Advancement to Candidacy and Dissertation Guidelines
Dissertation Guidelines (pdf)
IRB Tips 1-10 (pdf)
This dissertation process moves according to the following sequence:
2. Recommendations for Dissertation Committee Members (Form 1)
3. Approval of Formal Study Proposal (Form 2)
4. IRB - Institutional Review Board
6. Approval for Oral Defense (Form 3)
7. Oral Defense Approval Status (Form 4)
8. Revisions and Manuscript Review
9. Final Approval with Dean's Sign-off
Refer to documents currently in the Community Area on WebCT
2. Recommendations for Dissertation Committee Members (Form 1)
After you have advanced to candidacy, you may recommend a dissertation committee. There are three members on each dissertation committee, with the chair being a member from the approved faculty list. The Dissertation Chair may include a fourth member to enrich the research in a meaningful way. You will first seek a Dissertation Chair and, in consultation with him/her, select two other committee members. It is recommended that one of the committee members is an active practitioner with an earned doctorate from an external, accredited institution and not be a graduate from this program. The department strongly recommends two, must represent academic areas related to the study. Each committee member will note his/her willingness to serve on the dissertation committee by signing the Dissertation Committee Form 1 which is then sent to Graduate Academic Services.
The Dean reserves the right to realign dissertation chair assignments based upon faculty load and availability. Graduate Academic Services will send you a letter designating the approved committee and will transmit contracts to the approved committee.
Approved chairs may not serve as members of the dissertation committee except when they are assigned as a mentor to a new chair. The chair is directly responsible for the quality of the approved research proposal, the research process, and the dissertation.
APPROVED LIST OF DISSERTATION CHAIRS: ED.D.*
Adams, Doug Larick, Keith
Bearley, Bill Machi, Larry
Blow, Deborah Magee, Sherry
Corkrum, Bob McGuire, Tom
Der Karabetian, Aghop Obermeyer, Lou
DeVore, Doug Parker, Robert
Diedrich, Bill Pendley, Phil
Drolet, Bonita Ramos, Mike
Giese, Dick Rasmussen, Alan
Greenberg, Jonathan Redman, Peggy
Hansen, Robert Roberts, Carol
Harvey, Tom Sadler, Beverly
Hoffman, Jay
Hyatt, Laura
*This list is subject to change without notice.
Students who need help or suggestions about forming a committee and/or finding committee members may contact one of the Department of Organizational Leadership faculty members listed above. Call the department at 909-593-3511 x 4382 for a list of their contact information, topic specialty, and preferences which can be emailed directly.
Meetings may be held any way the committee deems necessary. Because the University does not pay for travel for committee meetings, much communication is done virtually or by phone, fax, and/or email. The university will pay for travel for the oral defense {one flight/one overnight (two overnights if no timely flight out)}. Contact the Organizational Leadership Department office at 909-593-3511 x 4382 for information regarding expenses. The expense report* and policies can be found at these university websites: http://www.laverne.edu/resources-services/finance/assets/eForm-Expense-Report-40cent_rev_5.xls (expense report); http://www.laverne.edu/resources-services/finance/assets/Travel-Expenditures-Policy-020309.pdf (policies).
*Remember, expense reports need to be turned in to the Department of Organizational Leadership with original receipts within 90 days of expenditures or they will not be reimbursed. Save all original receipts!
Questions dealing with style, format, copyrights, and other technical requirements of manuscript preparation are answered in the Department approved style manual. APA has been approved as the style manual to be used by Doctoral students at the University of La Verne. You need to be knowledgeable of the contents of the Manual as you write your dissertation.
APA Style - American Psychological Association. (2001) Publication manual of the American Psychological Association (5th Edition). Washington, DC: Author.
Turabian style may be used ONLY with the approval of your Dissertation Chair.
Turabian Style - Turabian, Kate L. (2007). A Manual for Writers of Term Papers, Theses and Dissertations. (7th Edition). Chicago: University of Chicago Press is another option.
ORDER OF THE DISSERTATION
Frontispiece unnumbered*
(University of La Verne signature page)
Title Page unnumbered*
Copyright Page (if applicable) unnumbered*
Blank Page unnumbered*
Table of Contents lower case Roman numeral
i.e. at the bottom middle of page v
List of Figures/Illustrations lower case Roman numeral
i.e. at bottom middle of page vi
List of Tables lower case Roman numeral
i.e. at bottom middle of page vii
Acknowledgements lower case Roman numeral
i.e. at bottom middle of page viii
Dedication lower case Roman numeral
i.e. at bottom middle of page ix
Epigraph lower case Roman numeral
i.e. at bottom middle of page x
Chapter I Arabic numeral at bottom middle
i.e. of page for beginning of chapters 1
and at top right for text
Chapter II
i.e. 10
Appendix (ces)
i.e. 65
Bibliography
i.e.81
*Every page is counted but may or may not be numbered.
Chapters: Most dissertations contain 5 chapters. However, this may vary depending on the type of research.
3. Approval of Formal Study Proposal (Form 2)
After the committee has been determined, you write a dissertation proposal, which is to be approved by the committee; once approved, Form 2 is signed. The approval (Form 2) is placed in your file in Graduate Academic Services. Form 2 requires the Dean's approval before you may proceed to the next step and may not be submitted with Form 3.
4. IRB - Institutional Review Board
Preamble
The University of La Verne believes in the value of research involving human participants, and accepts an ethical responsibility for safeguarding their rights and welfare with due consideration to ethnic and cultural issues (Code of Federal Regulations, Title 45; Part 46, Department of Health and Human Services, Protection of Human Subjects, Revised, June 1, 1991).
B. Policy
Definition
According to the federal rules Title 45 (Code of Federal Regulations, Part 46) research is defined as "a systematic investigation, including research development, testing and evaluation, designated to develop or contribute to general knowledge. Activities which meet this definition constitute research for purposes of this policy, whether or not they are conducted or supported under a program which is considered research for other purposes. For example, some demonstration and service programs may include research activities."
Human participant is defined as "a living individual about whom an investigator (whether professional or student) conducting research obtains (1) data through intervention or interaction with the person, or (2) identifiable private information."
COLLEGE OF EDUCATION AND ORGANIZATIONAL LEADERSHIP
IRB APPLICATION PROCEDURES
JANUARY 2010
The CEOL & University IRB: The application process requires the approval of the College of Education and Organizational Leadership Institutional Review Board (IRB) AND the University Institutional Review Board (IRB). The CEOL College level board consists of Drs. Jackie Adamson, Doug DeVore, and Peter Williams. The University level board consists of representatives from all graduate level colleges. The collection of data for standard review applications may not take place until approval by the latter board through its Director, Dr. Fred Yaffe. The collection of data for Exempt and Expedited applications can take place after approval from the CEOL IRB Board as evidenced by an initial letter of approval from the CEOL IRB Chair, Dr. Doug DeVore.
The Process:
1) Forms may be accessed at http://www.laverne.edu/academics/institutional-review-board/forms. Once downloaded, you can fill them out on your computer. The application may not be submitted prior to approval of the study by the dissertation committee at the Form 2 meeting.
2) When the IRB Application has been completed and the dissertation chair has approved, he/she should send an e-mail message to ddevore@laverne.edu indicating their permission for the student to submit it (not a requirement for faculty researchers). The application will not be processed without this approval.
3) The researcher may then e-mail the following as attachments to the same e-mail address: a) IRB Action Form; b) IRB Application Form; c) letter of invitation to subjects; c) informed consent form.
4) Copy of the instrument or script in the case of the interview technique. Each should be labeled as IRB.Surname. Form.doc/. An example would be IRB.Smith.Application.doc/. All forms should be in Word document format. Some hard copy documents, such as copyright instruments may be scanned to PDF.
5) As the facilitator, Dr. DeVore will check for completion and send the packet by e-mail to his colleagues on the College IRB for their examination. The CEOL IRB Board currently meets the 2nd, 4th, and 5th (when applicable) Thursday of each month. Dr. DeVore will relay the CEOL IRB's decision to both the researcher and the dissertation chair via email. Note: The student may begin collecting data when the College IRB gives its approval, however, a University IRB approval letter from Dr. Yaffe will be sent after a final by the University IRB. Keep the form for reference. The form or a copy will need to be included in an appendix of your dissertation and specifically listed in your table of contents. This board principally meets on the second Thursday of each month.
Other Information:
1. All questions regarding IRB should be initially directed to Dr. DeVore at ddevore@laverne.edu or at 623-748-9704.
2. Do not worry about signatures of the applicant or the Dissertation Chair. The assumption will be that the student has submitted the form. The dissertation chair's e-mail message to the Chair of CEOL IRB (Dr. DeVore) will be accepted in lieu of his/her signature.
3. Informed consent forms signed or electronically acknowledged by subjects are required in most expedited and all standard studies. An exhibit of the form to be given to participants is all that is needed for the application process.
4. Where the researcher is using a copyrighted instrument, either a copy of the purchase order or a letter granting permission to use it is required. If using an instrument used by a previous dissertation researcher, a letter of permission must also be submitted.
5. The purpose of the online application process is an attempt to speed up the process. Do not mail a hard copy to CEOL or University IRB: it will only slow down the process.
6. Do not use the University of La Verne logo on any document. To do so signifies it as an official university document. You are important but not official.
7. Clarify that you are a doctoral student in any document. Do not represent yourself as a representative of the university.
8. Please refer to the website: http://www.laverne.edu/academics/institutional-review-board/ for further information and necessary forms.
Now you've been approved to proceed with research. Review statistical content with chair and committee regarding progress and any issues that may arise.
6. Approval for Oral Defense (Form 3)
You work with your committee writing and revising drafts until all three members of the committee agree that the dissertation has reached final draft state and is ready for oral defense. The dissertation copy submitted to Graduate Academic Services prior to the oral defense must be bound. The binding should allow the document to be opened all the way and laid flat. Using a plastic spiral (comb) binding is a good way to bind the document.
Who Sets Up My Oral Defense?
In collaboration, the Dissertation Chair, committee members, and you decide the date, place and time of the oral defense. It is preferable for the oral defense to be held on the University campus but not necessary if there is a need to do otherwise.
It is your responsibility to make all logistical arrangements associated with the oral defense. These arrangements must be completed at least two weeks in advance of the defense. Never assume that equipment will be available in the room scheduled for the presentation.
Policy for Participation in Commencement Ceremony
Prior to April 1 of the year of Commencement:
1) Completion of, or enrollment in all program courses and requirements,
2) Submission of Form 3 requesting approval for the oral defense of the
dissertation and required documents.
Prior to May 1 of the year of Commencement:
Successful defense of the dissertation.
The graduate application must be submitted to the Graduate Academic Services Office. It can be found at this website:
The cap and gown order form can also be found on line at the commencement website: http://laverne.edu/commencement/spring/regalia/info-law-dr
These forms may also be obtained by contacting Graduate Academic Services, Geri Geissler at 909-593-3511 x 4243
Logistical arrangements include:
- Scheduling the date, time, and room for the oral defense. (http://library.laverne.edu/rooms.shtml for Wilson Library Rooms)
- Arranging for all equipment needs through the campus Office of Information and Technology (x4130) if the defense will be held on the University of La Verne campus. Most classrooms are "Smart" rooms and have the data projector set up already installed but you should confirm this at the time of reservations. If the defense is to be held off campus, you should discuss your equipment needs with your Dissertation Chair.
(Equipment needed might include overhead projector, screen, whiteboard, chalkboard, slide projector, video monitor/and player, and/or computer, data projector equipment such as Datashow or Infocus projection systems.)
- Assuring that all slides and/or photocopies are accurate and complete before the presentation - resources needed to create additional transparencies or copies may not be available you on the day of the defense.
Remember, all equipment and materials for the oral defense are your responsibility.
The Graduate Academic Services Office (Geri Geissler) must receive Dissertation Form 3 - Approval for Oral Defense, and accompanying documents at least two weeks prior to the date chosen for your defense.
7. Oral Defense Approval Status (Form 4)
Graduate Academic Services will distribute the announcement of the oral defense among graduate faculty members on campus.
At the defense, you should provide:
a) a copy of Form 4, and
b) two copies of the Signature Page;
A unanimous vote of all committee members is required to pass the oral defense. At the conclusion of the oral defense, you may be:1) passed with no revisions necessary,
2) passed with minor revisions,
3) passed with major revisions,
4) continued to another oral defense date due to the significance of the required changes,
5) failed, with recommended follow-up action.
8. Revisions and Manuscript Review
The following steps after the Oral Defense of the Dissertation will expedite the final
signing of the dissertation by the Dean within the one-year time limit from the date of the Oral Defense.
1. Submit Form 4 to Graduate Academic Services Office, attention Geri Geissler.
2. Be sure to have your Dissertation Chair and Committee Members sign two originals of the signature page. These pages will be held by the Dissertation Chair until all revisions are completed.
3. You will most likely have minor or major manuscript revisions to make. Make the changes in your dissertation as agreed upon by your committee at the oral defense. Submit to the Chair and Committee as specified at the Oral Defense.
4. Once your committee has approved your revisions, type the dissertation in its final form following APA or Turabian format with Dissertation Chair approval and the University of La Verne Dissertation Guidelines. Follow the order in this booklet for the dissertation.
5. Submit the following to the Graduate Academic Services Office:
a) One copy of the dissertation - unbound on plain paper
b) Two original signature pages with committee signatures.
PRODUCING THE DISSERTATION: PRINTING AND PAPER
The University of La Verne requires that the original of the final dissertation be typed on high quality typewriter or electronically processed on a word processor or computer that yields clear, dark, letter or laser-quality copy. Material from machines that produce dot matrix is not acceptable. The type may be either pica or elite and most consist of upper and lower case letters. The right margins should be ragged, not justified.
Electronically processed material should be submitted in a 12-point size, preferably in Courier or a Roman-style font (e.g., Times) or a straightforward, sans-serif type (e.g., Helvetica). Script or elaborate, "fancy" type fonts are not acceptable. It is important to select a highly-legible font that holds up well to production. The dissertation will be photographically reduced and micro-fiched during the publication process. The clarity and readability of the original is critical to the success of this process.
The paper on which the dissertation is produced should be bright white, twenty-four (24) pound cotton (at least 25%) fiber bond. Erasable bond paper is unacceptable as the typed material may be erased with a common rubber eraser.
Laser printers are acceptable, but the style manual must be followed with regard to such features as size of type, bold face, options, italics, centering, and underlining.
At this point, your dissertation will be forwarded to the manuscript reviewer for final review. Expect that the reader will have your dissertation a minimum of two weeks, sometimes longer, depending on the volume of documents being submitted. Graduate Academic Services will return your dissertation to you for required corrections after the reading.
If the revisions are major, the APA/Turabian review will have to be redone after you make the necessary changes. The first review is complimentary. If the reviewer finds major errors and requests a second manuscript review, an additional $100.00 reviewer fee must accompany the revised copy. Since, in this circumstance, the dissertation will undergo a second reading and further correction, only one unbound copy and the pages showing marked corrections needs to be resubmitted. A third or fourth review may require even higher reviewer fees.
9. Final Approval with Dean's Sign-off
When the final corrections are complete, submit the following items to Graduate Academic Services:
a. All pages marked by the manuscript reviewer
b. One original and a high quality copy of the finalized dissertation
c. Dissertation fee made payable to University of La Verne. (See current University of La Verne Catalog or call Graduate Academic Services for amount)
d. Cashiers check or money order (if copyright claim is desired). Make the cashiers' check or money order in the amount listed in the booklet payable to PQIL.
e. Microfilm Form with the following:
1. Title page ( no date)
2. Abstract - 8 ½ X 11 - 350 words or less, two copies. The abstract will be reproduced by ProQuest exactly as it is received.
When the Dean signs the signature pages, grade change reports for 698a and 698b are sent to the Registrar's Office to complete the credits for the doctoral program. This completes the dissertation process, and the doctoral degree will be posted if all financial obligations to the University are fulfilled and all other program requirements are met.
