http://www.sandiego.edu/soles/documents/dissertation_format_manual by University of San Diego, School of Leadership and Education Sciences

DOCTORAL DISSERTATION FORMAT MANUAL

School of Education University of San Diego

San Diego, CA

2003-2004

TABLE OF CONTENTS LETTER FROM THE ASSOCIATE DEAN..................................................................... iv LIST OF TABLES...............................................................................................................v INTRODUCTION ...............................................................................................................1 CHAPTER 1.

ORGANIZATION OF MANUSCRIPT ..................................................................2 Front Matter Requirements ..........................................................................2 Title Page .........................................................................................2 Abstract ............................................................................................2 Dedication ........................................................................................3 Acknowledgments............................................................................3 Table of Contents.............................................................................3 List of Tables ...................................................................................3 List of Figures ..................................................................................3 Headings & Subheadings.............................................................................3 Back Matter..................................................................................................4 References........................................................................................4 Appendices.......................................................................................4

Manuscript Preparation............................................................................................6 Copyright Permission ..................................................................................6 Font ..............................................................................................................6 Spacing & Indentation .................................................................................7 Margins ........................................................................................................7 Pagination ....................................................................................................7 Tables & Figures..........................................................................................8 Oversize Material.........................................................................................8 Paper ............................................................................................................9 Typist & Reproduction Service .................................................................10 Final Check ................................................................................................10

Appendix A. Top Ten Most Common Mistakes .........................................................................12 B. Dissertation Format Submission Checklist............................................................15 C. Sample Title & Copyright Pages ...........................................................................17 D. Sample Approval Page...........................................................................................21

E. Sample Copyright Usage Permission Request.......................................................23 F. Sample Abstract .....................................................................................................25

2003-2004 Academic Year

Dear Doctoral Student: Congratulations on arriving at the dissertation phase of your doctoral program. Please make sure that you make time to celebrate your success. This truly is an accomplishment. You need to use this Doctoral Dissertation Format Manual in conjunction with your Doctoral Handbook. The Doctoral Handbook contains important information regarding the dissertation process, from Qualifying Paper to your final defense. This Dissertation Format Manual details the specifics on preparing your final dissertation copy, i.e., required format and production aspects. You need to adhere to these regulations in order to have your final copy accepted by the university. We advise you to work closely with your Dissertation Committee in this phase, with clear and regular communication to ensure that you attend to all of the formatting requirements. And it is always beneficial to have a trusted friend or colleague willing to check your final dissertation copy for the “little”, but important, things such as margin size, font consistency and pagination (see Top Ten Mistakes in Appendix A). Finally, do not forget balance in your life! Although this seems like your “life’s work” right now, it is not---you need rest, exercise, and social time with your loved ones in order to survive, but also to produce the best dissertation you possibly can. Best wishes for a successful and rewarding dissertation process and product! Sincerely,

Cheryl Getz Associate Dean, School of Education Chair, Doctoral Governance Committee

List of Tables Table 1. Pagination Summary

p. 7

1 Introduction This manual is your comprehensive format guide for the preparation of your dissertation. You must use this manual as you prepare your dissertation to ensure that you meet the specific formatting requirements for SOE dissertations. Continue to use the Doctoral Student Handbook for information on, as well as the steps and forms for, the process of completing the dissertation (i.e., preparing the oral defense, deadlines, etc.). Before it will be accepted as fulfillment of your graduation requirements, your dissertation will be evaluated for adhering to the proper format (see Figure 15). If your dissertation does not meet the format requirements, it will be returned to you for corrections. This can delay your graduation, so please ensure that you follow this manual completely. The Publication Manual of the American Psychological Association, 5th Edition (American Psychological Association, 2001. ISBN # 1-55798-791-2) is the reference text the School of Education uses for the proper preparation of manuscripts. It was used as the basis for the requirements listed in this Doctoral Dissertation Format Manual. This manual is to be used in conjunction with the APA 5th Edition Manual. We have not reproduced in this manual much of the APA 5th Edition Manual information. For example, please use APA 5th Edition Manual for proper citations and reference list production. If you have doubts or questions which are not addressed in this manual, please follow the guidelines of APA 5th Edition Manual (e.g., punctuation, spelling, capitalization, abbreviations, numbers). In some instances, your dissertation committee might agree that another style is more appropriate for your dissertation. If this is the case in your situation, the exception to APA style must be approved by the Deanâ&#x20AC;&#x2122;s Office in advance of the dissertation proposal hearing when possible. If decisions about an alternative format are made after the proposal defense, the candidate must seek approval within three weeks following the proposal hearing date. Whether you use the standard APA 5th Edition Manual, or you are approved to use an alternate style, you must follow it consistently throughout your dissertation.

2 Chapter 1 Organization Of The Manuscript Front Matter Requirements The following is the order of the “Front Matter” of the dissertation, that which precedes the body of the dissertation. When pagination is required, page numbers appear in the lower case Roman numeral format. 1. 2. 3. 4. 5. 6. 7. 8. 9. 10.

Title Page1 (counted in pagination, but page number is not printed) Copyright page1 (or blank if dissertation is not copyrighted) Approval Page1 Institutional Review Board Clearance (Project Action Summary Form) Abstract1 (max. 350 words) Dedication page (optional) Preface with acknowledgments included if desired (optional--one or more pages) Table of contents1 List of tables1 (when appropriate) List of figures or illustrations1 (when appropriate)

Title page. The title page and signature page must conform to the models included in this document (see Appendix C). Remember, there is no page number printed on the title page but it is counted in the pagination (see Table 1). Ensure that your title page: Indicates the month and the year the degree was conferred (not the month and year you defended). Abstract. This abstract will be published by University Microfilms International (UMI) in Dissertation Abstracts, so you should prepare it with care (see Appendix C for a sample abstract). Please note that UMI will truncate any abstract over 350 words, even if it is in the middle of a sentence. Also, ensure that your abstract: Is double spaced. Is maximum 350 words. Explains in narrative summary, the nature and scope of the problem or topic, research questions, the method employed in developing the dissertation, limitations (if any), and findings and/or conclusions reached. 1

Sample page available

Dedication. This is not required although many people choose to honor someone of particular importance in their lives by dedicating their dissertation to them. Dissertations are frequently dedicated to parents, spouses/life partners or mentors. The dedication should be brief. Acknowledgments. This is not required, but is frequently used. Many students acknowledge the assistance of those who were significant contributors to the process of writing the dissertation: committee members, outside readers, someone who helped formulate the proposal or someone who helped with computer work or statistical analysis. Funding sources which supported the research would be acknowledged here as well. Table of contents. The Table of Contents is a required dissertation section. It needs to list all sections of the Front Matter, Body, and Back Matter of your dissertation, including Chapter Titles and sub-headings within your dissertation chapters. See the Table of Contents of this document for a sample. List of tables. All tables in your dissertation need to be listed in the List of Tables which is the first page following your Table of Contents. The Table number, name and page number must be shown. See the List of Tables of this document for a sample. List of figures. All figures (graphs, pictures, charts, etc.) in your dissertation need to be listed in the List of Figures, which is the second page following your Table of Contents. The Figure number, name and page number must be shown in this list. The format for this list is the same as for the List of Tables as shown in this document. Headings & Subheadings The heading format used in this manual follows APA 5th Edition guidelines for four level heading format (pg. 113). Most dissertations will use the three or four level format. Some key guidelines are: Use headings & sub-headings to subdivide chapters or sections. Follow APA guidelines when using headings and subheadings. Never use a sub-heading if it is the only one in a section (use at least two or use none). Ensure the headings used match the Table of Contents. Use the heading format consistently (even if one section has fewer levels than another); also start with the highest level heading. Use Section 3.30 of the APA 5th Edition Manual for guidelines & instructions.

Back Matter

4 There are only two sections that appear after the body of your dissertation. The first is the References section and the second is your Appendices (if applicable). In APA format, footnotes, rather than endnotes, are typically used. This means that your notes occur on the same page they are referenced. If you have approval to use an alternative format guide (e.g., MLA) that allows for Endnotes, then you must follow that format. References. Your reference list must conform exactly to the format as indicated in the APA Publication Manual, 5th Edition. Be sure to attend to the different reference forms for periodicals, books, book chapters, online sources, and ERIC documents. Following the checklist below will help to ensure that you do not make the most common reference list errors. Each citation is referenced in the references section. All references in the Reference List are included in the body of the dissertation. The spelling of the authors’ names are the same in the citations as in the reference list. The publication years are correct and match between the body of the dissertation and the reference list. Abbreviations are correct (see page 217 of the APA 5th Edition Manual). Publishers’ locations are listed correctly (page 218 of the APA 5th Edition Manual). The reference list is in alphabetical order by the first author’s last name. Entries for each reference are single spaced, with a double space in between each reference. The reference list is in a hanging indent format; the first line is flush left and subsequent lines are indented .3”. There are no reference entries divided between pages. Ensure that you have followed APA 5th Edition Manual guidelines for any electronic publications (see pg. 231 of APA 5th Edition Manual). Some general rules are: Use the screen name/alias if the Author’s name is unknown. Use the full title of document in italics. Include version or file numbers (if applicable/known). The date of the publication or revision (usually at the bottom of the webpage). The full http address. The date you visited the site (in parentheses); if you printed the document, this date usually appears at the bottom of your print-out. Appendices. Appendices are permitted, but ensure that they are necessary. Carefully consider the value of the material you are considering for inclusion.

5 What value do they add? Would the reader be better served by having the material included in the body of the dissertation? Some items that are typically included in appendices include: • Lengthy computer print-outs. • Raw data. • Procedural explanations. • Written releases to use copyrighted work. • Copy of the Participation Consent Form. • Supplementary tables. • Examples of surveys or questionnaires. • Mathematical derivations or proofs. When including appendices, be sure to: Use a cover page before each appendix (see the format used in this manual). Label each cover page with the appendix number (using alphabet) and title, in the top center of the page (use the format used in this manual). Include the appendices titles in the Table of Contents (see the Table of Contents in this manual). Include any tables and figures in the list of tables and list of figures. Continue with sequential pagination.

6 Chapter 2 Manuscript Preparation The overall appearance of your dissertation is extremely important because your dissertation will be utilized by other students and scholars in the future. Make sure the pages are free of smudges and stains and that you follow the requirements and suggestions below in order to produce a quality look in your final product. Copyright Permission See APA 5th Edition Manual for information on when copyrights are required (see Sections 3.41 and 7.01) If you are using copyrighted material from another source in your dissertation, you must obtain permission from the publisher of that copyrighted material. You can do this by sending a letter to the publisher of the copyrighted material (see Appendix E for a letter template). Although obtaining permission is generally not a problem, it should be planned for far in advance. Once you have permission from the publisher to use the material, you must submit copies of the copyright permission to UMI at the same time you submit your dissertation. Font

Times New Roman or Courier. 12 point. The same type is used throughout the dissertation. Italics and/or bold face type are only used sparingly for emphasis, if at all (Examples for use of italics can be found in the APA 5th Edition manual on page 100). All non-English words or phrases are italicized. There is no written script or ‘novelty’ typefaces used. Print is clean and even in quality. Print is letter quality. Print is consistently in clear and dense black characters.

Margins 11/2” margin on Left (mandatory for binding). 1” margin on top, right and bottom margins. Pages that exceed the standard size must follow the guidelines suggested in the section “Oversize material”. All materials in the dissertation (such as appendices, etc.) conform to these margin requirements.

7 Spacing & Indentation The body of the dissertation is double-spaced. The Reference List is single spaced with a double space between each reference. Long, block quotations, and footnotes are single spaced. There is one space after sentence punctuation. There are no words divided from one page to the next (Use a standard dictionary for the proper division of words). No pages end with headings or subheadings. There are no paragraphs that end with one line at the top of a page. Pagination All pages of your dissertation, including any blank pages, are counted in the numbering, even if the number is not printed on the page (see Table 1). There are no breaks in the numbering sequence. The Front Matter is numbered with small Roman numerals (i, ii, iii, etc.). The Roman numeral pagination is placed at the center of the lower margin, one half inch up from the bottom of the page. There is no printed pagination on the title page. The Body is numbered with Arabic numerals (1, 2, 3, etc.), beginning with the Introduction or Chapter One. In between numbers, identified with a letter, may not be inserted (e.g., 213a). Pages are numbered in the upper right hand corner in a header. Table 1. Pagination Summary. Sequence Dissertation Section 1st 2nd 3rd 4th 5th 6th 7th 8th 9h 10th 11th 12th 13th 14th 15th 16th

Title Page Copyright Page (optional) Signature Page IRB Clearance (PAS) Abstract Dedication (optional) Acknowledgments (opt) Preface (optional) Table of Contents List of Tables (opt) List of Figures (opt) Introduction (optional) Body of Dissertation Notes References Appendices

Count the Page in Total Count? Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes

Print Page # on Paper? No No No No No No Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes

Number Type

N/A N/A N/A N/A N/A N/A small Roman small Roma small Roman small Roman small Roman Arabic Arabic Arabic Arabic Arabic

Tables & Figures Use APA Style for all charts, tables, graphs, figures, & captions. Please refer to the Fifth Edition of the APA Publication Manual for details. Tables and figures are numbered in Arabic numerals. Tables – the caption for a table includes the table number (followed by a period and a space) and an underlined descriptive phrase (e.g., Table 1. A Breakdown of participants by demographics). The table caption appears at the top left side of the table. Note that only the first letter in the title is capitalized. Any notes for the table are located beneath the table and begin with Note. For additional guideliens about tables, see the table checklist on pg. 175 of the APA 5th Edition Manual. Figures – the caption for a figure includes the underlined figure number (which is followed by a period and space) and a descriptive phrase (e.g., Figure 1. A pie chart of enrolment rates by gender). The figure caption is placed at the bottom left of the figure. Note that only the first letter in the title is capitalized. For additional guideliens about figures, see the figure checklist on pg. 201 of the APA 5th Edition Manual. Include titles and notes on the same page as the table or figure. Avoid large empty spaces but if the figure or table is large, it should be presented on its own page. If you chose a landscape orientation for the table or figure, the top of the table or figure should be at the left margin and the pagination should be at the top right corner. If you are using photographs, they must be treated as figures, with the same captioning and margin requirements. Also, please see pg. 198 of the APA 5th edition manual for information. When including photographs, you must either electronically paste the photograph into the text (if the resolution is clear enough), or dry mount to the page in each copy of the dissertation you submit for binding. Oversize Material If a table is too large to fit on one page, use one of the following alternatives: 1. If it is too large to fit in portrait orientation, try landscape; 2. Reduce the table to fit on one page (do not reduce the table number and caption). Make sure that it is still readable; 3. Simply continue the table on the next page (without making the table facing itself). Head the subsequent pages with “Table #” (eliminate the quotation marks and put the actual table number in place of the #) and indicate the table is continued by noting (con’t) in parantheses. Do not reprint the descriptive phrase on the second page. If a figure is too large to fit on one page, use one of the following alternatives:

9 1. If it is too large to fit in portrait orientation, try landscape; 2. Reduce the figure to fit on one page (do not reduce the figure number and caption). Make sure that it is still readable; 3. If margins need to be adjusted to accommodate the figure, you may decrease the margins (for this page only) to 1” on left margin, and ¾” on all other margins (adjust the location of the page number as required).

Paper Printed on laser or deskjet printer. The original copy is on 20 pound, white, acid-free (min. 1% alkaline reserve) bond paper, 8 1/2 x 11 inches (see acceptable paper list below). The original copy is unpunched and unbound. There are no smudges, spots, glitches or shaded background. All paper is of the same size and weight. Exceptions for over-sized charts or non-text materials fall under one of the four alternatives listed on page four. Pages are printed on one side only. Standard photo duplication paper may be used for the copies of the original. However, copies done on self-copy machines are rarely clean enough to meet the University’s quality standard. We recommend using a commercial copy company. The following 20 lb acid-free papers are the best to use for a long “shelf life” without disintegration: • Xerox Image Elite Paper. • Cascade Bond. • New Brite (Meade Corporation). • Xerox Laser Copy Paper. • American Eagle. • Resolve Bond. • Protocol 100. • Strathmore Bond. • Howards Permalife. • PermaDur and Nollinger Acid-free Bond. • Cranes Thesis Paper. • Eatons Parchment Linen. • Old Council Tree Bond 100% Cotton Fiber. • Strathmore Bond Opaque 25% Cotton Fiber USA. • Fox River Bond (by Fox River Paper Company). • Neenah Copier Bond.

Typist & Reproduction Services

If you chose to use a typist or reproduction service in the production of your dissertation, you must ensure that the format requirements are maintained and that the final, overall, appearance, meets the SOE requirements as outlined in this manual. This is your responsibility and your dissertation will not be accepted if it does not conform to the requirements. The SOE faculty and staff cannot recommend any typist or reproduction service. We urge you to use caution when securing such services. Final Check Before your dissertation can be filed with Graduate Records, you must submit a copy to your Committee Chair and subsequently to the Doctoral Programs Office for format evaluation. See Appendix B for the Format Checklist.

11 Appendix A Top Ten Mistakes

12 THE TOP TEN DISSERTATION FORMAT MISTAKES 10. Your name on the title page is not exactly as it is in our records. Many students have a legal full name that they do not use on a regular, daily basis. However, the name on the title page of the dissertation must be the legal, full name as indicated in USDâ&#x20AC;&#x2122;s records based on your original registration with the program. If you are unsure, check with the Doctoral Programs Office. 9. The name of the program/degree on the title page is incorrect. There are three doctoral programs in the School of Education and all confer the same degree, Doctor of Education. This is what you include on your title page. Your program, specialization or concentration are not noted on your dissertation title page. 8. Student's faculty committee listed is different from what we have on record or the names are spelled incorrectly. Be sure you officially changed your committee with us if it's different from when you first advanced to candidacy. Also, be sure you spell the names of your committee members correctly and consistently (e.g., between the title page and the approval page). Contact the doctoral programs office for proper form and spelling of faculty names and titles. 7. The abstract is too long. You must ensure that your abstract is 350 words or less. If it is not, either your dissertation will be returned to you, or even if we miss catching it, your abstract will be truncated by the UMI service. Nothing would look worse around the world than having your abstract end with â&#x20AC;&#x153;and the Results showed thatâ&#x20AC;?. 6. Dedication or acknowledgements are single-spaced. These must be double-spaced. See the Format Manual. 5. The Table of Contents does not match the dissertation content. Ensure that the page numbers for each section in the Table of Contents matches the actual pages on which the sections of the dissertation fall. 4. Pagination varies. All page numbers must be in the same place throughout the document, including text, illustrations, bibliography, and appendices 3. First page of each chapter does not have a page number. All pages of the main body of the document must have a page number. Beware of preformatted software programs. 2. The Reference list does not match the citations within the dissertation. Make sure each citation is listed in the reference list, and that each listing in the reference list appears in the dissertation. Also ensure that the spelling of names and years of publications are the same 1. Not reading and following the Format Manual thoroughly. Please be sure that the

13 guidelines you are using are the most updated edition available online at http://www.sandiego.edu/soe/currstudents/policies.php

14 Appendix B Dissertation Format Submission Checklist

15 DISSERTATION FORMAT SUBMISSION CHECKLIST This checklist is simply a final reminder on the main format requirements. Please ensure that you have closely adhered to the format requirements in the Dissertation Format Manual so that you are submitting an approved copy. Please review and complete all checklist items BEFORE submitting this form, along with the dissertation, to the Doctoral Programs Office, AW2-206.

Title Page formatted correctly Abstract is maximum 350 words and formatted correctly 1.5” Left Margin 1” Top, Right & Bottom Margins 12 point Times Roman or Courier Font Double spacing throughout the document Pagination is continuous and placement of numbers is consistent throughout Publication-ready in appearance. Final copies are cleanly reproduced All pages are in order Front Matter is in the proper order Oversize material is in one of the three alternative formats

By signing below, the doctoral candidate acknowledges adherence to the required dissertation format criteria, including those listed above. _________________________________ Doctoral Candidate Name (please print)

__________________________________ Signature

___________ Date

I believe that this dissertation is ready for submission. _________________________________ Doctoral Programs Assistant

___________ Date

* Students must take this completed form, along with other materials, to Graduate Records to complete dissertation submission process. See the Doctoral Handbook for details.

Appendix C Sample Title and Copyright Pages

TITLE OF THE DISSERTATION SUBTITLE LINE IF NEEDED

YOUR NAME

A dissertation submitted in partial fulfillment of the requirements for the degree of Doctor of Education [name of institution granting the degree]2

Month & Year Degree is Conferred

Dissertation Committee Chair’s Name, Degree Second’s Name, Degree Additional Member’s Name, Degree

The name here will either be, University of San Diego, or for the joint degree, San Diego State University - University of San Diego.

Appendix D Sample Approval Page

UNIVERSITY OF SAN DIEGO [name of institution granting the degree]3

CANDIDATEâ&#x20AC;&#x2122;S NAME:

________________________________________________

TITLE OF DISSERTATION:

________________________________________________ ________________________________________________ ________________________________________________

APPROVAL:

________________________________________________ Chair

________________________________________________ Member

________________________________________________ Member 3

The name here will either be, University of San Diego, or for the joint degree, San Diego State University - University of San Diego.

DATE:

________________________________________________

Appendix E Sample Copyright Material Usage Request

[your name] [your address] [date] [publisher name] [publisher address] I seek permission to reprint the following material from your publication: [author] [title of publication] A copy of the material requested to be used is attached for your reference. This material is to be reprinted in the following dissertation: [your name] [title of dissertation] [estimated publication date] Sincerely, [your signature] Dissertation Authorâ&#x20AC;&#x2122;s Signature

Permission Granted By:

__________________________________________ Name Title

Conditions:

_______________________________ Signature

____________ Date

Appendix F Sample Abstract

ABSTRACT Public education is undergoing a process of reculturation fueled by standards-based reform initiatives. Student content standards suggest fundamental changes in the way teachers, schools, and districts think about and do their work. These substantive reform efforts require a parallel reorganization in professional development processes. Traditional models that rely on episodic, large-scale workshops are insufficient to support teachers to meet the demands of a standards-driven system. San Diego City Schools has developed an innovative approach to teacher training that is context and situation specific. The observation-based model of professional development utilizes a unique training environment and process. A fully functioning classroom is attached to a professional development center via a one-way mirror. Participants are able to see, hear, and study exemplary models of teaching and learning in real time. This evaluation study examined the training model and its potential for impact on the practice of participants. Three research questions guided this investigation: (a) How do participants assess the observation-based model of professional development? (b) What are the factors that act to support or impede participants' implementation of those instructional strategies demonstrated in the observation-based model of professional development? (c) What is the perceived impact of the observation-based model of professional development on teachers' pedagogical practice? Quantitative and qualitative methodologies supported the study of these questions. A survey was administered to teachers and school leaders who participated in the observation-based model of professional development. Focus groups were formed to investigate the themes that emerged from the survey results. And, a select number of site administrators were interviewed to elicit more detailed implementation data. The findings suggested that: (a) participants assessed the training model as appropriate and relevant, (b) participants implemented or planned to implement some of the learnings into their classrooms and schools, and (c) a number of professional and political barriers posed real or perceived barriers to implementation. San Diego City Schools is committed to offering an observation-based model of professional development for teachers to illustrate effective literacy instruction. This formative evaluation study provides a baseline of data that may be used to inform programmatic decisions and improvements.