Planning Dissertation Research

Introduction

Doctoral dissertation research affords the opportunity for students to conceptualize, design, conduct, and report independent, rigorous, and ethical research that contributes to the scholarship of education. The experience helps establish doctoral students as competent researchers and should equip them to collaborate with coleagues and to advise future doctoral students. All phases of this multifaceted process are advised by the student's Supervisory Committee Chair and informed by members of the Supervisory Committee. The USU Graduate School allows for both a monograph (i.e., traditional chaptered) dissertation or a multiple-paper format, but defers to the respective departments to establish guidelines for students reporting research to achieve a terminal degree from the selected program.The following table delineating the Dissertation Proposal can help to ensure camparability of rigor and expectation between monograph and multiple-paper proposals:

 These are minimal expectations, which depending on the research type could include additional chapters to more adequately report other aspects of the intended research.

USU Publication Guide for Graduate Students: Multiple-Paper Format

A multiple-paper thesis/dissertation must contain reports (a minimum of TWO) of research that have conceptual coherence. The thesis/dissertation must have:

• an inclusive abstract;
• an introductory chapter that sets the context for the thematic research; and
• a summary and conclusions chapter that integrates all of the studies.

The content of a thesis or dissertation must be approved by the student's supervisory committee. Publications or manuscripts of which the student is a coauthor may be included if the committee determines that the student made a substantial intellectual contribution to the work. Permission to include a publication or manuscript in a thesis or dissertation does not depend on the order of authorship. Any included publication or manuscript must be a logical component of the overarching theme or themes addressed by the entire thesis or dissertation, which, as a whole, must represent the student’s individual and original effort. The student is responsible for obtaining reprint permission from the copyright holder for any published works included as part of the thesis or dissertation.When preparing a thesis/dissertation composed of multiple papers, a student has the following options:

• including a separate abstract or summary for each paper (chapter), in addition to the always-required general thesis abstract; and
• including separate reference lists for each paper (chapter) rather than a single reference list for the entire thesis/dissertation.

When a student prepares a multiple-paper thesis/dissertation, reference citations in text and reference lists for each paper (chapter) are prepared according to the journal style for that paper (chapter). A style manual for the journal, a copy of the journal being used, or an off-print of an article from the journal (the article must include examples of all pertinent style components) must be submitted with the thesis/dissertation. If the paper (chapter) has been published, permission to reprint must be obtained from the journal holding the copyright. The signed permission letter is then included in an appendix.            While the Office of Research and Graduate Studies strongly encourages publication of research results, it reminds students that preparation of a thesis/dissertation and preparation of the manuscript for publication should be considered two separate operations. Certain mechanical stipulations for submitting manuscript copy will differ from those specified herein and may not be acceptable to the Office of Research and Graduate Studies.

TEAL Dissertation Expectations and Guidelines for a Multiple-Paper Dissertation

With consideration of what is required by the Graduate School, TEAL faculty have agreed on the following expectations of multiple-paper dissertations.

1. Consultation with the Chair and a meeting with all Committee members held before taking the Comprehensive Exam to discuss the student’s intention to use the multiple-paper format. This meeting should address any work that could be included as components in the final dissertation.
2. A substantive review of the relevant literature that grounds and informs the targeted research and contributes knowledge to the field. This review should be rigorous and worthy of a dissertation and is beyond the two research reports expected of the multiple-paper format.
3. An overarching theme addressed by the entire dissertation, which, as a whole, must represent the student’s substantive intellectual effort.
4. Committee involvement at the proposal stage that informs and approves the planned research, thus precluding works published prior to the dissertation proposal or Committee approval.
5. Rigorous research primarily conducted following successful completion of the TEAL Comprehensive Examination.
6. IRB approval of the planned research (as approved by the Committee following the proposal) and identified as the student’s dissertation.

The TEAL Graduate Faculty acknowledges the valuable role of the Supervisory Committee Chair and members and defers to the Committees to resolves issues related to types of papers to include and if or how to determine authorship. Because students using the multiple-paper format likely do so to expedite publication of their research, they should also consider reasonable outlets for publication as part of the planning process. However, publication is not a requirement of the multiple-paper dissertation.

USU Publication Guide

The Publication Guide is designed to assist graduate students in the preparation of theses and dissertations. The first decision that impacts the format and style of a thesis or dissertation is whether the document will be written in the monograph or multi-paper format. Monograph Format: This, the 'traditional' format, consists of a multi-chapter document that uses the same style throughout. Multiple-Paper Format: A thesis or dissertation using this format consists of at least two chapters, typically written as independent papers, preceded by an introductory chapter that sets the context for the research, and followed by a summary and conclusions chapter that integrates all of the studies. Style: The style defines the way that text is presented on the page (e.g., fonts, font sizes, margins, indents, line spacing, page numbering). For a document in the monograph format, the style should be consistent throughout the document. For a document in the multiple-paper format, the style may differ for chapters that are targeted for publication in different journals, however the style should be consistent within each chapter. Front Matter: The front matter consists of the title page, copyright notice, abstract, public abstract, table of contents, list of tables, and list of figures, and may also include a dedication, frontispiece, acknowledgments, preface or forward, and list of symbols, notations, and definitions. These pages must comply with the Publication Guide, whether the document is in the monograph or multiple-paper format.

Proposal and Dissertation Procedures

Proposal Review and Defense

A dissertation proposal must adequately delineate a rigorous research project. TEAL faculty have agreed that students should invest the time to prepare the first three chapters of the dissertation (i.e.,Introduction of the Problem, Review of Relevant Literature, and the Methods chapters or section) as the proposal. The proposal should include sufficient detail for Committee members to ascertain the level of the student’s understanding and the merit of the proposed research. Given these guidelines, each student should discuss proposal length and content with their Chair. While Institutional Review Board (IRB) approval cannot be sought until after the proposal defense, most Chairs want the proposal appendix to include any essential information that the IRB will request. Once a proposal has the tentative approval of the Chair, copies should be sent to all Committee members for review and a proposal defense date set. To allow adequate time for review, the proposal defense meeting date should be set no sooner than two weeks from the date the proposal is sent to all Committee members. Students should follow the formatting guidelines in the School of Graduate Studies Publication Guide, adjusting to reflect the differences between a dissertation proposal and the final drafts of a dissertation.

At the same time that a proposal is distributed to the Supervisory Committee, a copy of the proposal should be sent to the Graduate Program Coordinator so that the proposal can be submitted to Turnitin to verify that it is free of plagiarism. The Turnitin report will be shared with the Chair who will address any plagiarism issues or concerns with the respective student. Submit the Thesis/Dissertation Proposal Sign-Up Form to the Graduate Program Coordinator (GPC) at least two weeks prior to proposal.Forms to bring to the proposal defense:Proposal Cover Sheet (See the Word Template: Proposal Title Page)

After Proposal Approval

If the committee approves a proposal after a successful defense, each member will sign the proposal cover sheet. All doctoral students must apply to the IRB (https://research.usu.edu/irb/) for approval to conduct research. The final copy of the proposal (including any requested revisions) with a signed cover sheet must be submitted with other required forms and materials (e.g., letters of consent, interview protocols, copies of instruments) to the USU IRB. The IRB process can take multiple weeks to complete, which should be considered in any dissertation timeline. Once an authorization number from the IRB is granted, students can submit the Application for Candidacy for Doctoral Degree form through ServiceNow with the School of Graduate Studies. (It is wise to make a copy of these documents.) The Application for Candidacy form indicates that any changes in coursework have been approved, that the Comprehensive Exam and dissertation proposal has been approved, and that the student may then proceed with the approved dissertation study.
Beginning Dissertation Research

The dissertation proposal is an agreement between a student and their doctoral supervisory committee. Procedures outlined in the proposal constitute the minimum acceptable for the dissertation; however, students may add areas of inquiry as the research develops. All changes must be discussed with the Chair and all major changes must be approved by the Supervisory Committee. Before writing the dissertation, students should review the format guidelines in the most recent edition of the Publication Guide for Thesis/Dissertation Requirements at Utah State University, and the Copyright Policy. TEAL students should follow accepted reporting guidelines, which are generally consistent with the current American Psychological Association (APA) style guide.

Students should work closely with their Chair to prepare various drafts of the dissertation. Prior to its defense, the dissertation must meet APA style and USU Publication Guide requirements. When the Chair agrees that the dissertation is in final form and ready for defense, it can be distributed to all committee members.

NOTE: The dissertation, in final form, must be distributed to all Committee members no less than four weeks before the final oral defense. After allowing time for Committee members to read the dissertation, the Appointment for Examination form must be completed by the student and submitted to the School of Graduate Studies to officially schedule the defense. It is very important that this signed form is submitted no less than 15 working days before the defense.

Beginning Dissertation Research

The dissertation proposal is an agreement between a student and their doctoral supervisory committee. Procedures outlined in the proposal constitute the minimum acceptable for the dissertation; however, students may add areas of inquiry as the research develops. All changes must be discussed with the Chair and all major changes must be approved by the Supervisory Committee. Before writing the dissertation, students should review the format guidelines in the most recent edition of the Publication Guide for Thesis/Dissertation Requirements at Utah State University, and the Copyright Policy. TEAL students should follow accepted reporting guidelines, which are generally consistent with the current American Psychological Association (APA) style guide.

Students should work closely with their Chair to prepare various drafts of the dissertation. Prior to its defense, the dissertation must meet APA style and USU Publication Guide requirements. When the Chair agrees that the dissertation is in final form and ready for defense, it can be distributed to all committee members.

NOTE: The dissertation, in final form, must be distributed to all Committee members no less than four weeks before the final oral defense. After allowing time for Committee members to read the dissertation, the Appointment for Examination form must be completed by the student and submitted to the School of Graduate Studies to officially schedule the defense. It is very important that this signed form is submitted no less than 15 working days before the defense.

Program Residency Requirements

When students submit the Appointment for Examination form they should also submit the PhD Residency Requirements Documentation form. This form requires students to describe and list the activities that meet USU's School of Graduate Studies Residency Requirements for PhD students.

Dissertation Defense

Students must have been in continuous enrollment (graduate advisement credits or dissertation credits during all fall and spring academic terms) and enrolled for at least 1 credit the semester that they schedule the dissertation defense. The dissertation, in final form, must be given to all committee members no less than four weeks before the final oral defense. Visitors are invited to the dissertation defense via posted announcements. Students should be prepared to defend the dissertation as written and submitted to the committee. The committee may suggest editorial changes; however, if the oral examination indicates weaknesses that require major revisions, the defense must be rescheduled. A range of options is available to committees: clear pass, pass with editorial changes, rewrite for chair or committee approval, re-examination, or failure. For a defense to be considered satisfactory, all five committee members must concur. A report of the results of the exam is filed with other materials at the conclusion of the defense.

Attendance of Visitors at Doctoral Defense

After the Defense

Students should work with the committee chair and/or designated committee members to make any minor changes, corrections, or edits in the approved dissertation.  If students are not experts in following APA formatting, they should consider using professional services as needed during the final stages of writing to ensure that the dissertation conforms to all USU Graduate School and APA formatting expectations. There is a fee for such professional services and the fee is typically based on how much time the formatting takes. TEAL faculty or the TEAL GPC can provide contact information for available professional readers who can provide this formatting check. Students should discuss the need for a professional review with the Chair and allow time for it before the final submission. The Thesis/Dissertation Format and Style form must accompany the final dissertation.

After the final formatting review is finished, the chair should send the dissertation and signed Thesis/Dissertation Format and Style form electronically to the School of Graduate Studies for a final review and the Graduate Dean’s Signature. With the final signatures, the dissertation is sent digitally to the Merrill-Cazier Library for processing. Although the USU Library no longer accepts bound copies of theses and dissertations, unless the document is embargoed, the Library does still offer a binding service if the student wants bound copies to provide to an advisor, department, or for personal use. The Library’s price for binding is currently $20 per copy.  To avoid delays in graduation, students should carefully follow the various steps for printing, binding, and electronic publishing outlined by the School of Graduate Studies.