Lamson Library: Dissertation Guide: Formatting

Formatting Checklist

A checklist version of the main points of dissertation formatting is available below.

PSU Dissertation Formatting Checklist

General Layout and Text Requirements

APA Manual

Unless otherwise noted, dissertation formatting should follow the guidelines in the APA Publication Manual 7th edition. Even when formatting guidance is given below, it is likely that more detail addressing specific cases can be found in the APA Manual.

Margins

The left margin must be at least 1.5 inches. All other margins must be at least 1 inch.

Page Numbering

Page numbers must appear at the top right corner of pages.

Pretext pages: The abstract, copyright page, title page, and approval page in the pretext section are not numbered. Beginning with the page after the signature page, pretext pages are numbered with lower case Roman numerals (e.g., i, ii, iii, iv)
Body: The body of the text, including Appendix/Appendices and References, are numbered consecutively with Arabic numerals (e.g. 2, 3, etc.)

Text Spacing

Use double spacing for the body of text. See APA spacing guidelines for exceptions.

Font

Use 12-point Times New Roman font for text throughout the document.

Headings

Refer to APA for heading format. All headings, regardless of level, must be the same font size.

The running head is an abbreviated version of the paper title that appears at the top of every page starting with the title page. The running head should contain a maximum of 50 characters, counting letters, punctuation, and spaces. See the APA Manual section 2.8 for more information on running heads.

Orphan Lines

No orphan lines may appear at the top or bottom of a page. An orphan line is the last line of a paragraph that sits alone on the top of a page, or the first line of a paragraph that sits alone at the bottom of a page. Most word processing programs have settings called "orphan and widow control" that can correct this.

Preliminary Pages

Order of Preliminary Pages

Flyleaf - a blank page
Abstract
Copyright page (optional)
Title page
Approval page
Dedication (optional)
Acknowledgments (optional)
Table of Contents
List of Figures (required if applicable)
List of Tables (required if applicable)
Executive Summary

Abstract

An abstract is a summary of the document’s purpose, methods, major findings, and conclusions. The abstract for the library copies must include the major professor’s original signature. Your name (designated “Student Name”) must appear exactly the same throughout the document. In all cases, use the official name of the major. Follow the formatting of the example below. Please note that local formatting for the abstract page differs slightly from APA formatting.

The abstract is between 150-250 words, and no longer than one page. The text is one paragraph with no indentation, and is double-spaced. No references or citations are included in the abstract.

Keywords are noted and listed at the bottom of abstract. Write the label "Keywords:" (in italic) one line below the abstract, indented 0.5 in. like a regular paragraph, followed by the keywords in lowercase, separated by commas. The keywords can be listed in any order. Do not use a period or other punctuation after the last keyword.

This page is counted, not numbered, nor does it appear in the Table of Contents.

Copyright Page

The copyright page is optional but recommended. Follow the formatting of the example below. Text is centered in the middle of the page. Nothing else should appear on the page.

Please note that you are the copyright holder of your dissertation regardless of whether or nor you register your copyright with the US Copyright Office. The library website has additional information about copyright registration.

This page is counted, not numbered, nor does it appear in the Table of Contents.

Title Page

Follow the formatting of the example below.

Approval Page

Follow the formatting of the example below. All signatures collected on the library copies’ approval pages must be original. Your signature constitutes consent to have your document available for public reference in Lamson Library.

Each committee member's name is listed with degree credentials after the name. This information should be verified by the dissertation author with each committee member. Each committee member provides a signature.

This page is counted, not numbered, nor does it appear in the Table of Contents.

Dedication Page

The dedication page is optional. The word DEDICATION in all caps is centered at the top of the page. The text is narrative and is double-spaced.

The dedication page is counted, shows the appropriate lower case Roman numeral page number at the top right of the page, but is not listed in the Table of Contents.

Acknowledgements

The acknowledgements page is optional but recommended. This page recognizes institutions, funding sources, mentors, colleagues, family and/or friends who may have helped. The exact content of this page is up to you.

The word ACKNOWLEDGEMENTS in all caps is centered at the top of the page. The text is narrative and double-spaced.

The acknowledgements page is counted, shows the appropriate lower case Roman numeral page number at the top right of the page, but is not listed in the Table of Contents.

The Table of Contents reflects the specific levels of organization within the dissertation. Ensure that the page numbers accurately reflect where the headings appear in the text. Listing the chapter headings in the Table of Contents is required; listing the subheadings is optional, and you may list some levels but not others.

All headings and subheadings in the Table of Contents exactly match the headings and subheadings used in the text body, and should be typographically the same (e.g., type font and style, capitalization).

Chapter headings are flush left. Subsequent levels are denoted by indention in the Table of Contents. Dot leaders are used, and all listed page numbers are aligned right. Use double spacing between entries, but single spacing if an entry runs onto more than one line. A hanging indent should be used in the case of an entry running onto more than one line.

List the appendix or appendices (if applicable) in the Table of Contents. List the Appendices Heading Page in the Table of Contents. Each appendix has its own letter designation and title. When listing an individual appendix, include its title.

If the Table of Contents is more than one page, subsequent pages should be headed “TABLE OF CONTENTS (Continued).”

Return twice between the TABLE OF CONTENTS heading and the first item in the table.

Table of Content pages are counted, show the appropriate lower case Roman numeral page numbers at the top right of each page, but are not listed in the Table of Contents.

List of Figures

A list of figures is required if two or more figures appear within the text. "List of Figures" appears in bold with title case centered at the top of the page (formatted as APA Level 1 Heading). The list uses the titles as they appear in figures within the manuscript.

All figures are numbered with Arabic numerals in the order in which they are first mentioned within the manuscript and the title of each figure is included. Entries must be double-spaced. Entries longer than one line must be single spaced with a hanging indent. Dot leaders are used, and all listed page numbers are aligned right.

List of Figures pages are counted, show the appropriate lower case Roman numeral page numbers at the top right of each page, and are listed in the Table of Contents.

List of Tables

A list of tables is required if two or more tables appear within the text. "List of Tables" appears in bold with title case centered at the top of the page (formatted as APA Level 1 Heading). The list uses the titles as they appear in tables within the manuscript.

All tables are numbered with Arabic numerals in the order in which they are first mentioned within the manuscript and the title of each table is included. Entries must be double-spaced. Entries longer than one line must be single spaced with a hanging indent. Dot leaders are used, and all listed page numbers are aligned right.

List of Tables pages are counted, show the appropriate lower case Roman numeral page numbers at the top right of each page, and are listed in the Table of Contents.

Executive Summary

Follow the formatting of the executive summary example below.

The executive summary should be on department letterhead and is limited to one page. The degree name (in bold), author name and dissertation title should be centered under letterhead heading.

The Introduction should identify the study and include the purpose of the Dissertation study. Language used here should be compelling and draw in reader.
The Problem of Practice should be concisely stated in one sentence.
The Research Method should describe briefly the method of the study in no more than three sentences.
The Summary of Findings should be stated concisely in no more than three sentences.
The Limitation(s) of Study should be stated in no more than two sentences.
The Implications/Significance of Study should be informative and connect back to your problem of practice. No more than two sentences.

The Executive Summary page is counted, shows the appropriate lower case Roman numeral page number at the top right of the page, and is listed in the Table of Contents.

The Four Chapters of the Ed.D. in Educational Leadership Dissertation and Their Purposes

The four chapters of the Ed.D. in Educational Leadership dissertation are designed to highlight the program’s commitment to learning through leading improvement efforts focused by the social justice imperative to improve education of all children and youth through equity and excellence.

Chapter 1: Moving from a Problem to a Problem of Practice

The purpose of chapter one is twofold. First, the chapter narrows the dissertation’s focus from a larger problem to illuminate the specific problem of practice that the candidate seeks to improve through evidence-based improvement leadership.
Problems of practice reside in complex contexts with multiple, uncertain causes and various interpretations determined by the beliefs and assumptions of a variety of stakeholders.

The second purpose is to persuade others that a problem exists within the candidate’s sphere of influence. In mounting this persuasive argument, the candidate must describe the current gap between the existing state and the preferred or goal state within the candidate’s organizational context.

The chapter should answer the overall questions: What is the specific problem of practice, why does it need to be addressed, and what is the candidate’s position on the problem?

Chapter 2: Review of Knowledge for Action

This chapter builds a conceptual framework to deeply understand what is happening by presenting supporting arguments for the research questions.
Importantly, the review of knowledge that can support the actions for improvement that will part of this study allows you to position yourself as a scholar practitioner of educational leadership by synthesizing and critiquing the theory, empirical research, stakeholder perspectives, and extant documents to build a model that connects your improvement efforts to important outcomes for children and youth. It is by building a persuasive argument across these four sources that you establish the significance of your work.

In writing this section, you must make tough strategic choices. You should not report all tangentially related literature (theoretical and empirical), all stakeholder narratives, or all the extant documents from your setting. Your purpose is to situate your study within a broader understanding of theory, reports of research studies, effective practices, and current actual practices within your context. By carefully selecting the knowledge from these sources that will guide your leadership actions, you demonstrate that a scholar of practice supports strategic improvement through a balanced use of multiple sources of actionable knowledge to support the claim about current conditions and the need for change and advance the argument for a particular set of improvement practices.

The chapter should answer the overall question: What has been done to address the situation relative to the problem of practice?

Chapter 3: Methods and Design for Action

This chapter describes multiple lines of inquiry used during the improvement process. It employs information from the candidate’s logic model and the Design Alignment Tool (Kanyongo, 2017) below to justify an applied inquiry plan to carry out the improvement initiative, inform the research questions, and document impacts of the improvement initiative. It makes a strong case for how the methods and designs of the study address the research question(s) by describing the people involved, the methods used, the practices monitored and evaluated, and the criteria used to define improvement.

Design Alignment Tool (Kanyongo, 2017)

Study Problem and Purpose Provide one sentence for each. They must align with all RQ rows.	Research Questions List each research question (RQ) in a separate row below. Add or delete rows as needed.	Data Collection Tools List which instrument(s) are used to collect data that will address each RQ.	Data Points Yielded List which specific questions/ variables/ scales of the instrument will address each RQ.	Data Source List which persons/ artifacts/ records will provide data.	Data Analysis Briefly describe the specific statistical or qualitative analyses that will address each RQ.
	RQ 1:
	RQ 2:
	RQ 3:

This chapter answers the overall question: How do the research questions, theoretical framework, research studies, stakeholder data, existing documents reviewed in Chapter Two lead to a design for rigorous lines of inquiry and action?

Chapter 4: Description of Findings and Recommended Actions

The purpose of this chapter is to present findings, results and recommended actions to demonstrate if they fit your improvement model. You may want to begin Chapter 4 with a brief reminder or restatement of your research question(s) and hypotheses.

The discussion also draws conclusions from the findings and results to determine recommendations and leadership lessons that emerged from the initiative.

In the case of findings resulting from quantitative lines of inquiry, organize and present the data according to variables embedded in the research questions. Findings are reported succinctly in the text and/or presented in the form of a clearly labeled table or tables that are understandable at a glance to an informed reader.

In the case of findings resulting from qualitative lines of inquiry, organize the data thematically according to how they respond (or do not respond) to the variables embedded in the research questions. Present the findings using thick, rich descriptions of the context and multiple, relevant quotes from participants that support (or do not support) the variables in your research questions.

This chapter answers the following two questions:
1. What information was gathered that supports or fails to support the improvement effort and provides contexts for your leadership decisions?
2. What was learned from the improvement effort and how do these understandings inform current and future efforts related to the problem of practice?

Figures & Tables

Figures and tables may be located in one of two places in your document. You must choose one system and use it consistently throughout your work. Either insert the figures and tables within the text, as close as possible after the first reference is made to them or place your figures and tables at the end of the chapter in which they are first discussed or referenced.

Figures

The definition of a figure is quite broad. Figures include charts, diagrams, drawings, examples, graphs, illustrations, maps, photographs, etc. In the majority of cases, if it’s not a table, it is a figure. Follow APA guidelines (APA Publication Manual, chapter 7) for figure numbers, titles, images, legends, and notes.

Each figure has a figure number and a descriptive title located above the figure, on the same page as the figure. Number figures consecutively throughout the text or within the chapter, i.e., Figure 1.1 for the first figure in Chapter 1 and Figure 2.1 for the first figure in Chapter 2.

Tables

A table is broadly defined as a compact, systematic list of data (facts, figures, values, etc.), generally arranged in columns and/or rows. Follow APA guidelines (APA Publication Manual, chapter 7) for table numbers, titles, headings, body formatting, and notes.

Each table has a table number and a descriptive title located above the table, on the same page as the table. Number tables consecutively throughout the text or within the chapter, i.e., Table 1.1 for the first table in Chapter 1 and Table 2.1 for the first table in Chapter 2.

Oversize Figures & Tables

Because of their shape, some figures and tables may need to be placed crosswise on a page. If so, the top of the figure or table should be at the left margin as viewed normally (i.e. portrait orientation), and the caption should be parallel to the right margin. The page number keeps the same location and orientation as all other page numbers in the text. Margin requirements apply.

Figures and tables within the main text should be no longer than one page and should not be split between two pages. However, tables and figures that are in the appendices can extend beyond one page.

Supplementary Pages

Order of Supplementary Pages

References
Appendix/Appendices
Biography (optional)
Flyleaf - a blank page, not numbered

References

References are formatted according to APA Guidelines. Reference page heading is styled as APA Heading 1.

All citations in the main text including primary and secondary sources are included in the reference list. All references in the reference list are cited in-text. References are listed alphabetically. Entries are double-spaced with a hanging indent of 0.5”.

References pages are counted, show the appropriate Arabic numeral page numbers at the top right of each page, and are listed in the table of contents.

Appendix/Appendices

The appendices include materials relevant to the research and referenced in the main text (e.g. raw data, letters of permission, institutional review authorization, surveys or other data collection materials).

An appendices heading page precedes the individual appendices. This page contains the word Appendix or Appendices formatted as APA Heading 1.

Each appendix begins with a new page, has its own letter designation A, B, C…etc., and a descriptive title. The appendix letter is followed by a period and then by the descriptive title. The appendix heading and title are styled as APA Heading 1.

The appendices heading page and subsequent appendices pages are counted and show the appropriate Arabic numeral page numbers at the top right of each page. The appendices heading page and each appendix and are listed in the Table of Contents.

Biography

A biography of the candidate is optional. It should be written in the third person and include the following information: place of birth, place and date of college graduation with degree(s) and major(s), professional or employment experience, scholarly publications, memberships in professional or honorary societies, and future plans or employment. The last sentence must state, “S/He is a candidate for the—degree in — from Plymouth State University in Month, Year.”

Printing and Packaging Specifications

Because bound copies will be placed on shelves in Lamson Library, the following paper and printing specifications will help us preserve your thesis or dissertation for a longer shelf life.

Use the same white acid free resume/thesis paper for the entire document (recommended: 20-30 lb. paper)
Document text must appear on only one side of the paper (no double-sided pages)
Photocopy the final document, OR print using a laser printer. Do not use an inkjet printer or water-soluble ink
Please check over your entire document before and after printing to avoid any pagination, textual formatting, or ink blemish errors

Dissertation Examples

Previously submitted Plymouth State University Theses and Dissertations can be viewed online at the PSU Summit Institutional Repository or in person at the Writing Center downstairs in the Lamson Library.

Please note that some dissertations were submitted under older guidelines and some contain formatting errors. Where difference occur, the APA Manual 7th edition and the guidelines above prevail.