Handbook for
National College of Education
Integrated Doctoral Programs
Curriculum, Advocacy and Policy
Disability and Equity in Education
Reading, Language and Literacy
May, 2015
National Louis University | 1000 Capitol Drive, Wheeling, IL 60090 | NCEDoctoralOffice@nl.edu
Table of Contents
Introduction ................................................................................................................................... 1
NLU Diversity & Inclusion Statement ..................................................................................................................1
Conceptual Framework ..........................................................................................................................................1
Governance ............................................................................................................................................................2
Doctoral Program Policies and Procedures............................................................................................................2
The Admission Process ................................................................................................................. 2
Stage I: Application ...............................................................................................................................................3
Stage II: Individual and Group Interview & Written Reflections ..........................................................................3
Academic Policies .......................................................................................................................... 4
Becoming a Member of a Community of Scholars and Learners ..........................................................................4
Time Limit .............................................................................................................................................................4
Continuous Registration and Leave of Absence ....................................................................................................4
Transfer of Credit ..................................................................................................................................................5
Course Attendance Policy......................................................................................................................................5
Policy on Academic Honesty .................................................................................................................................6
Advising Process............................................................................................................................ 6
Curriculum Advising and Program Planning (CAPP) ...........................................................................................7
Curricular Sequence ..................................................................................................................... 7
Program Concentration Courses (15 semester hours) ............................................................................................9
Assessment, Grade Policies, and Credits .................................................................................... 9
Qualifying Paper ......................................................................................................................... 11
Dissertation .................................................................................................................................. 11
Dissertation Proposal Phase ................................................................................................................................. 12
The Proposal Hearing Procedure ......................................................................................................................... 15
The Dissertation Phase and the Final Defense/ Approval .................................................................................... 16
Dissertation Defense Procedures ......................................................................................................................... 17
Dissertation Defense Hearing Process ................................................................................................................. 18
Commencement ................................................................................................................................................... 20
Appendix A: Form to Request for a Leave of Absence ........................................................... 21
Appendix B: Curricular Sequence ............................................................................................ 22
Appendix C: Form to Appoint a Doctoral Dissertation Committee ...................................... 23
Appendix D: Form to Appoint an Outside Member to a Doctoral Dissertation Committee 24
Appendix E: Dissertation Proposal Signature Page ................................................................ 25
Appendix F: Dissertation Announcement ................................................................................ 26
Appendix G: Dissertation Signature Page ................................................................................ 27
Appendix H: Dissertation Formatting Guidelines ................................................................... 28
Introduction
This Handbook is a compilation of the academic and administrative policies and procedures specific
to three integrated doctoral programs in the National College of Education (NCE): Curriculum,
Advocacy, and Policy (CAP); Reading, Language, and Literacy (RLL); and Disability and Equity in
Education (DEE). We refer to these programs as the NCE Integrated Doctoral Programs throughout
this Handbook because they share common foundations and research sequences, assessments,
policies and mission, and to distinguish them from other standalone doctoral programs in NCE such
as the Educational Leadership Program which has its own handbook. It is intended for use for all
students in these three NCE Doctoral Programs as well as faculty. The Handbook describes the
policies and procedures that govern the above three doctoral programs but does not include ALL of
the information about graduate program requirements, policies and procedures. Students and faculty
must also adhere to the college and university policies and procedures which are updated each year
located in the National Louis University Graduate Catalog
(http://www.nl.edu/admissions/catalogsandcourseinformation/catalogsandcourseinformation/).
Students and faculty are also alerted to policy changes through announcement sent to their NLU
email accounts. Additionally, programs may also have program-specific policies that can be found
on their respective websites.
NLU Diversity & Inclusion Statement
NCE Integrated Doctoral Programs are committed to building an inclusive university community
that welcomes, values, respects and accommodates students from diverse backgrounds and abilities.
For more information please see Accessibility and Disability Services:
http://www.nl.edu/studentservices/officeofdiversity/
Conceptual Framework
NCE’s Integrated Doctoral Programs focus on preparing thoughtful and passionate educational
leaders committed to understanding education within the larger social, cultural, political, historical
and economic contexts that influence educational policies, practices and reform in the globalized
world. Through courses, seminars, internships, and research, students and doctoral candidates
acquire a breadth and depth of knowledge in a chosen area of doctoral specialization while engaging
in a broad-based community of learners, comprised of students and faculty who are knowledgeable
about and active in a variety of discourse communities. This diverse learning community supports
the development of scholarly habits of mind and provides members with abundant opportunities to
increase their comprehension and appreciation of multiple theoretical, epistemological and
ontological perspectives.
The ultimate goal of NCE’s Integrated Doctoral Programs is to develop educational leaders who can
continuously investigate the interrelationship between theory, research, and educational practice
while building a capacity to consider and/or engage in social action in a variety of settings. This
assumes that educational leaders are able to think critically, flexibly, and creatively about
educational systems, learning environments, communities, teachers and learners. Such leaders can
Handbook for the NCE Integrated Doctoral Programs
1
function effectively as leader practitioners, academic scholars, researchers, activists or policy
makers. We see this conceptual orientation to doctoral studies as distinguishing our program locally
and placing us at the cutting-edge nationally.
Governance
The three integrated doctoral programs offered by the National College of Education are governed
by the NCE Integrated Doctoral Programs Governing Committee, which consists of the Director
NCE Doctoral Programs, program directors/chairs of the three individual doctoral programs and a
research faculty member. The committee is responsible for (a) supporting curriculum development
that aligns with the policies and procedures for the integrated doctoral programs, and (b) approving
all substantive changes in program structure, format, requirements, and delivery of instruction.
However, it should be noted that:
THE NATIONAL COLLEGE OF EDUCATION RESERVES THE RIGHT TO AMEND
OR MODIFY ITS DOCTORAL PROGRAMS AND RELATED POLICIES AND
PROCEDURES, WHETHER DESCRIBED IN THIS HANDBOOK OR ELSEWHERE, AT
ANY TIME WITHOUT PRIOR NOTICE, EXCEPT AS MAY RESULT IN UNDUE
HARDSHIP TO STUDENTS CURRENTLY ENROLLED IN A DOCTORAL PROGRAM.
Doctoral Program Policies and Procedures
All NLU doctoral programs are subject to the policies and procedures in the NLU Catalog and the
webpage of the Office of Admissions and Records.
The Admission Process
Individuals interested in applying to one of the NCE Integrated Doctoral Programs must meet NLU’s
general admission requirements as well as additional requirements specific to NCE’s Integrated
Doctoral Programs. There are two stages in the admissions process. The first stage occurs at the
enrollment office and consists of making sure particular documents are provided. At the completion
of the enrollment office process, a faculty team reviews all admissions materials, and decides
whether to invite the candidate for an interview. The second stage involves a group and individual
interviews, followed by a short written reflection. A faculty team assesses applicants’ knowledge,
skills and dispositions related to doctoral study and forwards the admission decision to the Office of
Admission and Records who notifies the applicant.
Individuals applying to one of the three integrated doctoral programs: Curriculum, Advocacy, and
Policy (CAP); Reading, Language, and Literacy (RLL); and Disability and Equity in Education
(DEE), can review admission information on http://www.nl.edu/admissions/oar/.
Handbook for the NCE Integrated Doctoral Programs 2
Stage I: Application
The first stage of the application process includes: (1) an application, (2) both undergraduate and
graduate transcripts, (3) evidence of a GPA of 3.25 or better in a master’s program, (4) a resume that
includes a description of professional experiences, (5) three letters of recommendations, two of
which address the applicant’s most recent graduate work applicable, and the third addresses her/his
professional work, and (6) written essays in response to the following questions:

What are your professional goals and how do you envision doctoral experiences supporting
and/or relevant to achieving those goals?

What previous professional and personal experiences encouraged you to apply to this
doctoral program?

Please explain what readings, academic studies or specific ideas have contributed to your
current understandings as a professional. How are these related to your choice of major?

How do you strive to enact these understandings in your professional work?
Incomplete applications remain valid for one year from application date.
Stage II: Individual and Group Interview & Written Reflections
All applicants who appear to be a good match for the program are invited to campus for the second
stage of the review process. First, applicants participate in a group interview with a team of faculty
representing the Integrated Doctoral Programs. Prior to coming for the interview, applicants are sent
a scholarly article, which becomes the focus of the group’s discussion during the interview.
Following the group discussion, applicants write a reflective essay on the ideas provoked by the
discussion. Faculty review the essays to assess the student’s ability to compose their thoughts in
writing and to respond to the group discussion.
Individual interviews follow the writing portion. The objectives of the individual interview are: (1)
to establish that the applicant has clearly defined goals for pursuing doctoral study, (2) to determine
that the applicant’s goals may be met through the doctoral program, (3) to gain further information
about the applicant, (4) to assess the applicant’s intellectual curiosity, clarity of thinking, creativity,
and critical thinking, (5) to clarify any areas of concerns, (6) to provide an opportunity for the
applicant to ask questions about the program, (7) to enable the applicant to acquaint themselves with
faculty in the program, (8) to see how the applicant interacts with others in dialogue and (9) to assess
the “match” of the applicant’s goals to the goals of the program.
Faculty representing the individual doctoral programs make final decisions about whether to admit
an applicant.
Handbook for the NCE Integrated Doctoral Programs 3
Academic Policies
Becoming a Member of a Community of Scholars and Learners
The doctoral program view of residency is consistent with the values expressed in the doctoral
program’s Conceptual Framework. Doctoral students become members of the NLU learning
community, and the wider academic community, by continuously engaging in a variety of doctoral
level coursework, and other scholarly activities throughout their studies. Students reflect on their
own current and previous educational practices through conversations and communications with
faculty and peers concerning new and ongoing research. Each program determines other meaningful
ways to involve students with faculty and to ensure that the spirit of residency is maintained. See
NLU Catalog for additional residency requirements.
Time Limit
The doctoral degree must be completed in eight years from the date of admission. Within this time
frame, students are expected to make regular and consistent progress, which is subject to periodic
review. See NLU Catalog for additional time-limit information.
Continuous Registration and Leave of Absence
Continuous registration during each academic year is required until the written dissertation is
completed. When unforeseen circumstances require a student to temporarily withdraw from their
doctoral studies, the student must submit a Request for a Leave of Absence form in the first quarter
of becoming inactive (see Appendix A). When applying for a leave, the student must first meet with
her/his faculty advisor to develop a plan that includes when the student intends to re-enter the
program. Further, the faculty advisor must attach to the Request of Leave of Absence form, a brief
statement that indicates the student has developed an appropriate plan and that the leave is approved
by the program. This plan is for one year.
All documentation related to the leave of absence must be submitted to the director of the individual
doctoral program and to the Director of NCE Doctoral Programs, who both sign that they approve
the leave and submit for filing with the University. Students who have not been enrolled for one or
more academic year, must consult with their academic and faculty advisors and submit a petition to
the Academic Policies Committee stating the reason for the inactivity, and file a re-entry form with
the Office of Admissions and Records. Students who were granted a leave of absence must still
complete the program requirements within the original eight-year time limit. Students who have
been away from the university for more than 1 year but fewer than five, upon re-entry, must meet the
degree requirements of the catalog in effect at the time of their re-entry. Students who have been
away from the university for 5 calendar years or longer (excluding the summer session or an
approved leave of absence), must apply for admission.
Handbook for the NCE Integrated Doctoral Programs 4
Transfer of Credit
In general, National Louis University permits the transfer of graduate-level credit into graduate
degree program from other accredited institutions. A student should consult with his or her academic
and faculty advisors as to the appropriateness of courses to transfer. Students can find information
about transfer policies and procedures on the Office and Admissions and Records webpage
(http://www.nl.edu/transferinfo/).
Waivers and substitutions for program courses must be approved by the student’s faculty advisor and
the individual doctoral program chair. Waivers for the doctoral foundation courses and the Scholarly
Habits of Mind course must also be approved by the Director of NCE Doctoral Programs; waivers
for the research courses must be approved by the faculty representative of doctoral research. Final
approval to waive doctoral foundation courses, Scholarly Habit of Mind course, and the research
courses must be obtained through petition to the Academic Policies Committee. In situations where a
course is waived, transfer credit or substitution of other approved coursework may be used to attain
the minimum number of hours for the degree.
Course Attendance Policy
Doctoral courses are monitored by the Higher Learning Commission, which has very specific
guidelines for the number of hours assigned for each credit hour earned. Therefore, participation in
all course sessions is expected not only because of HLC requirements but also because it is an
important part of learning. Therefore, faculty cannot “excuse” an absence. At the same time,
students in doctoral classes are professionals who may have obligations that conflict with a class
session. Further, family emergencies arise that students must attend to. Therefore, students who
cannot participate in a single class session are responsible for the content of the class and must make
arrangements with a partner to collect notes, artifacts and other information. In addition, the course
instructor may assign an additional project to try to make up the missed content. Not participating in
more than one class may result in a grade reduction or an in-progress (‘I’) grade, which must be
completed within 90 days following the end of the course. Students must complete at least 75% of
the course in order to be eligible to receive an ‘I’ grade. Make-up participation experiences/projects,
or other activities are assigned at the discretion of the instructor, not automatically available as an
option. It is the responsibility of the student to discuss these options with the instructor in advance if
possible.
Instructors are bound by the University calendar. However, they will make every attempt to
accommodate students with respect to religious holidays when classes are not cancelled on a
University-wide basis. These holiday observances are not counted as missed classes. Students should
speak with the instructor prior to the class to be missed to minimize any loss of essential class
content and experiences. In any other situation, such as extended illness or special life circumstances,
please speak to the instructor about in-progress grade or other alternatives.
Handbook for the NCE Integrated Doctoral Programs 5
Policy on Academic Honesty
National Louis University subscribes to the principle that academic quality and a productive learning
environment are inextricably linked to academic honesty. Like other colleges and universities,
National Louis University has expectations regarding academic honesty on the part of students
enrolled for course work, faculty and staff, and indeed, professional people at all levels of academic
activity. Please see the NLU Catalog for the complete Policy on Academic Honesty.
http://nl.smartcatalogiq.com/en/current/Undergraduate-and-Graduate-Catalog/Policies/AcademicPolicies-and-Statements/Policy-on-Academic-Honesty
Advising Process
Two types of advising are provided to doctoral students:
Academic advising, provided by a university-assigned advisor, who assists students in managing
their academic schedule, enrollment procedures and issues, signing up for courses, submitting
appeals when needed, etc. Academic Advisors assure that the students follow academic curriculum
and adhere to university policies.
Faculty advising is provided by doctoral faculty who are assigned after the student’s admission.
The faculty advisor responsibilities are:
1. Provide the student with information regarding program requirements, time lines, and
performance standards.
2. Assist the student in making decisions about the minor area(s) of specialization or electives.
3. Assist the student in identifying areas of research interest and pursuing these and other
scholarly interests.
4. Assist the student in selecting faculty to serve on the dissertation committee.
5. Ensure that the student meets all requirements for the completion of his or her degree in a
timely fashion.
6. Provide assistance to the student when needed.
7. Serve as an advocate for the student as needed.
8. Assist the student in planning and arranging his or her internship experiences, when
applicable.
Handbook for the NCE Integrated Doctoral Programs 6
Students may request a change in faculty advisor as needed. Every effort is made to honor student
requests regarding change in advisor.
Curriculum Advising and Program Planning (CAPP)
Degree requirements are listed in the NLU Catalog for each academic year. Students are responsible
for meeting the requirements in the catalog year in which they begin their program or return to the
University after an absence of at least one year.
When changes in the student’s program of study need to be made, the student first works with their
faculty advisor to assure that the changes are meeting all program requirements. The student’s
academic advisor meets with the student to complete and submit the Student Adjustment Form,
which can be found at http://nl.smartcatalogiq.com/current/undergraduate-and-graduatecatalog/national-college-of-education/national-college-of-educationgraduate/academicpolicies/program-substitutions Request to transfer courses from other universities need a program
director signature. Changes in program of study must conform to all doctoral program policies.
Curricular Sequence
Students admitted to any one of the NCE Integrated Doctoral Programs take courses in the following
prescribed sequence:
1. The foundational core on teaching and learning (12 semester hours) and 6 semester hours of
Scholarly Habits of Mind seminar across the duration of the program.
Doctoral students take four foundation courses and the Scholarly Habit of Mind Seminar
soon after being admitted to the doctoral program, The foundations courses create a learning
situation in which doctoral students have expanded opportunities to examine current issues,
trends, tensions and dilemmas in the field of education from multiple disciplinary
perspectives, epistemological stances, and knowledge bases. To that end, student admitted to
the program take the foundational courses in the sequence as their first phase in the doctoral
program, supported by an ongoing seminar in Scholarly Habits of Mind.
Scholarly Habits of Mind seminars are designed to strengthen students’ growth as scholars in
the doctoral program. As such, the course focuses on scholarly thinking, speaking and
writing. The specifics of the course are decided in part by students’ needs as determined by
their position in the program.
The four foundations core courses are:
CCD 620 Epistemologies of Learning Teaching, and Inquiry ............................
CCD 615 Psychological Foundations of Teaching and Learning .......................
CCD 625 Critical Policy Analysis ......................................................................
CCD 630 Teacher Knowledge in the Disciplines ...............................................
3SH
3SH
3SH
3SH
Handbook for the NCE Integrated Doctoral Programs 7
CCD 605 Scholarly Habits of Mind ....................................................................
repeats for a total of 6 SH)
(1SH
2. Program concentration courses (15 semester hours)
Each of the three NCE Integrated Doctoral Programs offers five core courses of 3 semester
hours each. See below the curriculum for each of the three programs.
3. Research method courses (9 semester hours)
ESR 612 Empirical and Analytic Research I ......................................................
ESR 614 Interpretative and Critical Research I ..................................................
3SH
3SH
Whereas the above two courses must be completed before students begin to write the
qualifying paper, the following course(s) can be taken after successfully completing the
qualifying paper:
ESR 616 Empirical and Analytic Research II .....................................................
OR
ESR 618 Interpretative and Critical Research II .................................................
3SH
3SH
4. Qualifying paper and dissertation (8 semester hours)
See below for the description of the process and requirements of the qualifying paper and the
dissertation
5. Electives (13 semester hours)
In addition to the above, students also take an additional 13 semester hours of electives, in
one of the following prefixes: CSI, CAP, RLR, RLL, RLW, RLD, EDL, EPS, TIE, EPD,
SPE. The elective courses enable students to deepen and expand their disciplinary focus.
These might include other doctoral classes or approved master’s level courses. Alternately,
doctoral students may elect to broaden and/or deepen their understanding of one of the other
majors. Providing such options enables students to build study plans that best meet their
individual professional needs.
The total number of the doctoral program is 63 semester hours.
Appendix B provides a graph that describes the four phases of the program
Handbook for the NCE Integrated Doctoral Programs 8
Program Concentration Courses (15 semester hours)
Curriculum, Advocacy, and Policy
CAP 600 Curriculum Theory: Historical, Philosophical and Political Issues.................
CAP 601 Cultures of School and Communities ..............................................................
CAP 602 Curriculum Theory: Contemporary Issues and Practices ................................
CAP 603 Curriculum Planning, Organization and Evaluation........................................
CAP 605 Professional Development and School Change ...............................................
3SH
3SH
3SH
3SH
3SH
Reading, Language, and Literacy
RLD 600 Seminar in Language, Linguistics, and Literacy .............................................
RLD 601 Seminar on Research in Early Literacy (Orthography and Word Recognition)
RLD 602 Seminar on Reading Comprehension: Research and Applications ................
RLD 606 Seminar on Instruction and Staff Development in Reading & Language .......
RLD 607 Seminar on Theory and Research in Writing ..................................................
3SH
3SH
3SH
3SH
3SH
Disability and Equity in Education
DEE 603 Activism and Inclusion in Democratic Education ...........................................
DEE 604 Politics of Assessment .....................................................................................
DEE 605 History of Disability in Education ...................................................................
DEE 690 Seminar: Special Topics in Disability and Equity in Education .....................
DEE 693 Disability Studies in Education Seminar .........................................................
3SH
3SH
3SH
3SH
3SH
Assessment, Grade Policies, and Credits
Key assessments in the NCE Integrated Doctoral Programs are meant to provide pertinent
information about students’ learning. In addition, these assessments are intended to support doctoral
students’ own self- reflection and analysis of areas that need further growth and additional learning.
Assessment points involve particular moments when faculty and doctoral candidates pause to look
more closely at the students’ learning and attend to their progress.
There are three discrete key assessments within the program: Admission assessment, qualifying
paper assessment, and dissertation assessment.
In addition to these major discrete assessments, there is ongoing educative assessment that is based
on a belief that assessment should be deliberately designed to improve and educate student
performance. This involves the use of two rubrics across the program and informal yearly
evaluation to help scaffold student learning within and across coursework:
Handbook for the NCE Integrated Doctoral Programs 9
1. Scholarly Paper Rubric is used throughout the coursework as a developmental rubric. The
rubric is ultimately a summative assessment for the qualifying paper.
2. Disposition Rubric, which provides feedback and guidance for developing scholarly
dispositions. This rubric is introduced to students early in the program in the Scholarly Habits
of Mind course, where they complete a self-assessment and set personal goals for their own
development. Both students and faculty complete the disposition rubrics after the completion
of each academic year until coursework is finished.
3. Faculty review and discuss students’ progress continuously.
Students must have a grade point average of 3.0 or higher to fulfill their degree requirements. Any
student who receives one or more grades of "C" or lower in any program, research, or doctoral core
courses in any one term will be placed on probation. Faculty who assign a grade of C or lower will
let the individual doctoral program director know. Probation continues until doctoral coursework is
completed. Students may appeal such decisions to the individual program director and then to the
Academic Policies Committee following the University Policy on Academic Appeals in the Student
Guidebook (www.nl.edu/studentservices/studentguidebook). Course grades of “D” or lower will not
apply toward the degree.
A student who accumulates (one or more) In-Progress ("I") grades for two consecutive terms will not
be allowed to register for a subsequent term until the "In-Progress" course requirements are
completed and the "I" grades are updated. When the “I” grades for at least one quarter are updated
to letter grades and posted, the student should contact his or her program director to have the
registration hold lifted. “I” grades are issued following the In-Progress Grade Policy in the NLU
Catalog (http://nl.smartcatalogiq.com/en/current/Undergraduate-and-GraduateCatalog/Policies/Academic-Policies-and-Statements/Grading/In-Progress-Grade-Policy).
‘X’, ‘I’, and ‘W’ for a Course
When courses require more than one term to complete, a grade of ‘X’ is assigned until the course is
completed. This grade signifies a deferred grade for courses designed to extend over a longer period
than one term.
The grade ‘W’ indicates a voluntary withdrawal from a course. The course appears on the student
transcript with a “W” in the grade place, signifying that the student did not earn credit for the course.
Please see University grading policy in the current year catalog at
http://nl.smartcatalogiq.com/en/current/Undergraduate-and-Graduate-Catalog/Policies/AcademicPolicies-and-Statements/Grading
Pass/No Credit (P/N)
Some courses will be awarded a pass/no credit rather than a letter grade. The following are some
examples of such courses:
Handbook for the NCE Integrated Doctoral Programs 10
CCD 605 Scholarly Habits of Mind
CCD 697X Comprehensive/Qualifying Examination continuous Registration
CCD 699 Dissertation
CCD 699X Dissertation Continuous Registration
CCD 694 Independent Study
Individual doctoral programs may have additional pass/no credit course grades.
Qualifying Paper
All doctoral students must successfully complete a qualifying paper prior to beginning formal work
on their dissertation proposal. This phase begins once the student has completed all courses with the
possible exception of ESR 616 or ESR 618 (the advanced research course). To pass the Qualifying
Paper and proceed to proposal, 90% of the criteria needs to be at a level of “Acceptable” or
“Advanced” on the Scholarly Paper Evaluation Rubric. Any responses rated as “Not Acceptable”
will require revision.
The student has several options for the focus of the qualifying paper. In collaboration with his or her
chosen faculty or the faculty advisor, the student can (1) construct a question or questions to reflect
upon, investigate, and respond to, or (2) write a conceptual paper that constructs his or her theoretical
framework or in some way intellectually presages the dissertation. Regardless of the option chosen,
students must work with the chosen faculty or advisor to plan the paper and must address the criteria
in the Scholarly Writing Rubric. The student must obtain approval of the chosen faculty/advisor and
the program director for the paper’s focus and the start date. During the writing of the qualifying
paper, the student is not allowed to get help or feedback from faculty or other doctoral students.
The student has 12 weeks in which to complete the culminating inquiry paper. The paper must be a
minimum of 30 pages, not including the reference pages. A minimum of three faculty readers
evaluate each student’s paper, using the qualifying paper rubric. The qualifying paper readers
complete their evaluations within one month. Their completed rubrics and any narrative feedback is
given to the student. The student who passes with “Acceptable” or “Advanced” on at least 90% of
the rubric criteria in two revisions or less will be able to move to the dissertation proposal phase of
the program and will be considered a “doctoral candidate.” If the paper requires revisions, the
student meets with her/his chosen faculty/advisor to discuss the feedback given by the qualifying
paper readers and plan for revisions. The chosen faculty/advisor lets the student know the time frame
she or he will have to complete all the necessary changes. If the first revision does not meet the
rubric standards, and, if the chosen faculty/advisor acknowledges that the student has demonstrated
progress and is likely to be successful with additional time, the student may be offered one additional
opportunity to revise the paper and resubmit for an evaluation.
Dissertation
The dissertation is the culmination of the learning in the students’ entire doctoral program and meant
to demonstrate their expertise as a scholar and researcher. Once the student has successfully
Handbook for the NCE Integrated Doctoral Programs 11
completed the qualifying paper, she/he will identify a faculty chair or co-chairs. Together, they
decide which other faculty members will serve on the dissertation committee.
Dissertation Committee. The dissertation committee consists of three faculty members and a
representative from the Dean’s Office (dean’s representative). This committee should represent the
necessary knowledge bases required to support the student’s research interests. That is, at least one
member of the committee must be from within the student's program area, and at least one member
of the committee must be from outside the student's program area. Additionally, at least one
committee member must have relevant research design and methodological expertise. No more than
one committee member may be from outside the institution or has a part-time appointment. In
addition, the dissertation chair will submit a request to the NCE Doctoral Office for an appointment
of the dean’s representative. In some cases, the chair may submit a list of appropriate faculty
members to serve in this position. Because the dean’s representative is acting on behalf of the
University, this person must be a full-time faculty member in NCE. Further, as the representative of
the Dean’s Office, the dean’s representative is not involved in the recursive revision process of either
the proposal or dissertation, but only reads the final versions both prior to the proposal hearing and
the dissertation defense (see Appendix C).
Eligibility criteria for serving on dissertation committees: To serve as the chair of a committee, a
faculty member must hold a terminal degree in his or her field, and be a full-time NLU faculty
member or hold an NLU faculty emeritus status. In addition, the faculty member must have chaired
or co-chaired a dissertation committee before. If an otherwise eligible faculty member has not
chaired or co-chaired a dissertation before, that faculty member must co-chair the dissertation
committee with an eligible faculty member.
Only one person from outside the institution, or a faculty member who works part time at NLU, may
be eligible to serve on committees. In these cases, the student must petition for that person’s
inclusion (see Appendix D). The committee chair submits the petition form to the individual
program’s director and the Director of NCE Doctoral Programs.
In the event that a faculty member is no longer able to serve on a dissertation committee, the faculty
member will be replaced after the chair and student discuss viable options. A new form for
Appointment of the dissertation committee must be completed and submitted to the program director
and Director of NCE Doctoral Programs.
If the replacement of a committee member or chair occurs after the proposal hearing, the new
member must abide by the research design approved at the proposal hearing. In these situations, all
efforts will be made to provide continuous support for the student’s dissertation work.
Dissertation Proposal Phase
The dissertation proposal is the first part of the dissertation process. The doctoral candidate works
closely with his/her chair to complete the proposal and prepare for the proposal hearing. When both
Handbook for the NCE Integrated Doctoral Programs 12
the student and chair agree that the proposal is ready for the hearing, the student or the chair contacts
all committee members, including the dean’s representative, to schedule the proposal hearing.
The Office of the Provost requires that all students who use data for their dissertation must complete
the training provided by the Institutional Research and Review Board (IRRB) and pass the basic
IRRB course (www.citiprogram.org). The training must be successfully completed prior to the
proposal hearing. Following the approval of the proposal, the student must submit a protocol to
IRRB that includes appropriate application forms and informed consent documents. These forms,
sample letters of consent and other pertinent information can be found on the NLU IRRB webpage at
http://www.nl.edu/about/leadership/provost/institutionalresearchreviewboard The doctoral candidate
must receive IRRB approval before starting to collect data.
Dissertation Proposal Content. The purpose of the dissertation proposal is to present, discuss, and
gain approval for a proposed research study. During the period of proposal development, doctoral
candidates work closely with their chair(s) and committee members to focus and plan the study. How
one designs research varies among research traditions; however, all proposals can clearly: (a)
introduce and explain the purpose of the research and present a rationale for the study; (b) explain
how the proposed research fits into a theoretical context and relates conceptually to prior research
and literature on the topic; (c) describe and justify the particular research design and methods to be
used; and (d) Include the references that are cited in the proposal. Therefore, proposals should
include:
An Introduction
The purpose of this introduction is to:
a. Describe with the appropriate specificity the research problems, questions or issues that
will be researched.
b. Provide the educational, social, cultural background that establishes the rationale and
foreshadows what the research proposes to accomplish and contribute. Rationales may
also emerge from one’s personal and professional experiences and observations.
c. Set the conceptual stage for the research that is drawn from relevant research and
literature which would then be elaborated more fully in the literature section of the
proposal.
d. Introduce the methodology and explain briefly why the specific research questions
necessitate this particular methodology (e.g., descriptive, correlational, quasiexperimental, experimental designs or ethnographic, phenomenological,
biographic/narrative etc.). This will be elaborated more fully in the methodology section
of the proposal.
Handbook for the NCE Integrated Doctoral Programs 13
In case non-traditional dissertation model has been chosen, the proposal should include the
rationale for choosing this model and how it serves the research question/problem.
Literature Review
The proposal contains a review of the literature to: (a) identify and establish the theoretical
approach that frames the research; and (b) ground and contextualize the study in relevant
previous research and literature. The review critically analyzes, evaluates, and synthesizes
research findings, theories, and practices that are related to dissertation focus. The doctoral
candidate presents a comprehensive, critical understanding of the current state of knowledge,
compares different research and theories, reveals gaps in current literature; and indicates what
needs to be done to advance what is already known about the topic.
Research Design and Methods
A research design is an overall plan for accomplishing efficiently, credibly, and ethically the
research goals. It identifies the type of study planned and provides a road map of the methods
and procedures to be followed for collecting and analyzing data. It is important to include a
rationale for the appropriateness and possible limitations of the particular design and methods
selected.
Research designs vary tremendously. Therefore, proposals should communicate these
particulars by describing:

Access to data: these includes any research samples, participants, sites, or
programmatic interventions involved in terms of characteristics, selection, or nature
of involvement.

Forms of data (e.g., qualitative: narratives or narrations, images, documents;
quantitative: test scores, rating scales, observation record forms, questionnaires,
rankings, categorizations)

Methods of data collection (e.g., surveys, questionnaires, attitude/achievement tests,
psychological measures, interviews, observations, focus groups, fieldwork). Any
instruments that are student developed should be described. The reliability and
validity of any instruments used should be discussed.

Forms/perspectives utilized in summarizing, interpreting and analyzing data (e.g.,
coding schemes/thematic induction, narrative analysis, descriptive data, and
inferential statistics, feminist)

Forms of representing conclusions (e.g., traditional textual, non-traditional forms like
visual, literary and dramatic)
Handbook for the NCE Integrated Doctoral Programs 14

Any programs, materials, instruments or documents used and the appropriate means
of gaining access, copyrights etc.

The ethical issues and plans for assuring that participants: (a) have all necessary
information in order to fully understand the research and voluntarily consent to
participate, (b) consent in writing for participating in the study, (c) are informed of
their right to withdraw from the study at any time without incurring any negative
consequences, (d) are protected from harm, and (e) are offered anonymity.
References
Every citation in the body of the text should be repeated in the list of references. The format
for references should follow the style guidelines in the latest chosen writing style guide, such
as APA, Chicago, or MLA, or other agreed on by the chair and dissertation committee
members.
Plagiarism
All work that is not your must be documented by proper citation of sources. Offering the
work of another as one’s own, even unintentionally, is a serious offense covered by the NLU
policy on academic integrity, and is especially problematic in a research document which
purports to be original work. Consult NLU Student Guidebook and NLU Catalog for more
information at http://nl.smartcatalogiq.com/en/current/Undergraduate-and-GraduateCatalog/Policies/Academic-Policies-and-Statements/Policy-on-AcademicHonesty/Definitions-and-Guidelines
The Proposal Hearing Procedure
Although proposal and dissertating hearings may vary somewhat, they usually follow a general
process as described below.
Scheduling the Proposal Hearing:
1. The student completes the form to schedule the dissertation proposal meeting (see Appendix
E), listing the date and time (blocks of two hours) when he or she and the dissertation
committee and the dean’s representative can meet.
2. The student sends the completed form and copies of the final draft of the proposal to all the
members of the dissertation committee, and the dean’s representative. This should occur at
least two weeks before the anticipated dissertation approval meeting.
3. The chair of the dissertation committee schedules a room for the meeting and sends a notice
of the meeting to the dissertation committee, the student, the dean’s representative.
Handbook for the NCE Integrated Doctoral Programs 15
During the proposal hearing, the student presents an oral summary of her or his proposed research,
including the background of the study, the underlying theoretical, conceptual and research literature,
and the proposed design, procedures, and ethical considerations. The committee, including the
dean’s representative, ask questions and engage in discussion related to the proposed research. A
final discussion of the proposal takes place (the chair may ask the student to leave during this
discussion) and the student is provided feedback and recommendations.
The proposal may be approved at the meeting, or suggestions may be made for further refinements
that need to be incorporated before the proposal is approved. Once the proposal is approved, all
committee members and the dean’s representative sign the proposal’s signature page (see Appendix
F).
Following the meeting, the dean’s representative submits a written report to the Director of NCE
Doctoral Programs and the NCE Dean with results of the proposal hearing.
The Dissertation Phase and the Final Defense/ Approval
After the proposal, the student continues to work extensively with the chair(s) and committee
members as he/she conducts research and writes up the findings. Once the student, chair, and
committee agree that the dissertation is of high quality and meets professional standards, a final
dissertation defense is scheduled.
Dissertation Content
The final draft includes any updates and/or revisions to the content that was presented at the
proposal, and the additional chapters, which commonly includes results, discussions of the findings,
and conclusions and implications. The description of chapter four and five below follows mostly the
traditional dissertation structure. Students, with close consultation with the dissertation chair(s) and
their dissertation committee, may choose to develop the final chapters of the dissertation differently.
Data Analysis and Findings
In this chapter, the collected data is processed in response to the research question(s) or problem.
The purpose of this chapter is to summarize the collected data and to present the findings of the data
analysis. There is no single way of presenting the findings of a dissertation because the nature of the
design determines the presentation of the data.
In general, a qualitative study typically analyzes data for themes, categories, and patterns, and finds
connections and relationships among them. The data analysis chapter builds a synthesis and coherent
interpretation of the data and present logically structured findings. In quantitative study, the results
are presented in both narrative, tables, graph formats, using current APA writing guidelines. See
Appendix J for guidelines and examples.
Handbook for the NCE Integrated Doctoral Programs 16
Discussion and Conclusions
Chapter five summarizes the findings, and explains the meaning, importance, and significance of the
study’s conclusions. The limitations of the study are discussed. The discussion compares the findings
with previous research, critically analyzing the meanings of any gaps or similarities. The
implications of the findings are highlighted.
References
Every citation in the body of the text should be repeated in the list of references. The format for
references should follow the style guidelines in the latest chosen writing style guide, such as APA,
Chicago, or MLA, or other agreed on by the chair and dissertation committee members.
Appendices
This is the place to include materials that are not necessary to the main narrative of your argument,
but are important for the reader to have. This is the place, for example, to include your raw data,
letters of permissions, IRRB approval, the texts of surveys or other materials you used in your
research, translations or editions of primary texts which are not published, and so forth.
Dissertation Defense Procedures
Once the student’s committee agrees that the dissertation is satisfactorily completed and is ready for
a final hearing, the following will occur:
1. The student completes the form to Schedule the dissertation Approval Meeting (see
Appendix G), listing the date and time (blocks of two hours) when he or she and the
dissertation committee and the dean’s representative can meet.
2. In the event that the dean’s representative is no longer available to serve as such at the final
hearing, the chair of the committee, in consultation with the student, requests the Director of
NCE Doctoral Programs that another dean’s representative be appointed.
3. The student sends the completed form and copies of the final draft of the dissertation to all
the members of the dissertation committee, the dean’s representative, and the chair of the
program. This should occur at least two weeks before the anticipated dissertation approval
meeting.
4. Students planning to complete all doctoral requirements prior to the July, September,
December, or April graduation dates, adhere to the following time-line: final dissertation
hearing must take place no less than four weeks prior to the graduation deadline and the final
bound copy must be received by the University Library at the Lisle campus no less than five
business days before the graduation date.
Handbook for the NCE Integrated Doctoral Programs 17
5. To schedule the final approval meeting, students complete the form to schedule the approval
meeting and submit no less than two weeks prior to the final hearing date to the chair of the
dissertation, Program chair and the Director of NCE Doctoral Programs. This means that
doctoral candidates should complete the final draft of the dissertation and obtain approval for
scheduling a final hearing no less than seven weeks prior to the graduation date.
6. The chair of the committee schedules a room for the meeting and sends a notice of the
meeting to the dissertation committee, the student, the dean’s representative, The chair of the
Program, and the Director of NCE Doctoral Programs. The final dissertation hearing is open
for others to attend, and notices are sent to faculty and posted on bulletin boards (see
Appendix H).
Students wishing to participate in June commencement hooding ceremonies must have their final
hearing on or before April 30th. Students who have their hearing after the April 30th deadline will be
invited to participate in the June commencement ceremony the following year.
Dissertation Defense Hearing Process
Below is a summary of the likely process the committee will follow during the dissertation defense:

The student presents an oral summary of her or his completed study, with a specific focus on
the research questions, process, findings, and interpretation/discussion of the findings. The
student’s presentation may be from twenty to thirty minutes.

The committee, including the dean’s representative, asks questions and discusses the
dissertation.

A final discussion of the dissertation takes place (the chair may ask the student to leave
during this discussion) and the chair records the committee’s decision and recommendations.

The committee may: (1) pass the dissertation as presented, (2) request minor revisions that
may not require another meeting, or (3) require substantive revisions that will result in a
subsequent meeting of the entire committee.

In the event the committee request minor revisions, the candidate makes all recommended
edits and sends the completed dissertation to the dissertation chair for final approval.

Once the dissertation is approved, all committee members and the dean’s representative sign
four copies of the dissertation signature page (see Appendix I).

The dean’s representative submits a written statement to the chair(s) of the dissertation
committee, the chair of the NCE Integrated Doctoral Programs, and the dean, with the results
of the dissertation defense meeting.
Handbook for the NCE Integrated Doctoral Programs 18
Publishing the Dissertation and Releasing the Diploma

The signature page will be returned to the doctoral candidate via certified mail from the
NCE Doctoral Program Office. It should be signed by all committee members, the doctoral
program chair, the Director of NCE Doctoral Programs, and the NCE Dean. This page is
included in the published dissertation.

After the dissertation defense, the doctoral graduate and the dissertation chair review the
dissertation’s organization and formatting (See Appendix J for samples of APA Style
dissertation formatting).

Once the final dissertation is approved by the dissertation chair, the doctoral graduate must
submit a PDF copy of the dissertation to Digital Commons at NLU by following these
instructions: http://libguides.nl.edu/dc/dissertations (Considerations and options for
submitting dissertations in other formats are presented below.)

The final dissertation will be published here: http://digitalcommons.nl.edu/diss/ For any and
all assistance with Digital Commons at NLU, please contact the Collections Management
Librarian at library@nl.edu

Once the dissertation has been approved and properly submitted online, the NLU Library
will notify the program director, candidate, Director of NCE Doctoral Programs, and the
Doctoral Office that this step is complete.

The Doctoral Office will then notify the Registrar’s Office to release diploma.
****
Considerations and Options for Submitting Dissertations to the NLU Library
There are many advantages to publishing on the Digital Commons, one of which is the
dissertation is searchable through a variety of search engines. However, graduates have the
option to request a waiver by contacting the Collections Management Librarian at NLU, for
dissertations they do not wish to allow public, online access.
These dissertations can either be submitted in a bound print format, or digitally with
agreeable access terms and limitations. These are determined on a case-by-case basis. For
graduates who opt to submit a bound print copy of their dissertation to the NLU Library or
who want a bound copy for themselves or loved ones, information on binding options and
pricing, can be found at the official NLU bindery site at http://ahbindery.com/
Questions or concerns about publication should be discussed with the dissertation chair. For
any and all assistance with Digital Commons at NLU, or to request a waiver for submitting
the dissertation online, please contact the Collections Management Librarian at
library@nl.edu
Handbook for the NCE Integrated Doctoral Programs 19
Commencement
The University holds one commencement ceremony a year, usually in the second weekend in June.
Doctoral students are the first to receive their diplomas in the commencement ceremony. Doctoral
students sit on the stage as do their chairs. Each doctoral student is called to the front of the stage,
recognized by name, and the title of their dissertation is read. Then the chair places the doctoral hood
over the student’s shoulder and the student receives a cover of a diploma from the University’s
President (the original diploma is mailed to the students within a few weeks). Commencement is not
graduation. Graduation deadlines and deadlines to participate in the commencement ceremony are
different.
There are several actions and deadlines students must take and meet in order to participate in the
commencement ceremony. First, students must apply for graduation before the University deadline.
Students should consult the Office of Admissions and Records and Commencement webpage for
exact dates, procedures and fees. http://www.nl.edu/studentservices/commencement/
To participate in the graduation ceremony, students must complete the final dissertation meeting by
April 30th, and submit the completed approved dissertation to the Director of NCE Doctoral
Programs by the last business day in May. Students who complete their final dissertation meeting
after April 30th, or who submit the completed approved dissertation to the Director of NCE Doctoral
Programs after the last business day in May will be invited to participate in the commencement
ceremony the following year. Qualifying for the commencement ceremony is not the same as
meeting all of the requirements for graduation.
Handbook for the NCE Integrated Doctoral Programs 20
Appendix A: Form to Request for a Leave of Absence
REQUEST FOR A LEAVE OF ABSENCE
It is expected that doctoral students will be continuously registered until the completion of their degree.
When unforeseen circumstances require a student to temporarily withdraw from their doctoral studies, the
student must submit a Request for a Leave of Absence form in the first quarter of becoming inactive.
Leave of absence may be approved for up to one year. Please note that the eight-year time limit for
completing doctoral studies remains the same even if a leave is granted. Students who are granted a leave
of absence must still complete the program within the eight-year time limit.
To request a leave of absence, please complete this form and submit it the chair of your doctoral program
and to the Director of NCE Doctoral Programs.
Student’s Name:
Address:
E-mail:
Telephone:
I am requesting a leave of absence from my doctoral program in:
(Program title)
From:
To:
(Date)
(Date)
Please explain the reason for requesting the leave:
Student’s Signature
Date
Decision
Chair of Doctoral Program:
Please circle: Approve / Deny
Chair’s Signature
Director, NCE Doctoral Programs:
Director’s Signature
(explain if request is denied)
Date
Please circle: Approve / Deny (explain if request is denied)
Date
Handbook for the NCE Integrated Doctoral Programs 21
Appendix B: Curricular Sequence
NCE Integrated Doctoral Programs
CCD615
PSYCHOLOGICAL
FOUNDATIONS OF
TEACHING & LEARNING
CCD625
CRITICAL POLICY
ANALYSIS
TEACHER PREP II
EPISTEMOLOGY OF
LEARNING, TEACHING
AND INQUIRY
FOUNDATIONS III
CCD620
FONDATIONS II
FOUNDATIONS I
Phase One: Foundations Courses
(12 sh)
CCD630
TEACHER KNOWLEDGE
IN THE DISCIPLINES
CCD605
Scholarly Habits of Mind
(This seminar will run throughout the program for 1sh per term for a total of 6sh )
(6 sh)
Phase Two: Program Concentration Courses
(15 sh)
READING, LANGUAGE & LITERACEY
CURRICULUM, ADVOCACY & POLICY
DISABILITY & EQUITY IN EDUCATION
Phase Three: Research Methods
(9 sh)
ESR 612
ESR 614
ESR 616
EMPIRICAL
ANALYTICAL
RESEARCH I
INTERPRETIVE /
CRITICAL RESEARCH 1
EMPIRCAL /
ANALYTICAL
RESEARCH II
OR
ESR 618
INTERPRETIVE /
CRITICAL RESEARCH II
Phase Four: Qualifying paper and Dissertation
(8 SH)
CCD 697
CCD 699
QUALIFYING PAPER
0 SH
DISSERTATION
8 SH
Handbook for the NCE Integrated Doctoral Programs 22
Appendix C: Form to Appoint a Doctoral Dissertation Committee
APPOINTMENT OF A DOCTORAL DISSERTATION COMMITTEE
Student’s Name:
Date:
Address:
Program:
E-mail:
Telephone:
The following faculty have agreed to serve on the dissertation committee (note: at least one faculty must
be from within the program area; one faculty must be from outside the program area):
Circle one:
Chair / Co-Chair:
Faculty Name
Circle one:
Program
Signature
Date
Program
Signature
Date
Program
Signature
Date
Co-Chair / Member:
Faculty Name
Member:
Faculty Name
Dean’s Representative:
We would like to request the following faculty to serve as the dean’s representative:
Faculty Name
Program
Signature
Date
APPROVAL:
Chair of Doctoral Program:
Chair’s Signature
Date
Director of NCE Doctoral Programs
Director’s Signature
Copies to:
Date
Student / Dissertation Chair / Director, NCE Doctoral Programs / Doctoral Program Chair
Handbook for the NCE Integrated Doctoral Programs 23
Appendix D: Form to Appoint an Outside Member to a Doctoral Dissertation Committee
PETITION FOR THE APPOINTMENT OF AN OUTSIDE MEMBER TO THE
DOCTORAL DISSERTATION COMMITTEE
Student’s Name:
Date:
Address:
Program:
E-mail:
Telephone:
I would like to request the following individual serve as a member on my dissertation committee:
Name
Title/ Degree
Institution and Program
Reason for the request (must indicate whether the individual holds a doctoral degree in the area related to
the dissertation, and has additional relevant expertise in research and in the area of the student’s
dissertation):
APPROVAL:
Dissertation Committee Chair / Co-Chair’s Signature
Program Chair’s Signature
Date
Date
If denied, give reason for denial:
Director, NCE Doctoral Programs Signature
Date
Copies to: Student / Dissertation Chair / Director, NCE Doctoral Programs / Doctoral Program Chair
Handbook for the NCE Integrated Doctoral Programs 24
Appendix E: Dissertation Proposal Signature Page
PROPOSED DISSERTATION TITLE
Dissertation Proposal
Submitted in partial fulfillment
of the requirements of
Doctor of Education
in the National College of Education
Your Name
Full Name of the Doctoral Program
Approved:
Chair / Co-Chair, Dissertation Committee
Program Chair
Co-Chair / Member, Dissertation Committee
Director, NCE Doctoral Programs
Member, Dissertation Committee
Dean’s Representative
Date Approved
Handbook for the NCE Integrated Doctoral Programs 25
Appendix F: Dissertation Announcement
NATIONAL COLLEGE OF EDUCATION
***************
ANNOUNCEMENT OF DISSERTATION APPROVAL
MEETING
DOCTORAL CANDIDATE:
NAME OF CANDIDATE
DOCTORAL PROGRAM:
DOCTORAL PROGRAM IN TEACHING
LEARNING:
NAME OF DOCTORAL PROGRAM
DOCTORAL CHAIR:
NAME OF DOCTORAL CHAIR(S)
DOCTORAL COMMITTEE:
NAME
DOCTORAL COMMITTEE
NAME
DEAN’S REPRESENTATIVE:
NAME
DISSERTATION TITLE:
TITLE
DATE:
TIME:
LOCATION:
ROOM:
All members of the NLU community are invited to attend.
Handbook for the NCE Integrated Doctoral Programs 26
Appendix G: Dissertation Signature Page
DISSERTATION TITLE
Submitted in partial fulfillment
of the requirements of
Doctor of Education
in the National College of Education
Your Name
Full Name of the Doctoral Program
Approved:
_________________________________________
Chair/Co-Chair, Dissertation Committee
__________________________________________
Program Director
_________________________________________
Co-Chair/Member, Dissertation Committee
__________________________________________
Director, Doctoral Programs
_________________________________________
Member, Dissertation Committee
__________________________________________
Dean, National College of Education
_________________________________________
Dean’s Representative
__________________________________________
Date Approved
Handbook for the NCE Integrated Doctoral Programs 27
Appendix H: Dissertation Formatting Guidelines
Why do we have formatting requirements?
National College of Education sets formatting requirements so that dissertations written here are
uniform in appearance and so that they match the appearance of dissertations from other
institutions. Some of the requirements make the document look like a dissertation. For example,
dissertations are double-spaced; this is part of what makes them look like dissertations instead of
books or bound essays. In this sense, some of the rules are arbitrary. For this reason, all students
must use a recognized style guide. For most dissertations, this is the most recent edition of
Publication Manual of the American Psychological Association. However, other recognized style
guides may be used with the permission of the students’ chair. The formatting process is an
important pedagogical exercise for students earning doctoral degrees. All publishing houses,
journals, and conference proposals require that authors follow their style sheets. In most cases,
they expect submissions to be formatted correctly before they will even be read, refereed, or
considered for publication. Students going on to do scholarly work will need to know how to
read a style sheet and format a document using its rules, and they will need to know how to do
this without help.
General Format and Style
Items must be placed in the following order:
Frontispiece (optional) facing the Title Page (not numbered)
Title Page –
The Signature Page – see Appendix E and G
Copyright Page
Abstract
Preface (optional)
Acknowledgements (optional)
Dedication (optional)
Table of Contents
List of Tables (if any)
List of Figures and Illustrations (if any)
List of Plates (if any)
List of Symbols, Abbreviations, Nomenclature (if any)
Epigraph (optional)
Body of Text
Endnotes (if any)
References
Appendices (if any)
Index (optional)
Handbook for the NCE Integrated Doctoral Programs 28
Frontispiece
A frontispiece is an optional item. If used, it must be placed facing the title page. It will not be
numbered, and it will be microfilmed as the first page of the thesis.
Title page
See sample on next page. The date you include should reflect the date your degree will be
conferred, not the date that you prepared or submitted the material. Use the same month and year
that you chose on the application to receive a degree. There are only three months that degrees
are conferred: June, August, or December followed by the year.
Handbook for the NCE Integrated Doctoral Programs 29
Sample of Dissertation Title Page
DISSERTATION TITLE
Your Name
Full Name of the Doctoral Program
Submitted in partial fulfillment
of the requirements of
Doctor of Education
National College of Education
National Louis University
Month of Graduation, Year
Handbook for the NCE Integrated Doctoral Programs 30
The signature page – see Appendix E for sample of dissertation proposal signature page and see
Appendix G for dissertation signature page.
Copyright page
Copyright page does not show a page number. It should say, centered in the middle of the page:
Copyright by My Name, Year of degree conferral
All rights reserved
Nothing else should go on this page.
Abstract
An abstract, which is no more than 150 words, should clearly summarize the problem, method,
results, and conclusions. You should not include any other information such as the title of your
project, or your name. The Abstract page should be numbered in lower-case roman numerals in
bottom center.
Preface (optional)
A preface contains material which is introductory but is not included in the introduction. For this
reason, not everyone needs to include a preface. You should also show the page numbers on the
bottom center. Keep in mind that all the pages before this count in the page count, even if they
are not printed on the page itself. These page numbers should be in lower-case roman numerals.
Acknowledgements (optional)
This section is optional, but most students find they would like to thank the various people in
their lives who helped them to prepare the project, or supported them during the time in which
they prepared it. This is also the place to thank institutions, funding sources, libraries, archives,
and any anonymous readers or editors. The pages of the acknowledgements should show a
number in roman numerals on the bottom center of the page.
Dedication (optional)
The text on this page should be simple and short. It does need to be labeled “Dedication” as the
text makes this clear, and it does not require explanation (such explanations are for the
acknowledgments). Nothing else should appear on this page, including a page number.
Table of Contents
The Table of Contents must include a listing of all items in the thesis. You should not list the title
page, the copyright page, the dedication, the epigraph, the table of contents, or the approval
sheet. Headings and sub-headings must be consistent between the Table of Contents and the
body of the text. All capitalization, punctuation, abbreviations, etc., must be consistent amongst
the titles in the Table of Contents and Lists of Tables and Figures, and the actual titles as they
appear in the body of the text. The Table of Contents should show page numbers as lower
Handbook for the NCE Integrated Doctoral Programs 31
case roman numerals at the bottom center. The top of each page of the table of contents
should have a one inch margin; the top of the first page should show the title, all in caps: TABLE
OF CONTENTS. All the page numbers should be aligned and flush right.
Handbook for the NCE Integrated Doctoral Programs 32
Sample Table of Contents
TABLE OF CONTENTS
ABSTRACT ....................................................................................................................... iii
ACKNOWLEDGEMENTS ............................................................................................... iv
List of Tables ...................................................................................................................... v
List of Figures .................................................................................................................... vi
CHAPTER ONE .................................................................................................................1
Level 1 .................................................................................................................................1
Level 2 ..................................................................................................................................3
Level 3 .........................................................................................................................7
Level 4 if needed .........................................................................................................9
CHAPTER TWO ..............................................................................................................13
Level 1 ...............................................................................................................................13
Level 2 ...............................................................................................................................20
Level 3 .......................................................................................................................32
Level 4 and so on ......................................................................................................47
CHAPTER THREE .........................................................................................................60
Level 1 ...............................................................................................................................60
Level 2 ...............................................................................................................................67
Level 3 ..........................................................................................................................75
CHAPTER FOUR .............................................................................................................85
Level 1 ...............................................................................................................................85
Level 2 .............................................................................................................................102
Level 3 ......................................................................................................................122
And you got the idea ...............................................................................................145
CHAPTER FIVE ...........................................................................................................168
Level 1 ..............................................................................................................................168
You May Have Level 2 Here as Well .............................................................................188
And Level 3 too . .........................................................................................................200
References .......................................................................................................................205
Appendix A: Title ............................................................................................................220
Appendix B: Title ...........................................................................................................221
Handbook for the NCE Integrated Doctoral Programs 33
List of Tables (if any)
List of Figures and Illustrations (if any)
List of Symbols, Abbreviations, Nomenclature (if any)
Epigraph (optional)
An epigraph is a short quote relevant to your whole project. Like the dedication, it stands alone
and without further explanation. You may choose to provide the source, though the expectation
is that a reader will recognize it if you do not. No other text should appear on the page, including
a page number. Example:
The ‘Enlightenment,’ which discovered the liberties, also invented the
disciplines.
Michel Foucault, Discipline and Punish: The Birth of the Prison
Body of text (The following guide lines are based on APA style, if you are approved to use a
different style guide, some of these guidelines may not apply.)
You should divide the main text of your dissertation into chapters. These divisions should
reflect both the internal logic of your project, and also facilitate your reader’s experience of the
text. The first page of the body of text should be marked “1” at bottom middle page. Set
uniform margins of at least 1 in. (2.54 cm) on the top, bottom, left, and right of every page. Use
your word-processing software to add a header that will appear at the top of every page that
includes the running head and the page number. The header appears within the top margin, not
below it. Type size should be 12-point.
Generally, all textual material should be double-spaced (this includes spaces between sections).
However, single-spacing may be used in setting off long quotations (40 or more words),
interview excerpts, and field notes. The left-hand margin must be large enough for binding (1½
inches); a 1-inch margin should be used on the remaining sides of the page. Be consistent with
font. Recommended fonts: Times New Roman, Arial, Verdana, and Garamond. All the
references must be in the text; do not use footnotes. For emphasis in the text: Do use italics. Do
not underline. Do not use bold. Insert only one space after period. Align text to the left.
Headings. Use levels of headings properly and consistently (See APA for guidance.) Be
consistent in your use of headings across the chapters of your work. If you include a level of
headings (1st, 2nd) in the Table of Contents for one chapter then you must include that level of
headings for all chapters. Do not end a page of text with a heading.
There are 5 heading levels in APA. Regardless of the number of levels, always use the headings
in order, beginning with level 1. The format of each level is illustrated below:
Handbook for the NCE Integrated Doctoral Programs 34
APA Headings
Level Format
1
Centered, Boldface, Uppercase and Lowercase Headings
2
Left-aligned, Boldface, Uppercase and Lowercase Heading
3
Indented, boldface, lowercase heading with period.
4
Indented, boldface, italicized, lowercase heading with period.
Indented, italicized, lowercase heading with period.
5
Example:
CHAPTER TWO
The Review of the Literature
Introduction
Use this one for sub-headings.
Avoid hanging quotations. It is a quotation without introduction; it just “hangs” there. Introduce
quotations with specific information in one or two sentences. These sentences provide context
for the quotation and enable your reader to understand why the quotation is important. As a
ubiquitous imaginary researcher Smith (2008) argues:
Use quotations at strategically selected moments. You have probably been told by
teachers to provide as much evidence as possible in support of your thesis. But packing
your paper with quotations will not necessarily strengthen your argument. (pp. 21-22)
Once you have inserted your quotation, along with its context and attribution, do not stop. Your
reader still needs your assessment of why the quotation holds significance for your study. And
this was a nice example of the points we wanted to make.
And here is more advice:
1. Introduce a block quotation with your own words followed by a colon or comma.
2. Indent. You normally indent 4-5 spaces for the start of a paragraph. When setting up a
block quotation, indent the entire paragraph once from the left-hand margin.
3. You may use single space within the block quotation; the font size remains the same
4. Do not use quotation marks at the beginning or end of the block quote - the indentation is
what indicates that it is a quotation.
Follow up a block quotation with your own words.
Keep periods and commas within quotation marks. For example:
Handbook for the NCE Integrated Doctoral Programs 35
According to Jones (2000), students "dread APA style," but many of his colleagues urged him to
"keep teaching it, regardless" (p. 19).
Place colons and semicolons outside quotation marks. For example:
Williams (2002) described APA style as "a must in dissertations"; her colleagues agreed.
Place a question mark or exclamation point within closing quotation marks if the punctuation
applies to the quotation itself. Place the punctuation outside the closing quotation marks if the
punctuation applies to the whole sentence.
A student asked, "Do I really need APA?"
Does Dr. Hairsplitter always say to her students, "You really need to use APA"?
Each of your tables and figures should have a number, and they should be numbered
consecutively throughout the manuscript. That is, the first table is table 1, the second table 2, and
so forth, even if they appear in different chapters or sections. You should also give your tables
and figures descriptive titles, which you should single-space. You may also choose to include a
short description of the table with the title; it too should be single spaced. This material should
appear on the same page as the table itself, and you should try to format the table and its
accompanying text so that there are no large empty spaces in your manuscript.
Example:
Table 1
Correlation coefficients between Gender (G), Age (A), and APA proficiency test (APAPT)
Figure 1. The popularity of APA formatting style across USA universities.
Illustrations
Illustrations should be positioned as the main text (the type reading across the 8-1/2 inch
dimension). If figures or tables cannot be printed in the same direction as the text, they can be
rotated to landscape orientation in such a way that the top of the figure is oriented to the inside
(1-1/2 inch margin side) and the caption placed at the bottom (along the right-hand side of the
page). The page number must appear in the usual place.
Handbook for the NCE Integrated Doctoral Programs 36
References
Follow the guidelines of the current Publication Manual of the American Psychological
Association.
Appendices (if any)
This is the place to include materials to which you would like your reader to have access, but
which are not necessary to the main narrative of your argument. This is the place, for example, to
include your raw data, letters of permissions, the texts of surveys or other materials you used in
your research, translations or editions of primary texts which are not published, and so forth.
If you do include appendices, you should give them both a generic and a descriptive title (e.g.
Appendix A: Yet More Stuff about the Formatting). The title is centered, and the material is
included on the same page.
Plagiarism
All work that is not your own must be documented by proper citation of sources. Offering the
work of another as one’s own, even unintentionally, is a serious offense covered by the NLU
policy on academic integrity, and is especially problematic in a research document which
purports to be original work. Consult the Library Guide on Understanding Citing & Plagiarism
and the NLU Student Handbook. Both can be found at
http://libguides.nl.edu/content.php?pid=16608&sid=5360444
Proofreading
It is your responsibility to insure that the dissertation is properly formatted and thoroughly
proofread. You should always proofread after using the spellcheck, as many errors may be
missed by automated spellcheck functions. A dissertation submitted to the dissertation committee
Chair and members, which shows an obvious lack of proofreading will be returned to you for
additional revisions. Students may procure the services of an editor who can assist in formatting,
copy-editing, and other non-content related edits.
Handbook for the NCE Integrated Doctoral Programs 37