(EBOOK) writing a successful thesis or dissertation

Thus, we have designed this book to explicitlydescribe and define the elements sections of each dissertation chapterand provide examples of completed dissertations that illustrate typica

Successful Writing a

Dissertation

Fred C Lunenburg ~ B Beevveerly J Irb rly J Irbyy

Dissertation

Tips and Strategies for

Students in the Social

and Behavioral Sciences

CORWIN PRESS

A SAGE Company Thousand Oaks, CA 91320

All rights reserved When forms and sample documents are included, their use is authorized only by educators, local school sites, and/or noncommercial or nonprofit entities that have purchased the book Except for that usage, no part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording, or by any information storage and retrieval system, without permission in writing from the publisher.

For information:

Thousand Oaks, California 91320 India

www.corwinpress.com

United Kingdom

Printed in the United States of America.

Library of Congress Cataloging-in-Publication Data

Acquisitions Editor: Elizabeth Brenkus

Managing Editor: Arnis Burvikovs

Editorial Assistants: Ena Rosen, Desirée Enayati

Production Editor: Jenn Reese

Typesetter: C&M Digitals (P) Ltd.

Proofreader: Paulette McGee

Indexer: Nara Wood

Cover Designer: Monique Hahn

PART I GETTING STARTED

PART II WHAT YOU NEED TO KNOW

Tests of Statistical Significance 69

PART III THE DISSERTATION CHAPTERS

Summary 136

ART IV THE DEFENSE AND AFTERWARD

Prepare the Manuscript 265

Appendix A: Initial Letter Soliciting Participation 273

Appendix D: Dissertation Proposal Outline (Correlational) 276 Appendix E: Dissertation Proposal Outline (Analysis of

Appendix F: Dissertation Proposal Outline (Multivariate

Appendix G: Dissertation Proposal Outline (Qualitative) 288

Appendix I: Agreement: Guidelines for Chairing a Dissertation 295 Appendix J: Checklist for Dissertation Quality 299

Preface

PURPOSE OF THIS BOOK

We have written this book to help graduate students write the dissertationfrom beginning to end successfully Each of us has taught courses focused

on writing the dissertation We have a combined total of more than 40years of experience supervising doctoral dissertations Together we havechaired more than 100 dissertations In addition, we have been externalexaminers of doctoral dissertations for several universities in Australia,Canada, New Zealand, the Netherlands, and the United States Thus, wehave written this book to compile the best of our wisdom on how to makethe process of writing the dissertation a less mysterious and more reward-ing experience Our approach is applicable also to writing master’s theses,which we view as limited-scope dissertations

From our combined experience, we have found that if the key elements

of each dissertation/thesis chapter are clearly identified with ing examples of those elements (or sections), it takes the mystery out ofwriting the dissertation Thus, we have designed this book to explicitlydescribe and define the elements (sections) of each dissertation chapterand provide examples of completed dissertations that illustrate typicalways to write the sections of each chapter We have extracted examplesfrom more than 100 completed dissertations from well-known universi-ties We present multiple viewpoints that include quantitative, qualitative,and mixed methods approaches Our writing style throughout is inten-tionally conversational, as if we were talking directly to the student

correspond-HOW TO USE THIS BOOK

Our goal is to provide advice to those learning how to write the major ments (sections) of a dissertation Thus, in each chapter of the book, we pro-vide specific information about sections commonly found in dissertations,such as how to write research questions or hypotheses, how to select a sam-ple for the study, how to write descriptions of instruments, how to writeresults of data analyses, how to interpret the results, and so forth Our goal

ele-is to define and explain the rationale for the common elements (sections) ofeach chapter of the dissertation Then we support our advice with numer-ous examples to illustrate how previous doctoral students have writtenthose sections The model we use is the traditional five-chapter dissertation.

We realize that there are many variations to this model Students and facultywho are chairing dissertations should feel free to modify the approach toreflect advising style, unique subject area, and institutional requirements

WHO SHOULD READ THIS BOOK

This book should be of special interest to students in the social and ioral sciences, including education, psychology, social work, and business.Its contents should be applicable also to those studying nursing and otherhealth sciences with a behavioral base, certain aspects of anthropology,sociology, and criminal justice Other students will find the book useful as

behav-a dissertbehav-ation guide As mentioned previously, our behav-approbehav-ach is behav-applicbehav-ablealso to writing master’s theses

The book can be used as the principal text in courses focused on writing the dissertation or master’s thesis It may be used also as a supple-mentary text in seminars that introduce students to graduate education or

in research methods courses, particularly those in the social and behavioralsciences

ORGANIZATION OF THE BOOK

This book contains 12 chapters in four major parts and 10 appendixes InChapter 1, we discuss how to go about selecting a suitable topic for a doc-toral dissertation or master’s thesis We suggest that students begin theirsearch for a suitable topic at the outset of their graduate programs Goodsources of possible topics include: textbooks, professional journals, disser-tations, theories, current employment, and existing databases The charac-teristics of a good research topic include: whether it is of personal interest,significant, feasible in terms of available data, appropriate to knowledgeand skill level, manageable, and attractive for funding

Chapter 2 includes valuable tips about selecting a chairperson andother committee members Issues to consider in the selection processinclude: the reputation of the faculty members, their interest and expertise

in the topic, their accessibility, the feedback they provide the student, andthe goodness of fit between the student and the dissertation chair and theother committee members The chapter also deals with ways to identifyprospective chairpersons and committee members, including the student’sown experience with the faculty member, other students’ opinions, and anexamination of completed dissertations and faculty Web sites

Chapter 3 contains quantitative research designs, including descriptiveresearch, correlational research, causal-comparative research, quasi-experimental,and experimental research In Chapter 5, we discuss qualitative and mixed meth-ods designs, including case study, ethnography, ethology, ethnomethodol-ogy, grounded-theory, phenomenology, symbolic interaction, andhistorical research The overall purpose of these two chapters is to provide

an overview of the two basic approaches to conducting research: tive and qualitative Sandwiched between Chapters 3 and 5 is Chapter 4,which deals with basic statistical procedures

quantita-The overview of basic statistical procedures in Chapter 4 includesdescriptive statistics and inferential statistics Parametric and nonpara-metric tests are discussed, as are the statistical procedures commonly used

in social and behavioral science research The focus is on the application ofthe common statistical procedures used in the social and behavioral sciences for given research designs

Chapter 6 contains the structure and writing of the introductionchapter of the dissertation or master’s thesis, including the elements (orsections) that comprise that chapter These sections include: background ofthe study, statement of the problem, purpose of the study, significance ofthe study, definition of terms, theoretical framework, research questions orhypotheses, limitations, delimitations, and assumptions The section orga-nization of the study, concludes the introduction chapter of the disserta-tion We follow specific guidance on what to include in each section of thechapter with examples from completed dissertations

Chapter 7 is divided into three parts In the first part of the chapter, weprovide an introduction on how to systematically search and review theliterature We discuss six sources: handbooks and encyclopedias, annualreviews, review articles, abstracting and indexing services, governmentdocuments, and public search engines In the second part of the chapter,

we discuss eight techniques to help the student write a clear and effectivereview of the literature chapter They include: organizing material in a fun-nel, being specific, making an outline, writing the introduction, usingheadings, using transitions, writing a summary, and being careful not toplagiarize The chapter concludes with several additional strategies to helpthe student critically synthesize the body of literature We provideexamples from dissertations and published articles throughout thechapter

Chapter 8 includes the structure and writing of the methodologychapter, including the elements (sections) that comprise that chapter.These sections include: selection of participants, instrumentation, data col-lection, and data analysis We provide pertinent information related toeach of the sections of the methodology chapter, as well as numerousexamples of each of these sections from completed dissertations

Chapter 9 contains information on how to write the results chapter.Each element (or section) of the chapter is described, followed by

examples from completed dissertations We discuss different methods oforganizing results for both quantitative and qualitative studies: byresearch questions or hypotheses, variables, or themes.

Chapter 10 consists of information on how to structure and write the cussion chapter of a dissertation or master’s thesis We discuss each element(or section) that should be included in the discussion chapter, and provideexamples of each section of the chapter from completed dissertations.Chapter 11 contains advice on the steps to be taken to ensure a suc-cessful proposal defense and final oral defense of the dissertation Thesesteps include: preparing a well-written document, knowing the format ofthe defense, preparing the presentation, practicing the presentation, andanticipating questions We provide an explanation of how decisions aremade by dissertation committees at the defense, and what students should

dis-do after a decision has been reached

Chapter 12 includes suggestions on seeking a wider audience for thecompleted dissertation Issues explored include preparing a paper for aprofessional conference or job interview, finding a publisher for the man-uscript, or converting the dissertation into a journal article, monograph, orbook

Appendixes A, B, and C are sample letters used in survey research.Appendix A is the initial letter sent to a prospective participant requestingparticipation in a study Appendixes B and C are follow-up lettersdesigned to increase response rate of the study sample

Appendixes D, E, F, and G contain dissertation proposal outlines forquantitative and qualitative studies Each dissertation proposal outlineuses a different method of analysis The dissertation proposal outline is thefirst step in writing the dissertation proposal

Appendix H contains guidelines used to critique a qualitative researchstudy Much can be learned from critiquing a qualitative study using theguidelines provided

Appendix I is a typical agreement between a doctoral student and adissertation chair, which has been used by the authors of this book Amongother things, it describes guidelines the authors use when agreeing to chair

a dissertation It has been field tested for the past 10 years

Appendix J is a detailed checklist used by the student for monitoringthe quality of a dissertation The checklist is structured for a traditionalfive-chapter dissertation and conforms to the elements (or sections) con-tained within each dissertation chapter

Acknowledgments

appr

This book has been a cooperative effort between scholars of the field

and experienced editors and publishers We wish to express oureciation to the reviewers and others whose suggestions led toimprovements in this book

We also wish to thank the people at Corwin Press whose contributionsmade this a much better book

We are grateful to our dean, Genevieve Brown, for creating an ronment conducive to research and contributing the necessary resources tocomplete this book Special thanks are also extended to Alicia Raley andDacey Ellington, who typed portions of this book

envi-Fred C LunenburgBeverly J IrbyCorwin Press gratefully acknowledges the contributions of the followingpeople:

Mary Betsy Brenner, Professor

Gevirtz School of Education

University of California—Santa Barbara

Santa Barbara, CA

Sharon Toomey Clark, Educational Consultant

Clark & Associates

Claremont, CA

Randy L Joyner, Adjunct Professor

Appalachian State University

Corwin Press Author

Boone, NC

Maria Piantanida, Adjunct Associate Professor

Carlow University and University of Pittsburgh

Pittsburgh, PA

Carol Roberts, Professor

Greenville, NC

About the Authors

Fred C Lunenburgis the Jimmy N Merchant Professor of Education andSenior Research Fellow in the Center for Research and Doctoral Studies inEducational Leadership at Sam Houston State University Prior to moving

to the university, he served as a teacher, principal, and superintendent ofschools He has authored or coauthored more than 100 articles and 20

books, including Educational Administration: Concepts and Practices (Thomson/Wadsworth, 1991, 1996, 2000, 2004, 2008), The Principalship: Vision to Action (Thomson/Wadsworth, 2006), Shaping the Future (Rowman

& Littlefield, 2003), The Changing World of School Administration (with George Perreault) (Rowman & Littlefield, 2002), and High Expectations: An Action Plan for Implementing Goals 2000 (Corwin Press, 2000).

Beverly J Irby is Professor and Chair of the Department of EducationalLeadership and Counseling at Sam Houston State University PreviouslyDirector of Field Experiences, she has been a school psychologist, educa-tional diagnostician, director of special education, elementary school prin-cipal, and superintendent of schools She has authored or coauthored 12books and more than 150 articles in education In addition, she hassecured grants totaling more than $25 million and often serves as a con-sultant to school districts She is a member of the International Who’s Who

of Women and has received the Texas Council of Women SchoolEducator’s Outstanding Educator Award, the Renaissance GroupResearch Fellow Award, and the AERA Willystine Goodsell Award

PART I

Getting Started

Selecting a Suitable

Topic

have known what they wanted to study fr

The selection of a suitable topic is the first major step in writing a

thesis or dissertation For some students this is an easy task They

om the time they entered uate school and perhaps even before, but for many others, selecting a the-sis or dissertation topic is one of the most difficult parts of their graduateprograms The thought of developing a “completely original” idea forsuch a large-scale project may seem overwhelming to them

grad-The notion that a dissertation must be completely original is a conception, for no research is completely original All research is based

mis-on the work of others to some extent In fact, the most useful kind ofresearch simply builds on research that has already been done Some ofthe most successful theses and dissertations simply extend the knowl-edge base one step further in an area by examining a new variable within

a well-established line of inquiry, collecting data on a different sample,testing a new methodology, or introducing a new statistical technique.Thus, as you begin to focus progressively on a broad search for a topic,you gain a more thorough understanding of what has been done in anarea and what needs to be done Afterwards, originality may cease to be

an issue The Council of Graduate Schools (2002) clarified the point The

term original “implies some novel twist, fresh perspective, new

hypothe-sis, or innovative method that makes the dissertation project a distinctivecontribution” (p 10)

2

Students often ask when the search for a topic should begin In someuniversities students do not begin to search for a thesis or dissertationtopic until after they have passed the comprehensive examination We rec-ommend that a serious search for a dissertation topic start as soon as doc-toral study begins By selecting a dissertation topic early in the graduateexperience, you can then use assigned course research papers as a means

of doing preliminary work on your projected research

As soon as you select a broad area of study, you need to immerse self in the literature in that area, with an eye toward the dissertation(thesis) proposal Also, you should read and review your university’s doc-toral handbook, to see if there are guidelines concerning what goes into theproposal and how long it is expected to be

your-Most universities have very definite requirements for the dissertationproposal These requirements can range from a 10- to 20-page description

of your proposed study to the completion of the first three chapters of thedissertation In some universities, the dissertation chair (or advisor) is theonly one who has to approve the proposal Other universities may require

a formal oral defense of the proposal before the entire dissertation tee The purpose of the proposal is to get agreement on the merits of theproposed study before the student begins to collect data and makes formalapplication to the university’s Human Subjects Committee Even schools

commit-or colleges within the same institution may have different requirements.The proposal requirements for master’s theses may be less rigorous thanthey are for doctoral dissertations

Our institution decided that most dissertation proposals should sist of Chapter One, Two, and Three of the dissertation Typically ChapterOne is titled “Introduction,” Chapter Two, “Review of the Literature,” andChapter Three, “Methodology.” However, for some qualitative disserta-tions, the proposal may appear differently In most cases, after you collectand analyze your data, your Chapters One, Two, and Three will requireonly minor revisions to be ready for the final dissertation Even if youmust edit some later, you should be writing the proposal and the disserta-tion simultaneously For those of you who are doing a qualitative disserta-tion, you may have to do some major rewriting of the first three chapters

con-as your data emerge

SOURCES OF TOPICS

As mentioned previously, you should begin your topic selection by fying two or three broad areas in which many different types of researchmay be pursued Examples of what is meant by broad topic areas are: teach-ing methods, leadership styles, bilingual education, school improvement,and so forth Sources of ideas for broad topic areas include: (a) textbooks,

identi-(b) professional journals, (c) dissertations, (d) theories, (e) current ment, and (f) existing databases.

employ-Textbooks

Textbooks that you are currently using in your courses or that youhave used in previous courses can be a source of ideas for broad topicareas Often, the authors of textbooks point out areas of controversy orgaps in the research on specific topics For example, in the first chapter

of their textbook Educational Administration: Concepts and Practices,

Lunenburg and Ornstein (2008) identified some current issues in ment, which include testing minority students and confidentiality of testdata In a subsequent chapter, they discussed current and emerging issues

assess-in the measurement of disabled children In another chapter, they sharedproblems with the validation of some leadership theories and the use ofmajority samples in the development of some of these theories In each ofthese chapters, the authors pointed out several broad areas in need of fur-ther research

Professional Journals

Although reading textbooks will give you a broad overview of topicideas for your thesis or dissertation, you need to steep yourself in the lit-erature in your field and related fields (If you are an education student,related fields are psychology, sociology, anthropology, economics, andbusiness management.) This will enable you to examine the specifics ofhow other scholars have conducted research These specifics can be found

in reports of original, empirical research (which include both quantitativeand qualitative studies) published in professional journals Such reportscan be accessed electronically If you are unfamiliar with conducting suchsearches, consult the research librarian at your university Some electronicdatabases provide the full text of research articles; others provide abstractsonly If an abstract interests you, obtain copies of the full article and care-fully read it through

As you read, pay particular attention to the purposes, research tions, or hypotheses that are stated in the articles Consider the methodsused to examine the research questions or test the hypotheses, includingparticipants, instrumentation, data collection, and data analysis theresearcher(s) used, and, of course, the findings Consider reliability andvalidity issues of the studies you review You should also pay particularattention to the discussion sections In their discussions, researchers oftendescribe implications of their research for theory and practice, discuss lim-itations of their studies, and suggest possibilities for further research Such

ques-an examination of the specifics of empirical research will assist you indeveloping and refining your own thesis or dissertation proposal

Reading professional journals related to your field will help you keepabreast of research trends in your discipline and enable you to explorebroad topic areas at the same time Pay particular attention to periodicals

that publish review articles, such as the Review of Educational Research, Harvard Educational Review, Sociological Review, Annual Review of Psychology, and Review of Research in Education Review articles are helpful to you

because they organize a great deal of literature efficiently A topical reviewrepresents the analytical thinking of some scholar who has examinedexisting literature, interpreted it, and pointed out the theoretical issues itraises These reviewers are invited to write reviews, because they are con-sidered to be among the best scholars in their fields A review article alsoprovides you with an extensive reference list that can form the basis for acomplete review of the literature once you select a topic for your thesis ordissertation The review article is also a good model for the dissertationproposal and the abstract of your dissertation It is relatively short andusually includes the purpose, research questions or hypothesis, methods,results, implications, and limitations

In some fields, books are published annually that are devoted to thereview of significant recent theoretical and practical research develop-

ments Four such annual publications include the Annual Review of Anthropology, Annual Review of Psychology, Annual Review of Sociology, and Yearbook of the National Society for the Study of Education (NSSE) Each

yearly volume of the annual reviews contains highly comprehensive andintegrated reviews of numerous research areas in anthropology, psychol-ogy, sociology, and education, respectively Some topics contained inthese volumes are reviewed annually, while others are reviewed everyfive years The researcher should look over the six or seven most recentvolumes to get an idea of topical coverage Other useful sources of

reviews of research include the Handbook of Research on Teaching, Handbook of Qualitative Research, Encyclopedia of Educational Research, Handbook of Research on Educational Administration, and Encyclopedia of Educational Leadership and Administration The articles contained in these

documents are written by distinguished scholars in specific contentareas The topics are selected for their timeliness at the time of writingand their theoretical or practical value to researchers Because thesevolumes are not published annually, some of the contents may not be ascurrent as the aforementioned annual reviews, but may be appropriatefor the selection of broad topic areas

Dissertations

Other completed dissertations can serve as another good source oftopic selection Be sure to secure exemplary projects to serve as models.Try to find: (a) award-winning dissertations in your field or related fields,(b) recent dissertations in the selected field at various universities, (c) good

recent dissertations suggested by faculty in your department, and (d) thebest dissertations suggested by your dissertation chair.

Examine the titles of these dissertations, as well as titles published in

Dissertation Abstracts International If a title interests you, read the abstract

of the study If you are still interested, get a copy of the document and readspecifically the review of the literature and the suggestions for furtherresearch Dissertations are now online through most university libraries.There are certain advantages of searching for a topic from completeddissertations that go far beyond topic selection For example, a recentlycompleted dissertation includes a comprehensive review of the literature

up to the point of completion Updating the most recent studies will be aneasy task Your study might include a different population, other vari-able(s), or another methodology However, other dissertations can helpyou in identifying acceptable approaches to: (a) writing research questions

or hypothesis, (b) choosing an appropriate sample size, (c) examining howdata were collected and analyzed, and (d) observing what kinds of conclu-sions can be drawn from the results, and/or (e) formulating a theory.These specifics of conducting research can be valuable information learnedfrom examining completed doctoral dissertations

Theories

Theories are developed to explain phenomena in a field or to providestructure or framework to the knowledge base in a field A new theorymay be developed, or an existing theory may be modified or extended Forexample, Paul Hersey (1976) did a theory dissertation in which he devel-oped with his dissertation chair, Ken Blanchard, a new leadership theory

known as the situational leadership theory (see Hersey & Blanchard, 2007 for

an explanation of the situational leadership theory) One of our doctoralstudents, Salvatore Pascarella (1985), did a field test of Hersey andBlanchard’s situational leadership theory in a school setting using a sample

of elementary school principals (see also, Pascarella & Lunenburg, 1988).Doris Delaney (2005), another one of our doctoral students, completed adissertation that further field-tested Hersey and Blanchard’s situationalleadership theory using a sample of prekindergarten principals

The development and testing of theory is important work and canmake an important contribution to the field Many theories have receivedonly limited empirical testing In addition, many theories have been testedusing only majority populations For example, many of the managementtheories developed in industrial settings between 1900 and 1960 used onlymen as participants

One of the authors of this book has developed a new gender-inclusive

theory of leadership called the synergistic leadership theory (SLT) (Irby,

Brown, Duffy, & Trautman, 2002) The theory can be applied to any nization Developed through a qualitative approach, the SLT has been

orga-validated quantitatively, qualitatively, and with mixed methods designsnationwide and is currently being validated internationally by our doc-toral students, using samples of principals, superintendents, and highereducation leaders These validation studies have included nonmajority pop-ulations (Bamberg, 2004; Hernandez, 2004; Holtkamp, 2001; Schlosberg,2004; Trautman, 2000; Truslow, 2004) All of the aforementioned disserta-tions have used quantitative, qualitative, or mixed methods designs.Wanda Bamberg and Teresa Schlosberg validated the theory through qual-itative methodology Rose Hernandez and Leslie Holtkamp used a quanti-tative methodology Diane Trautman and Kimberly Truslow used a mixedmethods design More details on the methodology used in these disserta-tions are provided in subsequent chapters.

You should not limit yourself to theories within your own discipline.Many professionals study the same problems educators do, includinganthropologists, psychologists, sociologists, business executives, andothers Thus, theories from other disciplines provide new ways of examin-ing topics in your discipline For example, a social psychological theorysuch as Bandura’s (1997) self-efficacy theory has been tested in appliedareas of education and has greatly expanded the existing knowledge base.Woolfolk and Hoy (1990) tested Bandura’s self-efficacy theory in relation

to prospective teachers’ control beliefs Later, Hoy and Woolfolk (1993)tested self-efficacy theory in relation to the organizational health ofschools Tschannen-Moran and others (1998) modified Bandura’s teacherefficacy scale Building on the work of Bandura, Hoy, Tschannen, andWoolfolk, Lauren Black (2003), one of our doctoral students, developedand validated a new instrument, the principal efficacy scale, which wasthe subject of her dissertation Lauren Black used a mixed methods design

substan-Many quantitative studies are designed to test a theory that has beendeveloped to explain educational phenomena Such theory-driven studiesuse hypotheses as the starting point for designing the research methodol-ogy Qualitative research studies can be designed so that data are collectedfirst, and then a theory is derived from those data (Denzin & Lincoln, 2005;Gall, Gall, & Borg, 2007; Gay, Mills, & Airasian, 2006) Such qualitative stud-ies might be informed by a theoretical or epistemological framework,but formal hypotheses are not typically used to frame the study

(Gall et al., 2007) For example, in grounded theory methodology, ses are the outcome of the study rather than the initiators of it (Glaser, 1978).

hypothe-Current Employment

Another source of dissertation topics can be derived from your currentemployment For example, one of our doctoral students, Vickie Basham(1988), was able to relate her dissertation topic to her employment (seealso, Basham & Lunenburg, 1989) Vickie worked for the KentuckyDepartment of Education as the Director of Assessment She wanted todetermine the relationships between strategic planning, student achieve-ment, and school district financial and demographic factors At that time,the state of Kentucky had just implemented a statewide strategic planningmodel In addition, the state administered annually a standardizedachievement test to all students in grades 3, 5, 7, and 10 in three contentareas: reading, language arts, and mathematics

The achievement data, as well as the financial and demographic factorsshe was studying, were easily accessible to her through the KentuckyDepartment of Education’s database (However, there was no instrument

to measure the use of strategic planning in the state.) The StateSuperintendent of Schools was very interested in the study and sent aletter to all superintendents in the state requesting them to participate inVickie’s study The letter from the top administrator in the state openeddoors for data collection, resulting in a nearly 80% return rate from the

total population of superintendents in the state (her study sample);

com-plete access to the state’s database; and free assistance from state ment measurement experts in the statistical analysis of her data, as well assurvey-item construction of the strategic planning instrument These mea-surement experts also assisted her with the pilot study needed to validatethe strategic planning scale she developed with her dissertation chair.Thus, after a careful review of the literature, Vickie developed an accept-able dissertation topic, conceptualized a problem, and completed a litera-ture review, methodology, and supporting evidence that were firmlygrounded in theory

depart-Existing Database

Drawing on your current employment and having access to an existingdatabase can be a real advantage in selecting a dissertation topic KeithClark (2002), one of our doctoral students, was chief financial officer (CFO)for a large, urban school district Drawing on his work experience infinance, he examined student achievement, financial and demographicfactors, and property wealth as related to the educational resources inpublic school districts Another one of our doctoral students, Danielle Lutz(2006), was Director of Grants in another large, urban school district

Drawing on her work experience in grants she examined, using a mixedmethods design, the relationship between bilingual federal grant pro-grams and student achievement in public schools Because the school dis-tricts were interested in these students’ studies, they received free clericalassistance and access to computer services Moreover, each student couldretrieve a portion of his or her data through the state’s existing database.Sally Craycraft (1999), another one of our doctoral students, becameintrigued by the availability of a large database at Hermann Internationalthat contained elements from a certified administration of the HermanBrain Dominance: Thinking Styles Assessment Instrument to 366 schoolsuperintendents and 599 chief executive officers (CEOs) The sampleincluded individuals from across the United States and included malesand females; different ethnic-racial groups; and urban, suburban, andrural organizations, equivalent to the national population Using this exist-ing database, she examined the relationship between brain dominance andleadership styles of school superintendents and business CEOs by gender,race, and organization size.

Likewise, one of our international doctoral students, Ying-Chiao Tsai(2006), used an existing database of Progress in International ReadingLiteracy Study (PIRLS) reading achievement for English-languagestudents in the United States and Singapore She compared readingachievement levels for majority and minority language-students by gen-der for both countries The federal government provides national data-bases related to early childhood, special education, longitudinalhousehold surveys, higher education, the National Assessment ofEducational Progress (NAEP), and the like Most of these are providedthrough the National Clearinghouse of Educational Statistics (NCES)

Three other of our doctoral students, Melinda Wooderson-Perzan(2000), Darlene Blair (2001), and Heather Thielemann (2004), used an exist-ing database to examine some, but not all, of their study variables.Melinda and Darlene used an existing database for their student achieve-ment and school district financial and demographic factors For the othervariables in their studies (leadership styles and instructional leadership/management tasks profiles) of superintendents and principals, respec-tively, they used Bass and Avolio’s (1994) Multifactor LeadershipQuestionnaire (MLQ) and Lunenburg’s (1982, 2000) InstructionalLeadership/Management Tasks Profile

Heather collected data on the effectiveness of enrollment managementprograms in four-year universities and community colleges in Texas using

an adaptation of Noel-Levitz enrollment management survey She pared the data collected in Texas colleges and universities with the NoelLevitz national database of community colleges and four-year universities.After a careful review of the literature, Keith, Danielle, Sally, Ying-Chaio,Melinda, Darlene, and Heather developed an acceptable dissertation andcompleted their studies

com-We have found quite often that research topics (and their ing research questions), including the aforementioned studies, need to bereworked by the student and dissertation chair (advisor) before they areapproved In some cases, a research topic may be completely rejected bythe dissertation or master’s thesis chair (advisor) as inappropriate for adissertation or master’s thesis.

accompany-CRITERIA FOR TOPIC SELECTION

In selecting an appropriate topic for a thesis or dissertation, the followingcriteria should be considered as important: (a) interest, (b) significance,(c) available data, (d) knowledge and skills, (e) manageability, and (f) fund-ing Let’s examine these criteria to see why they are considered important

Interest

It is the fortunate dissertation student who investigates a topic that isboth professionally and personally compelling Writing a dissertation ishard work Try to find a topic for which you have substantial curiosity andperhaps even passion to sustain you though the process Here is anexample from one of the authors of this book

When I began my career as a high school teacher and coach, I wasselected to be a member of the school district’s teachers’ collective bargain-ing team While serving as a member of that team, I came in contact withmany teachers In talking with them, it became apparent to me that, insome schools in the district, teacher morale was high and in other schools

it was low I was curious why this was so

At the same time, I was a master’s student in educational administration

at the local university I began reading about organizational climate In mygraduate classes at the university, I heard about a new instrument devel-oped a few years earlier for measuring climate called the OrganizationalClimate Description Questionnaire (OCDQ) (Halpin & Croft, 1963).Furthermore, the concept of organizational climate and the OCDQ wasgetting a great deal of attention in the professional literature at that time.There was also some controversy about the eight dimensions of organiza-tional climate and the six climate categories conceptualized through factoranalysis by Halpin and Croft, who originally developed the instrument intheir study of 71 elementary schools chosen from six different regions ofthe United States

The university I attended required a thesis as a requirement for the MAdegree in educational administration I chose as my MA thesis topic: “AValidation of the OCDQ in Elementary Schools” (Lunenburg, 1969) I drew

my sample from 35 elementary schools in Newark, New Jersey, a largeurban school district The school was the unit of analysis I conducted a

factor analysis of the OCDQ with my sample of elementary schools andfound seven discrete climate categories instead of six, and eight dimensions

of climate However, only three dimensions were particularly strong dictors of open and closed organizational climates for my sample of 35 ele-mentary schools: esprit, thrust, and disengagement My analysis was based

pre-on a descriptipre-on of these schools given by 1,050 teacher resppre-ondents and 35principal respondents In addition to conducting a factor analysis of theOCDQ, I examined climate in relation to school size, socioeconomic status

of the community, and differences in perceptions of principals and teachers.Over the next few years, my interest in organizational climate led to mydoctoral dissertation topic: “Organizational Climate, Dogmatism, andPupil Control Ideology” (Lunenburg, 1972; see also, Lunenburg & O’Reilly,1974) I personally administered three instruments (one of which was theOCDQ) during regularly scheduled faculty meetings in 55 elementaryschools located in six urban, suburban, and rural school districts inOntario, Canada The analysis was based on a description of these vari-ables by nearly 1,200 respondents I have continued to work with doctoralstudents in the area of school climate using a variety of climate constructs,other variables, and a variety of research methodologies, including quan-titative, qualitative, and mixed methods designs

Significance

Most university catalogs and dissertation handbooks suggest that thedissertation is a test of your preparation to conduct independent researchand make a significant contribution to the field This is not quite as true formaster’s theses, however We view master’s theses as limited scope disser-tations Basically, a significant topic has the potential to do at least one ofthe following: (a) contribute to the development of a new theory, (b) test

an existing theory, (c) uncover new facts or principles, (d) challenge ing truths or assumptions, (e) suggest relationships between phenomena,(f) provide new insights into phenomena, (g) suggest new interpretations

exist-of known facts, (h) alter other people’s perceptions about phenomena, and(i) extend a research methodology or statistical procedure

Available Data

Earlier in this chapter, we discussed how some of our doctoral studentswere able to take advantage of existing databases However, not allstudents will have the opportunity to use existing databases to collect theirdata The ability to collect data needed for your study is a major consider-ation Access to data is so important that you might consider identifyingyour research participants first and then seek to select a topic

Sternberg (1981) provided an excellent example of a problem withaccess to data The key question Sternberg posed is whether a researcher

can gain admission to topic-loaded samples or groups He uses as anexample a topic in social psychology to make his point According toSternberg, an apparently worthwhile and relevant dissertation topicwould be “The National Security Council as a Small Group: A Test ofBales’s Interaction Process Matrix.” “Bales and his associates, watching,recording, and videotaping Harvard undergraduates for decades throughone-way mirrors have constructed a set of ‘laws’ about how members willbehave, which they assert are generalizable to all small ‘task-oriented’groups” (p 48) However, it is not likely that a doctoral student would get

a chance to set up shop in a room adjacent to the National Security Councilconference room Therefore, such a topic would have to be eliminated.Furthermore, you need to be certain the data for your dissertation will

be available and accessible when you come to the collection phase of yourdissertation The timing of the data collection is just as important as thetopic itself in the calculation of its researchability If your topic-loadedsample or group will disappear in six months or a year; or if personnelwho granted you access change, resulting in new personnel not willing tohonor their predecessors’ offer of entry, you must drop the topic Thesereversals do happen We recommend that you get your commitments todata access in writing

Knowledge and Skills

Selecting a topic consistent with your knowledge and skills is alsoimportant First, you will save time, because you will be dealing with afamiliar topic Second, you can talk knowledgeably about your topic Third,you are more likely to get support from your dissertation chair and com-mittee for a topic about which you have some knowledge Recall that thedoctoral dissertation of one of the authors of this book was a spin off of hismaster’s thesis Even though master’s theses are being phased out of manymaster’s programs, you may have already done research papers and takencourses in a particular subject area Thus, you may find that you have a con-siderable amount of work already completed regarding the literaturesearch Another example of a useful knowledge base, also akin to an expe-riential base, is observed in a recent dissertation proposal by Yu Fen Lin Li.She is an ordained Presbyterian minister and has a master’s degree in the-ology Her PhD dissertation in counseling is qualitative and is based on herknowledge of the Bible and feminism, and her experience as a female pas-tor in a patriarchal culture Her topic is the development of a feminist ther-apy for Taiwanese female pastors in the Presbyterian Church

In addition, selecting a topic that matches your skills is also important.For example, if you undertake a historical study, you must have somefamiliarity with documentary research techniques Courses in historiogra-phy are helpful Similarly, qualitative dissertations will demand knowl-edge of specialized qualitative research techniques, such as interviewing,

observing, document analysis, textual analysis, focus groups, visual ods, autoethnography, data management methods, computer-assistedanalysis, and applied ethnography (see Denzin & Lincoln, 2005) Choosing

meth-a qumeth-antitmeth-ative dissertmeth-ation mmeth-ay not be meth-a deterrent, for mmeth-any individumeth-alsare available to help with statistical analysis Many areas will require acombination of skills; all demand literary proficiency

Manageability

Most doctoral students, and master’s students as well, begin with atopic that is too broad Examples that illustrate what is meant by broadtopic areas include the following: teaching methods, leadership styles,school improvement, bilingual education, or counseling theories Your dis-sertation chair cannot provide useful advice until you get it clear in yourown mind exactly what it is that you want to study By narrowing yourtopic, you make the purpose of your research clear to yourself and others.Sufficiently narrowing your topic helps you organize your literaturereview and produce a specific problem statement with an accompanyingtheoretical framework Part of this narrowing process is writing meaning-ful research questions A further discussion of writing research questionscan be found in Chapter 6

In addition, we recommend that you try to assess the amount of timeyou will need to complete the thesis or dissertation early in the selectionprocess From our experience, although you may have been working onyour topic since you began the doctoral program, the average amount oftime required for the final completion of dissertations is from one year to 18months The time may be longer if you work full time The average master’sstudent requires from four to nine months to complete the master’s thesis

We suggest that you select a dissertation topic that you can complete within

a year or so An example of a topic that does not meet the completion timecriterion we suggested is a dissertation topic that proposes to study thedevelopment of high school students from freshman to senior years This is

a longitudinal study, which would have to extend over four or more yearsand, therefore, would not meet the one-year completion time criterion

Funding

Most thesis and dissertation research is not funded, so you incur all ofthe expenses associated with the project These financial constraintsgreatly limit the scope of the research you can undertake You may checkwith your department, college, or university for internal funding opportu-nities Many federal agencies and some private foundations offer grantsfor graduate students to pursue degrees and write dissertations Grantsare usually not available for writing master’s theses Topics that are cur-rent and have some unique approach are usually more likely to receive

Table 1.1 Grant Opportunities

Dissertation Fellowship Program

Agency: Spencer Foundation

AERA/OERI Dissertation Grants Program

Agency: American Educational Research Association and the U.S Department

of Education Office of Educational Research and Improvement

Deadlines: October 15, April 15

Amount: $15,000 for 1-year projects: $25,000 for 2-year projects (four awardsper year)

Guidelines: http://www.aera.net/anews/announce/af01-002.htm

Dissertation Grants Program

Agency: American Educational Research Association

Deadlines: September 5, January 10, and March 20

Amount: $15,000

Guidelines: http://www.aera.net/programs/

Dissertation Fellowship Program

Agency: Association for Institutional Research (AIR)

In this chapter, we presented guidelines for selecting a suitable topic for athesis or dissertation We recommend that you begin looking for a topic assoon as your graduate program commences

Begin by identifying two or three broad topic areas that interest you

By searching the literature, narrow these broad areas down to one or twospecific topics that you might wish to research Good sources of possibletopics include textbooks, professional journals, dissertations, theories, cur-rent employment, and existing databases

The topic you finally select should be interesting to you, significant,feasible in terms of available data, appropriate to your knowledge andskills, manageable, and attractive for funding In the next chapter, wedescribe how you select a dissertation/thesis chair and committee

2

Selecting a Chair and Committee

Selecting your committee is a very important step in the process of

preparing your dissertation or master’s thesis The chairperson of thecommittee usually has broad power and influence throughout the process

of completing the dissertation or master’s thesis Therefore, the selection of

a chairperson for your project is a very important decision In collaborationwith your chair and committee, you will delimit your topic, develop yourproposal, conduct your research, and write your dissertation ormaster’s thesis Ultimately, your committee will judge the quality of yourproject In this chapter, we present some suggestions that might help you inselecting your dissertation or thesis chair and other committee members.Before choosing a faculty member as your chairperson, consider thechair’s role As mentioned previously, your chair will have broad power andinfluence over the dissertation or thesis process While the specifics of thisrole vary from institution to institution, from department to department,and from chairperson to chairperson, some general functions of the chair arerelatively universal First, the chairperson will approve your dissertation orthesis topic Second, the chairperson will approve, in consultation with you,the other committee members Third, the chairperson will approve everyline, section, and chapter of the dissertation Fourth, the chairperson willdetermine how committee members will be involved in the dissertation orthesis process Fifth, the chairperson will decide when you are ready todefend your dissertation or master’s thesis And, ultimately, the chairpersonwill determine whether you will be granted the degree

Most departments have rules concerning who may and who may notserve as dissertation or thesis chairpersons Some universities allow onlythose individuals who are on the graduate faculty to serve as dissertationchairs; that is, faculty who have adequate, recent publication records andwho teach graduate classes These rules are based on the rationale that fac-ulty who do not have active programs of research will lack the necessaryskills to guide a doctoral research project Rules regarding who may chairmaster’s theses may not be as stringent as those concerning doctoral dis-sertations Because practice varies on who may and who may not serve asdissertation chairs, we recommend that you learn your institution’s rules

as soon as possible Knowing your institution’s local ground rules willhelp you avoid considering a potential chairperson who is not eligible tochair a dissertation or thesis

CRITERIA TO CONSIDER IN SELECTING A CHAIR

You must consider the following factors in choosing a chair: (a) expertise,(b) accessibility, (c) feedback, (d) success, (e) personality style, and (f) attitudestoward methodology The importance of each one will be discussed in turn

Expertise

Ideally, it is in your best interest to find a chair with expertise in yourtopic area You may want to read some of your potential chair’s publica-tions In our opinion, following this advice generally will produce a betterproduct Obviously, the closer your chair’s area of expertise is to yourtopic, the more competent he or she will be to (a) identify difficulties youmay encounter as your proceed with your study, (b) direct you toward lit-erature sources pertinent to your topic, and (c) guide your choice of meth-ods for collecting and analyzing data Furthermore, a chair who has aninterest and competence in your topic area is likely to be more invested inyour project; that is, think through the project more fully and keep a vigi-lant eye on your progress than one who is not knowledgeable about yourtopic area, and, therefore, may lack interest in it as well

Accessibility

Another important factor to consider in selecting a chair is ity Several things can interfere with a chair being consistently accessible toyou during the life of your project When considering someone as a possi-ble chair, you should think about these things Nationally known scholarsmay be too busy with their own research activity to give you the time youneed Other faculty may have active clinical practices or be away fromcampus frequently due to consulting commitments Faculty members who

accessibil-have nine-month contracts with the university may not be available ing the summer Faculty who are planning a sabbatical leave may poten-tially interrupt your progress Another faculty member may be planning totake a position in another university and, therefore, may not be availableduring the progress of your project One of the authors of this book hadher chair go on sabbatical leave during the final semester of her disserta-tion work; therefore, a new chair had to be appointed Popular chairs mayhave an excessive number of dissertations or theses to monitor, becausethey are in high demand.

dur-Then there is the issue of tenure Whereas nontenured faculty contractsmay not be renewed, tenured faculty members are likely to be more stable.You will need to consider the relative accessibility and stability of potentialchairs, along with your own time constraints and projections for completion

Feedback

Typically, the chair provides the first line of quality control for the sertation or thesis And usually the chair will approve the proposal andfinal version of the project before you will be permitted to forward chap-ters of the dissertation or thesis to other committee members Therefore,look for a chair with a reputation for reading, critiquing, and returningwritten drafts promptly

dis-What is a good turnaround time? A good rule of thumb is to allow twoweeks for a response After that, a tactful inquiry may be appropriate.Obviously, students should recognize that it might take longer during verybusy periods (e.g., end of grading periods, holidays, and before gradua-tion deadlines when all students want to finish their projects)

You should balance timeliness of response with the thoroughness withwhich the potential chairperson reads submitted material Some chairsprovide vague feedback (e.g., rewrite this section), while others may pro-vide detailed comments (e.g., “You need to identify the three main factorsand then evaluate them in light of the theories you have discussed.”).Waiting longer for a chapter to be returned by a chair may have some pos-itive consequences First, if you satisfy a chair who provides a thoroughcritique of your work, you are less likely to encounter serious problemswith other committee members Second, you will be better prepared foryour proposal defense and final oral defense of your dissertation or thesis.Third, once you have satisfied your chair’s standards, he or she is morelikely to support you if one of your other committee members becomesoverly or unreasonably critical of your work

Success

Success at bringing students to graduation is an important factor to sider when selecting a chair Because you are concerned with completingyour degree, count how many successful students your potential chair has;

con-that is, what percentage of the chair’s students finish their degrees Considerthis criterion cautiously, because some faculty members may not have hadthe opportunity to chair doctoral dissertations or master’s theses.

Personality Styles

Personality styles matter to some people Writing a dissertation or sis is a collaborative process between you and your chairperson.Obviously, you want a chair with whom you can work reasonably well.You will need to assess the match between what you expect from yourchair and your chair’s notion of the best way to perform his or her role

the-Chairpersons vary greatly in how they work with students on tations and theses Those at one end of the continuum closely monitor eachphase of the students’ work, in some cases stipulating exactly what is to bedone at every step, and then require the student to submit each section ofmaterial for critique Chairs at the other end of the continuum tell students

disser-to progress on their own and disser-to finish a complete draft of the project beforesubmitting it for evaluation Most chairs will probably fall somewherebetween these two extremes

Chairpersons also differ in the way they provide criticism Some areblunt and even derisive Others are direct and kindly in critiquingstudents’ work Still others are so cautious of students’ feelings whenpointing out weaknesses that they fail to guide their students in correctingdeficiencies In the latter case, someone else on the committee will have tostep up and perform that duty; for the role of the chair and committee is

to ensure that the candidate has met the university, college, and ment standards

depart-Students also have personal preferences with whom they want to work,

in general For example, some students prefer to work with female facultymembers, while others prefer to work with male faculty Some studentsprefer to work with older people, while others prefer younger faculty

Attitudes Toward Methodology

Faculty members often differ concerning their preferences for a lar research method A research method comprises the strategy followed incollecting and analyzing data The major distinction in classifying research

particu-by method is the distinction between quantitative and qualitative research(Gay, Mills, & Airasian, 2006) Quantitative and qualitative research can bebroken down further into several distinct types, each designed to answer

a different kind of research question Quantitative research involves thecollection and analysis of numerical data, which are usually rendered inthe form of statistics Advocates of quantitative studies tend to prefersuch research types as descriptive (or survey), correlational, causal-comparative, and experimental research Proponents of such studies claim

that their work is done from within a value-free framework (Denzin &Lincoln, 2005).

Qualitative research involves mostly nonnumerical data, such asextensive notes taken at a research site, interview data, videotape andaudiotape recordings, and other nonnumerical artifacts Qualitativeresearchers stress the socially constructed nature of reality, the intimaterelationship between the researcher and the participant, and the situa-tional constraints that shape inquiry Qualitative researchers emphasizethe value-laden nature of inquiry (Denzin & Lincoln, 2005) Proponents ofqualitative studies tend to favor such research approaches as case study,ethnography, ethology, ethnomethodology, grounded theory, phenome-nology, symbolic interaction, and historical research

You need to examine the match between your preference and yourpotential chair’s preference for a research method Many faculty membersaccept both quantitative and qualitative research methods, including theauthors of this text We believe that the issue is not which method is better,but rather which method (quantitative, qualitative, or mixed methods)will best answer the particular research question or direction of inquiry

COMPOSITION AND ROLE OF THE COMMITTEE

Dissertation and thesis committees vary in size, composition, and roledepending on the institution’s rules and the degree awarded The com-mittee usually consists of the chair and an additional number of facultymembers Typically, the thesis committee has three members, and the dis-sertation committee has between three and five members

Sometimes there is a requirement that at least one of the committeemembers be from a department other than the student’s major depart-ment Some universities require that the majority of the committee bemembers of the graduate faculty Institutions usually require that the com-mittee chair be a member of the graduate faculty The committee usuallyserves through the proposal stage to the satisfactory completion of thedissertation or master’s thesis

Composition

The composition of committee members can be very important to thequality of the completed thesis or dissertation We recommend that youstart at the top First, select your committee chair Then, working in col-laboration with your chair, you can complete the selection of the othercommittee members Your chair will be in the best position to help you.You may offer some suggestions of your own, but you should allow yourchair to guide you in the decision Your chair likely will know what exper-tise respective committee members can contribute to your project Andyour chair may work better with certain colleagues than with others

Ideally, committee members should supplement your chair’s expertise.

If your study requires complex statistical procedures and your chair is not astatistician, you may want to add to your committee a faculty member who

teaches your department’s statistics courses We call this person a resident statistician At our institution, we include the resident statistician on all com-

mittees that involve complex statistical procedures If your study is tive, and your chair is not strong in qualitative research techniques, adding

qualita-a ququalita-alitqualita-ative resequalita-archer to your committee mqualita-ay be useful Aim for bqualita-alqualita-ance

on your committee A well-balanced committee might include a facultymember who is strong in theory, someone who is knowledgeable about theliterature in your field, and another person who is a careful editor

Role

Although specific duties of committee members vary depending onthe institution, general roles include the following: (a) the committee pro-vides consultation to the student throughout the process of the research;(b) committee members establish the direction of study by approving theproposal and assisting the chairperson in providing direction for thestudy; (c) they offer additional assurances to the university, college, anddepartment that the dissertation or thesis standards have been met;(d) they examine the student and approve the final oral defense; and(e) they make judgments about the student’s written work, including sub-stance, style, and usage

In a specific sense, however, the role of committee members can varygreatly by institution or department In some departments, committeemembers read the dissertation or thesis proposal and final written docu-ment only after the chair has approved these documents Approval fol-lows extensive work between the student and the chair concerning theresearch questions/hypotheses, design of the study, and other details ofthe project Committee members offer suggestions and criticisms, andparticipate in the proposal and final oral defense meetings In otherdepartments, each committee member will actively contribute expertise

at each stage of the dissertation (thesis) process Chapters will be mitted simultaneously to all committee members, after the chair’sapproval In most cases, the specific model used will probably fall some-where between the two extremes

sub-RESEARCH PROSPECTIVE

COMMITTEE MEMBERS

Researching the pool of prospective chairpersons and committee members

is essential There are four main sources of information to explore: (a) yourown experience, (b) other students, (c) dissertations, and (d) Web sites