p r o c e d u r e s
Criteria for j u d g i n g c o m p e t e n c e
H o w a g r e e m e n t s will b e a s s e s s e d
P e r c e n t a g e o f data c h e c k e d for a g r e e m e n t
Statistics u s e d to calculate a g r e e m e n t
Field test or pilot test
Describes test r e s p o n d e n t s
How many
W h e r e located
F e e d b a c k questions
Reactions o f r e s p o n d e n t s
P r o c e d u r e s followed
Revisions m a d e to instruments
R e s p o n s e rate
P r o c e d u r e s u s e d to increase r e s p o n s e rate (e.g., follow-up

methods)
Data Collection Procedures

H o w data w e r e collected
W h e n data w e r e collected
W h e r e data w e r e collected
P r o c e d u r e s stated in order o f o c c u r r e n c e
Data Analysis
I n c l u d e s h o w data w e r e r e p o r t e d and d i s p l a y e d
P r o v i d e s information o n validity a n d reliability o f data (trust

w o r t h i n e s s if a qualitative study)
E x p l a i n s m e t h o d s u s e d to a n a l y z e data
States rationale for u s e o f analysis t e c h n i q u e s
Limitations
Limitations stated
Summary
Selecting a m e t h o d o l o g y requires u n d e r s t a n d i n g the t w o major research
p a r a d i g m s : qualitative a n d quantitative a p p r o a c h e s . W h i c h o n e y o u
select d e p e n d s p r i m a r i l y o n the p r o b l e m investigated, the p u r p o s e o f
y o u r study, a n d the n a t u r e o f the data. Q u a l i t a t i v e studies g e n e r a t e
words that d e s c r i b e p e o p l e ' s a c t i o n s , b e h a v i o r s , a n d interactions,
w h e r e a s quantitative studies g e n e r a t e n u m b e r s d e r i v e d from question
naires, tests, a n d e x p e r i m e n t s . Often b o t h a p p r o a c h e s are c o m b i n e d in a
single study, resulting in greater b r e a d t h a n d depth.
B y describing y o u r m e t h o d o l o g y clearly a n d precisely, y o u will
m a k e it p o s s i b l e for other researchers to a d e q u a t e l y j u d g e the w o r t h of
y o u r findings a n d replicate y o u r study. Y o u m u s t i n c l u d e detailed
descriptions a b o u t y o u r research design, p o p u l a t i o n a n d s a m p l e , s a m
pling p r o c e d u r e s , i n s t r u m e n t a t i o n , data collection p r o c e d u r e s , data
analysis, a n d limitations.
Now that y o u c o m p l e t e d y o u r introductory and methodology
chapters, it is t i m e to m e e t w i t h y o u r c o m m i t t e e to discuss a n d critically
a n a l y z e y o u r p r o p o s e d study. T h e n e x t c h a p t e r p r o v i d e s s o m e g u i d e
lines for h o l d i n g the p r o p o s a l m e e t i n g .
13
Holding the
Proposal Meeting
T he proposal meeting represents a major step in the dissertation process.

You and the entire committee meet to discuss and critically analyze your
proposed study. Important understandings that will determine the ultimate
direction of your research and the efficiency with which your study can b e
completed are reached at this meeting. Your goal is to obtain your commit
tee's approval to m o v e ahead with your study in accordance with agree
ments m a d e in the meeting. M o s t universities require committee signatures
on a document that becomes an informal contract between y o u and your
committee. You agree to conduct the study as described in the proposal, and
the committee agrees to grant y o u the doctorate after y o u finish.
Acceptable proposals vary according to the preferences o f universities
and dissertation advisors. A t m y university, proposals usually consist o f
the introductory and m e t h o d o l o g y chapters, an outline o f the literature
chapter, a bibliography, and the p r o p o s e d research instruments to b e used
in the study. W h e t h e r or n o t y o u write the proposal in the future or past
tense depends on your university's policy and the a d v i s o r ' s preference.
Writing proposals in the past tense keeps y o u from having to adjust the
tense in m a k i n g the transition to the dissertation document.
Before the Meeting

S c h e d u l i n g a p r o p o s a l m e e t i n g i n v o l v e s (1) finding a date a n d t i m e
acceptable to all c o m m i t t e e m e m b e r s , (2) selecting an appropriate a n d
166 c o n v e n i e n t location for the m e e t i n g , a n d (3) reserving the m e e t i n g r o o m .
Holding the Proposal Meeting 167
To ensure that committee m e m b e r s h a v e adequate time to review your

proposal before the meeting, it is preferable that they receive a final draft
at least t w o w e e k s prior to the meeting. This draft should incorporate all
of their ideas a n d recommendations for change. It should also b e a high-
quality document—clean, accurate, and complete.
To prepare yourself, c o n s u l t y o u r a d v i s o r a b o u t the p r o p o s a l m e e t -
i n g ' s p u r p o s e a n d procedures. A l s o consult colleagues e x p e r i e n c e d in
the p r o c e s s a n d get their p e r s p e c t i v e a b o u t the m e e t i n g ' s d y n a m i c s a n d
expectations. I also advise that y o u b e w e l l s t e e p e d in the literature
related to y o u r topic. N o t o n l y d o e s it give y o u greater self-assurance, it
indicates to y o u r c o m m i t t e e that y o u u n d e r s t a n d a n d h a v e control over
your study's parameters.
HELPFUL HINT
Bring a buddy with you to take notes during the meeting. This allows you to
interact freely in the discussion and to concentrate more fully on the recom-
mendations being made by committee members. Even if a buddy is available, I
suggest that you audio record the meeting so there is no doubt in your mind
about what was said. Listening to the tape helps you to understand more clearly
what committee members expect you to do as next steps.
During the Meeting

Your advisor typically introduces the committee m e m b e r s and facilitates
the proposal meeting. M o s t meetings are informal in nature—character-
ized b y a spirit of collegiality and support. Questions and c o m m e n t s about
the proposal revolve around understanding the study, clarifying ambigu-
ities, anticipating problems, and uncovering a n y major flaws in the study's
design. T h e committee's role is to bring a n e w set of eyes to your study and
help y o u define the parameters m o r e clearly and precisely. Before your
committee accepts your proposal and sends y o u off to gather data, c o m -
mittee m e m b e r s should agree o n the following four things:
1. The scope of inquiry. Is it manageable? Is it dissertation-level research?
2. Appropriateness of the design. Is it suitable to the research questions

a s k e d ? Is it d o a b l e ?
3. Significance of the study. D o e s it m a k e a v a l u a b l e contribution to

the field?
4. Instrumentation. D o e s y o u r instrument(s) a d e q u a t e l y c o v e r the

research questions a s k e d ?
REMEMBER
Even though you previously received reactions on your proposal from committee
members and revised accordingly, expect changes. The interaction of the com-
mittee invokes a synergy that often leads to new ideas and perspectives not pre-
viously considered. Rely on the collective wisdom of your committee to guide
you in this initial phase of your research.
T h e p r o p o s a l m e e t i n g is a g o o d time to discuss a n d agree o n the

expectations a n d p r o c e d u r e s to w h i c h y o u will a d h e r e d u r i n g the
r e m a i n d e r of the study. B y agreeing o n the following, y o u r work
together s h o u l d b e smoother, m o r e efficient, a n d less a m b i g u o u s .
1. W h e n w i l l drafts of chapters be submitted to committee

m e m b e r s ? S h o u l d y o u w a i t until the advisor a p p r o v e s each
chapter before submitting t h e m to the c o m m i t t e e ? Is it b e s t to
s u b m i t w h o l e chapters or parts of chapters? Is it O K to w o r k o n
other chapters w h i l e w a i t i n g ?
2. H o w will chapters b e submitted? B y fax, mail, e-mail? If b y mail,

should a stamped, self-addressed envelope a c c o m p a n y each draft?
3. W h e n c a n y o u expect drafts to b e returned? O n e w e e k , t w o

weeks, whenever?
4. S h o u l d previous drafts b e returned a l o n g w i t h present o n e s ? Is it

n e c e s s a r y to indicate corrections in s o m e w a y (boldfaced, colored
highlighter, italics)?
5. Is it O K to p h o n e if y o u h a v e questions or c o n c e r n s ? W h a t times
are m o s t c o n v e n i e n t ?
6. H o w s h o u l d y o u m a n a g e feedback from c o m m i t t e e m e m b e r s ? Is
it n e c e s s a r y to discuss suggestions m a d e b y the committee
m e m b e r s w i t h y o u r advisor before incorporating t h e m in the dis-
sertation? W h a t will y o u do if c o m m i t t e e m e m b e r s m a k e contra-
dictory r e c o m m e n d a t i o n s ?
7. Is it appropriate to hire an outside consultant (editor, statistician,

etc.)?
8. A r e y o u e x p e c t e d to a d h e r e faithfully to y o u r t i m e l i n e for
c o m p l e t i o n or d o y o u h a v e s o m e l e e w a y b a s e d o n e x t e n u a t i n g
circumstances?
Holding the Proposal Meeting 169
A t the p r o p o s a l m e e t i n g ' s c o n c l u s i o n , the a d v i s o r usually s u m m a

rizes the c o m m i t t e e ' s d e c i s i o n s a n d r e c o m m e n d a t i o n s for c h a n g e s . T h i s
e n s u r e s u n d e r s t a n d i n g a b o u t w h a t w a s said a n d a g r e e d on.
After the Meeting

I m m e d i a t e l y following the p r o p o s a l m e e t i n g , y o u s h o u l d confer w i t h
y o u r a d v i s o r to interpret a n d reaffirm the c o m m i t t e e ' s decisions a n d
r e c o m m e n d a t i o n s . T h i s is the t i m e to c o m p a r e n o t e s a n d get a c o m p l e t e
u n d e r s t a n d i n g o f w h a t transpired at the m e e t i n g . It is especially impor
tant if s u b s t a n t i v e c h a n g e s are required. A t this t i m e , y o u s h o u l d r e v i e w
y o u r t i m e l i n e w i t h y o u r a d v i s o r a n d discuss a n y c h a n g e s b a s e d o n the
o u t c o m e s o f the p r o p o s a l m e e t i n g .
Summary
H o l d i n g the p r o p o s a l m e e t i n g represents a vital step in the dissertation
process. A t this m e e t i n g , y o u a n d y o u r c o m m i t t e e discuss y o u r p r o p o s e d
s t u d y relative to its scope, design, instrumentation, a n d significance. You
also agree o n expectations a n d p r o c e d u r e s for the study's duration.
You are n o w r e a d y to m a k e final preparations for the peak. T h i s
i n v o l v e s a n a l y z i n g a n d p r e s e n t i n g the results of y o u r study. T h e n e x t
c h a p t e r g u i d e s y o u in u n d e r s t a n d i n g the data a n d h o w to p r e s e n t y o u r
findings.
PART V
Final Preparations
for the Peak
170
14
Analyzing and
Presenting
the Results
Y o u h a v e gathered y o u r interview, survey, test, archival, a n d obser

vation data a n d are r e a d y to m a k e additional h e a d w a y u p the
m o u n t a i n — a n a l y z i n g a n d p r e s e n t i n g the results o f y o u r study. Specific
data analysis t e c h n i q u e s are b e y o n d the s c o p e o f this b o o k ; the refer
e n c e s in the F u r t h e r R e a d i n g section at the e n d o f this chapter will h e l p
y o u t h r o u g h y o u r analytical trek.
T h e p u r p o s e o f t h e r e s u l t s c h a p t e r is to r e p o r t t h e f i n d i n g s o f y o u r
s t u d y as c l e a r l y a n d s u c c i n c t l y as p o s s i b l e . Usually, y o u p r e s e n t find
i n g s in a n a r r a t i v e f o r m a t s u p p l e m e n t e d b y t a b l e s or figures. Tables
d i s p l a y n u m e r i c a l d a t a in r o w s a n d c o l u m n s , w h e r e a s figures i n c l u d e
any illustration other than a table (graphs, charts, diagrams, pho
t o g r a p h s , etc.).
A s a general rule, the findings from y o u r s t u d y s h o u l d b e p r e s e n t e d
objectively a n d w i t h o u t editorializing or speculating—free from a u t h o r
bias. Dragnet S e r g e a n t J o e F r i d a y ' s " J u s t the facts, m a ' a m , just the facts!"
is appropriate. Occasionally, data interpretation is m e r g e d w i t h the find
ings. C o n s u l t w i t h y o u r s t u d y a d v i s o r to ascertain his or h e r preference
regarding this issue.
171
172 Final Preparations for the Peak
Understanding the Data
A Quantitative Study
Using Computer Printouts
If y o u u s e c o m p u t e r printout data, b e sure to carefully peruse e a c h

p a g e prior to creating tables or writing the narrative. F o l l o w i n g are
s o m e practical suggestions from J a m e s C o x (1996) o n b e g i n n i n g the ana
lytic process.
1. Obtain two identical sets of computer printouts. Store one for future ref
erence and reorganize the other by research question. This keeps your
analysis focused. Get a manila folder for each research question.
Then cut up your computer printout and physically place into the
folders all relevant data pertinent to each research question. W h e n
y o u want to consider a particular research question, all the data per
tinent to that question are in one folder. Information that does not
directly address a research question can b e saved in a separate folder.
2. Another process that won't mutilate your printout is to use colored

markers to color-code the printout data. Use a different color for each
research question and, as y o u peruse the printout, highlight those
data directly related to each research question. You can then easily
find the information for each of your research questions.
3. K n o w h o w to read your printout. K n o w w h a t the n u m b e r s m e a n ,

w h i c h are relevant, and w h i c h are unimportant. Sit d o w n w i t h
your statistician (if y o u hired one) and g o over every aspect of your
data, research question b y research question. If you're paying a sta
tistician for his or her expertise, arrange up front that interpretation is
part of the service.
A Qualitative Study
Analyzing Themes and Patterns
If y o u are analyzing qualitative data (e.g., interview transcripts, obser

vations, archival data), take time to b e c o m e thoroughly familiar with your
data—to m a k e sense of w h a t people said and to integrate w h a t different
respondents said. Analyzing qualitative data requires that y o u read
through all your interview notes and transcriptions from beginning to end
several times. Only then can you realistically generate categories, themes,
and patterns that emerge from the data. A description of one coding
process for developing themes and patterns is provided in Chapter 12 in
Analyzing and Presenting the Results 173
the "Data A n a l y s i s " section. S i m i l a r l y observation data and analysis of

archival data should b e analyzed for emergent themes and patterns.
Writing the Introductory Paragraph

Begin this chapter with an introductory paragraph. O p e n with a sentence
that briefly describes the problem and then explain the chapter's organiza-
tion. Glatthorn (1998) provided an illustration of what you might write:
A s stated in C h a p t e r 1, the s t u d y reported h e r e e x a m i n e d in

detail the p r o b l e m s e n c o u n t e r e d b y teachers as they d e v e l o p e d
a n d u s e d p e r f o r m a n c e a s s e s s m e n t s in their p l a n n i n g a n d teach-
ing. T h e c h a p t e r is o r g a n i z e d in t e r m s o f the t w o specific
research q u e s t i o n s p o s e d in C h a p t e r 1. It first reports the p r o b -
l e m s t h e y e n c o u n t e r e d in d e v e l o p i n g p e r f o r m a n c e assessments;
it then e x a m i n e s the difficulties they e x p e r i e n c e d in using those
a s s e s s m e n t s in their teaching, (p. 165)
T h e introductory p a r a g r a p h is often followed b y a d e m o g r a p h i c

description o f the participants (gender, age, e x p e r i e n c e , etc.). T h e s e m a y
b e written or p r e s e n t e d in table format.
Tables and the Narrative Description

N o w it is t i m e to create y o u r tables a n d a c c o m p a n y i n g narrative to tell
the story o f y o u r findings. H o w w e l l the tables a n d narrative s u p p o r t
e a c h other affects the quality o f y o u r c o m m u n i c a t i o n . It is i m p o r t a n t
that y o u r tables or figures are clear, c o n c i s e , a n d e a s y to read. A l s o ,
r e m e m b e r to locate tables a n d figures as closely as p o s s i b l e to the text
that discusses them.
HELPFUL HINT
Be sure to consult your advisor about his or her preferences on the interaction
between the tables and the narrative. Some advisors believe the tables should
stand alone and the narrative should stand alone; that is, the narrative should
state exactly what is in the tables. Others prefer that the narrative highlight what
is in the tables, which means the reader grasps the full meaning only when the
tables are read.
Plan Before You Write

T h e first q u e s t i o n to a s k y o u r s e l f is, " S h o u l d m y data b e r e p o r t e d
as a table, g r a p h , d i a g r a m , chart, a n d s o o n , or s h o u l d t h e y s i m p l y b e
d e s c r i b e d in w r i t i n g ? " O n e helpful a p p r o a c h in p l a n n i n g this c h a p t e r
is to create all y o u r tables or figures before y o u d o a n y actual writing.
T h i s m a k e s the w r i t i n g t a s k m u c h easier. P l u s , t a k i n g t i m e to a r r a n g e
a n d report y o u r data in different f o r m s a n d in different w a y s (tables,
etc.) s t i m u l a t e s y o u r t h i n k i n g a n d h e l p s y o u to d i s c o v e r surprises or
trends y o u m i g h t h a v e o v e r l o o k e d . T h e i n f o r m a t i o n c o n t a i n e d in t h e s e
tables or figures h e l p s y o u clarify the data a n d p r o v i d e s the b a s i s for
w r i t i n g the narrative.
Presenting the Findings

Your presentation of findings depends on the nature of your research.
A v a r i e t y o f o r g a n i z a t i o n a l s t r a t e g i e s a r e a v a i l a b l e from w h i c h to
choose. For example, you can organize your data chronologically, b y
v a r i a b l e , b y h y p o t h e s e s , b y r e s e a r c h q u e s t i o n s , b y t h e m e s a n d pat
terns, or b y a n y o t h e r a p p r o a c h a p p r o p r i a t e for y o u r study. T o o often,
s t u d e n t s e r r o n e o u s l y u s e q u e s t i o n n a i r e r e s p o n s e s as t h e i r o r g a n i z a
tional s t r u c t u r e .
O r g a n i z i n g y o u r data b y research question is a g o o d w a y to clearly
discuss y o u r findings a n d to m a i n t a i n c o n s i s t e n c y a m o n g chapters. T h e
research questions b e c o m e the h e a d i n g s — n o t necessarily the research
question itself, b u t rather a h e a d i n g that describes the question. T h e n ,
u n d e r e a c h h e a d i n g , present all the findings related to that q u e s t i o n —
the narrative a n d the v a r i o u s statistical analyses.
Qualitative Data
Qualitative data are u s u a l l y p r e s e n t e d in narrative form. Infor
m a t i o n is o r g a n i z e d into t h e m e s , categories, or patterns. Often a c c o m
p a n y i n g the narrative are tables that c o m p l e m e n t a n d simplify large
a m o u n t s o f information.
Q u a l i t a t i v e a n a l y s i s is a c r e a t i v e p r o c e s s a n d r e q u i r e s t h o u g h t f u l
j u d g m e n t s a b o u t w h a t is s i g n i f i c a n t a n d m e a n i n g f u l in t h e d a t a .
C o n f e r w i t h y o u r a d v i s o r a n d c o m m i t t e e m e m b e r s a b o u t h o w to p r e
sent the rich data that flow from qualitative procedures. In the
Further R e a d i n g section are two excellent b o o k s , M e r r i a m (2001) and
M i l e s a n d H u b e r m a n ( 1 9 9 4 ) , to g u i d e y o u in c o d i n g a n d p r e s e n t i n g
qualitative data.
Analyzing and Presenting the Results 175
9 — I
After writing the results from your first research question, first case, first hypothesis,
and so on, send it to your advisor for approval. Obtaining approval of the style and
format at this early stage saves you endless hours of rewriting. Plan on creating five
to six drafts (even if you were class valedictorian). Always, always, always have
someone who is objective read this chapter before sending it to your advisor. Clarity
and precision are essential, and objective readers provide valuable assistance.
Guidelines for Designing Tables and Figures

Specific guidelines are required in developing and presenting
graphic information. Carefully review y o u r editorial style m a n u a l for
detailed information a n d examples of the m e t h o d a n d format for each
kind of graphic. Following are s o m e "be sure tos" for creating effective
tables from C o x (1996), author of Your Opinion, Please!
• Write table titles that report exactly w h a t is in the table.

• Label e v e r y c o l u m n and e v e r y row.
• Avoid using too m a n y n u m b e r s .
• Report group sizes (and avoid reporting percentages for small groups).
• K e e p percents to tenths (in m a n y instances, w h o l e n u m b e r s will
suffice).
• The key question is, "Can the tables stand alone?" (p. 4 9 )
9 BHB
Tables are meant to stand alone, that is, to be understandable without reading
the accompanying text. When your tables are complete, ask a critical friend to
describe the tables to you, then consider how close he or she comes to your
intended meaning (Cox, 1996, p. 49).
See A p p e n d i x D for an e x a m p l e of a table from a dissertation. F o r a

m o r e t h o r o u g h discussion of h o w to analyze and report d a t a in a clear,
concise, and practical manner, read Your Opinion, Please! (Cox, 1996).
Concluding Paragraph
Write a paragraph that summarizes all of your key findings and explains
what you discovered. Then direct the reader to the following chapter.
Questions to Ask About the Presentation of Findings

1. A r e the findings clearly p r e s e n t e d ?
2. A r e the tables a n d figures (if a n y ) w e l l o r g a n i z e d a n d e a s y to

understand?
3. D o e s e a c h table stand o n its o w n w i t h o u t narrative e x p l a n a t i o n ?
4. D o the tables u s e the format specified b y y o u r required style

manual?
5. A r e the i m p o r t a n t or n o t a b l e data in e a c h table a n d figure

described in the text?
6. A r e the tables a n d n a r r a t i v e effectively i n t e g r a t e d without

u n n e c e s s a r y repetition?
7. A r e the findings reported a c c u r a t e l y a n d objectively?
8. Is factual information separate from interpretation and evaluation?
9. A r e the data o r g a n i z e d b y research q u e s t i o n s ?
10. Is there a s u m m a r y o f the k e y findings at the e n d o f the c h a p t e r ?
Further Reading
Cox, J. (1996). Your opinion, please! How to build the best questionnaires in the field
of education. Thousand Oaks, CA: Corwin.
Isaac, S., & Michael, W. B. (1995). Handbook in research and evaluation. San Diego,
CA: EdITS/Educational and Industrial Testing Services.
Merriam, S. (2001). Qualitative research and case study applications in education.
Miles, Μ. B., & Huberman, A. M. (1994). Qualitative data analysis: An expanded
sourcebook. Thousand Oaks, CA: Sage.
Patton, M. Q. (2002). Qualitative research & evaluation methods (3rd ed.).
Summary
This c h a p t e r p r e s e n t e d s o m e r e c o m m e n d a t i o n s for a n a l y z i n g a n d pre
senting the results of y o u r study. G e n e r a l guidelines w e r e p r e s e n t e d for
reading computer printouts, writing the opening paragraph, and
d e s i g n i n g a n d presenting tables w i t h a c c o m p a n y i n g narrative. T h e
chapter c o n c l u d e d w i t h s o m e questions to a s k y o u r s e l f a b o u t present
ing findings a n d technical references.
T h e n e x t c h a p t e r guides y o u t h r o u g h the process o f s u m m a r i z i n g
a n d discussing the results.
15
Summarizing and
Discussing the Results
Y o u are n o w ready for the final ascent o n the dissertation journey. It's
time to write the last chapter a n d explain to y o u r readers w h a t y o u r
findings m e a n . T h e chapter usually b e g i n s w i t h a brief s u m m a r y of the
entire study a n d then presents c o n c l u s i o n s a n d r e c o m m e n d a t i o n s a b o u t
the topic. Since this chapter is written at the very end of the dissertation
process, students often h a v e little e n e r g y left to p r o v i d e thoughtful, c o m
prehensive interpretations o f their findings. It often s e e m s rather anticli
mactic, yet in m a n y w a y s , it is the dissertation's k e y chapter. It provides
a n s w e r s to the p r o b l e m stated in C h a p t e r 1, plus readers typically turn
first to this chapter for a c o m p l e t e picture o f the research. In other w o r d s ,
it is the b o t t o m line.
Reflect on Findings
O n e w a y to get y o u r s e c o n d w i n d to w r i t e this c h a p t e r is to take t i m e to
reflect o n the results a n d i m p l i c a t i o n s o f y o u r study. D o n ' t rush this
m o s t i m p o r t a n t p h a s e . F o r the reader, this is the m o s t interesting aspect
of y o u r dissertation. S p e n d a few d a y s a w a y from y o u r research to put
it in p e r s p e c t i v e a n d g a i n d e e p e r insights.
177
T h i s is t h e p o i n t in t h e p r o c e s s w h e r e y o u shift from b e i n g a n
objective r e p o r t e r to b e c o m i n g a n i n f o r m e d a u t h o r i t y a n d c o m m e n t a -
tor. N o o n e s h o u l d b e c l o s e r to t h e focus o f the study, its p r o g r e s s , a n d
its data t h a n y o u . Y o u n o w h a v e t h e r e s p o n s i b i l i t y to tell o t h e r s a b o u t
w h a t y o u r findings m e a n a n d to i n t e g r a t e y o u r findings w i t h c u r r e n t
theory, r e s e a r c h , a n d p r a c t i c e . C o n s i d e r a b l e t h o u g h t and diligent
reflection are r e q u i r e d w h e n i n t e r p r e t i n g r e s e a r c h results.
HELPFUL HINT
One way to reflect on your study prior to writing this chapter is to imagine
giving a five-minute speech to a group of your peers or to a professional
organization. In a few sentences, summarize what your study means. What three
main conclusions would you share with the group?
Chapter Organization
This chapter will vary depending on your research methodology, your find-
ings, and the preferences of your study advisor. There is n o "right" w a y to
organize this chapter. Consider discussing your study's meaning using cre-
ative alternatives that add interest for the reader. S o m e students generate
interest through scenarios, letters, dialogues, stories, and profiles. A tradi-
tional Chapter 5 usually includes any combination o f the following elements:
• Introduction
• S u m m a r y o f the s t u d y
ο O v e r v i e w o f the p r o b l e m
ο P u r p o s e s t a t e m e n t a n d research questions
ο Review of the methodology
ο Major findings
• F i n d i n g s related to the literature
• Surprises
• Conclusions
ο Implications for action
ο R e c o m m e n d a t i o n s for further research
ο Concluding remarks
Introduction
Write a brief introductory paragraph that focuses the reader o n the
chapter's organization a n d content. H e r e is an e x a m p l e of w h a t y o u
might write:
Summarizing and Discussing the Results 179
This chapter presents a s u m m a r y of the study a n d important c o n

clusions d r a w n from the data p r e s e n t e d in C h a p t e r 4. It provides
a discussion of the implications for action a n d r e c o m m e n d a t i o n s
for further research.
Summary of the Study

T h i s section c o n t a i n s the s u m m a r y o f y o u r s t u d y — a " m i n i v e r s i o n "
of all p r e v i o u s chapters. It s h o u l d s t a n d a l o n e as a d e s c r i p t i o n o f y o u r
s t u d y a n d b e sufficient i n detail, w i t h o u t u n d u e repetition, so the reader
can g r a s p the entire s t u d y w i t h o u t referring to p r e v i o u s chapters.
Your s u m m a r y s h o u l d i n c l u d e a brief o v e r v i e w o f the p r o b l e m , the
p u r p o s e statement, research q u e s t i o n s , a r e v i e w o f the m e t h o d o l o g y ,
a n d a s u m m a r y o f the m a j o r findings. In the m e t h o d o l o g y review, it is
appropriate to i n c l u d e the t y p e o f research, data collection p r o c e d u r e s ,
a n d data analysis t e c h n i q u e s .
Findings Related to the Literature

R e l a t i n g y o u r f i n d i n g s to t h e literature m a y b e c o n t a i n e d i n t h e
m a j o r findings s e c t i o n or i n t h e c o n c l u s i o n s s e c t i o n , or it m a y b e
e m p h a s i z e d as a s e p a r a t e s e c t i o n w i t h its o w n h e a d i n g . W h e r e v e r y o u
d e c i d e to p l a c e this s e c t i o n , y o u are e x p e c t e d to d e s c r i b e t h e relation
s h i p o f y o u r s t u d y to t h e literature a n d to p r i o r r e s e a r c h . W h a t are the
differences b e t w e e n y o u r s t u d y a n d p r e v i o u s s t u d i e s ? H o w d o y o u r
findings c o m p a r e w i t h t h o s e i n t h e l i t e r a t u r e ? H o w d o t h e y fit or n o t
fit i n t o the f i n d i n g s o f p r e v i o u s s t u d i e s ? D o y o u r findings h e l p clarify
c o n t r a d i c t i o n s i n the l i t e r a t u r e ? D o y o u r findings h a v e a n y s p e c i a l
i m p o r t a n c e , e i t h e r as i m p r o v e m e n t s o v e r p r i o r f i n d i n g s or i n b r e a k i n g
new ground?
Your s t u d y m a y h a v e i m p l i c a t i o n s for current theory. Y o u m a y h a v e
found e v i d e n c e that s u p p o r t s or n e g a t e s existing theory. If s o , point this
out. It is i m p o r t a n t to clearly state t h e w a y s y o u r s t u d y contributes to
the current k n o w l e d g e b a s e .
Surprises
Surprises are the unanticipated o u t c o m e s o f y o u r study. W h a t u n c o n
trolled variables m a y h a v e influenced the results? Surprises c o u l d o c c u r
w i t h i n y o u r s a m p l e , w i t h the instrumentation used, in responses from
participants, in test results, a n d so on. P r o v i d e the reader w i t h y o u r
analysis o f the u n u s u a l p r o b l e m s or surprising o u t c o m e s . You m a y
c h o o s e to include this information in v a r i o u s sections or create a separate
section to discuss these findings.
Conclusions
Webster defines a conclusion as "reasoned j u d g m e n t . . . inference based
on evidence . . . final summation." This is your chance to have the last word
on the subject. Writing conclusions well relies on your ability to b e a critical
and creative thinker—to analyze, synthesize, and evaluate information.
Drawing conclusions from findings pushes you to consider broader issues,
make n e w connections, and expand on the significance of your findings.
You are granted considerable leeway to express your o w n voice—to be flam-
boyant in stating your opinions about your findings. However, you are
required to make plausible explanations, speculate, and draw conclusions
warranted b y your findings. Your conclusions cannot b e subjective opinions.
Both your problem statement and y o u r literature review w e r e orga-
nized to lead the reader from a b r o a d general v i e w of the topic area to spe-
cific issues that b e c a m e the focal point of y o u r study. In this section, y o u
can reverse that approach and lead the reader from the particular findings
of your study toward generalized interpretations o f those findings.
HELPFUL HINT
When discussing or explaining results, be careful about choosing your words.

Use qualifiers such as seems, appears, possible, probably, likely, or unlikely when
addressing causality, suggesting explanations, generalizing to a larger
population, or identifying reasons why certain events occurred in the study.
REMEMBER
1. One conclusion may cut across more than one finding.
2. Don't confuse results and conclusions. Results are "just the facts," whereas
conclusions represent a higher level of abstraction-going beyond mere facts
to higher levels of interpretation, analysis, and synthesis of results. So don't
just restate the research findings.
3. All conclusions must be backed up by your data.
4. Don't add anything in this section not previously presented in the results
chapter.
5. "Avoid melodramatic or intemperate language such as 'amazing' or even

'interesting' or 'important' Allow your data and conclusions to be judged on
their own merits and not on your amplification of them." (Rudestam &
Newton, 1992, p. 124)
Summarizing and Discussing the Results 181
Implications for Action

M o r e t h a n likely, y o u r f i n d i n g s h a v e p r a c t i c a l i m p l i c a t i o n s for p r o -
fessional practice. In C h a p t e r 1, y o u i n c l u d e d a section titled
" S i g n i f i c a n c e o f t h e S t u d y . " W h i l e p r e p a r i n g for this s i g n i f i c a n c e sec-
tion, y o u c o n s i d e r e d who w i l l l i k e l y benefit from y o u r study, what t h e y
w i l l l e a r n from it, a n d why t h e y w i l l g a i n from this k n o w l e d g e . T h i s
s e c t i o n from C h a p t e r 1 n o w b e c o m e s t h e b a s i s for p r e p a r i n g y o u r
i m p l i c a t i o n s for action. In o t h e r w o r d s , w h a t w o u l d y o u tell p e o p l e to
d o differently as a result o f y o u r f i n d i n g s ? Remember that the actions you
recommend must be based on your findings, not on personal biases.
Recommendations for Further Research

You are e x p e c t e d to present r e c o m m e n d a t i o n s for w a y s that y o u r
study c a n b e i m p r o v e d u p o n a n d for h o w future studies m i g h t con-
tribute to the field. T h e s e r e c o m m e n d a t i o n s m a y arise from constraints
i m p o s e d o n y o u r study, c o n d i t i o n s y o u c o u l d n o t or c h o s e n o t to con-
trol, or y o u r insights regarding different p o p u l a t i o n s , different ques-
tions, or further confirmation o f y o u r findings.
Concluding Remarks
I n c l u d e a w r a p - u p s t a t e m e n t that pulls together y o u r c o m m e n t s a n d
highlights the m a i n points o f the chapter. It is also appropriate to
include s o m e p e r s o n a l insights, beliefs, or inspirations d e r i v e d from
c o n d u c t i n g y o u r study.
FINIS! CONGRATULATE YOURSELF AND

CELEBRATE WRITING YOUR LAST PARAGRAPH.
Questions to Ask About Summarizing and Discussing the Findings
1. Is there a brief summary of the problem, the methodology, and the

findings?
2. Are conclusions clearly stated?
3. Are conclusions derived from the findings?
4. Are conclusions mere restatements of the findings?
5. Are conclusions discussed within the framework of previous studies, theory,
and the literature base?
6. Are generalizations made that are not warranted by the findings?
(Continued)
(Continued)
7. Are generalizations confined to the population from which the sample was
drawn?
8. Are implications for action made that are not justified by the data?
9. Are recommendations for future research made?
Summary
C h a p t e r 5 of y o u r dissertation s u m m a r i z e s the entire dissertation a n d
interprets the findings. R e a d e r s frequently turn to this chapter first to
obtain a c o m p l e t e picture o f the research. F o r that reason, suggestions
o n the content a n d organization o f this final chapter w e r e offered a n d a
list o f questions to h e l p y o u reflect o n w h a t to i n c l u d e w a s p r o v i d e d .
N o w for the final ascent! Y o u n o w h a v e the o p p o r t u n i t y to defend
y o u r study. T h e n e x t chapter offers guidelines a b o u t the oral defense
meeting.
PART VI
Final Ascent and
View From the Top
and Beyond
Remember that what is hard to endure will be sweet to recall.
—Tote Y a m a d a
Live your life each day as you would climb a mountain. An occa
sional glance toward the summit keeps the goal in mind.... Climb
slowly, steadily, enjoying each passing moment, and the view from
the summit will serve as a fitting climax for the journey.
— H a r o l d V. M e l c h e r t
183
16
The Oral Defense
D-Day
It usually takes more than three weeks to prepare a good impromptu

speech.
— M a r k Twain
T his is it! Y o u are a l m o s t at the t o p . T h i s u l t i m a t e step, the oral

defense o f y o u r dissertation, is the c u l m i n a t i o n o f y o u r d o c t o r a l
journey. You h a v e w o r k e d l o n g a n d h a r d a n d , hopefully, h a v e p r o
duced a scholarly piece of w o r k of which you can b e proud. Your advi
sor a n d c o m m i t t e e m e m b e r s a l s o t a k e p r i d e a n d p l e a s u r e in y o u r
accomplishment.
This chapter w a s written to guide your trünking and to relieve s o m e
anxiety as you prepare for the oral defense. It explains the oral defense
process b y describing a typical defense scenario, the roles of the partici
pants, and the p a s s / f a i l criteria. Helpful hints are included to assist in
making your oral defense a pleasant and m e m o r a b l e experience.
This event provides the o p p o r t u n i t y to s p e a k publicly about y o u r
research study a n d to defend it. T h e oral defense is a long-standing tra
dition in a c a d e m i a . Its major p u r p o s e is to d e m o n s t r a t e y o u r ability to
a d v o c a t e for a n d justify y o u r research p r o b l e m , methodology, findings,
and conclusions. In t o d a y ' s a c a d e m i c e n v i r o n m e n t , it is usually c o n
ducted in an informal setting. In m o s t instances, it is an exciting, c o n g e
nial, a n d pleasurable experience. T h o s e present at the defense v a r y from
184
The Oral Defense: D-Day 185
o n e institution to another, b u t g e n e r a l l y t h e y i n c l u d e y o u r a d v i s o r a n d
other c o m m i t t e e m e m b e r s , an outside reader representing the dean, and
other interested a c a d e m i c c o m m u n i t y m e m b e r s a n d friends.
You s h o u l d s c h e d u l e y o u r oral defense o n l y w h e n y o u , y o u r advi
sor, a n d the c o m m i t t e e are satisfied that y o u r w o r k is substantially c o m
plete a n d reflects the standards o f high-quality research. R e m e m b e r , n o t
o n l y y o u r reputation is o n the line b u t also that o f y o u r advisor, w h o has
b e e n the principal g u i d e a n d e v a l u a t o r o f y o u r w o r k . It is i m p o r t a n t that
y o u present to c o m m i t t e e m e m b e r s the b e s t p o s s i b l e final draft o f y o u r
dissertation—free o f g r a m m a t i c a l a n d t y p o g r a p h i c a l errors. A l l o w at
least t w o w e e k s for c o m m i t t e e m e m b e r s to r e v i e w the final c o p y o f y o u r
dissertation.
In collaboration w i t h y o u r c o m m i t t e e , a r r a n g e for the date, time,
and p l a c e o f the defense. T h e defense date s h o u l d a l l o w sufficient t i m e
(three w e e k s m i n i m u m ) for the required p r o c e d u r e s a n d approvals.
A Defense Scenario
W h a t d o e s a n oral defense l o o k like? A l t h o u g h the format a n d roles m a y
v a r y from institution to institution a n d from advisor to advisor, m o s t
follow c o m m o n p r o c e d u r e s . H e r e is a scenario that represents a typical
oral defense.
1. Y o u arrive about 30 m i n u t e s early to arrange the r o o m properly.
2. Your a d v i s o r facilitates the m e e t i n g , u s u a l l y o p e n i n g w i t h intro

ductions. H e or s h e introduces the c o m m i t t e e m e m b e r s , guests,
a n d the outside reader. Y o u t h e n i n t r o d u c e a n y family or friends
w h o are present.
3. Your a d v i s o r e x p l a i n s the p u r p o s e o f the oral defense a n d the pro

c e d u r e s to b e followed in c o n d u c t i n g the defense. K e e p in m i n d
y o u r advisor is an ally to y o u a n d is in y o u r c o r n e r at the defense.
4. Y o u a r e a s k e d to p r o v i d e a b r i e f o v e r v i e w o f y o u r s t u d y — n o t
m o r e t h a n 5 to 15 m i n u t e s . T h e o v e r v i e w s h o u l d i n c l u d e t h e
following:
a. T h e p u r p o s e o f y o u r s t u d y a n d the research q u e s t i o n s
b . W h a t literature y o u found particularly helpful
c. T h e m e t h o d o l o g y u s e d (Include the p o p u l a t i o n a n d s a m p l e ,
y o u r i n s t r u m e n t s , a n d y o u r p r o c e s s for data collection a n d
analysis. A l s o i n c l u d e the rationale for selecting y o u r s a m p l e
a n d m e t h o d o f analysis.)
186 Final Ascent and View From the Top and Beyond
d. Major findings a n d c o n c l u s i o n s from the findings

e. R e c o m m e n d a t i o n s y o u w o u l d m a k e for action a n d further
research
It's a g o o d idea to present this s u m m a r y w i t h o u t n u m e r o u s notes.

If P o w e r P o i n t presentations are u s e d , k e e p the n u m b e r o f slides
to a m i n i m u m . J u s t talk to the c o m m i t t e e a b o u t y o u r study.
5. W h o asks the first q u e s t i o n is a m a t t e r of advisor preference.

M e m b e r s o f the c o m m i t t e e ask their questions either r a n d o m l y or
systematically, chapter b y chapter. C o m m i t t e e m e m b e r s s h o u l d
limit their discussion to matters o f s u b s t a n c e a n d special c o n c e r n s
rather than those relating to editorial issues. T h e s e m a y b e pro
v i d e d at the e n d o f the defense.
6. W h e n c o m m i t t e e m e m b e r s h a v e finished w i t h their questions, it is

appropriate that visitors are invited to a s k questions if they desire.
This is a public oral defense. W h e n there are n o further questions,
y o u and all visitors exit the r o o m to allow time for the c o m m i t t e e
to deliberate a n d decide if y o u successfully defended a n d if y o u r
dissertation d o c u m e n t is acceptable. A u n a n i m o u s v o t e o f all c o m
mittee m e m b e r s is usually required to pass the oral defense.
7. T h e c o m m i t t e e decides a m o n g the following:

a. Pass w i t h n o revisions
b . Pass with minor revisions (completed with the advisor's guidance)
c. Pass w i t h major revisions (final a p p r o v a l b y the c o m m i t t e e )
d. C o n t i n u e the oral defense
e. Fail
W h a t is the difference b e t w e e n m i n o r and major revisions? M i n o r

revisions are those changes that require n o substantial rewriting.
E x a m p l e s include u p d a t i n g the bibliography, correcting tables,
a d d i n g m o r e conclusions or r e c o m m e n d a t i o n s , and correcting
typographical and grammatical errors. M o s t m i n o r revisions can
b e completed in a w e e k e n d , or a w e e k at the most. Major revisions
are those involving a substantial rewrite o f particular sections.
Major errors m a y b e incorrect statistics, inconsistency b e t w e e n the
research questions a n d findings, an outdated literature review,
poor instrumentation, or lack o f adequate data.
8. Y o u a n d the visitors return. If y o u p a s s the oral defense, y o u

receive hearty congratulations b y all. Y o u will r e m e m b e r that
m o m e n t o f s u p r e m e bliss w h e n y o u r advisor s h a k e s y o u r h a n d
a n d says, " C o n g r a t u l a t i o n s , Dr. ." A s y o u reflect o n y o u r

j o u r n e y ' s e x p e r i e n c e s , y o u c a n p r o b a b l y relate to these a m u s i n g
w o r d s : " B e i n g a g r a d u a t e s t u d e n t is like b e c o m i n g all o f the
S e v e n D w a r v e s . In the b e g i n n i n g y o u ' r e D o p e y a n d Bashful. In
the m i d d l e , y o u are u s u a l l y sick (Sneezy), tired (Sleepy), a n d irri-
table ( G r u m p y ) . B u t at the e n d , t h e y call y o u D o c , a n d then y o u ' r e
H a p p y " ( A z u m a , 2 0 0 2 , p. 2 ) .
^ REMEMBER ^^^^^^^J
You may not officially use that title in your professional life, be monetarily
rewarded, or have new cards printed until you have completely finalized the dis-
sertation process and the doctorate is posted by the registrar.
9. D i s c u s s the revisions to b e m a d e w i t h y o u r advisor, a n d clarify

p r o c e d u r e s for final a p p r o v a l a n d sign-off. T h e w h o l e p r o c e s s
u s u a l l y takes from o n e to t w o h o u r s .
Helpful Hints: Prior to the Oral Defense

F o l l o w i n g are s o m e helpful hints for y o u to c o n s i d e r in the d a y s prior
to, during, a n d after the oral defense.
• R e a d y o u r dissertation carefully so y o u c a n r e s p o n d readily a n d

authoritatively to the q u e s t i o n s a s k e d . P l a y devil's a d v o c a t e w i t h
yourself a n d try to identify as m a n y o f y o u r s t u d y ' s w e a k n e s s e s
as possible.
• B r i n g y o u r s e l f u p to date w i t h recent w o r k p u b l i s h e d that y o u
m a y n o t h a v e h a d t i m e to read w h i l e w r i t i n g the dissertation. T h e
m o r e familiar y o u are w i t h the relevant literature in y o u r field, the
m o r e y o u will a p p e a r as a n expert.
• Try to anticipate w h a t c o m m i t t e e m e m b e r s will a s k y o u . List the
things y o u k n o w y o u will b e a s k e d , a n d practice y o u r responses.
A l s o , list q u e s t i o n s y o u w o u l d hate b e i n g a s k e d a n d practice
answering them.
• D o s o m e d e e p reflections o n the v a l u e o f y o u r dissertation to the
field. W h o are the p e o p l e a n d g r o u p s that m i g h t profit from y o u r
findings? W h a t additional r e c o m m e n d a t i o n s w o u l d y o u m a k e to
these p e o p l e ?
• P r o b e y o u r s e l f further a b o u t h o w y o u r findings relate to the liter

ature—both theoretical a n d practical.
• Prepare for questions a b o u t w h y y o u c h o s e o n e m e t h o d rather
than another or o n e statistical p r o c e d u r e o v e r another. B e sure
y o u t h o r o u g h l y u n d e r s t a n d a n y statistics u s e d in y o u r study.
E v e n if y o u c o n s u l t e d a statistician for assistance in c r u n c h i n g the
n u m b e r s a n d interpretation, y o u still are responsible for explain
ing y o u r rationale a n d u s e o f the selected statistical procedures.
H e r e are s o m e typical questions y o u m i g h t think about:

ο W h a t w e r e the surprises for y o u ? T h e d i s a p p o i n t m e n t s ?
ο W h a t b r o u g h t y o u to e x p l o r e this particular topic?
ο W h a t did y o u learn about y o u r subject area? A b o u t yourself?
ο W h a t w e r e y o u r k e y learnings a b o u t research?
ο W h a t d o e s y o u r study say to professionals in y o u r field?
ο W h a t is y o u r a s s e s s m e n t o f the strengths a n d w e a k n e s s e s of
y o u r study?
ο Were y o u to start over, w o u l d y o u d o a n y t h i n g differently? If
so, w h a t ?
ο W h a t w a s the m o s t significant aspect o f the w o r k y o u ' v e
done?
ο Since y o u w r o t e y o u r literature review, h a v e y o u noticed a n y
new work published?
• U s e the few w e e k s before y o u r oral defense to c o n t i n u e c o n t e m

plating y o u r study. A s y o u d o this, y o u will h a v e fresh insights
and n e w " a h a s " from time to time. Write t h e m d o w n a n d b r i n g
t h e m to y o u r oral defense to share w i t h the c o m m i t t e e .
• L o o k for e r r o r s — y o u will a l w a y s find t h e m — e i t h e r t y p o g r a p h i
cal or in the data. N o t e w h a t t h e y are a n d b r i n g a list to the
defense. Your c o m m i t t e e will appreciate y o u r efforts to p r o d u c e
high-quality w o r k .
• Talk to recent graduates a n d a s k a b o u t their e x p e r i e n c e s a n d the
questions t h e y w e r e asked.
• A t t e n d other oral defenses, especially those c o n d u c t e d b y y o u r
advisor. S e e i n g the oral defense in action relieves the m y s t e r y a n d
angst s u r r o u n d i n g it.
• C o n d u c t a m o c k d e f e n s e in w h i c h a g r o u p o f y o u r c o l l e a g u e s
s i m u l a t e an oral d e f e n s e b y a c t i n g as y o u r c o m m i t t e e . Y o u will
p r o b a b l y find their q u e s t i o n s h a r d e r t h a n t h o s e p o s e d b y the
real c o m m i t t e e . B e sure to b u i l d in t i m e for f e e d b a c k o n y o u r
performance.
• Prepare a 5- to 1 5 - m i n u t e o v e r v i e w o f y o u r dissertation a n d prac

tice p r e s e n t i n g it w i t h o u t notes.
• Practice. Practice. Practice.
• G e t a g o o d n i g h t ' s sleep a n d visualize y o u r ideal oral defense.
During the Oral Defense

• B r e a t h e d e e p l y a n d stay c a l m ! Y o u w a n t to a p p e a r r e l a x e d a n d
confident.
• M a i n t a i n e y e c o n t a c t w h i l e y o u are listening to, a n d a n s w e r i n g ,
questions. R e m e m b e r to s m i l e occasionally. It h a s a positive effect
on your committee and improves your mindset.
• You can h a v e notes, a P o w e r P o i n t presentation, or transparencies—
n o t too many, h o w e v e r . Trust yourself. Y o u are m o r e k n o w l e d g e
able t h a n a n y o n e a b o u t y o u r topic.
• Feel free to consult y o u r dissertation; tabs for i m p o r t a n t sections
m a y b e helpful.
• R e a l l y listen to the questions. D o n ' t j u m p to the c o n c l u s i o n that
y o u k n o w w h e r e the p e r s o n is g o i n g a n d cut h i m or h e r off. Let
the c o m m i t t e e m e m b e r state the entire question.
• B e appreciative o f a n y criticisms a n d s u g g e s t i o n s to i m p r o v e y o u r
study. A c k n o w l e d g e the critic's contribution.
• E x p e c t to b e a s k e d q u e s t i o n s that are n o t c o m p l e t e l y clear. W h e n
a q u e s t i o n is a s k e d that y o u d o n o t c o m p l e t e l y u n d e r s t a n d , a s k
that the q u e s t i o n b e r e p h r a s e d or restated.
• If a q u e s t i o n is a s k e d n o t related to y o u r study, y o u m i g h t c o n c e d e
that it is an interesting q u e s t i o n a n d w o u l d b e a n e x c e l l e n t topic
for a follow-up study.
• C r e a t e s o m e " t h i n k t i m e " for y o u r s e l f b y
ο C o u n t i n g to three before r e s p o n d i n g
ο P a r a p h r a s i n g the q u e s t i o n before a n s w e r i n g (In other w o r d s ,
state the q u e s t i o n in y o u r o w n w o r d s . Y o u d o n ' t w a n t to
a n s w e r the w r o n g question.)
• Try to formulate sharp, p r e c i s e a n s w e r s . It is better to a n s w e r the
q u e s t i o n first a n d then e l a b o r a t e m o r e if n e e d e d . D o n ' t r a m b l e ,
b u t d o n ' t b e t o o brief either. After a n answer, y o u m i g h t say:
" D o e s that a n s w e r y o u r q u e s t i o n ? " or " W o u l d y o u like m e to
elaborate?"
• S o m e t i m e s a q u e s t i o n requires a r e s p o n s e that g o e s b e y o n d the
data or findings o f y o u r study. Feel free to e x p r e s s an opinion;
h o w e v e r , b e sure to label y o u r r e s p o n s e as such.
• If y o u find yourself in trouble, take a time out a n d g o b a c k to the

b e g i n n i n g or take time to collect y o u r thoughts. If y o u d o n ' t k n o w
the a n s w e r to a question, there is n o h a r m in saying, " I d o n ' t
know." It is better to tell the truth than to fake it. Remember the
proverb "When you find yourself in a hole, stop digging." If y o u get
totally flustered or overly emotional, s i m p l y ask for a b r e a k and
get a drink or g o to the restroom. This can h e l p y o u regain y o u r
composure.
• T h e stronger y o u r dissertation, the d e e p e r the c o m m i t t e e m e m b e r s
m a y w a n t to explore y o u r findings. T h e y m i g h t try to test y o u r
convictions about y o u r conclusions a n d r e c o m m e n d a t i o n s .
• Feel free to s h o w e n t h u s i a s m for y o u r study. After all, y o u spent
t r e m e n d o u s a m o u n t s o f time, energy, a n d m o n e y in c o n d u c t i n g
the research a n d preparing y o u r dissertation.
• C o n s i d e r b r i n g i n g a tape recorder or h a v i n g s o m e o n e take n o t e s
for y o u . T h e n o t e s s h o u l d focus o n the specific suggestions a n d
c h a n g e s that e a c h c o m m i t t e e m e m b e r asks for. C o m m e n t s s h o u l d
b e labeled w i t h the n a m e o f the p e r s o n w h o requested the c h a n g e
or m a d e a c o m m e n t . Your advisor is the final arbitrator o f c h a n g e s
to b e m a d e .
• B e sure to t h a n k those in the r o o m w h o h e l p e d y o u along this dis-
sertation journey. This includes not only your committee
m e m b e r s b u t also a n y family m e m b e r s a n d friends w h o sup-
ported y o u in this incredible endeavor.
REMEMBER
Remember These Encouraging Thoughts

1. You know more about your dissertation than anyone else. You are the expert
on your topic. Your months of concentrated reading and research contributed
to a unique knowledge of your topic that few others possess.
2. Everyone involved wants you to succeed. You completed a rigorous piece of

research, and you should be proud to discuss it publicly.
3. Look forward to being welcomed into the community of scholars!
After the Oral Defense

• If y o u r c o m m i t t e e asks for revisions, get right o n t h e m . D o n ' t lose
a n y m o m e n t u m . Usually, y o u c a n incorporate m i n o r revisions in
a w e e k e n d or a w e e k . M a j o r revisions take longer, d e p e n d i n g o n
the issues i n v o l v e d . B e v e r y clear a b o u t w h a t n e e d s to b e altered.

W i t h m i n o r revisions, the c o m m i t t e e usually signs off a n d leaves
y o u r a d v i s o r w i t h the responsibility to m o n i t o r the c h a n g e s
a c c o r d i n g to the c o m m i t t e e ' s w i s h e s .
• F i n d o u t the university's p r o t o c o l for c o m p l e t i o n o f the disserta
tion process.
• C e l e b r a t e this exhilarating e x p e r i e n c e w i t h friends, colleagues,
a n d l o v e d ones. B y all m e a n s , take pictures to record this m e m o
rable event.
Summary
T h e oral defense o f y o u r dissertation represents the c u l m i n a t i o n o f y o u r
doctoral journey. It provides the opportunity to s p e a k publicly about
y o u r research a n d to defend it. This chapter p r o v i d e d an o v e r v i e w of the
process a n d s o m e helpful hints for prior to, during, a n d after the oral
defense. It can b e an exhilarating e x p e r i e n c e for y o u , y o u r c o m m i t t e e ,
friends, a n d family. N o w prepare for c o m m e n c e m e n t — t h a t special time
w h e n y o u stand o n top o f the m o u n t a i n .
L i k e all m o u n t a i n c l i m b s , h o w e v e r , y o u m u s t eventually d e s c e n d .
T h e n e x t chapter discusses the l e t - d o w n e x p e r i e n c e a n d w a y s y o u can
m e n t o r others as t h e y a t t e m p t the s a m e journey. T h i s final chapter, titled
" T h e N e x t P e a k , " h e l p s y o u think a b o u t w a y s to d i s s e m i n a t e y o u r
s t u d y ' s findings to the k n o w l e d g e b a s e in y o u r field.
17
The Next Peak
You have climbed the mountain . . . now soar beyond!
—Mario Fernandez
C o m m e n c e m e n t ! Y o u n o w k n o w w h a t it is like standing o n top o f a

h i g h m o u n t a i n . T h e v i e w is a w e s o m e , a n d the exhilaration a n d
pride of h i g h a c h i e v e m e n t are unforgettable. It's a p e a k e x p e r i e n c e. T h i s
is the t i m e for celebration, frivolity, a n d picture taking—rejoicing w i t h
friends, colleagues, a n d family. All t h o s e w h o s u p p o r t e d y o u t h r o u g h
this long, a r d u o u s j o u r n e y c a n n o w revel in y o u r a c c o m p l i s h m e n t s a n d
share w i t h y o u the g r a n d e u r o f c o m m e n c e m e n t .
Rejoice in c o m m e n c e m e n t ! It is a mountain-top experience w o r t h y o f
celebration. Like all climbs, though, y o u m u s t descend. T h e descent
causes s o m e students to experience an emotional letdown and feel a
sense of loss. T h e s e are n o r m a l feelings c a u s e d b y intense concentration
a n d pressure for several years. D u r i n g this time y o u return to a " n o r m a l "
life a n d reacquaint yourself w i t h family and friends.
The Descent
A s all climbers m u s t eventually d e s c e n d the m o u n t a i n and return to the
valley floor, so too m u s t dissertation writers return to n o r m a l life activi
ties and reflect o n future professional opportunities. E x p e r i e n c e d m o u n
taineers k n o w that the descent can b e difficult and rife w i t h dangers.
Doctoral students often report m i x e d feelings about c o m p l e t i ng their
192
The Next Peak 193
study, parting from friends w i t h w h o m t h e y b o n d e d , a n d leaving the

intellectual stimulation o f the university. S o m e g o t h r o u g h periods o f
depression a n d feelings o f general malaise.
Letting Down
T h i s e m o t i o n a l l e t d o w n is quite n o r m a l g i v e n the t r e m e n d o u s pressure
a n d stress o f trying to j u g g l e o n e ' s p e r s o n a l a n d professional lives for
several years. T h e dissertation is a n o v e r p o w e r i n g p r e s e n c e that con
s u m e s all y o u r attention. E v e n t h o u g h there is a s e n s e o f relief in h a v i n g
it over, for m o s t there is also a s e n s e o f loss. M a k i n g the transition to a
n o r m a l life m a y take a w h i l e as y o u deal w i t h the m y r i a d feelings asso
ciated w i t h starting anew.
After the dissertation, y o u h a v e all these " e x t r a h o u r s . " Take s o m e
t i m e to regain y o u r e n e r g y a n d i n d u l g e y o u r s e l f in p l e a s u r a b l e p a s t i m e s
so often sacrificed—hobbies, m y s t e r y b o o k s , m o v i e s , v a c a t i o n s , regular
w o r k o u t s , a n d so on. Certainly, it is a g o o d idea to r e a c q u a i n t y o u r s e l f
w i t h family a n d friends w h o w e r e p r o b a b l y quite n e g l e c t e d d u r i n g y o u r
h o u r s o f isolated study.
N o t o n l y is it desirable to r e b a l a n c e y o u r p e r s o n a l life, b u t refocus
ing y o u r professional a g e n d a k e e p s y o u r career m o v i n g a h e a d . After all,
y o u p r o b a b l y d e c i d e d to e a r n the d o c t o r a t e to a d v a n c e y o u r career
goals. Y o u ' v e invested several y e a r s a n d t h o u s a n d s o f dollars to b e
called "doctor." H o w unfortunate if the scholarly w o r k y o u p r o d u c e d
gathers d u s t o n a shelf, s o o n to b e forgotten e x c e p t for b y those few
future researchers w h o m i g h t s t u m b l e across it. Your research s t u d y
a d d e d a n e w p i e c e to the a c a d e m i c p u z z l e in y o u r field a n d offers an
o p p o r t u n i t y for others to learn from y o u r research.
Mount Analogue
A l o n g the dissertation journey, y o u g a i n e d n e w k n o w l e d g e a n d w i s
d o m , h o n e d s o m e v a l u a b l e skills, g a i n e d c o n f i d e n c e in y o u r abilities as
a writer a n d scholar, a n d m a d e lasting friendships. H o w e v e r ,
y o u c a n n o t stay o n the s u m m i t forever; y o u h a v e to c o m e d o w n

a g a i n . . . . S o w h y b o t h e r in the first p l a c e ? J u s t this: w h a t is
a b o v e k n o w s w h a t is b e l o w , b u t w h a t is b e l o w d o e s n o t k n o w
w h a t is a b o v e . In c l i m b i n g , a l w a y s take n o t e o f difficulties a l o n g
the w a y ; for as y o u g o u p , y o u c a n o b s e r v e t h e m . C o m i n g d o w n
y o u will n o l o n g e r s e e t h e m , b u t y o u will k n o w t h e y are there if
y o u h a v e o b s e r v e d t h e m well.
O n e climbs, o n e sees. O n e descends, o n e sees n o longer b u t

one h a s seen. There is an art to conducting oneself in the l o w e r
regions b y the m e m o r y of w h a t o n e s a w h i g h e r up. W h e n o n e c a n
n o longer see, o n e can at least still know. ( D a u m a l , 1952, p. 153)
Helping others
In 1 9 2 4 , a F r e n c h poet, R e n e D a u m a l , w r o t e an allegorical n o v e l titled
Mount Analogue. T h e m o u n t a i n s y m b o l i z e s a spiritual v o y a g e o f discov-
ery m u c h like Pilgrim's Progress. A s the adventurers in the story a s c e n d
the m o u n t a i n , t h e y discover strange, n e a r l y invisible crystals called
paradama, w h i c h are s y m b o l i c of rare a n d difficult truths found a l o n g the
spiritual path. D a u m a l died before c o m p l e t i n g the n o v e l b u t left these
w o r d s about o n e o f the b a s i c l a w s o f M o u n t A n a l o g u e : "To reach the
s u m m i t , o n e m u s t p r o c e e d from e n c a m p m e n t to e n c a m p m e n t . B u t
before setting o u t for the n e x t refuge, o n e m u s t prepare those c o m i n g
after to o c c u p y the p l a c e o n e is leaving.
To know the road ahead, ask those O n l y after h a v i n g p r e p a r e d t h e m , c a n
coming back. o n e g o o n u p " ( D a u m a l , 1986, p. 1 0 4 ) .
, Y o u will h a v e m a n y m o r e p e a k s to
-Chinese proverb ,. , . , . ,., T
c l i m b in y o u r career a n d m y o u r life . In
this p a r a b l e o f M o u n t A n a l o g u e ,
D a u m a l (1924) exhorts us n o t to forget t h o s e w h o follow in o u r foot-
steps. H e r e are s o m e w a y s in w h i c h y o u can m e n t o r others as they
attempt their j o u r n e y to the top.
Mentoring
There is n o greater gift to those w h o follow in y o u r footsteps than b e i n g
available to lend a h e l p i n g h a n d as they attempt the dissertation journey.
O n e w a y is to act as an on-the-job c o a c h for doctoral students w h o w o r k
in y o u r place of e m p l o y m e n t . Frequently, there are opportunities to help
t h e m apply course w o r k to real situations, provide straight-scoop infor-
m a t i o n about the challenges o f dissertating, a n d offer e n c o u r a g e m e n t
and support w h e n they falter along the path.
Disseminating Your Study's Findings

H o w b e t t e r to h e l p o t h e r s t h a n to c o n t r i b u t e y o u r s t u d y ' s findings to
the k n o w l e d g e b a s e in y o u r field. E v e r y s t u d y b u i l d s o n p r e v i o u s
studies. If y o u r s is n o t a v a i l a b l e to o t h e r s , it c a n ' t b e u s e d to e x t e n d
The Next Peak 195
k n o w l e d g e . R e m e m b e r , y o u a r e n o w a n e x p e r t , an a u t h o r i t y o n y o u r
subject, a n d e x p e c t e d to m a k e w i s e j u d g m e n t s a n d r e c o m m e n d a t i o n s
in y o u r s p e c i a l area.
It is n a t u r a l to w a n t to a v o i d e v e n l o o k i n g at y o u r dissertation after
w o r k i n g o n it so h a r d a n d s o long. H o w e v e r , letting it sit o n the shelf for
a l o n g p e r i o d o f t i m e risks n e v e r taking it to the n e x t step o f sharing
y o u r results w i t h a w i d e r a u d i e n c e . It also k e e p s y o u from taking full
a d v a n t a g e o f the professional opportunities it affords y o u . I n s t e a d o f
i g n o r i n g it permanently, t a k e the t i m e that y o u d e v o t e d e a c h w e e k to
w r i t i n g the dissertation a n d w o r k o n w a y s to d i s s e m i n a t e y o u r research
a n d e x t e n d y o u r professional n e t w o r k . P r e s e n t i n g y o u r research, creat
i n g p r o d u c t s , a n d p u b l i s h i n g are w a y s to d i s s e m i n a t e y o u r findings.
Unfortunately, v e r y few dissertations e n d u p b e i n g p u b l i s h e d . In m y
e x p e r i e n c e , s t u d e n t s are just plain w o r n o u t from their y e a r s o f doctoral
s t u d y — c o m p l e t i n g c o u r s e w o r k a n d w r i t i n g the dissertation. T h e y often
feel as if t h e y n e g l e c t e d their family a n d t h e m s e l v e s too l o n g a n d w a n t
to get o n w i t h their lives. Very few take the time to d o the m a j o r rewrites
necessary to turn their dissertation into a publishing format.
N o n e t h e l e s s , p r e s e n t i n g or p u b l i s h i n g y o u r results to a w i d e r a u d i e n c e
t h a n y o u r c o m m i t t e e is o n e o f the b e s t w a y s to contribute k n o w l e d g e to
y o u r field a n d a d v a n c e y o u r professional life.
Presenting Your Research

A g o o d first step is to present y o u r research to professional associa
t i o n s in y o u r field and obtain feedback from the participants.
Presentations c a n b e m a d e at regional, state, national, a n d international
conferences. T h e y are a l w a y s o n the l o o k o u t for presenters a n d are quite
receptive to n e w a n d interesting findings in their field. C o n f e r e n c e for
m a t s i n c l u d e p r e s e n t i n g p a p e r s , participating in p a n e l discussions a n d
poster sessions, l e a d i n g w o r k s h o p s , a n d m a k i n g formal addresses. S c a n
y o u r professional j o u r n a l s for "calls for p a p e r s , " a formal invitation to
s u b m i t an application to speak. W h e n y o u s u b m i t a p r o p o s a l , y o u
receive guidelines a b o u t the l e n g t h o f the p r e s e n t a t i o n a n d the required
format. If y o u decide to p u r s u e p r e s e n t i n g y o u r s t u d y at conferences,
r e m e m b e r that s u b m i s s i o n s m u s t b e sent in m o n t h s in a d v a n c e o f the
conference.
In m a k i n g a p r e s e n t a t i o n to a n a u d i e n c e o f practitioners, A l a n
G l a t t h o r n (1998) s u g g e s t e d this outline for a 3 0 - m i n u t e t i m e allocation:
1. W h a t y o u learned: 2 m i n u t e s (a v e r y general s t a t e m e n t as an
introduction)
2. Your m e t h o d o l o g y : 3 m i n u t e s
3. A detailed s u m m a r y o f y o u r results: 5 m i n u t e s
4. A p p l i c a t i o n s for practice: 2 0 m i n u t e s (p. 190)
Poster Sessions
Poster sessions advertise y o u r research—usually at a conference or
seminar. A poster is a visual l a y o u t that depicts y o u r research study.
Posters s h o u l d b e informative a n d artistic, a c o m b i n a t i o n o f text a n d
graphics such as tables a n d graphs for a visually p l e a s i n g display. Your
poster s h o u l d contain o n l y the crucial points o f y o u r research, such as
• Introduction
• Methods
• Results
• Discussion and conclusions
• Future directions
• A c k n o w l e d g m e n t s a n d references
Your goals in designing a poster are simplicity a n d clarity. Y o u w a n t

to provide e n o u g h material to explain y o u r research w i t h o u t an oral
explanation a n d to initiate discussion a n d questions.
Presenting y o u r poster at a conference u s u a l l y i n v o l v e s m a k i n g a
short presentation (about 5 - 1 0 m i n u t e s ) to g i v e periodically to those
a s s e m b l e d a r o u n d y o u r poster. H a n d o u t s m a y also b e available for the
participants. Oftentimes, y o u h a v e an o p p o r t u n i t y to e n g a g e in an in-
depth discussion of y o u r w o r k .
A l s o consider presenting y o u r research to interested public a n d civic
organizations (Elks, L i o n s , etc.) or to y o u r local b o a r d o f education, P T A ,
trade group, or j o b associates. P e r h a p s y o u r o w n university d e p a r t m e n t
m i g h t organize research forums for sharing dissertation results.
Publishing Your Research

You c a n publish y o u r research either online, in a j o u r n a l , as a
chapter in an edited b o o k or textbook, or as a b o o k .
Online
A n online option for p u b l i s h i n g c a n b e found w i t h Dissertation.com.

" T h e p r i m a r y f u n c t i o n o f D i s s e r t a t i o n . c o m is to p r o v i d e students,
r e s e a r c h e r s , a n d t h e g e n e r a l p u b l i c w i t h l o w c o s t a c c e s s to i m p o r
tant a c a d e m i c work. O u r publications are m a d e easily accessible on
line and t h r o u g h t h o u s a n d s o f b o o k s e l l e r s , r e d u c i n g the c o s t of
The Next Peak 197
a c q u i s i t i o n a n d s p e e d i n g d e l i v e r y to t h o s e i n t e r e s t e d " (http://www
.dissertation.com).
Journal Article and Book
Your dissertation c o u l d also b e the b a s i s for a j o u r n a l article or, p o s

sibly, for a b o o k . M o r e t h a n likely, y o u r c h a n c e s are greater p u b l i s h i n g a
j o u r n a l article rather t h a n a b o o k . R e w o r k i n g a formal, technical, a n d
u s u a l l y b o r i n g dissertation into a reader-friendly b o o k requires a major
rewrite a n d a l e n g t h y t i m e c o m m i t m e n t .
To initiate the process of publishing, I suggest that y o u first talk to your
dissertation c o m m i t t e e or published professors on c a m p u s for their advice
on specific journals a n d h o w to approach them. S o m e m i g h t m a k e a per
sonal introduction to a n editor h e or she is familiar with. It is important
that y o u find a journal that publishes articles that m a t c h your research
topic a n d your particular study. S o m e journals focus o n empirical research,
while others publish theoretical or applied articles. You simply n e e d to
review the m a i n journals in your field to get a sense about the type of arti
cles they publish. Also, b e aware that journals are rated in quality b a s e d on
refereeing systems a n d h o w often they are cited b y other researchers. Refer
to the Social Science Citation Index a n d the Arts and Humanities Citation Index
for determining the citation scores of m o s t journals.
A n e x t step m i g h t b e to visit y o u r u n i v e r s i t y library a n d p e r u s e all
j o u r n a l s pertinent to y o u r field o f interest a n d potential a u d i e n c e . E a c h
of the major j o u r n a l s p r o v i d e s i n f o r m a t i o n a b o u t h o w to s u b m i t m a n u
scripts for consideration. A l s o c o n s u l t y o u r reference librarian a b o u t the
available references o n p u b l i s h i n g in y o u r field.
T h i r d , invest in resources that p r o v i d e detailed i n f o r m a t i o n o n the
p u b l i s h i n g p r o c e s s from b e g i n n i n g to e n d . F o l l o w i n g are t w o o f these
references:
Bolker, J. (1998). Writing your dissertation in fifteen minutes a day. New York:
Henry Holt. (See chapter "Life After the Dissertation.")
Klausmeier, H. (2001). Research writing in education and psychology—From plan
ning to publication. Springfield, IL: Charles C Thomas.
T h e r e are other resources r e c o m m e n d e d b y these a u t h o r s that

greatly e n h a n c e y o u r u n d e r s t a n d i n g o f the p u b l i s h i n g essentials.
Creating Products
Chapter 5 of dissertations usually contains a section titled
" I m p l i c a t i o n s for A c t i o n , " in w h i c h the a u t h o r m a k e s c o n c r e t e s u g g e s
tions to p r a c t i t i o n e r s in the field that are directly related to the s t u d y ' s
findings. Frequently, r e c o m m e n d a t i o n s are m a d e to create specific

p r o d u c t s , s u c h as n e w training p r o g r a m s , h a n d b o o k s , m a n u a l s , n e w
p r o g r a m s , a n d v i d e o s . Taking t i m e to follow u p o n creating these p r o d
ucts m a k e s a practical a n d greatly a p p r e c i a t e d c o n t r i b u t i o n to the field.
Summary
C o m m e n c e m e n t is the j o y o u s celebration o f h i g h a c h i e v e m e n t — a
mountain-top e x p e r i e n c e . H o w e v e r , all c l i m b e r s m u s t eventually
d e s c e n d a n d return to n o r m a l life. S o m e e x p e r i e n c e an e m o t i o n a l let
d o w n w i t h feelings o f loss—quite n o r m a l following s u c h a long, ardu
ous journey. T h i s is the t i m e to regain energy, indulge in pleasurable
p a s t i m e s , a n d think a h e a d . Your n e x t p e a k represents the o p p o r t u n i t y to
contribute to others as a m e n t o r a n d contribute further to the k n o w l
e d g e b a s e in y o u r field. S o m e s u g g e s t i o n s w e r e offered in this chapter,
such as (1) presenting y o u r research at conferences as a presenter or in
a poster session; (2) s p e a k i n g about y o u r research to v a r i o u s organiza
tions; (3) p u b l i s h i n g y o u r research online, in j o u r n a l s , or in a b o o k ; a n d
(4) creating products as follow-up to research r e c o m m e n d a t i o n s .
Parting Thoughts
I hope you found the suggestions and approaches offered in this book
useful and valuable on your journey to complete the dissertation. I
also hope your journey is an enjoyable one and results in one of the most
rewarding personal experiences of your life. I leave you with two simple
but powerful thoughts.
Be positive! A positive mental attitude, more than any other factor,
will determine whether you complete your dissertation or not. View
obstacles as plateaus on the way to the summit and find ways to surmount
them. Persistence and determination
are what it takes to finish. Don't give Success is never the result of
up no matter how much it starts to spontaneous combustion. You must
hurt—just shift gears and keep going. set yourself on fire.
Nothing great comes without a price. -Arnold Glasow
Get it done! Don't wait for inspira-
tion. Develop a sense of urgency about
completing your dissertation. No matter how brilliant or talented you
are, if you don't have a sense of urgency, develop it now. Tomorrow is
not a day of the week.
Good luck and God bless!
199
200
Appendix Α: Sample Dissertation Timeline—Gantt Chart
Task Name 2010 2011 2012
J A S 0 Ν D J F Μ A Μ J J A S Ο Ν D J F Μ A Μ J J A S
Admission to Candidacy •
Select Advisor
Committee Approval
Study Proposal Approved
Data Collection
Finish Chapters 1 , 2, and 3
Data Analysis
Write Chapter 4
Write Chapter 5
Approval for Oral Defense
Note Deadline for Oral Defense <>
Oral Defense
Revisions and Committee Approval
Final Typing
Manuscript Review
Final Revisions and Approval •

Dean Signs •
HELLO Dr.! ©
Appendix Β
Source of Data Chart

Sample: A s o u r c e o f data c h a r t w a s d e v e l o p e d p r i o r to the field test to
assist w i t h the c o m p r e h e n s i v e a n d efficient p r o c e s s o f data collection.
E a c h v a r i a b l e w a s e x p l o r e d t h r o u g h o n e or m o r e o f the following: inter
v i e w s o f students, t e a c h e r s , a d m i n i s t r a t o r s , a n d parents; archival d o c u
m e n t r e v i e w s ; o r c l a s s r o o m a n d s c h o o l setting o b s e r v a t i o n s ( M e l e n d r e z ,
1991, p. 79).
Question/Variable INT ARC OB SOURCE
A. What are the historical origins
of each specialized arts school?
1. Original concept X X ACD

2. Political issues X X AC
3. Key people/groups X X ACD
4. Length of planning period X X ACD
5. Curriculum development X X ACD
6. Start up funding X ATSD
B. What operational processes are
in place at each school?
7. Student recruitment/selection X X ADH
8. Student demographics X X AD
9. Staffing X X AD
10. Staff recruitment/selection X AH
(Continued)
201
202 The Dissertation Journey
(Continued)
Question/Variable INT ARC OB SOURCE
11. Curriculum—academics X X X DHAV
12. Curriculum—arts X X X DHAV
13. Financial aspects X X AD
14. Facilities X X AV
15. Advisory councils X A
16. Public relations X X AD
INT = Interview
ARC = Archival documents
OB = Observation
S O U R C E = S o u r c e o f data
C = C e n t r a l / d i s t r i c t / c o u n t y office p e r s o n
A = A d m i n i s t r a t o r / c o u n s e l o r / p u b l i c relations p e r s o n
Τ = Teacher
S = Student
Ρ = Parent
Η = A r t s area c h a i r p e r s o n
V = Visit or tour o f facility

Appendix C
Sample Participant Letter and Questionnaire
SAMPLE LETTER
Barbara Smith
5 6 9 3 M a y f l o w e r Dr.
M i s s i o n Viejo, C A 9 4 7 3 2
A p r i l 15, 2 0 0 4
Dear Principal/Teacher:
All l e v e l s o f e d u c a t i o n in C a l i f o r n i a a n d a c r o s s t h e c o u n t r y are in tran-

sition. M a n y s c h o o l s in C a l i f o r n i a a r e in t h e p r o c e s s o f c h a n g e or are at
least c o n s i d e r i n g s o m e e l e m e n t s o f c h a n g e . Y o u r s c h o o l h a s b e e n
s e l e c t e d as o n e o f 4 0 s c h o o l s in O r a n g e C o u n t y to r e s p o n d to a q u e s -
t i o n n a i r e a s s e s s i n g g r o u p b e h a v i o r or n o r m s e x i s t i n g in e l e m e n t a r y
s c h o o l s . I a m a d o c t o r a l c a n d i d a t e at the U n i v e r s i t y o f L a V e r n e c o n -
ducting research regarding behavioral norms and characteristics of
restructuring. T h e p e r c e p t i o n s o f h o w p r i n c i p a l s a n d t e a c h e r s " d o
b u s i n e s s " at their sites is o f critical i m p o r t a n c e to this e d u c a t i o n a l
study.
T h e following description o f g r o u p b e h a v i o r or n o r m s m a y b e helpful to

y o u for the p u r p o s e o f this study. N o r m s are the shared g r o u p e x p e c t a -
tions a b o u t behavior. T h e y c a n b e explicitly stated as rules or guidelines
for b e h a v i o r or c a n b e implicitly u n d e r s t o o d as the w a y things h a p p e n
203
in a n organization. N o r m s c a n b e p r o d u c t i v e or n o n p r o d u c t i v e regard
ing the goals o f the organization.
Please c o m p l e t e this questionnaire assessing g r o u p b e h a v i o r or n o r m s in

y o u r school. It will only take a few m i n u t e s o f y o u r time. This three-part
questionnaire asks y o u to r e s p o n d to group b e h a v i o r or n o r m statements
about y o u r school as w e l l as to r e s p o n d to the degree o f i n v o l v e m e n t in
restructuring.
Please c o m p l e t e a n d seal e a c h questionnaire i n the attached w h i t e e n v e

lope a n d return all questionnaires in the e n c l o s e d self-addressed,
s t a m p e d large b r o w n collection e n v e l o p e n o later t h a n M a y 6th. A l l
r e s p o n s e s will r e m a i n c o n f i d e n t i a l , a n d y o u r a n o n y m i t y will b e
ensured. Your r e s p o n s e s will contribute to this t i m e l y research a b o u t
school n o r m s , restructuring, a n d c h a n g e . A s u m m a r y o f the research
will b e m a i l e d to y o u u p o n c o m p l e t i o n .
I appreciate y o u r participation in this research.
Sincerely,
L y n n Bogart, Principal
Irvine Unified S c h o o l District

Appendix C 205
SAMPLE QUESTIONNAIRE
Croup Behaviors and Restructuring Questionnaire
Part 1
Please a n s w e r the following q u e s t i o n s relative to the b e h a v i o r s a c c e p t e d
b y the staff as "the w a y things h a p p e n a r o u n d h e r e . "
Directions
To w h a t degree d o e s e a c h o f the n o r m s b e l o w o p e r a t e in y o u r
school?
P l e a s e r e s p o n d a c c o r d i n g to the following scale:
To little or To some To a great

no degree degree degree
Staff m e m b e r s m a y i n c l u d e certificated a n d classified p e r s o n n e l .

Teachers refer to certificated p e r s o n n e l .
1. Staff m e m b e r s m a k e s u g g e s t i o n s in m e e t i n g s .
2. Staff m e m b e r s informally discuss h o w t h e y c a n m a k e things

better o n this c a m p u s .
3. S y s t e m s for decision m a k i n g are in p l a c e a n d k n o w n to staff

members.
4. Staff m e m b e r s confront e a c h other o n issues.
5. Staff m e m b e r s try o u t n e w ideas.
6. Staff members do their o w n work without involving

others.
7. S c h o o l w i d e decisions are m a d e b y u s i n g priority decision-

making techniques.
8. S c h o o l w i d e decisions are m a d e b y c o n s e n s u s .
9. Teachers a s k for h e l p w i t h specific instructional p r o b l e m s .

1 2 3 4 5 6

_ 10. Teachers w o r k together to research materials a n d share ideas

for c u r r i c u l u m .
_ 11. Staff m e m b e r s are i n v o l v e d w i t h i m p o r t a n t decisions.
_ 12. Teachers discredit n e w ideas or p r o g r a m s .
_ 13. Teachers design c u r r i c u l u m units o n their o w n .
_ 14. Staff m e m b e r s s u g g e s t a g e n d a i t e m s for staff m e e t i n g s .
_ 15. Staff m e m b e r s d e s c r i b e to others an a t t e m p t to try s o m e t h i n g

new.
_ 16. Teachers review a n d discuss existing lesson p l a n s w i t h e a c h

other.
_ 17. Solutions to p r o b l e m s that affect the s c h o o l are d e t e r m i n e d

p r i m a r i l y b y the principal.
_ 18. Teachers o p e n l y question c l a s s r o o m or s c h o o l w i d e practices.
_ 19. Teachers s u g g e s t that others "try this."
_ 20. Teachers invite other teachers to o b s e r v e t h e m in their o w n

classroom.
_21. Parents participate in the d e c i s i o n - m a k i n g p r o c e s s about

s c h o o l w i d e issues.
_ 22. Staff m e m b e r s w h o disagree w i t h a decision a t t e m p t to get it

c h a n g e d after the decision is m a d e .
_ 23. T h e staff a c c e p t s innovation.
_ 2 4 . Staff m e m b e r s w o r k together to solve p r o b l e m s .
_ 25. Staff m e m b e r s a t t e m p t to c h a n g e u n w a n t e d decisions b y

g o i n g to sources outside the school.
_ 26. Staff m e m b e r s s u p p o r t decisions m a d e b y the group, e v e n

w h e n t h e y feel a n o t h e r decision w o u l d b e better.
_ 27. It is i m p o r t a n t for i n n o v a t i o n s to b e initially successful o n

this c a m p u s .
Appendix C 207
1 2 3 4 5 6

28. Parent s u g g e s t i o n s for c h a n g e s at the s c h o o l are a c c e p t e d b y
the staff.
2 9 . Conflict exists, b u t it is n o t d i s c u s s e d at school.
30. Staff m e m b e r s receive praise or recognition for trying n e w

ideas.
3 1 . Staff m e m b e r s share information to h e l p others.
32. Staff m e m b e r s confront t h o s e w h o " d o n ' t d o their s h a r e . "
3 3 . Staff m e m b e r s v i e w m i s t a k e s or failures as opportunities to

learn.
34. Staff m e m b e r s share information only w h e n it benefits them.
3 5 . Staff m e m b e r s c o m p l a i n a b o u t c h a n g e s g o i n g o n in the
school.
3 6 . Staff m e m b e r s are i n v o l v e d in s o l v i n g c u r r i c u l u m and
instructional p r o b l e m s .
37. Staff m e m b e r s try to k e e p things the s a m e .
38. Conflict resolution is s e e n as a positive activity.
3 9 . Staff m e m b e r s h e l p others p u t n e w ideas into practice.
4 0 . Staff m e m b e r s k n o w the processes u s e d for resolving conflicts.
4 1 . Staff m e m b e r s resist p u t t i n g n e w ideas into practice.
42. Teachers p e r s u a d e others to try a n idea or approach.
4 3 . T e a c h e r s m a k e collective agreements to p a r t i c i p a t e in
programs.
4 4 . Parents o p e n l y q u e s t i o n s c h o o l w i d e practices.
Part 2
1. M a n y schools in California are i n v o l v e d in s o m e form o f s c h o o l
reform or restructuring, w h i l e several h a v e c h o s e n n o t to b e
i n v o l v e d at this time. U s i n g the scale directly below, to what degree

is your school involved in reform or restructuring? Indicate y o u r
response here.
1 2 3 4 5 6

2. If participating in restructuring, h o w m a n y y e a r s h a s y o u r s c h o o l
been involved? year(s)
3. W h a t is y o u r role in the s c h o o l ? Teacher Principal
4. H o w m a n y years h a v e y o u b e e n w o r k i n g at this school?
Part 3
Directions
B e l o w is a list o f characteristics w h i c h m a y or m a y n o t describe y o u r

school. Regardless o f h o w y o u a n s w e r e d the p r e v i o u s restructuring
questions, p l e a s e r e s p o n d to w h a t degree e a c h o f these characteristics
reflect the current c o n d i t i o n o f y o u r school. P l e a s e c o n s i d e r e a c h i t e m
i n d e p e n d e n t l y o f the others. D o n o t allow the w a y y o u m a r k o n e i t e m
to affect the w a y y o u m a r k a n o t h e r item.
1 2 3 4 5 6

_ 1. E x i s t e n c e o f a clear, shared, results-oriented v i s i o n
_ 2. Support for the value of learning at all levels of the organization
_ 3. S u p p o r t for the c h a n g e p r o c e s s
_ 4. S u p p o r t for c o n t i n u o u s i m p r o v e m e n t
_ 5. F o c u s o n high-level thinking a n d p r o b l e m solving
_ 6. I m p l e m e n t a t i o n o f instructional strategies b a s e d o n current

learning t h e o r y
Appendix C 209
7. E m p h a s i s o n real-life p e r f o r m a n c e a s s e s s m e n t s o f s t u d e n t
learning
8. S u p p o r t for discarding or reforming existing structures or

forms s u c h as u s e o f t i m e , s p a c e , s c h e d u l e s , g r o u p i n g s , etc.
9. Existence of shared leadership in decision-making and problem-

solving processes
Thank you very much for your time in responding to this questionnaire.
P l e a s e p u t y o u r c o m p l e t e d q u e s t i o n n a i r e in the w h i t e e n v e l o p e attached
to the form. Seal the w h i t e e n v e l o p e a n d p l a c e it in the large b r o w n col
lection e n v e l o p e . To protect the confidentiality o f y o u r r e s p o n s e s , the
w h i t e e n v e l o p e s will b e o p e n e d o n l y b y the researcher.
SOURCE: Bogart, L., Identification of Behavioral Norms in Restructuring and Traditional

Schools, doctoral dissertation, University of La Verne, 1995. Reprinted with permission.
Appendix D: Sample Table—Presenting the Results
210
N u m b e r a n d P e r c e n t a g e o f Teachers a n d P r i n c i p a l s R e p o r t i n g the P r e s e n c e o f R i s k - T a k i n g N o r m s A c c o r d i n g to T h r e e
Categories of School Restructuring
Categories of School Restructuring

Norm Statement (Listed by Traditional Teachers Ν = 70 Principals Middle Group Teachers Ν = 131 Restructuring Teachers Ν = 96
questionnaire item number) Ν = 10 Scale Ratings Principals Ν = 17 Scale Ratings Principals Ν = 12 Scale Ratings
6-5 4-3 2--1 6-5 4-3 2--1 6-5 4-3 2--1
Ν % Ν % Ν % Ν % Ν % Ν % Ν % Ν % Ν %
1. Staff members make Τ 48 68.5 22 31.5 0 0 109 83.2 20 15.3 2 1.5 86 89.6 10 10.5 0 0
suggestions in Ρ 8 80.0 2 20.0 0 0 15 88.2 2 11.8 0 0 12 100.0 0 0 0 0
meetings.
5. Staff members try out Τ 39 55.7 30 42.9 1 1.4 91 69.5 38 29.0 2 1.6 87 90.6 8 8.4 1 1.0
new ideas. Ρ 4 40.0 6 60 0 0 11 64.7 6 35.3 0 0 11 91.7 1 8.3 0 0
9. Teachers ask for help Τ 23 32.8 38 54.3 9 12.9 63 48.1 54 41.2 14 10.7 62 64.6 34 35.5 0 0
with specific Ρ 2 20.0 7 70.0 1 10.0 8 47.1 8 47.0 1 5.9 5 41.7 6 50.0 1 8.3
instructional
problems.
12. Teachers do not Τ 36 51.5 29 41.4 5 7.1 77 58.8 44 33.6 10 7.17 70 72.9 19 19.8 7 7.3
discredit new ideas Ρ 9 90.0 1 10.0 0 0 8 47.0 9 52.9 0 0 11 91.6 1 8.3 0 0
or programs.
15. Staff members Τ 1.9 27.1 42 60.0 9 1.9 59 45.01 68 51.9 4 3.1 57 59.3 39 40.7 0 0
describe to others an Ρ 4 40.0 5 50.0 1 10.0 6 35.3 8 47.1 3 17.6 7 58.4 5 41.6 0 0
attempt to try
something new.
19. Teachers suggest that τ 21 30.0 38 54.3 11 15.7 50 38.2 69 52.7 12 9.2 44 45.9 42 54.1 0 0
others "try this." Ρ 2 20.0 7 70.0 1 10.0 8 47.1 9 52.9 0 0 3 25.0 8 66.7 1 8.3
23. The staff accepts τ 21 30.0 38 54.3 11 15.8 65 49.6 60 45.8 6 4.6 72 75 24 25.1 0 0
innovation. Ρ 3 30.0 7 70.0 0 0 5 29.4 11 64.7 1 5.9 11 91.6 0 0 1 8.3
SOURCE: Bogart, L., Identification of Behavioral Norms in Restructuring and Traditional Schools, doctoral dissertation, University of La Verne, 1995. Reprinted with permission.
Appendix Ε
Dissertation Content Checklist

F o l l o w i n g are s o m e q u e s t i o n s to b e c o n s i d e r e d w h e n e v a l u a t i n g the
quality a n d c o m p l e t e n e s s o f y o u r o w n or o t h e r s ' dissertation d o c u m e n t .
N o t all o f the q u e s t i o n s are a p p r o p r i a t e for all studies, a n d s o m e o f the
items w i t h i n chapters m a y v a r y s o m e w h a t b a s e d o n the preferences o f
the dissertation advisor.
Chapter 1
Statement of the Problem
1. Is the b a c k g r o u n d o f the p r o b l e m clearly p r e s e n t e d ?
2. Is a d e q u a t e b a c k g r o u n d p r e s e n t e d for all the variables or c o n

cepts u n d e r s t u d y ?
3. Is a d e q u a t e information p r e s e n t e d for a n u n d e r s t a n d i n g o f the

problem?
4. Is the p r o b l e m clearly stated?
5. Is there a n e e d to k n o w ?
6. Is it clear h o w this s t u d y will a d d to the b o d y of k n o w l e d g e

(theory or practice)?
7. Is the theoretical b a s e for the s t u d y clear a n d appropriate?
8. Is there a n appropriate a m o u n t o f literature cited?
9. Is there a n indication o f w h a t ' s k n o w n a n d w h a t ' s n o t k n o w n

a b o u t the v a r i a b l e s u n d e r investigation?
10. Is there a description a n d a n analysis o f w h a t h a s already b e e n

d o n e related to the p r o b l e m ?
211
11. Is the relationship o f the problem to previous research m a d e clear?
12. Is there a logical s e q u e n c e o f exposition that leads directly to the

purpose statement?
13. Is the writing clear a n d readable?
14. D o e s the chapter m o v e from the general to the specific?
Purpose Statement
15. Is the p u r p o s e o f the s t u d y stated clearly a n d succinctly?
16. Is the p u r p o s e related to the p r o b l e m s t a t e m e n t ?
Research Questions
17. A r e the research questions w e l l stated?
ο Clear variables
ο N o how or why questions
ο " T h i n g " w o r d s clarified (success, factors, achievement, etc.)
18. Is the k i n d o f m e a s u r e m e n t o b v i o u s ? (description, differences,

or relationship)
Delimitations: The Boundaries of the Study

19. A r e delimitations w e l l defined? (timeframe, location, s a m p l e ,
criterion, etc.)
20. Are the a u t h o r ' s a s s u m p t i o n s m a d e clear?
Significance of the Study: So What?

2 1 . Is there a n e x p l a n a t i o n o f h o w the s t u d y will b e useful to k n o w l
edge, practitioners, or p o l i c y m a k e r s ?
Definition of Terms: Terms Used in the Study
That Do Not Have Commonly Known Meanings
22. A r e the t e r m s u s e d in the s t u d y a d e q u a t e l y defined so that their

u s a g e is u n d e r s t o o d ?
Chapter 2
Review of the Literature
23. Is the review o f the literature c o m p r e h e n s i v e ? (i.e., D o e s it c o v e r
the major points o f the topic?)
Appendix Ε 213
2 4 . Is there a balanced coverage of all variables or concepts in the study?
2 5 . H a v e the majority o f references b e e n p u b l i s h e d w i t h i n the p a s t

five y e a r s ?
26. D o e s the b i b l i o g r a p h y c o n t a i n at least 4 0 to 6 0 references?
27. Is the r e v i e w w e l l o r g a n i z e d ? D o e s it flow logically?
28. Are authors w h o m a k e the s a m e point c o m b i n e d in the citation?
2 9 . D o e s the a u t h o r critically a n a l y z e the literature rather than

string t o g e t h e r a series o f citations?
30. Is there a s u m m a r y at the e n d o f e a c h m a j o r s e c t i o n as w e l l as at

the e n d o f the c h a p t e r ?
3 1 . Is there an organizing principle evident in the review? A story line?

(e.g., " F o u r schools of t h o u g h t . . . " " S i x t h e m e s that emerge . . . "
" A c o r n to o a k " )
32. D o the direct quotations detract from the readability o f the chapter?
3 3 . Is there an overabundance o f paraphrasing or direct quotations?
Chapter 3
Methodology
Kind of Research
34. Is the k i n d o f research a n d research d e s i g n d e s c r i b e d fully? (case
study, descriptive, e x p e r i m e n t a l , etc.)
3 5 . A r e the variables clearly d e s c r i b e d ?
36. Is the d e s i g n appropriate for testing the research q u e s t i o n s o f the

study?
37. Is the m e t h o d o l o g y r e p o r t e d in sufficient detail that y o u c o u l d

replicate the s t u d y w i t h o u t further information?
38. If c a s e s t u d y w a s the m e t h o d o l o g y u s e d , w e r e criteria for select

ing the c a s e s clearly stated?
Sample and Population

3 9 . W a s the entire p o p u l a t i o n s t u d i e d ? W a s a s a m p l e selected?
40. Was the kind o f sampling used described adequately? (simple ran
d o m , stratified random, cluster sampling, purposive sampling, etc.)
4 1 . W a s the s a m p l e size large e n o u g h ?

42. A r e the size a n d major characteristics o f the s a m p l e described

adequately?
4 3 . A r e the p r o c e d u r e s for selecting a s a m p l e clearly d e s c r i b e d ?
44. A r e criteria for selecting the s a m p l e stated?
Instrumentation
45. Is a rationale g i v e n for the selection o f the instruments u s e d ?
46. Is e a c h i n s t r u m e n t described in t e r m s o f p u r p o s e a n d content?
47. A r e the instruments appropriate for m e a s u r i n g the variables?
4 8 . If an instrument w a s developed specifically for the study, are the

procedures involved in its development and validation described?
49. If an i n s t r u m e n t w a s d e v e l o p e d specifically for the study, are the

administration, scoring, a n d interpretation p r o c e d u r e s fully
described?
50. Is instrument validity discussed? Validity = the degree to w h i c h the

instrument consistently measures w h a t it purports to measure.
5 1 . Are reliability procedures discussed? Reliability = the degree to

which the instrument consistently measures something from one
time to another. If measured again, would y o u find the s a m e results?
52. If i n t e r v i e w s w e r e u s e d to collect data, w e r e procedures

described for detecting i n t e r v i e w e r b i a s ?
53. Were interobserver or interrater reliability assessed? W a s satis

factory interrater reliability found?
Data Collection and Procedures

54. A r e p r o c e d u r e s for collecting data d e s c r i b e d in sufficient detail
to p e r m i t t h e m to b e replicated b y another researcher?
55. Was a pilot s t u d y c o n d u c t e d ?
56. If a pilot s t u d y w a s c o n d u c t e d , are its e x e c u t i o n a n d results

described?
57. A r e the following data collection p r o c e d u r e s d e s c r i b e d ?

ο S t a t e m e n t o f h o w a n d w h e n data w e r e collected?
ο Follow-up procedures?
ο Timeline?
ο C o m p u t e r support?
58. If the study w a s qualitative, w e r e internal validity strategies

described? ( ^ a n g u l a t i o n , m e m b e r checks, peer examination, etc.)
Appendix Ε 215
Data Analysis
5 9 . W e r e the statistics a p p r o p r i a t e for the s t u d y ?
60. A r e the a p p r o p r i a t e statistics reported for e a c h test?

6 1 . F o r statistical tests, are e n o u g h statistics ( m e a n , standard devia
tion, etc.) p r e s e n t e d ?
62. In a qualitative study, are the t h e m e s a n d patterns appropriately

labeled?
Limitations: Weaknesses of the Study

63. A r e the limitations o f the s t u d y clearly d e l i n e a t e d ?
64. A r e m e t h o d o l o g i c a l w e a k n e s s e s o f the s t u d y d i s c u s s e d ?
Chapter 4
Findings
65. A r e the findings p r e s e n t e d clearly?
66. A r e the findings p r e s e n t e d in relation to the research q u e s t i o n s ?
67. A r e tables, figures, a n d s o on, if u s e d , w e l l o r g a n i z e d a n d e a s y

to u n d e r s t a n d ?
68. D o e s e a c h t a b l e , i f u s e d , s t a n d o n its o w n , c l e a r a n d self-

explanatory?
69. A r e the notable data in e a c h table a n d figure described in the text?
70. Is this section free o f interpretation? (Note: I n historical, case

study, or e t h n o g r a p h i c studies, factual a n d interpretive material
is s o m e t i m e s i n t e r w o v e n to sustain interest.)
7 1 . W i t h i n the t h e m e s a n d patterns o f a qualitative study, is there a

b a l a n c e o f direct q u o t a t i o n s a n d description to e n h a n c e the
m e a n i n g o f the t h e m e s a n d p a t t e r n s ?
72. Is there a s u m m a r y o f the k e y findings?
Chapter 5
Summary, Conclusions, and Recommendations
Summary
73. Is there a brief s u m m a r y o f the p r o b l e m , the m e t h o d o l o g y , a n d
the findings?
Conclusions: What Does It Mean?

74. A r e c o n c l u s i o n s clearly stated?
75. A r e c o n c l u s i o n s d e r i v e d from the findings?
76. A r e c o n c l u s i o n s m e r e restatements of the findings?
77. A r e c o n c l u s i o n s discussed w i t h i n the f r a m e w o r k o f p r e v i o u s

studies, theory, a n d the literature b a s e ?
78. Are generalizations m a d e that are not warranted b y the findings?
79. A r e generalizations confined to the p o p u l a t i o n from w h i c h the

sample was drawn?
Recommendations: What Should Be Done?

80. A r e r e c o m m e n d a t i o n s for action stated? (e.g., practical s u g g e s
tions for practitioners, theory, or policy m a k e r s )
8 1 . A r e suggestions for action m a d e that are n o t justified b y the

data?
82. A r e r e c o m m e n d a t i o n s for future research m a d e ?

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Helpful Websites
Dissertation Doctor: www.dissertationdoctor.com

A s s o c i a t i o n for S u p p o r t o f G r a d u a t e S t u d e n t s ( A S G S ) : www.asgs.org
T h e following services are offered:
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w r i t i n g their theses or dissertations.
• Professional Consultant Directory. A listing o f format editors, statis
tical consultants, typists, a n d s o on.
T h e E l e m e n t s o f Style b y W i l l i a m Strunk: h t t p : / / b a r t e l b y . c o m / 1 4 1
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wcweb/handouts/dissertation.html
221
Index
Abascal, J. R., 3
Beile, P., 85
ABDs (all-but-dissertation), xii, xiii, 6, 7 , 1 4 , 51, 68

Best, S., 81
Abstracts, 23
Bias:
Academic honesty, 43
bias-free writing, 40-41
Academic writing. See Scholarly writing style

research ethics and, 38, 40, 41
Acknowledgment page, 24
Bibliographies, 2 5 - 2 6
Adventurous outlook, 16-17

Birch, J. W., 5 8 , 1 3 8
Advisors, 27, 2 9 , 5 3
Blogs, 78, 79-80
appointment of advisors, 60
Bogart, L., 2 0 9 , 2 1 0
approaching potential advisors, 59-60

Bolker, J., 120,197
care/maintenance guidelines and, 56-59

Boolean operators, 90-91
regular contact with, 58, 59

Boote, D., 85
selection criteria for, 54-55

Booth, W. C , 3 9 , 4 0 , 1 1 9
submission of work and, 5 6 , 1 1 2

Borg, W. R., 99
turning students down, 60

Boullion, Β. M., 149
See also Committee members; Dissertation team;

Brucato, D., 3
Oral defense; Proposal meeting Brucato, L., 3
Airasian, P., 145,149 Butt, M., 161
American Anthropological Association Code of

Ethics, 32
Case studies, 2 2 , 1 4 3
American Educational Research Association Ethical

Clark, R., 145
Standards, 32
Codes of ethics, 3 1 - 3 2
American Psychological Association (APA), 32

Coding practices, 1 5 9 - 1 6 1 , 1 7 4
American Sociological Association Code of Ethics, 32

Coercion, 33
Anonymity, 35
Colomb, G. G., 3 9 , 4 0 , 1 1 9
Anxieties, 15-16
Commitment, 1 3 - 1 4 , 1 1 2 , 1 9 9
Appendixes, 26
Committee approval page, 23
Applied degrees, 1 8 , 1 9
Committee members, 2 7 , 2 9
Archival research, 3 4 , 1 6 1 , 1 7 3
care/maintenance guidelines and, 56-59
Ask.com, 78
feedback from, 57, 58
Association for Support of Graduate Students

positive engagement and, 58
(ASGS), 64, 222

recommendations for revisions and, 57
Attitude, 3-4, 7 , 1 5 , 1 6 - 1 7 , 1 9 9
regular contact with, 58-59
Audit trail, 38
responsibilities of, 55
Author-subtopic matrix, 98
selection of, 55-56
Azuma, R., 187

student initiative and, 58
time constraints of, 5 7 - 5 8
Babbie, E., 147

See also Advisors; Dissertation team; Oral
Balance in life, 72-73

defense; Proposal meeting
family support, increase in, 73

Computer use tips, 82-84
physical health and, 73, 84

See also Internet resources; Literature review;
post-dissertation adjustment, 193

Technology
See also Organization/planning

Concept mapping software, 102
222
Index 223
Conceptual/theoretical framework, 129

source-of-data chart, 201-202
conceptual vs. theoretical framework and, 130

time demands of, 158
definition of, 129

See also Research ethics
discovery/selection of, 130

Daumel, R., 194
examples of, 1 3 1 - 1 3 4 , 1 3 3 (figure)

Deception, 38
rationale for, 130

Dedication page, 24
See also Introduction chapter

Deep Web searches, 78
Conclusions chapter, 2 5 , 1 7 7
Deliminations of studies, 138-139, 212
checklist for, 215-216

Denzin, Ν. K., 146
concluding remarks, 181-182

Descriptive studies, 134
conclusions/final summation, 180

Differences studies, 134-135
findings, reflection on, 177-178

Digital tablet, 80
findings/literature, relatedness of, 179

Dillman, D., 81
implications for action and, 181

Direct quotations, 99, 108, 113, 119-120, 127
informed authority/commentator roles and, 178

Dissertation Doctor, 222
introductory paragraph for, 178-179

Dissertation Express, 98
organization of, 178-180

Dissertation team, 53
qualifiers and, 180

advisors, 53-55, 59-60
recommendations for future research and, 177,181

care/maintenance guidelines for, 56-59
summary of the study, 179

committee members, 5 5 - 5 6
surprises/unanticipated outcomes section, 179

specialized consultants, 6 0 - 6 2
Conferencing software, 81
technical assistance and, 61
Confidentiality, 32, 33, 34-35

word processing professionals and, 61
Connotea software, 97
writing assistance and, 61
Consultants. See Specialized consultants

See also Advisors; Committee members; Oral
Contingency enforcement, 65
defense; Proposal meeting; Support
Controlled vocabulary, 89
groups
Copyright infringement, 43
Dissertation timelines, 66, 69, 200
Copyright page, 23
Dissertation.com, 196-197
Copyright protections, 42—43

Do-it-now habit, 8, 199
Corbin, J., 143, 145, 146

Doctoral degrees, 2 , 1 4
Costa, A. L., 106

dissertations, submission of, 28-29
Council of Graduate Schools, 18

doctoral candidates, responsibilities of, 29
Couper, M., 81
research-oriented vs. applied degrees, 18-19
Courage, 15-16
See also Post-graduation activities
Cox, J., 1 4 7 , 1 7 5 , 1 7 6
Doldrums, 10-11
Cox, K., 147

Dragon Naturally Speaking 9 Preferred, 81
Creswell, J. W., 37, 86, 9 6 , 1 0 2 , 1 2 4 , 1 2 8 , 1 3 4 , 136,

Duke University Research Guide, 120
138,144,148
CUE method of paragraph development, 116

Editorial assistance, 28
Emotions:
Danziger, E., 120

completion-of-dissertation letdown, 193
Data analysis/interpretation,
dissertation journey and, 10
38, 8 2 , 1 5 8 - 1 6 2 , 215
EndNote software, 97
See also Conclusions chapter; Results chapter

Endnotes, 26
Data collection, 157-158

Equity issues, 32
access to research sites and, 36-37

Ergonomie issues, 84
aggregated data and, 35

Essentials. See Ten Essentials list
anonymity and, 35
Ethics. See Codes of ethics; Human subjects
checklist for, 214

review committee; Research ethics
confidentiality and, 34-35

Excuses for inaction, 7-8
ethical issues in, 36-38

External audits, 38
gatekeepers and, 37
Internet resources for, 8 1 - 8 2

Fabrication, 38
participant letter sample, 203-204

Fair use doctrine, 43
pretest/posttest data comparisons, 35

Fairness, 31
publicly observable data, 34

Falsification, 38
questionnaire sample, 205-209

Family support, 73
recording of data, 3 7 - 3 8
Fears, 15-16
secondary analysis of data, 34

Figures, 24, 175
Findings. See Conclusions chapter; Post

copyright protections, 42
graduation activities; Results chapter

data analysis and, 82
Fink, Α., 89
data collection function and, 81-82
Firewall software, 84
Deep Web searches, 78
First drafts, 7 , 1 2 , 1 1 2
dissertation process and, 7 6 - 8 2 , 2 2 2
Fitzpatrick, J., 71
dissertation purchase site, 98
Flores, T., 14
dissertation support group strategies, 64
Fowler, F. J., 147

dissertation topic sources, 48
ethical writing guide, 43
Gall, M. D., 99
Google Blog Search, 80
Galvan, J., 99, 100

Google Scholar, 78
Gantt charts, 69, 200

online help and, 78, 91
Garmston, R., 106

online survey research and, 81
Gatekeeper role, 37
professional consultants, 61-62
Gay, L. R., 1 4 5 , 1 4 8 , 1 4 9
published dissertations, 196-197
Geery, L„ 132,133
qualitative research and, 146-147
Generalizability, 3 9 , 1 6 2
quantitative research and, 147
Genesys software, 81
research ethics, 3 2 , 4 3
Glatthorn, Α. Α., 1 7 3 , 1 9 5
scholarly writing resources, 120-121
Gonzales, L., 125

search engines, 78, 8 0 , 8 4
Google Blog Search, 80

social networking tools and, 79-80
Google Scholar, 78
specialty search engines, 78
Google searches, 78
virtual libraries, 78
Graduation, 1 9 2 , 1 9 8
Web 2.0 and, 79
See also Doctoral degrees; Post-graduation

Website evaluation and, 79
activities
See also Library resources; Literature review;
Grandma's rule, 9-10

Technology
Graphic displays, 2 4 , 1 7 3 - 1 7 4 , 1 7 5 , 210

Interrater reliability, 152,161
Gravetter, F. J., 147

Introduction chapter, 2 4 - 2 5 , 1 2 3
Griessman, Β. E., 70, 71

assumptions of the study, 139
background to the study, 125-126
Hacker, D., 120

Handbook of Accreditation of the Western Association

conceptual/theoretical framework and, 1 2 9
of Schools and Colleges, 19

134,133 (figure)
Hart, C , 85
delimitations section, 1 3 8 - 1 3 9 , 2 1 2
Hibbs, S., 7
existing research, study fit and, 126-127
High achievement, 14
funnel-shaped form and, 1 2 3 , 1 2 4 - 1 2 5 (figures)
Huberman, A. M., 3 8 , 1 2 9 , 1 4 6 , 1 7 4 , 1 7 6
line of logic and, 125
Human research subjects, 29, 3 2 - 3 3

literature sources and, 126-127
confidentiality and, 34-35

narrative hooks for, 128
informed consent and, 3 3 - 3 4

organization of the study, 140

problem domain and, 1 2 6 , 1 2 6 (figure)
Human subjects review committee, 29

problem statement, 1 2 4 - 1 2 8 , 1 2 4 - 1 2 6 (figures),
Hyerle, D., 106

211-212
Hypotheses, 136-137
purpose statement, 1 3 4 - 1 3 6 , 2 1 2
research questions/hypotheses, 1 3 6 - 1 3 7 , 2 1 2
Idea clustering strategy, 12

significance of the study, 1 3 7 - 1 3 8 , 2 1 2
Illustrations, 24
terminology, definition of, 1 3 9 - 1 4 0 , 2 1 2
Implications for practice, 2 5 , 1 8 1 , 1 9 7 - 1 9 8

Isaac, S., 1 4 9 , 1 7 6
Individual rights, 31
Informed consent, 32, 3 3 - 3 4

James, W., 7, 8
Inspiration software, 102

Johnston, B., 159
Institutional review boards (IRBs), 3 2 - 3 3

Justice, 31
expedited reviews and, 32-33, 34
full review and, 32

Kinley, Κ. E., 162
minimal risk standard and, 33, 34

Klausmeier, H., 197

Krueger, B., 81
Instructional technology centers, 82
Instrumentation, 1 5 1 - 1 5 7 , 1 6 4 , 2 1 4
Library resources:
Internet resources, 76
electronic search capability, 82
blogs, 78, 79-80

interlibrary loan services, 88
codes of ethics, 32
literature review process and, 88
Index 225
virtual libraries, 78
MacSpeech Dictate, 81
See also Internet resources; Technology

Madsen, D., 43, 49
Lightfoot, S. L., 146

Marsh, C , 147
Limitations of studies, 162-163, 215

Martin, R., 4 6 , 1 2 5 , 1 2 6
Lincoln, Y. S., 146

Maslow, A. H., 3
Literature maps, 102

Mauch, J., 5 8 , 1 3 8
Literature review chapter, 25, 8 5 - 8 6

McNalley, D., 4
advice/recommendations for writing, 107-109

Meditation, 15
author-subtopic matrix, 98
Melendrez, D., 201
Boolean operators and, 90-91

Member checking, 3 8 , 1 6 1 , 214
checklist for, 109-110, 212-213

Mentoring, 11, 6 0 , 1 9 4
chronological organization of, 103

Merriam, S. B., 1 2 9 , 1 3 0 , 1 4 6 , 1 7 4 , 1 7 6
classification of materials, 96
Methodology selection/description chapter, 25,141
concept mapping software and, 102

checklists for, 163-165, 213-215
direct quotations and, 99, 108

data analysis section, 1 5 8 - 1 6 2 , 1 6 5 , 215
frontier of research and, 86

data collection procedures section, 157-158,
general-to-specific organizational approach to, 103

164-165, 205-209, 214
Internet-based search, quality of results and, 96

description of methodology, 148
literature maps, construction of, 102

field testing instruments, 154-157
noting/summarizing references, 98-99

instrument development and, 1 5 2 - 1 5 4 , 1 5 5
online help and, 91

instrument items-research question alignment
organization strategies, 9 6 - 9 8 , 9 7 (figure)

and, 152-153
organizational framework, selection of, 103

instrumentation section, 151-157,164, 214
phases of, 86
interrater reliability and, 152
plagiarism and, 9 9 , 1 0 8
introduction of methodology, 148
preliminary working title and, 89

limitations of studies and, 162-163, 215
preparation for, 88
logical positivism and, 142
primary sources, 9 6 , 1 0 8 - 1 0 9
mixed methods research,
process of, 88-106

1 4 4 - 1 4 6 , 1 4 5 (figure)
purchasing dissertations, 98
participant letter sample, 203-204
purpose of, 8 6 - 8 7
phenomenology and, 143
question formulation, 89
population/sample section, 1 4 9 - 1 5 0 , 1 6 3 - 1 6 4 ,
reference management software and, 97

213-214
scope of, 8 7 - 8 8
qualitative research, 1 4 2 , 1 4 3 - 1 4 4 , 1 4 4 (figure),
search strategy, planning of, 92

146-147
secondary sources and, 96

quantitative research, 142-143,
shotgun approach to, 100

1 4 4 , 1 4 4 (figure), 147
style manuals and, 105

reliability/validity issues, 151
summary tables and, 9 9 - 1 0 0 , 1 0 6

research design section, 149,163, 213
synthesis matrix and, 1 0 1 - 1 0 2 , 1 0 1 - 1 0 2 (figure)

resources for, 146-148
synthesis writing techniques, 9 9 - 1 0 2

sampling procedures and, 150-151
terminology, subject dictionaries/encyclopedias

selection of methodology, 141-142
and, 89
Michael, W. B., 1 4 9 , 1 7 6
thematic organization of, 103

Microsoft Word 2007/citation style format, 97
topic outline and, 103-104

Miles, Μ. B., 3 8 , 1 2 9 , 1 4 6 , 1 7 4 , 1 7 6
tracking system for research, 90

Miller, J. I., 43
truncation symbols, 91
Mills, G., 148
two-dimensional matrix and,

Minimal risk standard, 33, 34
97-98, 97 (figure)
Mixed methods research, 1 4 4 - 1 4 6 , 1 4 5 (figure)
writer's voice, prominence of, 102

Model-building studies, 22
writing techniques for, 106-109

Money, Α., 38
See also Literature searches

Motivation:
Literature searches, 77, 85

dissertation journey and, 2 - 4 , 8 , 1 0
online help and, 78

Premack principle/grandma's rule and, 9-10
search engines and, 78

Munter, Μ., 1 1 4 , 1 1 5 , 1 1 7
social networking tools and, 7 9 - 8 0

Murray, D. M., 116
Website evaluation and, 79
wikis and, 80
Narrative hooks, 128
See also Internet resources;

Naturalistic inquiry, 143
Literature review
Negative mental attitude, 3 , 1 5
Logic, 125
Neuman, W. L., 148
Logical positivism, 142

Nevills, P., 97
Newton, R. R., 33, 34, 4 1 , 1 0 3 , 1 8 0

Pilot test, 28, 214
Newton's law of inertia, 6-9

Plagiarism, 3 9 ^ 0 , 4 3 , 9 9 , 1 0 8
Nietzsche, R, 13
Planning. See Oral defense;
Organization/planning; Results chapter
0 Dochartaigh, N„ 79
Piano Clark, V. L., 148
O'Conner, R, 120
Populations, 1 4 9 - 1 5 0 , 1 6 3 - 1 6 4 , 2 1 3 - 2 1 4
Ogden, E., 4 9 , 1 2 7 , 1 3 8
Positive mental attitude, 1 5 , 1 9 9
Oliver, P., 38
Post-graduation activities, 192
Online College Blog, 78

accomplishment, appreciation of, 193-194
Online Writing Lab (OWL), 120

depression/malaise and, 193
Oral defense, 28, 55, 6 5 , 1 8 4 - 1 8 5

dissemination of findings, 194-198
completion of dissertation process, emotional letdown and, 193
protocol for, 191

implications for practice, product development
devil's advocate role and, 187

and,197-198
during-defense strategies, 189-190

mentoring process and, 194
error checks and, 188

normal life activities, resumption of, 192-193
major revisions and, 1 8 6 , 1 9 0 - 1 9 1 , 1 9 5

poster sessions, 196
minor revisions and, 186,190

presentation of research findings, 195-196
mock defense exercises and, 188,189

published dissertations, 1 9 5 , 1 9 6 - 1 9 7
non-mediated presentation, 186

Poster sessions, 196
note-taking and, 190

Premack principle, 9 - 1 0
opinions, expression of, 189

Presentation of findings. See Oral defense; Post
outcomes of, 186-187

graduation activities
overview of study, elements of, 185-186

Privacy rights, 32, 34-35
post-defense activities, 190-191

Problem statement, 2 4 - 2 5 , 1 2 4
pre-defense preparations, 187-189

background to study and, 125-126
questions, preparation for, 188

revision process and, 1 8 7 , 1 9 0 - 1 9 1 , 1 9 5

common errors with, 127-128
scenario for, 185-187

existing research, study fit and, 126-127
think time in, 189,190

funnel-shaped form of, 1 2 4 , 1 2 4 - 1 2 5 (figure)
See also Post-graduation activities

line of logic and, 125
Organization/planning, 67
literature sources and, 126-127
balance in life and, 72-73

narrative hooks and, 128
dissertation timelines, 66, 69, 200

need to know and, 127
family support and, 73

purposes of, 125
literature reviews and,

whole-problem domain and, 126,126 (figure)
9 6 - 9 8 , 9 7 (figure)
physical health/exercise and, 73

ProCite software, 97
scheduling time, 68, 69

Procrastination, 6 , 1 9 9
smart work habits and, 70-72

fear, dissertation writing process and, 16
time management strategies, 66, 68-70

inertia, Newton's law of, 6-9
to-do lists and, 69-70

Parkinson's Law and, 9 - 1 0
workspace, 67-68
Product development, 197-198
See also Literature review chapter

Proposal meetings, 166
Outliers, 39
candidate preparation for, 167
conclusion of, 169
Palm OS, 80
during-meeting activities, 167-169
Paraphrasing, 4 0 , 1 1 9
expectations/procedures, agreement on, 168
Parkinson's Law, 9 - 1 0
final draft, distribution of, 167
See also Procrastination

post-meeting activities, 169
Participant letter sample, 203-204

pre-meeting activities, 166-167
Pascarelli, E., 84
purpose/procedures of, 167
Patton, M. Q., 1 4 4 , 1 4 6 , 1 7 6
scheduling meetings, 166-167
Peak experience, 3
Proposals for dissertations, 27-28
Peer debriefing, 38
Proquest Dissertation Express, 98
Perfectionism, 12
Prospectus for dissertation, 27
Perseverance, 1 4 , 1 1 2 , 1 9 9
Protection from harm, 29, 32
Personal digital assistants (PDAs), 80

Public domain status, 43
Peter, Α., 148

Published dissertations, 1 9 5 , 1 9 6 - 1 9 7
Phenomenology, 143
Purpose statement, 134
Physical exercise, 11, 73, 84

checklist for, 212
Physical health, 73, 84

descriptive studies and, 1 3 4 , 1 3 5
Index 227
differences studies and, 134-135

Research design, 1 4 9 , 1 6 3 , 2 1 3
relationships studies and, 1 3 4 , 1 3 5

Research ethics, 3 1 - 3 2
specialized research designs and, 135-136

access to research sites, 36-37

alternative statistical techniques and, 39
anonymity and, 35
Qualifiers, 115,180
archival research and, 34
Qualitative methodology, 2 1 - 2 2 , 1 4 2 , 1 4 3 - 1 4 4 , 1 4 4
bias and, 3 8 , 4 0 , 41
(figure)
codes of ethics, 32
access to research sites and, 36-37

confidentiality and, 3 4 - 3 5
action research, 143

copyright protections, 4 2 - 4 3
analysis software, 160-161

data analysis/interpretation and, 38
case study research, 143

data collection issues and, 3 4 - 3 5 , 3 6 - 3 8
coding text and, 159-161, 174

fabrication and, 38
conceptual frameworks, 134

fair use doctrine and, 43
data analysis and, 3 8 , 1 5 9 - 1 6 1 , 1 7 4

falsification and, 38
essential character/nature, examination of, 143

gatekeeper role and, 37
ethnography, 143
generalizability and, 39
grounded theory and, 143

human research subjects and, 3 2 , 3 3 - 3 5
hermeneutics and, 143

human subjects review committee and, 29
historical research, 143

informed consent and, 3 3 - 3 4
holistic approach of, 143

institutional review boards, 32-33
in-depth interviews and, 143

methodological principles/procedures, research
narrative analysis and, 143

design and, 35
phenomenology and, 143

minimum risk standard and, 33, 34
purpose statements and, 135-136

misrepresentation of work and, 38
qualitative d a t a / d a t a analysis, 174

outliers and, 39
rationale for, 143

paraphrasing and, 40
research questions and, 137

plagiarism and, 3 9 - 4 0

publicly observable data and, 34
theme/pattern analysis and, 172-173

recording of data and, 3 7 - 3 8
Quantitative methodology, 2 1 , 1 4 2 - 1 4 3 ,
resources for, 4 3 - 4 4
144, 144 (figure)

results reporting and, 39
computer printout data and, 172

secondary analysis of data and, 34
conceptual framework examples,

validation strategies and, 38
1 3 1 - 1 3 4 , 1 3 3 (figure)
voluntary participation in
correlational research, 143

research, 33
data analysis and, 158-159

writing process, bias issues and, 40-41
descriptive research, 142

See also Student research
ex post facto/causal comparative research, 143

Research questions, 8 9 , 1 3 6 - 1 3 7 , 212
experimental research, 142

Research-oriented degrees, 1 8 , 1 9
literature review section, 86

Results chapter, 2 5 , 1 7 1
logical positivism and, 142

checklist for, 215
quasi-experimental research, 143

concluding paragraph, 175
research hypotheses and, 136-137

introductory paragraph writing, 173
resources for, 147

narrative description/graphic displays and,
Questionnaire sample, 205-209

173-174
Quitting, 14
planning for writing, 174
presentation of findings, 1 7 4 - 1 7 6 , 1 7 6
Quotations, 9 9 , 1 0 8 , 1 1 3 , 1 1 9 - 1 2 0 , 1 2 7 qualitative study, theme/pattern analysis and,
172-173
Rallis, S. F., 3 1 , 1 4 6
quantitative study, computer printout
Recommendations for future research,

data and, 172
2 5 , 1 7 7 , 1 8 1 , 216
resources for, 176
Reference management software, 97

tables/figures, design guidelines for, 175, 210
Reference section, 25
understanding data and, 172-173
RefWorks database, 97
Results reporting, 3 9 , 4 0 - 4 1
Relationships studies, 1 3 4 , 1 3 5
Resumes, 23
Relaxation response, 15
Reviews. See Literature review chapter
Reliability, 151,152
Rewards:
Remenyi, D., 31, 38

procrastination and, 9
Replication studies, 5 1 - 5 2
successful effort and, 72
Report writing, 39, 40-41

Risk taking, 16-17, 33
See also Scholarly writing style
Roig, M , 39
word processing professional, 61
Rossman, G. B., 3 1 , 1 4 6
writing assistance, 61
Rudestam, Κ. E., 33, 3 4 , 4 1 , 1 0 3 , 1 8 0

See also Support groups
Speech recognition software, 80-81
Saba Centra software, 81

Spindle, B., 132
Sampling, 149-151, 213-214

Staindack, S., 142
Scanner technology, 80
Staindack, W., 142
Scholarly writing style, 28, 111

Stake, R. E., 36
active vs. passive voice and, 116-118

Stamina, 1 4 - 1 5
basic writing skills and, 112

Sternberg, D., 56, 73
citation style format, 97

Stone, W. C , 8
clear/logical/precise thinking and, 111-112

Strauss, Α., 1 4 3 , 1 4 5 , 1 4 6
common writing problems and, 113

Strausser, J., 118
CUE method of paragraph development and, 116

Stress busters, 15, 73
direct quotations, problems with, 113,119-120

Strong, W. S., 43
Internet resources for, 120-121

Strunk, W., 114,116, 222
organizational problems and, 113

Student research, xiii, 28
paragraph construction and, 113,116

audit trail and, 38
paragraph development problems and, 113

copyright protections and, 42^13
paraphrasing and, 119

data analysis/interpretation and, 38
passive voice usage and, 117-118

data collection and, 34-35, 36-38
prepositions, overuse of, 114-115

external auditing and, 38
qualifiers and, 115,180

generalizability and, 39
qualities of, 111-112

human research subjects and, 32, 33-35

institutional review boards and, 32-33
sentence construction problems and, 113

member checking and, 38
short vs. long sentences and, 115

outliers and, 39
tips for good writing, 114-120

peer debriefing and, 38
transitional words/phrases and, 118

plagiarism and, 39^10
trimming excess words, 114-115

replication studies, 5 1 - 5 2
verb list and, 120

results reporting, 3 9 , 4 0 - 4 1
vocabulary, simplification of, 118-119

triangulation and, 38
Schuller, R. H., 3
validation strategies and, 38
Schultz, B„ 3 6 , 1 5 4 , 1 5 5 , 1 6 3
See also Internet resources; Literature review
Search engines, 78, 80

chapter; Research ethics; Technology
SearchEngineGuide.com, 78
Style manuals, 105
Searches. See Internet resources; Literature

Sue, V, 81
searches; Search engines

Summaries. See Conclusions chapter; Results
Secondary analysis of data, 34

chapter; Summary tables;
Secrist, J., 71
Synthesis writing
Self-discipline, 9
Summary tables, 9 9 - 1 0 0 , 1 0 6
Self-doubt, 16
Support groups, 10-11, 63
Self-motivation, 2-4, 8
conferencing software and, 81
Shulman, M., 120

contingency enforcement and, 65
Sieber, J., 34, 35, 37

critical decisions about, 64
Significance of study, 137-138,212

dissertation buddies, 66
Smart work habits, 70

family support, increase in, 73
biorhythms, harnessing of, 71

friendships among, 65
joy breaks, scheduling of, 72

strategies/structures of, 64-66
productive time, maximization of, 71

timeline monitoring and, 65, 66
rewarding effort, 72
virtual support groups, 66
saying no, 71
See also Dissertation team
timewasters, avoidance of, 72

Support services. See Specialized
See also Organization/planning; Time

consultants
management
Swartz, E., 38
Social networking tools, 79-80

Synthesis matrix, 1 0 1 - 1 0 2 , 1 0 1 - 1 0 2 (figure)
Sotero software, 97
Synthesis writing, 99-101
Specialty search engines, 78

concept mapping software and, 102
Specialized consultants, 60
literature map, construction of, 102
sources for, 6 1 - 6 2
literature synthesis, techniques for, 101-102
technical assistance, 61
style manuals and, 105
Index 229
synthesis matrix, 101-102,101-102 (figure)

Trustworthiness, 161
writer's voice, prominence of, 102

Tufte, E. R., 147
See also Literature review chapter

Turabian, K. L., 108
Table of contents, 2 3 - 2 4
U.S. Copyright Office, 23
Tables, 2 4 , 1 7 3 - 1 7 4 , 1 7 5 , 210
Utilitarianism principle, 31
Tashakkori, Α., 148
Taylor, B. J., 43
Validation strategies, 3 8 , 1 6 1 - 1 6 2 , 214
Teaching Library (University of

Validity, 1 5 1 , 1 5 2 , 1 6 1 - 1 6 2
California/Berkeley), 78, 79
Venolia, J., 120
Technical consultants, 61
Virtual libraries, 78
Technology, 76
Virtual support groups, 66
computer use, tips for, 82-84

Virus protection programs, 83
concept mapping software, 102

Visualization techniques, 15
conferencing software, 81
Vitas, 23
data analysis software, 160-161

Vocabulary, 8 9 , 1 1 8 - 1 1 9 , 1 2 0
digital tablet, 80
dissertation process and, 76-77

Waitley, D., 8
firewall software, 84
Walkington, Β. Α., 1 5 5 , 1 6 2
instructional technology
Wallnau, L. Β., 147
centers and, 82
Web 2.0, 79
library electronic search capability, 82

Websites. See Internet resources
personal digital assistants, 80
Western Association of Schools
reference management software, 97
and Colleges, 19
scanners, 80
White, Ε. B., 114,116
speech recognition software, 80-81

Wikis, 80
virtual support groups, 66

Williams, B., 38
virus protection programs, 83

Williams, J. M., 39, 4 0 , 1 1 9
See also Internet resources

Windows Powered Pocket PC, 80
Teddlie, C , 148
Windows Speech Recognition, 81
Ten Essentials list, 13

Word processing professionals, 61
Terminology:
Work-life balance. See Balance in life
definition of, 139-140, 212

Workspace organization, 67-68
resources for, 89
World Wide Web. See
Tesch, R., 159

Internet resources
Theoretical framework. See
Worry, 15-16
Conceptual/theoretical framework
Wright, D. J., 71
Thesauri, 89
Wright, Κ. B., 81
Time management, 68-69
Writer's block, 11-12
committee member time constraints

The Writing Center (University of North
and,57-58
Carolina), 120, 222
data collection and, 158
Writing consultants, 61
dissertation timelines, 66, 69, 200
Writing process. See Scholarly writing style; Style
making time, 68
manuals; Synthesis writing; Writing
scheduling, 68-69
techniques
timeline monitoring
Writing techniques:
function, 65, 66
advice on writing process, 107-109
To-Do lists and, 69-70

literature review and, 106-109
See also Organization/planning;

relatedness, emphasis on, 107
Smart work habits

section-end summaries, 107
Timeline monitoring, 65, 66

summary tables and, 106
Title page, 22-23

transition phrases, 107
To-do lists, 69-70

See also Scholarly writing style
Topic outline, 103-104

W W W Virtual Library for Anthropology, 78
Topic selection, 26, 46
approaches to, 4 6 - 4 7
Yahoo! Search, 78
criteria for, 49-51

Yearbook of the National Society for the Study of
originality/significance and, 49
Education (NSSE), 49
replication studies and, 5 1 - 5 2
sources for topics, 47-49, 50

Zinsser, W., I l l , 119
Triangulation, 38, 161, 214

Zotero, 97
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SECOND

Planning, Writing, and Defending Your Dissertation

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Library of Congress Cataloging-in-Publication Data

This book is printed on acid-free paper.

Acquisitions Editor: Dan Alpert

Ethical Issues in R e p o r t i n g R e s e a r c h Findings 39

Methodology Chapter 163

13. H o l d i n g the P r o p o s a l M e e t i n g 166

15. S u m m a r i z i n g a n d D i s c u s s i n g the R e s u l t s 177

VIEW FROM THE TOP AND BEYOND 183

16. T h e Oral Defense: D - D a y 184

Helpful Websites 221

W h e n I c o m p l e t e d reading The Dissertation Journey b y Carol R o b e r t s ,

g r a d u a t e d . S h e n o t o n l y e n c o u r a g e s t h e m to share their research find­

from four to eight a n d a d d e d c o n s i d e r a b l y m o r e detail to the

process. A n u p d a t e d list o f s e c o n d a r y sources a n d style m a n u a l s

w i d e l y u s e d in the social sciences is i n c o r p o r a t e d .

T oday, colleges a n d universities offer m a s t e r ' s a n d doctoral degrees

F o r the p a s t 2 2 y e a r s , I h a v e h a d the o p p o r t u n i t y to teach doctoral

G reetings! Y o u are e m b a r k i n g o n a n e w a n d exciting j o u r n e y —

advisor and friend about the entire

research a n d p r o v i d e d m a n y helpful c o m m e n t s a n d s u g g e s t i o n s that are

The contributions of the following

Sharon Toomey Clark M a r g a r e t A . (Peggie) Price

C a r o l M . R o b e r t s is a professor in the University

Footprints o n the sands o f time.

—Henry Wadsworth Longfellow

Why Take This Journey?

sacrifice worthwhile. endeavor with a sense of excitement

Approaching the dissertation journey with a spirit of adventure, opti-

Do You Have What It Takes

1. What Are You Willing to Sacrifice?

momentary pleasures for your long-term goal? To burn some midnight

2. How Much Are You Willing to Endure?

It means often working outside your

Avoiding the Hazards of High-Altitude Climbing

Being aware of the hazards of dissertating helps you select suitable

You and the Law of Inertia

c h a n g e s in o u r life's attitudes a n d habits c o m e from within. A s W i l l i a m

/. Challenge Your Excuses

Through the years, I witnessed a variety of creative excuses

Excuse: I don't have time.

Excuse: I'm just not up to it today.

Excuse: I've got a lot of errands to run.

2. Develop a Do It Now! Habit

This self-motivator w a s r e c o m m e n d e d b y W. C l e m e n t S t o n e (1962)

3. Divide and Conquer

M o u n t a i n s are o v e r w h e l m i n g and, in their entirety, intimidat-

4. Remove the Reward

If y o u really d o n ' t w a n t to w r i t e , p r o m i s e y o u r s e l f y o u ' l l w r i t e for

You and Parkinson's Law

low-frequency behavior. G r a n d m a k n e w this s i m p l y as, "Before y o u c a n

1. Reflect on Your Reasons

2. Establish a Support Committee

believe in y o u and h a v e y o u r best interests at heart—friends, mentors, and

1. Change the Mode of Putting Down Words

2. Get Some Physical Exercise

3. Make Two Lists

T h e s e c o n d list will b e m o r e i n f o r m a t i v e than the first in that it

4. Cluster Your Ideas

g r a d u a t e d . S h e n o t o n l y e n c o u r a g e s t h e m to share their research find

methodology, analysis o f the data, conclusions and r e c o m m e n d a

Dissertation Advisor. T h e dissertation a d v i s o r is the doctoral c a n d i

Research ethics is a very challenging subject which the research can

e q u i t y ) " (pp. 4 8 - 4 9 ) . F o l l o w i n g are s o m e e x a m p l e s o f professional ethi