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EdD_Capstone_Guidebook_2021.docx

Walden University

EdD Capstone

Guidebook

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For internal use only.

Walden University

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Contents

Introduction 1

The Walden University Dissertation Statement 1

How This Guidebook Is Organized 3

Part 1. The Capstone Process 4

Process Overview 4

Beginning the Process 6

Capstone Supervisory Committee 6

Writing the Prospectus 7

Registering for the Capstone Course 8

Review Tools 8

Developing the Proposal 8

Gaining Committee Approval of the Proposal 11

Gaining URR Approval of the Proposal 11

Proposal Oral Presentation 12

Getting Approval for Research 13

Completing the Capstone 14

Gaining URR Approval of the Capstone 21

Form and Style Review 19

Capstone Oral Defense 20

Final Approval and Submission 22

Academic Integrity and Plagiarism 24

Part 2. Evaluation in My DR 26

Proposal 26

Final Study 27

Final Overall Quality 28

Part 3 . Style: APA and Walden University 33

Overall Structure 33

Abstract 34

Appendices 35

Definitions of Terms and Glossaries 35

Copyrights and Permission To Use 37

Crediting Sources 38

Footnotes 42

Point of View 42

Verb Tense 43

Inclusive Language 44

Type 45

Line Spacing 45

Margins and Page Numbers 45

Headings 47

Lists: Seriation 47

Tables and Figures 50

Numbers and Percentages 50

Abbreviations 50

Spelling, Grammar, and Punctuation 52

Capitalization 52

Sample Pages 56

Part 4 : Frequently Asked Questions 63

Questions About the Capstone Process 63

Questions About Form and Style 64

Capstone Guidebook (January 2021) Page 16

Introduction

The final phase of study for Walden University doctoral students is completion of a capstone dissertation or project study, which begins with the preparation of a prospectus and ends with approval of the final study. Walden does not favor any particular research approach or methodology, but the university does require that a capstone reflect a high level of scholarly effort and be an original contribution to knowledge or professional practice. Students should demonstrate knowledge of research design and execution as well as the ability to interpret research findings both orally and in writing. The final product should have the level of detail and sophistication expected of a doctoral-level scholar-practitioner in the discipline.

The Walden University Dissertation Statement*

This statement is designed to provide a broad vision of the Walden University dissertation and an understanding of the university’s dissertation requirements:

The Walden University dissertation embraces and reflects the core values and mission of the university. Walden strives to produce graduates who combine academic credentials with professional skills and leaders whose actions are motivated by informed intellect and educated attitudes. As accomplished practitioners, Walden students bring a wealth of expertise to their studies. Walden’s curricula then provide the foundation upon which students build their competence and mold their interests, culminating in the dissertation learning experience. Through this process, Walden graduates are provided the learning necessary to set forth new ideas through enlightened insights and to effect change in individuals, organizations, and society.

Because Walden students and their courses of study vary, the nature and purposes of Walden dissertations also vary. The university’s approach to scholarship is flexible. The dissertation can be built upon a foundation of basic or applied research, multidisciplinary perspectives on scholarship, improved teaching, or an appropriate and acceptable combination of different forms of rigorous scholarship. Each suits the Walden dissertation insofar as it relates to the nature and purpose of the inquiry and demonstrates a literate grounding in the relevant fields in which it is written, while maintaining the fundamental elements of quality and integrity required of stewards of the discipline.

The Walden dissertation demonstrates a commitment to improving the caliber of professional practice. It is an inquiry that addresses unanswered questions or issues lacking thorough study and envisions what could happen as a result of the research outcomes. It contributes to professional practice by offering new knowledge or new understanding of existing knowledge arrived at through rigorous application of appropriate research methodology and provides a basis for further research. Therefore, the results of a research study conducted for a Walden dissertation are worthy of publication as a significant contribution to professional practice.

The Walden dissertation demonstrates a commitment to addressing the phenomena of social change and, within that context, exhibits sensitivity to societal conditions and a consideration of social issues.

The Walden dissertation confirms a student’s understanding of and commitment to academic honesty and scholarly integrity.

Every dissertation is shaped by the university’s core values of integrity and quality, as well as its mission: to provide a diverse community of career professionals with the opportunity to transform themselves as scholar-practitioners so that they can effect positive social change. The dissertation is the unifying culmination of a doctoral student’s academic experience at Walden. The most important outcome of all teaching and learning at Walden is to produce graduates with the knowledge, skills, and abilities to:

Understand and continuously develop and change themselves, the organizations in which they work, and society at large.

Create new knowledge dedicated to the improvement of social conditions and to impact society positively by putting that knowledge into practice by both modeling their learning through action and by being civically engaged.

Continue learning across their lifetimes as practitioners, researchers, and scholars and continue to impact social change.

Achieve professional excellence as active and influential professionals by applying their learning to specific problems and challenges in their work settings and professional practice.

Be information literate, including knowing the literature of their professional fields and reading it critically.

Understand the design and methods of inquiry in their professional fields.

Practice in their professional fields legally and ethically.

Communicate effectively, particularly in communicating their learning and research to others.

Appreciate, respect, and advocate for diversity and multiculturalism within their professional fields.

Function flexibly and effectively in a variety of educational environments, including online and distributed environments.

How This Guidebook Is Organized

The EdD Capstone Guidebook complements other important resources during this phase of students’ graduate careers, including their supervisory committee, their academic program leaders, the academic advisors and other university staff members, the Publication Manual of the American Psychological Association, 6th ed. (APA style manual), and the Walden Writing Center.

The Capstone Process . Part 1 of this guidebook describes the steps of the capstone process, including the use of evaluative rubrics. Part 1 also explains the policies and procedures related to ethical standards and use of human subjects in research.

The Committee Evaluation Process. The duties of the chair, second member, and university research reviewer at each stage of the document review process are described in Part 2 of this guidebook.

Style: APA and Walden University . Form and style guidelines are provided in Part 3, as an introduction and a supplement to the APA style manual. The APA style manual is students’ main source of form and style information when writing their capstones. References to APA style in this edition of the EdD Capstone Guidebook reflect the sixth edition of the APA style manual. When the university has style preferences for capstones that supersede APA guidelines, those preferences are indicated in green boxes.

Frequently Asked Questions . Part 4 of this guidebook includes a series of frequently asked questions regarding the capstone process as well as form and style issues.

Part 1. The Capstone Process

The processes for dissertations and project studies are continually evaluated and updated to make the experience successful for both faculty members and students. The steps are detailed in this guidebook. A shorter description of the capstone process and relevant forms can be found on the Office of Student Research Administration (OSRA) section of the Walden University website. Capstone refers to your choice of writing a dissertation or a project study.

Process Overview

If students wish to graduate in a specific term, they must plan their program carefully. They should begin planning for program completion in advance of their anticipated graduation date. The chart below provides a quick summary of the steps involved in completing the capstone. The following sections describe these steps in more detail.

Step

Description

Committee Assignment

Students are assigned their capstone supervisory committee following the processes set forth by their school within the college. The committee consists of a chair and a second member. After approval of the prospectus, a third member serving in the role of the university research reviewer (URR) is assigned by the research/URR coordinator.

Prospectus

The prospectus is a brief document that provides preliminary information about capstone research. Students organize, delineate, and make decisions regarding their capstone and appropriate research style. The prospectus serves as an agreed-upon plan for developing the proposal and finalizes the structure of the capstone supervisory committee. The supervisory committee uses the Prospectus Rubric to give feedback on the prospectus.

Note: All capstone rubric analyses are completed in the My Doctoral Research (MyDR) system. Refer to the EdD Prospectus Guide for more information on the MyDR system.

Proposal Development

The first three chapters of a dissertation and the first one and a halfsections of a project study are known as the capstone proposal . The proposal establishes the rationale for conducting the study , including a review and analysis of the relevant literature, and describes the design and methodology that will be utilized for the study. Students work with their supervisory committee to develop the proposal, consulting the specific university-approved checklist indicators that will be used to organize the capstone. When ready, students complete a self-evaluation using the appropriate checklist and a Turnitin report and submit these documents to their committee chair.

Note: The committee chair will complete a separate Turnitin report, which is submitted to the URR member for review along with the appropriate checklist and proposal. Students’ committee members, including the URR member, evaluate the proposal against the EdD Minimum Standards Rubric using the annotated checklist that students provide to guide their reviews.

Proposal University Research Review

When the supervisory committee is satisfied that the proposal meets all the requirements specified in the minimum standards rubric, the member and chair complete the proposal rubric evaluations in MyDR and the chair reconciles and uploads the proposal, Turnitin report, and the appropriate completed checklist. The URR member receives a notice to review and reviews the proposal, using the minimum standards rubric, including items relevant to content, methodology, form and style, and ethical procedures. The URR member either approves the proposal, which enables the student to set up an oral conference, or returns the proposal with a set of revisions related to meeting rubric standards. Students work with their committee to make any required revisions.

Proposal Oral Presentation

Following URR approval, students orally present the proposal to their committee via teleconference scheduled with OSRA. Requests should be made 3 business days in advance of the meeting. This presentation is used to confirm students’ plans for their research, clarify any remaining questions that committee members may have regarding the study, and help ensure that students initiate their research from a sound foundation. After the proposal has been successfully defended, the committee chair completes the Proposal Oral evaluation in MyDR.

IRB Approval

Walden’s Institutional Review Board (IRB) reviews each study conducted by Walden students to determine if the anticipated benefits of the study outweigh risks associated with participation in it. While developing their proposal, students should draft the IRB application and submit it to their chair for feedback. After the proposal has received final approval following the presentation, students receive a notice from OSRA to submit their formal application directly to the IRB.

Note: Please remember that no data may be collected until IRB approval is granted.

Capstone Completion

Following IRB approval, students can collect and analyze their data and report their findings, complete the remaining chapters of their capstone, and prepare the abstract. They complete a self-evaluation of the remaining chapters using the appropriate checklist and another Turnitin report to submit to their committee chair.

Note: The committee chair may again complete a separate Turnitin report, which is submitted to the URR member for review along with the study document.

Final Study University Research Review

When the supervisory committee is satisfied that the full study draft and abstract meet all the requirements specified in the minimum standards rubric, the member and chair complete the final study minimum standard rubric evaluations in MyDR and the chair reconciles and uploads the final study document, Turnitin report, and the appropriate completed checklist. The URR member receives a notice to review and reviews the final study, using the minimum standards rubric. The URR member either approves the final study, which enables the student to move forward to the form and style review, or returns the final study with a set of revisions related to meeting rubric standards. Students work with their committee to make any required revisions.

Form and Style Review

Upon URR approval of the final study and abstract, the URR uploads a clean document for the Form and Style Review—a final check for errors in APA style, spelling, grammar, punctuation, and related issues.

Oral Defense Teleconference

After receipt of the form and style evaluation, students present their capstone via teleconference scheduled with OSRA. Requests should be made 3 business days in advance of the meeting. This final oral defense is a formal discussion of the scholarly content of the study, followed by an evaluation of the capstone. At this point, students may need to revise the final study based on feedback during the teleconference as well as from the form and style review.

Final University Research Review

After successful completion of the oral defense and committee approval of the final capstone, the member and chair complete the final quality rubric evaluations in MyDR and the chair reconciles and uploads the final study documents. The URR member receives a notice to review and reviews the final study to make sure all methodological, content, and writing issues have been addressed. In addition, the URR member reviews the abstract to make sure it meets university guidelines.

Chief Academic Officer Review

Upon URR approval of the final study and abstract, the URR uploads a clean document for the university’s chief academic officer (CAO) or designee to review as a final endorsement of the study. Revisions may be required at this point, and these changes are facilitated through consultation with the chair and others. Upon CAO approval, the capstone is officially completed.

ProQuest Submission

To graduate from Walden University, students must submit their capstone and CAO approval page to ProQuest for publishing. After this submission has been approved and after students have completed all the graduation requirements for the capstone, their degree can be validated.

Beginning the Process

Students begin the capstone phase of their program when they begin work on their prospectus and receive the first two members of the capstone committee: a chair and a committee member. Students can find more guidance in the EdD Prospectus Guide. All capstone documents, forms, and additional supporting resources can be found on the EdD page of Walden’s Center for Research Quality website.

Capstone Supervisory Committee

The capstone supervisory committee is a feature of doctoral education. The primary goal of the committee is to provide students with the guidance and support that they will need to conduct an independent research project of the highest quality and relevancy. Walden capstone supervisory committees are generally composed of three members: a committee chair , a committee member , and a committee university research reviewer (URR).

Students are assigned their capstone supervisory committee following the processes set forth by their college within the college. The URR member will be assigned to the committee after Program Director (PD) approval of the prospectus and before the committee members have both approved the proposal.

A few guidelines are used to shape committee formation. Between the chair and second member, someone must be designated as the context expert and someone as the methodologist , although one person can do both. The capstone chair must be from a student’s program. As some academic programs have further requirements for chairing a capstone committee, students should be sure to confirm with an advisor and/or the proposed chair that he or she is eligible to chair the committee. Students should also be mindful of any department-mandated core courses, pertinent residencies, and prerequisites that must be completed before they can begin the capstone process.

Writing the Prospectus

The prospectus provides a plan for the capstone research. Writing the prospectus will help students organize, delineate, and make decisions regarding their topic and appropriate research style. An approved prospectus serves as an agreed-upon plan for developing the proposal and finalizes the structure of the capstone supervisory committee . The EdD Prospectus Guide provides more details on the document and process.

The prospectus consists of several small sections, which are detailed in the annotated outline in the EdD Prospectus Guide. The goal for the prospectus is to create a plan for developing the capstone proposal. Therefore, a student needs to have some literature and design information for the prospectus but does not need to know all the specific details of the study that will ultimately be conducted. That remaining work will occur when the proposal is written. The final draft of the prospectus is assessed against the quality indicators in the EdD Prospectus Rubric. After both committee members have approved the final version of the prospectus and completed their rubrics in MyDR, the prospectus will undergo a program director review for the final approval.

Students work with their chair in a companion prospectus course that supports prospectus development. It is expected that students complete the prospectus document in the prospectus course, although PD approval may be achieved after the completion of the course.

As is the case for the proposal and final capstone, for which students will receive feedback on working drafts, prospectus development is an iterative process. When the prospectus is completed, students should follow the submission guidelines for their program. After completion of the one-term prospectus course, students are enrolled in the capstone course.

Registering for the Capstone Course

Students remain registered in the capstone course until successful completion of the capstone. Once registered for the first term, students are then registered automatically for the capstone course until the capstone is formally approved by the CAO.

All students should check the Walden University Catalog regarding their program’s prerequisites for enrolling in the capstone course.

Review Tools

Checklists and Minimum Standards Rubric

Walden’s capstone checklists are used to operationalize Walden’s Dissertation Statement. Each checklist is designed to assist students, supervisory committees, and the university’s academic leadership to determine whether a capstone meets Walden’s standards. Students should download the appropriate capstone checklist when their committee and prospectus are approved. Please note that there are different checklists for the project study and for the dissertation.

Walden’s evaluations for capstones follow a university-approved process, as described below:

The purpose of the capstone checklist is to guide students and supervisory committees as they work together to develop high-quality doctoral proposals and final studies. The checklist should be shared with students early in their doctoral programs and frequently used in advisement and graduate courses to reflect Walden’s expectations for high-quality capstones. The checklist is designed to help ensure a rigorous reporting across the common components that are used to build the capstone.

Specific capstone checklists have been developed for use with studies employing qualitative, quantitative, and mixed-research designs. As students begin the process of developing a proposal for the capstone, the specific checklist that best reflects the design of the proposed capstone study should be used.

As the proposal is developed and submitted for review to the supervisory committee, each committee member should use the most current version of the appropriate capstone checklist to communicate his or her evaluations to the student, the chair, and any other members of the committee. This process of ongoing evaluation and communication continues throughout the development of the capstone.

Detailed content elements are specified in the checklist for each chapter/section of the capstone. The subsections for each chapter/section include descriptions of substantive characteristics of the capstone, specifically related to the scholarly quality and integrity of the document. Students annotate the page numbers where these substantive characteristics are found within the document. This documentation serves three important functions: (a) it presents the general consensus of the Walden faculty regarding the specific content areas that should be addressed within each chapter of an acceptable Walden doctoral capstone, (b) it assists students in reflecting on areas for improvement within the document, and (c) it helps guide the committee members’ review of the documents.

A space for comments is provided for each chapter’s subgroup of substantive characteristics. Comments provided by the evaluator (committee member) should refer to praiseworthy aspects of the document and offer specific guidance for revision when needed. Comments should provide formative evaluation for that particular chapter and be useful to the student and other members of the capstone supervisory committee. The spaces provided for comment are not to be used for communicating line-by-line editing of the manuscript. If the document is in need of editing, the committee member needs to comment to that effect but provide any extensive comments in a separate communication.

The use of a checklist is intended to provide ongoing reflection, evaluation, and reevaluation of the specific subcomponents of the proposal and capstone drafts as they are developed into a comprehensive document that is internally consistent and aligned to serve the purpose of the doctoral-level investigation. The minimum standards rubric is applied by the members of the committee to verify that the substantive characteristics of the capstone guided by the checklist have been adequately demonstrated to meet core quality standards. For the final copy of each document (either the proposal or the final study), there must be unanimous approval by the capstone supervisory committee, including the URR, before the student proceeds to the oral defense (although revisions may be required following the oral defense).

The checklist and minimum standards rubric aid students, along with their committee, in writing the proposal for the capstone. All forms and rubrics can be downloaded from the Center for Research Quality website. Rubrics should be downloaded from the site for each study being evaluated to ensure the most recent version is employed in the review.

Caution: It is advisable to clear temporary files from the Internet browser before downloading any official documents from the website. This will prevent reopening older versions of a document that still reside in temporary files on the computer.

MyDR

My Doctoral Research (MyDR), which includes the TaskStream application, is a tool that allows students to submit all research documents into a central online location for faculty review and feedback. MyDR gives students a visual roadmap of their progress throughout the review process.

It is important to note the difference between the preliminary sections (Proposal Preliminary Development and Final Study Preliminary Development) and the formal committee review sections (Proposal Committee Rubric Analysis and Final Study Committee Rubric Analysis) in Taskstream. The preliminary sections are designed for the committee to provide feedback to students to help develop the final version of their proposal or final capstone for the formal committee review (i.e., the rubric analysis). Completing the preliminary sections does not count as the formal committee review and will not move students forward to the URR review. The preliminary sections are meant only to help students and committees communicate with each other to draft the proposal or final study. Students are not required to complete the preliminary sections; these sections are provided as a helpful tool only. No automatic e-mails are generated when working under the preliminary sections. The committee rubric analysis sections are where the formal committee reviews take place. Completing the rubric analysis sections will move students forward to the proposal or capstone URR review.

Throughout the capstone process, the URR, Form and Style editors, and CAO or CAO’s designee generally have a 2-week time frame (i.e., 14 calendar days or 10 work days, excluding holidays) to complete their review. If the review takes place during any of the official Walden holidays (New Year’s Day; Martin Luther King, Jr. Day; Memorial Day; Independence Day; Labor Day; Thanksgiving Day; day after Thanksgiving; or Christmas Day), the holiday will not count in the 2-week review cycle. It is important to note that MyDR does not adjust for holidays, so any late notices received from the workflow as a result of a holiday are not an accurate reflection of the review time frame.

More detailed information on MyDR can be found on the research center’s website.

Developing the Proposal

The proposal consists of the first three chapters of the dissertation or the first one and a half sections of the project study document and an APA-style reference list. The proposal presents a detailed plan of the proposed research for the capstone and describes a specific idea, the related literature, and the intended research methodology.

Students should consult with their committee chair early and frequently when developing the proposal. With guidance from their supervisory committee, students conceptualize a topic, organize and synthesize the literature, and determine a research methodology appropriate to the subject matter.

Additional details and information on developing and writing the proposal and final capstone are found within this guidebook, on the EdD website, on the OSRA website, and at the Walden Writing Center. The Writing Center offers both a dissertation and a project study template, which are requirements for completing the EdD capstone.

Gaining Committee Approval of the Proposal

To help clarify the research framework for the project, a student’s committee chair reviews drafts of the proposal. When satisfied that the proposal meets the university criteria outlined in the EdD Minimum Standards Rubric, the chair authorizes the student to submit the proposal to the other committee member for review.

After the chair has deemed that the proposal is ready, he or she will submit it for Turnitin review. At the same time, the student completes and submits a Turnitin self-evaluation to the chair, with a plan for revisions if warranted. After the chair has determined Turnitin compliance and believes the proposal is ready, the chair authorizes the student to submit the document for the formal committee review. Students must submit their proposal (after making all required changes), capstone checklist, and Turnitin report under Proposal Committee Rubric Analysis in Taskstream.

The committee members generally have 2 weeks to review the proposal draft. Guided by the student’s annotated checklist, the second committee member uses the minimum standards rubric to evaluate the proposal and shares evaluations with the chair. The committee member may assist the chair in providing feedback to the student on revisions requested; committee members generally have an additional 2-week time frame within which to review each subsequent round of revisions.

After both members of a student’s committee complete a minimum standards rubric reflecting that no further changes are necessary, the proposal is ready for review by the committee URR. The chair must reconcile the Proposal Committee Rubric Analysis as having “Met” the requirements and upload the approved review documents (clean proposal, checklist, and Turnitin report) to the approved reconciliation. Then the MyDR system moves the student forward to the URR review.

Gaining URR Approval of the Proposal

The URR must enter his or her review under Proposal URR Rubric Analysis. Informed by the student’s annotated checklist, the URR member completes an initial review of the proposal using the minimum standards rubric, including items relevant to content, methodology, form and style, and ethical procedures. After the URR member has completed the review, he or she completes the URR proposal rubric analysis in MyDR and uploads the proposal document with comments, checklist, and a brief summary statement in the comments of the minimum standards rubric indicating the overall review outcome and Turnitin report confirmation. At this stage, if needed, the URR can refer the student for mandatory consultation with the IRB office or the Writing Center to address ethical or writing concerns, respectively. The URR is obligated to make these referrals should he or she note significant ethical or writing concerns.

If the URR returns the proposal for revisions, the MyDR system will move the student back to Proposal Committee Rubric Analysis. The committee works with the student to make the requested revisions. When the chair feels that the URR revisions have been made, the student must submit the revised work under Proposal Committee Rubric Analysis. That stage must be completed again before a new URR review can take place. The URR then reviews the revised materials. This process continues until the URR approves the proposal as meeting university criteria outlined in the EdD Minimum Standards Rubric. After URR approval under Proposal URR Rubric Analysis, the student is allowed to commence with the oral defense.

Proposal Oral Presentation

After the URR enters his or her approval under Proposal URR Rubric Analysis, the MyDR system notifies the student, committee, and OSRA about that approval. After everyone is notified, the proposal oral presentation may commence. The student presents the proposal via teleconference with the committee members. The URR does not participate in the proposal oral presentation unless there are compelling reasons that necessitate the URR’s attendance. The oral presentation is a formal discussion of the proposal to identify any concerns to be addressed in the final version of the proposal or issues that may arise as the student moves forward with the capstone. The teleconference is led by the committee chair.

The proposal oral presentation must be recorded. Instructions are provided to the committee chair for starting and terminating the recording. Teleconferences are made public within the Walden University community; the e-mailed reservation includes instructions regarding a privacy option. Upon request, the research service specialist can e-mail a link to the recording of the conference within 72 hours of holding the call.

Scheduling the Teleconference

To schedule the teleconference, students should identify several commonly available dates and times among those participating in the teleconference (i.e., student and committee members). That information should be forwarded to the committee chair who will then use the Conference Call Reservation form (located on the Walden website) to submit the request to OSRA to reserve the date and time that is convenient for the participants. Note: Reservation forms must be submitted at least 3 business days prior to the teleconference date requested.

A confirmation of the request is sent to all participants with instructions for calling in at the appointed date and time. Before the call, students should ask the chair to clarify any expectations of the content of the conference call, if necessary. The call information is found on the student MyDR web landing page.

Oral Presentation Outcome

If the committee feels that the student did not pass the proposal oral presentation, the chair must enter “Not Met” under Proposal Oral Presentation. The MyDR system will then notify OSRA about the outcome, prompting OSRA to clear the Proposal Oral Presentation section and advise the student and committee to schedule a second proposal oral presentation. The student does not have to submit the updated proposal in MyDR if the committee determines that the student did not successfully complete the oral defense.

If the committee believes that the student passed the proposal oral presentation, the chair must enter “Met” under Proposal Oral Presentation and upload the clean, approved proposal. Once the approval has been entered, the approval will be processed in the MyDR system overnight.

Getting Approval for Research

Walden’s IRB must approve any research prior to beginning research and data collection. This is required of all students, faculty members, and staff members who undertake research studies, including a capstone, that grow out of their affiliation with the university or that involve interviewing, surveying, testing, treating, and/or experimentally manipulating human participants or archival data on human subjects. All researchers, including students, can download the current version of the IRB application and instructions from the Office of Research Ethics and Compliance section of Walden’s Center for Research Quality website.

The IRB reviews all students’ applications and determines if their proposed research complies with accepted ethical standards. Walden does not approve or accept responsibility or liability for research conducted without the IRB’s approval, and the university will not accept or grant credit for student work where the student has failed to comply with its policies and procedures related to ethical standards in research. Note: A repeat of the proposal URR process can be required by the committee, the IRB, or the CAO at any time if ethical or pragmatic concerns necessitate substantial revisions to a URR-approved proposal.

The Purpose of the IRB

The IRB is primarily concerned with ensuring ethical practice and protection of participants in all studies, particularly those involving

· protected classes (e.g., children, elderly, prisoners, or cognitively and/or mentally impaired individuals);

· potential challenges identifying subjects or obtaining informed consent;

· deception of subjects;

· potential coercion; or

· sensitive data collection topics or methods that require extra privacy protections.

The IRB’s purpose is to evaluate proposed data collection procedures to ensure that the risk to subjects is minimized or eliminated and that the study complies with commonly accepted ethical principles for human subject research.

The IRB’s authority is consultative to the CAO, or designee, with regard to the approval of proposed research studies.

IRB Application Process

Students may not initiate data collection until they receive written (e-mail) notification from the IRB of approval to conduct research. This prohibition includes all aspects of data collection, including recruitment of subjects; advertising; mailing or distributing consent forms; interviewing; surveying; data gathering; and so on.

After students pass their proposal oral defense, they receive a notice from OSRA to submit through the formal IRB application that is posted on the IRB website. The IRB works with students to ascertain that all necessary materials and partner site approvals have been submitted. The IRB has the authority to require revision of students’ requests to ensure compliance with the university’s policy on ethical standards in research.

Note: Data collected without IRB review and approval cannot be included in the capstone. Prohibited activities conducted prior to IRB approval do not fall under the legal protection of the university.

Completing the Capstone

After the IRB application has been approved, students can conduct their research, collect and analyze the data, report their findings, and draw their conclusions. With the guidance of their committee, students will complete Chapters 4 and 5 of the dissertation or Sections 2–4 of the project study as well as the final abstract.

Required Data Storage

Students are required to maintain all raw data—interview tapes, spreadsheets, questionnaire results, and so forth—for no less than 5 years upon completion of their capstone study. For safekeeping, students should store copies of data in two different secure locations.

Reporting the Findings

Committee guidance and requirements can vary as to the best way to report findings. For example, some committees ask students to place lengthy portions of interviews—raw data—in Chapter 4 of the dissertation or Section 2 of the project study. Other committees request that interview transcripts appear in an appendix; still others do not require raw data to be included in the capstone at all but ask that interview notes and tapes be kept in a secure location for later review, if necessary. Students should follow their committee members’ suggestions and requirements in presenting and analyzing the data.

As is often the case in scholarship and most forms of writing, students must first weigh the needs of the audience and publisher with their own, because no two situations are alike. Thus, when reporting their research, students should be concerned less with prescribed rules and more with (a) accuracy and integrity, (b) protection of confidential sources, and (c) ease of reading; students will need, however, to adhere to rules related to APA formatting. Several common issues related to confidentiality, interviews, and participant and/or observer notes bear mentioning.

Confidentiality of Sources

Research participants are never identified in a capstone, and site identities are typically masked to protect the privacy of individuals who provided data (though completely masking the site’s identity is not always possible). Students are obligated to inform participants and managers of research sites that all Walden doctoral capstones enter the public arena.

How students refer to anonymized locales and participants can vary. The reader should know the part of the world (i.e., region) where the research took place, but naming the city is not typical. Students should introduce the pseudonym for an organization with a sentence such as the following: To ensure confidentiality, the facility will be referred to as XYZ Medical Clinic throughout this dissertation/project study.

Students may refer to participants as Participant 1 or P1, by any other logical abbreviation, or by a pseudonym. Students should inform their readers in the narrative if pseudonyms will be used throughout.

For more information about maintaining confidentiality, students should contact the IRB office at [email protected].

Integrity and Accuracy

A predetermined bias by some writers leads almost invariably to selective use of quotations to support their position. To be scholarly researchers, however, students are obligated to report findings as completely, accurately, and objectively as possible, lest the integrity of the narrative be compromised. The reader expects that the speaker’s actual words are reported and portrayed in an honest context, including judicious use of blatant grammatical errors and vulgar language. Students should be prepared to negotiate with the committee and the study participants and stakeholders what the word judicious implies.

Use an ellipsis to show that some words have been deleted or brackets to indicate that words have been changed or added. If a substantial portion of an interview is deleted or changed, paraphrase that section of the interview. Students should refer to the APA style manual for more details about maintaining the accuracy of quotations.

Formatting Interview Transcripts

In many qualitative capstones, particularly in Chapter 4 of a dissertation or Section 2 of a project study, portions of interview transcripts appear in the narrative. Although they should follow their committee members’ guidance regarding reporting and analysis of data, students should remember that an important goal is to help the reader navigate the text. As such, writers must be consistent and try to format the text with the reader in mind. APA’s 40-word rule for quotations may be helpful here: If an interview excerpt is 40 words or longer, the transcript should be set off using block formatting. The Crediting Sources section below provides more detail on formatting quotations. Establishing a consistent pattern whereby all transcript segments are set off in block form may be helpful.

The committee may require a listing of all interview dates. Here, too, students have choices, depending on how the integrity of the transcriptions is established, while also aiding the reader during what can become a tedious journey. Citing specific dates for each interview may seem obtrusive. Some writers offer a summary statement in the narrative: Unless otherwise noted, all interviews took place between May 1, 2017, and May 21, 2017. If complete transcripts are in an appendix, students could list the actual dates of the interviews.

The following narrative represents one way to handle these tasks:

Ms. T., a 30-year-old woman who said she needed “welfare” because of an “emergency,” described the atmosphere in the food stamp office as “cold, dreary, and uninviting.” When pressed, Ms. T.’s face became red, revealing the anger that underscored her words:

I do not see why I should be treated like a criminal when I seek assistance in a time of need. Them workers act like they are doing you a big . . . favor by pulling up your case file. Lord knows that food stamp office is the last place I want to be, waiting 4 hours to talk to my caseworker and then just hearing all that [nonsense].

The segment included information about the source of the quotation, placed unobtrusively in the writer’s introductory paragraph, which led into a smooth transition to the interview excerpt.

In some instances, it may be effective to include several excerpts from an interview transcript. This should be done with purpose, when it is necessary to present elements of a discussion; for example, a back-and-forth exchange between participants in a focus group or the researcher and a participant, as opposed to a quotation from a single participant. When including an excerpt from a transcript, again, only when necessary, format the excerpt by indenting the first line of text 0.5 inch, but use a hanging indent for the second line of text from each speaker. This will help the reader track the different speakers. For example:

Focus group participants were divided in their responses to RQ4 and openly disagreed with one another. This transcript excerpt is one example of several instances where participants presented contradictory information, even regarding experiences with the same managers:

Interviewer: So, what you’re saying is that your managers do not enforce the

policy?

Participant 1: No, my manager does not. She has instructed us to go with our

gut on some of these issues and doesn't want to follow any formal rules. Each situation may be different.

Participant 2: I would actually say the opposite. My manager does not want

us to take any actions that are not supported by the written rules of the policy. We need to be able to defend our actions, and we need the policy to back that up.

Participant 3: That’s funny, [Participant 2], because I have the same manager,

and I actually had him tell me the opposite once. He asked me to do something that was against policy but to keep it quiet.

Participant and/or Observer Field Notes

First-person point of view may be used as appropriate, as guided by APA and as discussed on the Writing Center website.

Committee Review

The committee chair reviews preliminary drafts of the complete capstone manuscript. When satisfied that the manuscript sufficiently meets university criteria, the chair authorizes the student to submit the capstone, including abstract, to the other committee member for review.

After the chair has deemed that the capstone is ready, he or she submits it for Turnitin review using the exclusion setting of “exclude < 4 words.” At the same time, the student completes and submits a Turnitin self-evaluation to the chair, with a plan for revisions if warranted. After the chair has determined Turnitin compliance and believes the capstone is ready, the chair authorizes the student to continue the process through MyDR. Students must submit their clean study document, checklist, and Turnitin report under Final Review Committee Rubric Analysis for the formal committee review.

Committee members generally have up to 2 weeks (14 calendar days or 10 work days, excluding holidays) to evaluate the capstone. Guided by the student’s annotated checklist, the second committee member uses the minimum standards rubric to share evaluations with the committee chair. The second member may assist the chair in providing feedback to the student on further revisions requested; an additional 2 weeks are allotted to committee members for each subsequent round of revisions. After the chair and committee member have entered their individual reviews, the chair must reconcile the Final Review Committee Rubric Analysis as “Met” and upload the approved review documents (clean project study or dissertation document, checklist, and Turnitin report) to the approved reconciliation. Then the system moves the capstone forward to the URR review.

Gaining URR Approval of the Capstone

The URR must enter his or her review under Final Review URR Rubric Analysis.

Informed by the student’s annotated checklist, the URR reviews the full capstone (primarily focusing on Chapters 4 and 5 of a dissertation or Sections 2–4 of a project study) and the abstract, using the minimum standards rubric, including items relevant to content, analyses, reporting and interpreting results, form and style, and ethical issues related to reporting results. Again, the URR can refer students for mandatory consultation with the IRB office or the Writing Center to address ethical or writing concerns, respectively.

If the URR returns the capstone for revisions, the MyDR system moves the student back to Final Study Committee Rubric Analysis. When the chair believes that the URR revisions have been made, the student must submit the revised work under Final Study Committee Rubric Analysis. That review stage must be completed again before a new URR review can take place. This process continues until the URR approves the capstone.

After the URR provides approval, the capstone moves forward to the Form and Style review.

Optional Pre-Oral Teleconference

At the request of the URR or committee chair, an optional pre-oral conference can be scheduled to discuss recommendations of the URR and reach agreement about changes that are necessary before the oral defense of the capstone. It is recommended that the pre-oral conference be held if the URR has raised serious concerns and/or if the committee requests the opportunity for discussion and clarification. The purpose of the pre-oral conference is to prevent multiple submissions and reviews of the capstone and, thus, facilitate the process of completion. Note: A pre-oral conference will not be recorded and is not required.

Scheduling the Teleconference

Once the URR enters his or her approval under Final Study URR Rubric Analysis, the MyDR system notifies the student, committee, and OSRA about that approval. Once everyone is notified, the pre-oral conference may commence. To schedule the teleconference, students should identify several commonly available dates and times among those participating in the teleconference. That information should be forwarded to the committee chair who will use the Conference Call Reservation form, which is located on the Walden site to submit the request to OSRA to reserve the date and time that is convenient for the participants. Note: Reservation forms must be submitted at least 3 business days prior to the teleconference date requested.

A confirmation of the request will be sent to all participants with instructions for calling in at the appointed date and time. Before the call, students should ask the chair to clarify any expectations of the content of the conference call, if necessary.

Form and Style Review

A capstone goes to Form and Style review before the final oral presentation. The editor generally has up to 2 weeks to review the document; the review cycle begins the day after submission. Manuscripts are reviewed in the order in which they are received, and turnaround varies by the volume of submitted capstones, which increases prior to a graduation.

Submissions that are missing any basic required component (e.g., abstract, reference list) or that still contain editing marks from previous reviewers may be returned by the editor as incomplete and not ready for review until the appropriate items are included and comments or edits from previous reviewers have been addressed and no tracked changes are present. In these cases, the manuscript is returned for additional work, and the student and committee are notified as to next steps. The 2 weeks (14 calendar days or 10 work days, excluding holidays) afforded the editor for the review does not begin until the day after the editor receives a complete and clean document.

Note: Capstone documents must be submitted for the Form and Style review as a single Microsoft Word document. Form and style guidelines are found in Part 3of this guidebook.

Outcome of the Form and Style Review

After the capstone has been submitted for the Form and Style review, students may work with their chair to schedule their oral defense. Students may collect convenient dates and times for their capstone teleconference while their paper is being reviewed; however, the teleconference may not be held until after the paper has been received back from the Form and Style review. Therefore, students should not attempt to schedule an oral defense within the 2-week time frame afforded the editor to complete the review. The oral conference should be scheduled to take place no sooner than the day following the due date of the Form and Style review.

Upon receipt of the completed Form and Style review and in consultation with the committee chair, students must address the Form and Style editor’s revisions and suggestions.

If questions concerning academic integrity arise as a result of the review, the Form and Style editor contacts the committee chair, URR, and program director with his or her concerns. Refer to the guidelines in the Walden University Student Handbook concerning academic integrity.

Capstone Oral Defense

The oral defense is a formal discussion of the scholarly content of the capstone and an evaluation of the paper. Students present their full capstone via a required teleconference with their committee members. The teleconference is led by the committee chair. All committee members except the URR are required to participate in the oral defense.

The oral defense may commence only after the committee members have reviewed the current draft of the student’s capstone and have reached consensus as to its level of development by using the guidelines of the EdD Minimum Standards Rubric. The teleconference may not be held until after the student’s paper has been received back from the form and style review; however, edits suggested during the form and style review do not have to be made before the teleconference.

Note: Walden asks that both committee members receive a copy of the most recent version of the capstone at least 3 days before the teleconference takes place.

The oral defense of the capstone must be recorded. Instructions are provided to the committee chair for starting and terminating the recording. Teleconferences are made public within the Walden community; the e-mailed reservation includes instructions regarding a privacy option. Upon request, the research service specialist can e-mail a link to the recording of the conference within 72 hours of holding the call.

Scheduling the Teleconference

Students should identify several commonly available dates and times among those participating in the teleconference (i.e., the committee members). That information should be forwarded to the committee chair, who will then use the Conference Call Reservation form (which is located on the Walden site) to submit the request to OSRA to reserve the date and time that is convenient for the participants. Note: Reservation forms must be submitted at least 3 business days prior to the teleconference date requested.

A confirmation of the request will be sent to all participants from the MyDR system with instructions for calling in at the appointed date and time. Prior to the call, students should ask the chair to clarify any expectations of the content of the conference call, if necessary.

Oral Defense Outcome

If the committee thinks that students did not pass the final oral defense, the chair must enter “Not Met” under Final Oral Presentation. The MyDR system then notifies OSRA about the outcome, prompting OSRA to clear the Final Oral Presentation section and advise the students and committee to schedule a second final oral defense. The students do not have to submit the updated capstone in MyDR if the committee determines that the students did not successfully complete the oral defense.

If the committee believes that the students did pass the final oral defense, the chair must enter “Met” under Final Oral Presentation and upload the clean approved capstone. Once the approval has been entered, the MyDR system will process the approval overnight, and OSRA will send an e-mail confirming the approval and saying that the students can move forward to the final committee review under Final Overall Quality Committee Rubric Analysis.

Final Approval and Submission

After students receive approval of their final oral presentation, they must submit the clean capstone document under Final Overall Quality Committee Rubric Analysis. The chair and committee member must enter their individual reviews. If the committee feels that the document is ready to go to the URR, the chair must reconcile the Final Overall Quality Committee Rubric Analysis as “Met” and upload the clean capstone to the approved reconciliation.

At this time, the URR conducts a final review to make sure all methodological, content, and writing issues have been addressed. In addition, the URR reviews the abstract to make sure it meets university guidelines. The URR conducts any additional reviews that are necessary until the final copy, including the abstract, meets full approval. The URR must enter his or her review under Final Overall Quality URR Rubric Analysis. If the URR approves the documents to move forward to the CAO review, the URR must upload the clean approved capstone and abstract. The CAO review generally takes place within a 2-week time frame. If changes are necessary and a resubmission to the CAO is required for approval, an additional 2-week time frame is generally allotted to the CAO for each subsequent review.

When the CAO grants approval, the MyDR system generates an e-mail confirming the approval and providing instructions on how to submit the capstone to ProQuest (see next section). OSRA sends the approval page in a separate e-mail when notified about the CAO approval.

ProQuest

After approval from the CAO has been communicated, students receive instructions for online submission of their study to ProQuest. ProQuest produces microfilms or an indexed database of dissertations and publishes the abstracts online and in its monthly publication, Dissertation Abstracts International. To be validated for graduation from Walden University, students must submit and have their capstone approved to be included in ProQuest.

The research service specialist completes one last Form and Style check on the submitted document to ensure that it conforms to APA formatting. The capstone may be sent back to students for requested revisions if errors are found.

Here are some aspects of the ProQuest process that students should keep in mind:

There is no fee for inclusion of the capstone in ProQuest if the “Traditional Publishing” option is chosen. 

Students may opt to have ProQuest file an application for copyright on their behalf. If students choose this option, they must note it when completing the electronic submission form. There is a fee to apply for copyright.

Students are responsible for any fees related to copyright or any other services provided by ProQuest.

For questions related to publishing the capstone, students should contact ProQuest at 1-877-408-5027 or visit its website.

Students are notified when OSRA formally accepts their submission to ProQuest.

Degree Validation

After the ProQuest submission is accepted, a request is sent to the Office of the Registrar ([email protected]) to complete the students’ final audits and validate their degrees. Students will know the audit is complete when they receive their final bill from the bursar’s office.

Students’ tuition charges stop as of the date they receive CAO approval of their capstone. If students receive CAO approval within the first 7 days of a term, they are not charged tuition for that term. If students receive approval later in the term, they will pay full tuition for the quarter. The tuition is prorated at the end of a quarter with a tuition reimbursement.

Students who want to participate in the summer commencement ceremony must have their capstone approved no later than the last business day of the spring term. Students who want to participate in the winter commencement ceremony must have their capstone approved no later than the last business day of the fall term.

Note: Students are not automatically registered for commencement. If students want to attend a commencement ceremony, they must register.

Survey of Earned Doctorates

Upon acceptance of the ProQuest submission by OSRA, students will receive a Survey of Earned Doctorates. They should complete this survey from the link provided in the e-mail.

The National Science Foundation and four other agencies sponsor the Survey of Earned Doctorates. The purpose of this survey is to evaluate graduate education programs at the federal, state, and university levels. By submitting the completed survey to Walden, students add to the university’s visibility among national graduate institutions. Completion of the survey is not required, but it is strongly encouraged.

Academic Integrity and Plagiarism

Walden University regards academic honesty to be essential to the entire academic enterprise and treats academic integrity violations seriously. No student shall claim credit for another’s work or accomplishments or use another’s ideas in a written paper or presentation without appropriate attribution through proper documentation. The consequences of plagiarism and other forms of academic dishonesty, including but not limited to providing false information or altering documents submitted to the university, are discussed in the Walden University Student Handbook . (Select the handbook from the drop-down menu, then select “Section 3. Student Expectations and Responsibilities,” followed by “Student Conduct and Responsibilities” and “Code of Conduct.”)

The Crediting Sources section of this guidebook provides more information regarding plagiarism. For a detailed discussion of the ethics of scholarly writing, read Chapter 1 of the APA style manual.

Walden uses a service provided by Turnitin.com to check manuscripts for plagiarism. Any content that may not have been cited or appropriately paraphrased and synthesized will be further examined, which may slow completion of the capstone process. A Turnitin and Academic Integrity Online Tutorial on the Academic Skills Center website provides instructions on how to identify and avoid plagiarism.

Walden understands that progression through the capstone process can be a demanding endeavor and that students can find themselves feeling stressed or frustrated. Nonetheless, the university expects that students will continue to maintain a high level of professionalism when communicating with their committee, academic leadership, and staff. Behavior that is not consistent with the university’s expectations may result in a Code of Conduct referral. Students are encouraged to respond appropriately to constructive feedback and follow up unresolved concerns by seeking assistance from their academic leadership.

Part 2. Evaluation in MyDR

The following three tables present all the capstone supervisory committee members’ duties at each evaluation stage of the document, using the MyDR process.

Proposal

Proposal Committee Rubric Analysis and Proposal URR Rubric Analysis

Chair Evaluation

Second Member Evaluation

Chair Reconciliation

URR Evaluation

Upon student submission, the chair evaluates the proposal under Proposal Committee Rubric Analysis.

If scored as requirements “Not Met,” the chair returns the proposal to the student without input from the second committee member.

If scored as requirements “Met,” the proposal is evaluated by the second committee member.

Upon the chair’s evaluation of “Met,” the second member completes an evaluation under Proposal Committee Rubric Analysis.

Following the second member’s evaluation, the chair reconciles the committee evaluations appropriately (“Met” or “Not Met”).

Upon a reconciliation of “Not Met,” the chair combines committee feedback and attaches all documents uploaded in the individual evaluations. There should be at least one score of 0 (zero) recorded in the reconciliation rubric.

Upon a reconciliation of “Met,” the chair uploads the proposal, checklist, and antiplagiarism report to the reconciliation for the URR to access and review. There should be no scores of 0 (zero) recorded in the reconciliation rubric.

Upon system notification, the URR completes an evaluation under Proposal URR Rubric Analysis, with the outcome of the evaluation either approved to move forward or revisions required to the document or the antiplagiarism report.

The URR provides feedback on the manuscript through the use of tracked changes and comments. At this stage, the URR should refer the student for mandatory consultation with the IRB office or the Writing Center to address any major ethical or writing concerns, respectively. ( Note: URRs are obligated to make IRB and/or Writing Center referrals should they note significant ethical or writing concerns.)

Final Study

Final Study Committee Rubric Analysis and Final Study URR Rubric Analysis

Chair Evaluation

Second Member Evaluation

Chair Reconciliation

URR Evaluation

Upon student submission, the chair evaluates the capstone under Final Study Committee Rubric Analysis.

If scored as requirements “Not Met,” the chair returns the final study to the student without input from the second committee member.

If scored as requirements “Met,” the final study is evaluated by the second committee member.

Upon the chair’s evaluation of “Met,” the second member completes an evaluation under Final Study Committee Rubric Analysis.

Following the second member’s evaluation, the chair reconciles the committee evaluations appropriately (“Met” or “Not Met”).

Upon a reconciliation of “Not Met,” the chair combines committee feedback and attaches all documents uploaded in the individual evaluations. There should be at least one score of 0 (zero) recorded in the reconciliation rubric.

Upon a reconciliation of “Met,” the chair uploads the final study, checklist, and antiplagiarism report to the reconciliation for the URR to access and review. There should be no scores of 0 (zero) recorded in the reconciliation rubric.

Upon system notification, the URR completes an evaluation under Final Study URR Rubric Analysis, with the outcome of the evaluation either approved to move forward or revisions required to the document or the antiplagiarism report.

The URR provides feedback on the manuscript through the use of tracked changes and comments. At this time, the URR should recommend that the student seek assistance from the Writing Center to address writing concerns, if applicable.

Upon final study approval, the URR uploads a clean copy of the final study for the Form and Style reviewers to access and review. **

**If the Form and Style review decision is “Not Met,” the process begins again with student submission under Final Study Committee Rubric Analysis, committee evaluation and chair reconciliation, and eventual URR reevaluation under Final Study URR Rubric Analysis.

Final Overall Quality

Final Overall Quality Committee Rubric Analysis and Final Overall Quality URR Rubric Analysis

Chair Evaluation

Second Member Evaluation

Chair Reconciliation

URR Evaluation

Upon student submission, the chair evaluates the final study submission under Final Overall Quality Committee Rubric Analysis.

If scored as requirements “Not Met,” the chair returns the final study to the student without input from the second committee member.

If scored as requirements “Met,” the final study is evaluated by the second committee member.

Upon the chair’s evaluation of “Met,” the second member completes an evaluation under Final Overall Quality Committee Rubric Analysis.

Following the second member’s evaluation, the chair reconciles the committee evaluations appropriately. Note there is no option in this stage to reconcile as “Not Met.” Minimum standards of the final study were already evaluated as requirements “Met” in the previous final study stage. Only the first reviewer or URR has the option to return for revisions during the final quality review.

The chair should upload the final study to the reconciliation for the URR to access and review. There should be no scores of 0 (zero) recorded in the reconciliation rubric.

Upon system notification, the URR completes an evaluation under Final Overall Quality URR Rubric Analysis, with the outcome of the evaluation either approved to move forward or revisions required to the document.

Upon final study approval, the URR uploads a clean copy of the final study for the CAO reviewer to access and review.**

**If CAO revisions are requested, the process begins again with student submission under Final Overall Quality Committee Rubric Analysis, followed by committee evaluation and chair reconciliation, and eventual URR reevaluation under Final Overall Quality URR Rubric Analysis.

Part 3. Style: APA and Walden University

Students writing capstones must use the sixth edition of the Publication Manual of the American Psychological Association (APA style manual). Additional specific requirements for Walden University dissertations and project studies, above and beyond APA style, are included in this guidebook. In rare instances where Walden’s requirements conflict with the APA style manual, the university style standards prevail. These items are indicated in this guidebook by green boxes.

Students must download and use the appropriate template from the Walden Writing Center website in the completion of the capstone.

The following sections are intended to supplement guidelines and instructions that appear in the template, Form and Style checklist, checklists, EdD Minimum Standards Rubric , and other information sources.

Overall Structure

The Walden capstone consists of the following sections, in this order:

1. Title Page with Signatures (provided after CAO Abstract approval)

2. Abstract title page

3. Abstract

4. Title page

5. Dedication page (optional)

6. Acknowledgments page (optional)

7. Table of contents (including list of tables and list of figures pages, if necessary; begin the pagination of the preliminary pages with i centered in the footer of the first page of the Table of Contents)

8. Body of the paper (begin the pagination with 1 in the upper right corner of the first page of Chapter 1; paginate consecutively on every page to the last page of the CV)

9. Reference list

10. Appendices (optional)

Abstract

Concise and well-written abstracts highlight the richness of the students’ research. A complete abstract primer can be found on Walden’s Center for Research Quality’s website Research Planning and Writing page or on the Doctoral Capstone Resources website.

The following summary outlines important points to keep in mind.

Abstract Content 

In the first few sentences of the abstract, describe the overall research problem being addressed and indicate why it is important (i.e., who would care if the problem is solved). Note: Students can include a general introduction of the issue in the first sentence, but they need to quickly move to a clear statement of the research problem being addressed.

Identify the purpose and theoretical or conceptual foundations, if appropriate.

Summarize the key research question(s).

Concisely describe the overall research design and methods.

Identify the key results from the data analysis.

Conclude with a statement on the implications for positive social change.

Form and Style Tips

Limit the abstract to a single paragraph, with no indentation, contained on one page.

Maintain the scholarly language used throughout the capstone.

Keep the abstract concise, accurate, and readable. Use correct English.

Make sure each sentence adds value to the reader’s understanding of the research.

Use the full name or phrase of any abbreviation, and include the abbreviation in parentheses only if it is used again in the abstract; the abbreviation must be reintroduced the first time it appears in the narrative chapters.

Do not include references or citations in the abstract.

With the exception of numbers that begin sentences, write all numbers as numerals in the abstract.

Do not use first-person singular in the abstract.

· The abstract title page is the cover page of the Walden dissertation. It is identical to the main title page except the word Abstract appears at the top of the page, centered.

· The Walden abstract is limited to one page.

· The abstract is double-spaced, with the text the same point siize and font as in the dissertation body text, is one block paragraph, and has the same margins as the dissertation body.

· No page number appears on the abstract page.

Common Abstract Problems

The following issues could delay the approval of the abstract:

There are grammar, punctuation, and spelling errors.

Identified abbreviations have not been used more than once in the abstract.

The research problem, research question, or purpose of the study is unclear.

There is misalignment between the research problem, research question, methods, results, or implications.

The question “So what?” has not been answered. Students need to indicate why the research is important. Who would care if the problem is solved?

The research methods, data analyses, and results are not adequately described.

Social change implications are inadequate or missing.

The abstract exceeds one page.

Appendices

The APA style manual addresses appendices and supplemental materials in Section 2.13 (pp. 38–39) and on page 230. The appendices follow the reference list. They are lettered A, B, C, and so forth and are put in the order they are mentioned in the document. Figures and tables in the appendices are labeled A1, A2, B1, and so forth, according to the appendix in which they appear. Note: If there is only one appendix, no letter is given.

A blank divider page is unnecessary between appendices unless it lends to readability or if a heading cannot be placed on the first page of an appendix. (Typically, this could happen when a scanned document takes up an entire page.) The materials in the appendix must not extend beyond the margins of the rest of the dissertation; reduce the appendix materials as needed.

Definitions of Terms and Glossaries

Many capstones include a brief listing of key terms that are interpreted and clarified for the reader’s benefit. In general, students should not define a common term such as teenager (“a person between 13 and 19 years, inclusive”). They should list only key concepts included in the study, ambiguous, controversial, or operational terms used throughout the capstone. Technical terms are usually defined in the text, if necessary, rather than in a Definitions of Terms section. Definitions must be explicit, specific, and scholarly, and the source must be cited. More information on defining terms and further instruction on words used as words is provided below.

When defining a term, students need to determine whether the definition belongs in a list or in the text. Walden suggests the following three options for defining key terms:

List key words or phrases in a section called Definition of Terms in the first chapter.

List all key terms in a glossary, in an appendix.

Define more common terms, particularly abbreviations and technical terms with only immediate application for the reader upon first usage. (Per APA 4.21, remember to italicize key terms on first usage.)

Students should consult their committee chair about what is most appropriate for the reader’s comprehension.

Definition Examples

Note that it is important to give proper credit to the originator of the definition.

The following examples illustrate different approaches to this issue. The first two examples might well appear in a section called Definition of Terms.

Dialects: Language varieties that initially and basically represent various geographic origins (Fishman, 1972, p. 5).

This writer might have chosen an entirely different definition, depending on how the term was used in the capstone.

Dialects: Differences between kinds of language that are differences of vocabulary, grammar, and punctuation (Trudgill, 1974, p. 17).

For purposes of this capstone, the writer might have decided that the reader is best served by defining the term in the text, as below, rather than in a list of terms in a Definition of Terms section.

Fishman (1972) used the term dialects to mean “varieties of language that initially and basically represent divergent geographic origins” (p. 5).

Words Defined and Words Used as Words

To introduce a new, technical, or key term or label or to indicate a word used as a word, students should set the term in italic type on first mention in the text. After the first reference, Roman type should be used. This use of italics most often occurs in the context of defining a word, term, or phrase:

The term networking refers to creating relationships and saving contact information for a specific situation, usually a job search. Networking can be of particular importance when one is establishing contacts in a new arena.

Copyrights and Permission to Use

Copyrighting the Capstone

A statement of copyright ownership to a capstone is not necessary because, by federal law, a copyright exists once a work is “fixed in tangible form” (APA 1.15). If students wish to add a copyright notice, place this wording at the bottom of the acknowledgments page or, if there is no acknowledgments page, on a blank page after the main title page:

© [year] by [author’s name]. All rights reserved.

See Walden’s authorship guidelines for more information.

Permission to Use Copyrighted Material

As discussed in APA 6.10, if copyrighted material is used in the capstone beyond “fair use,” students must obtain written permission from the copyright owner to reproduce the material. To determine if something is within or beyond fair use, consider these four issues:

· The purpose and character of the use.

· The nature of the copyrighted work.

· The amount and substantiality of the portion used.

· The effect of the use upon the potential market for, or value of, the copyrighted work.

ProQuest offers guidance to authors to help them avoid copyright infringement. Such mistakes may include, among other potential problems, the following:

· Long quotations. There is no legal requirement, but authors should avoid long quotes in nearly all instances.

Reproduced publications. This includes standard survey instruments or questionnaires and articles, such as newspaper or magazine articles, included in an appendix.

Music or lyrics.

Graphic or pictorial works.

In general, permission to reproduce tables and figures reproduced or modified from published works not in the public domain must be demonstrated, most often by a copy of a letter of permission in an appendix (see APA 5.06). Permission to reprint is usually indicated on the first page of a copyrighted document, following the wording requested by the copyright holder. For more information, visit the Writing Center website page on tables and figures.

ProQuest also reminds authors that web-based sources are copyrighted just as print materials are. Beyond plagiarism, students must be careful not to violate copyright laws by reproducing web-based materials without permission.

Note on Copying Test Instruments, Surveys, and Questionnaires

Gaining permission to reproduce a survey instrument for participants in a study is necessary when such a document is not in the public domain. That is not the same, however, as permission to reproduce it in the capstone. If the committee asks the student to include a published copyrighted document in the capstone itself, specific authorization must be obtained from the copyright holder. The authorization granting permission to reproduce must be included in an appendix. For more information on copyright law and graduate research, visit the ProQuest website.

Crediting Sources

In-Text Citations

APA style uses the author–date citation system. Authors’ names and year of publication are given within the text or at the end of block quotations. The author name may appear as part of the narrative text with the year of publication in parentheses, or both the name and year may appear in parentheses, separated by a comma. These citations are included as items in a reference list placed at the end of the paper and arranged alphabetically by the authors’ last names and chronologically within lists of works by a single author.

Students should consult APA Chapter 6 for detailed instructions on how to properly credit sources. The Walden Writing Center also provides information on APA citation style.

Block Quotations

Quotations of 40 or more words must appear in a free-standing block, indented 0.5 inch from the left margin (in the same position as a new paragraph). The right margin remains the same as the rest of the text, with a ragged border. The final punctuation is at the end of the final sentence; no punctuation follows the citation at the end of the block quotation (APA 6.03). The Walden Writing Center encourages minimal use of block quotations, as they can break up the narrative and be distracting. Discussion and analysis should be in the writer’s own words, demonstrating scholarship. Paragraphs should never end with a block quotation.

Note in this example of a block quote that the left margin is indented about five spaces. There are no quotation marks, although they would be used to quote words within a block quote, such as the “hyperbolic tendencies” of a speaker. The right margin is flush with the rest of the manuscript. The first word can be capitalized even if the original is not. It is double spaced per APA sixth edition. (Taylor & Fife, 2009, p. 46)

When to Cite Page Numbers

When directly quoting an original source, students should use quotation marks to set off the quoted text or format it as a block quotation, as described above, including author, date, and page numbers. Per APA 6.04, Walden strongly encourages students to provide page numbers when paraphrasing closely. The reader will appreciate knowing the exact location of all references, and it will clarify the origination of the ideas, whether they are the author’s or from another source.

Plagiarism

As discussed in the section on Academic Integrity and Plagiarism, Walden University does not tolerate plagiarism and uses a service to detect plagiarism in student work.

In The Craft of Research (University of Chicago Press, 1995), Booth, Colomb, and Williams offered a useful definition of plagiarism:

You plagiarize even when you do credit the author but use his exact words without so indicating with quotation marks or block indentation. You also plagiarize when you use words so close to those in your source, that if your work were placed next to the source, it would be obvious that you could not have written what you did without the source at your elbow. (p. 167)

The following excerpts, based on The St. Martin’s Guide to Writing by Axelrod and Cooper (St. Martin’s Press, 2010), show the difference between plagiarism and paraphrasing.

Original

Page 172 of Guterson (2008)

Bruner (1968) and the discovery theorists have also illuminated conditions that apparently pave the way for learning. It is significant that these conditions are unique to each learner, so unique, in fact, that in many cases classrooms cannot provide them.

Plagiarism Example 1 [per Axelrod and Cooper]

Apparently, some conditions, which have been illuminated by Bruner (1968) and other discovery theorists, pave the way for people to learn.

Plagiarism Example 2

According to Guterson (2008), Bruner (1968) and other researchers have also identified circumstances that seem to ease the path to learning (p. 172).

Acceptable Paraphrase

[per Axelrod and Cooper]

Guterson (2008) wrote that the “discovery theorists” have found that certain conditions may help learning to take place. Because each individual requires different conditions, not all children can learn in the classroom (p. 172).

In Plagiarism Example 1, the student changed Guterson’s (2008) original material slightly, but there is no mention of Guterson—only Bruner (1968), whom the student did not read firsthand.

In Example 2, Guterson is credited and so is Bruner; however, the student didn’t read Bruner. And again, the wording is almost identical to the original. Because of the conventions of documenting sources, the reader cannot distinguish who originated the ideas and words.

In the acceptable paraphrase, the student attributes the point to Guterson (2008) and changes the language more substantially. The student did not read Bruner firsthand and does not mention Bruner, so the source is clear.

Note: In the event that the Form and Style editor identifies a significant academic integrity violation, the review will be stopped and the manuscript returned to the student and committee so that together they may revise as necessary. The editor and managing editor will explain the nature of the academic integrity violation, highlight the text from the narrative, include the original source, and explain how to revise. The manuscript will then need to be resubmitted so that the Form and Style review may be completed. The final oral defense and CAO review cannot be scheduled until the Form and Style review is complete.

Students should review Figure 1 Turnitin Plagiarism Spectrum to ensure they know what plagiarism is and have the writing and citation skills to avoid it:

Reference Lists

Note that each source in a reference list provides information on work that specifically supports the capstone; a bibliography cites works for further reading. As such, capstones require reference lists but not bibliographies. The following information regarding references is taken from Chapters 6 and 7 of the APA style manual. Students should review both of these chapters thoroughly before developing a reference list. Pages 198–215 provide examples by the specific type of source and can be a helpful resource after reading the chapters.

Some general guidance for creating a reference list follows:

Paginate the reference list continuously, following the narrative chapters.

Use the first and middle (if any) initials of all authors; do not write out the first name. Place a character space between the initials. With two or more authors, use & rather than and before the last author. Separate the names with a comma:

Foyt, A. J., & Andretti, M. P. (APA 6.25)

When a reference has up to seven authors, spell out all authors’ names (APA 6.27). When a reference has eight or more authors, spell out the first six, then put ellipses and the last author’s name:

Zuckerman, J., King, M., Cook, A., Timmerman, B., Patterson, J., Ball, T., . . . Kubista, A. (2009).

If two or more of the works by a single author or set of authors have the same publication date, assign the dates the letters a, b, c, and so on.

For the titles of books and journal articles, capitalize only the first word of the title, the first word of the subtitle following a colon (if any), and any proper nouns. Capitalize the titles of journals in title case following the mention of a chapter or article (APA 4.15). Italicize titles of books and journals. Do not use quotation marks around titles of journal articles.

Do not use the abbreviations Vol. and No. in reference to journals. Italicize the volume number, but not the issue or page numbers. Indicate the issue number in parentheses immediately after the volume number only if the journal is paginated separately by issue. Follow the volume (and issue, when applicable) with a comma and the page numbers:

American Political Science Review, 37(2), 17–32.

Do not precede page numbers of journal articles by p. or pp.

In reference lists, use U.S. postal code abbreviations for all state names.

Type one character space after all punctuation in the reference list.

Electronic Sources

The APA style manual (6.31–6.32) provides extensive guidance on citing sources from databases and other electronic publishers, including a discussion of the DOI system used for journal articles on the Internet. If there is a DOI provided, it will be on the first page of the journal article, perhaps hidden behind a database button. References to various electronic materials are included in the Examples by Type section (pp. 198–215). See also the APA website or Walden’s Writing Center website for additional rules.

Footnotes

APA does not allow for endnotes or source footnotes. Content footnotes, used sparingly, may assist the reader. In general, however, something important enough to appear in a content footnote is important enough to appear in the narrative text.

Point of View

Use of first-person point of view is acceptable in some cases (APA p. 69), as discussed on the Writing Center website.

Verb Tense

A significant portion of the capstone proposal should be written in future tense, as shown here:

The study will address four questions. One hundred nurses will be surveyed.

Once the study has been completed, the capstone should appear in present and past tense as appropriate.

The study addressed four questions. One hundred nurses were surveyed.

As a general rule for social science writing, ongoing issues and current realities should be reported in present tense. What has occurred, what has been reported, and what the writer and sources have accomplished should be reported in past tense. For example, writing the statement “There were 50 states in the country” is ungrammatical and illogical since there are now 50 states in the United States. Similarly, it is not appropriate to write in the problem statement that “managing healthcare costs was a big problem in the United States” unless the problem no longer exists. If healthcare costs no longer are a problem, past tense works; otherwise, as an ongoing reality, this example should be described in present tense.

In the review of literature, use the past tense when reporting past research. “Jenkins (2013) observed three reasons why victims of abuse do poorly in school.” Note here that what Jenkins observed is a present tense clause. Of course, if Jenkins reported a historical fact, the entire sentence would appear in past tense: “Jenkins (2013) found four reasons that AIDS spread through the gay population in the 1980s.”

Some writers refer to past research in present tense. “Jenkins (2013) reports that there are three main reasons that victims of abuse do poorly in school.” But if this same writer decides to refer to Merton (1950) or Watson (1920), he or she will have difficulty staying consistent: “Watson (1920) argues that...” Watson is long dead and, therefore, it is awkward to report his 90-year-old research in the present tense. In fact, APA specifically requires that the literature be presented in the past tense: “Jenkins argued that ... .”

Inclusive Language

Language used in scholarly writing should be inclusive. Most writers know the gender-restrictive nature of words like policeman, mailman, or fireman. Accordingly, writers should employ words that are not sexist and more accurately describe American society.

One of the most troublesome issues for writers regarding sexist language revolves around the pronouns he and she. The combination he or she is common, if cumbersome; some readers resent he always preceding she; others will write s/he. Some writers choose as a matter of course to use only the word he and then add a note of apology at the beginning of a manuscript. This is dated and seen as a poor solution by many readers. Some writers go back and forth between he and she—also cumbersome, but effective in certain instances.

One frequent solution is changing the singular third-person pronoun to the plural they—thus, replacing “A junior high school teacher spends much of her day just maintaining order” with “Junior high teachers spend much of their day just maintaining order.” In this example, another solution is to use the passive voice: “To a large extent, a junior high school teacher’s day is spent maintaining order.”

Some ethnicity and nationality titles require sensitivity due to historically racist usage: Oriental, American Indian, and Eskimo, for example. The APA style manual, in Chapter 3, offers an informative discussion of this issue (pp. 70–77). Check any of several dictionaries devoted to this subject to learn more. The Walden Writing Center also suggests consulting its information about bias-free writing as well as the APA’s supplemental materials on reducing bias.

Walden University’s preferred usage for groups of people whose ancestors can be traced to Africa is African American. The usage should be consistent:

African Americans make up the largest minority in America, while European Americans compose the majority.

Above all, students are asked to be sensitive to the terminology of racial, ethnic, and religious groups.

Type

A serif font is required. Times New Roman is the preferred font. Do not use Courier or New Courier. All text copy must be in the same point size: Use 12 point. A sans serif font, such as Arial, may be used for tables and figures if its use improves readability and format. The font size used in tables and figures may be smaller than that used in the text; however, for legibility, choose a point size no smaller than 8 points and no larger than 12 points.

Line Spacing

Double-space between all text lines throughout the manuscript, including the Table of Contents, block quotations, and the reference list. To do this, go to the line spacing options, select the entire document, and then, under Spacing, set Before and After to 0 (zero), and make sure the line spacing is set to Double.

Double-space the text on the Acknowledgments and Dedication pages, and use regular paragraph indents.

Never use single-spacing or one-and-a-half spacing except in tables or figures.

Begin each chapter on a new page.

Do not begin each section or subsection on a new page. Sections should follow one another immediately in order to avoid large blank spaces.

One-line widows and orphans are acceptable at the top and bottom of a page; however, for increased readability, two lines are preferred. Do not leave a heading floating at the bottom of a page without accompanying text.

Double-space lines between tables and figures and subsequent and preceding text. (See the Tables and Figures section for more information.)

End-of-line hyphenation is acceptable in Walden dissertations. For improved readability, avoid two consecutive end-of-line hyphenations.

Margins and Page Numbers

The Walden capstone template is preformatted with correct margins.

The margins of the capstone must conform to the following guidelines. This includes the appendices, tables and figures, and the CV. Set the document’s margins at these measurements:

Left margin: 1.5 inch—to allow for binding.

Right margin: 1 inch. Note: Text at the right margin must be ragged—not justified—throughout the capstone.

Top margin in the preliminary pages: 1 inch.

Top margin in the narrative chapters: 1.3 inch—to allow space between page number and first line of text (see below).

Bottom margin in the preliminary pages: 1.3 inch—to allow space between page number and last line of text (see below).

Bottom margin in narrative chapters: 1 inch.

Header and footer throughout the document: 1 inch.

On the preliminary pages, which include the Table of Contents pages, List of Tables, and List of Figures pages, page numbers are indicated in lowercase Roman numerals placed 1 inch from the bottom of the page, centered, beginning with i on the first page of the Table of Contents. The last line of text appears 0.3 inch above the page number, or 1.3 inch from the bottom edge of the paper. To accomplish this, set the bottom margin to 1.3 inch and the footer to 1 inch.

Starting with the first page of Chapter 1, an Arabic page number must appear 1 inch from the top edge of the page and 1 inch from the right edge. The first line of text appears 0.3 inch under the page number, or 1.3 inch from the top edge of the paper. To accomplish this, set the top margin to 1.3 inch and the header to 1 inch.

Note: Some versions of Microsoft Word are defaulted to set the page number at 0.5 inch from the top edge of the paper. The margin must be changed for Walden capstones.

Although manuscripts submitted to the American Psychological Association for publication must contain a brief manuscript running head, Walden dissertations do not have a running head.

Pages containing tables and figures may be formatted in landscape page setup. The bound margin must still be 1.5 inch. Page numbers should be placed consistently with the rest of the manuscript.

Nothing can appear in the margins of the page. All page numbers, text, tables, figures, and so forth must be contained completely inside the area bounded by the margins.

Headings

Headings must be worded identically in the table of contents and the text. Do not leave a heading stranded at the bottom of a page. Headings should not be labeled with letters or numbers.

Per APA, double-space between a subheading and the preceding text. All headings must have text following a heading before a second heading is used.

The sixth edition of the APA style manual does not show specifically how to format chapter headings. Walden has matched the hierarchy in the sample paper in the manual and incorporated a plain, centered Level 0 heading for chapter headings, in title case (mixed uppercase and lowercase), like this:

Chapter 1: Introduction to the Study (Level 0)

Background of the Problem (Level 1)

APA’s heading levels, positions, and formats for a capstone with five heading levels are listed below, with the addition of Walden’s chapter heading (Level 0).

Centered Uppercase and Lowercase Chapter Heading (Level 0)

Centered Uppercase and Lowercase Heading, Bold (Level 1)

Flush Left, Uppercase and Lowercase Heading, Bold (Level 2)

Indented, bold, lowercase. (Level 3)

Indented, bold, lowercase, italics. (Level 4)

Indented, plain, lowercase, italics. (Level 5)

Lists: Seriation

Seriation refers to lists of items (APA 3.04). Two of the most important aspects of formatting lists are readability and consistency. The reader needs to keep track of the listing.

Formatting Lists in Text

For items listed within a paragraph, use letters (a), not numbers, in parentheses; (b) separate each item with a comma; or (c) separate each item with a semicolon, as shown in this example, if there is already a comma in one or more of the items.

When listing items vertically, use the numbered format below:

1. When listing items vertically, or breaking them out of the paragraph format, use 1., 2., 3., and so forth, and continue to double space.

2. Indent the number the same as for a paragraph, usually 0.5 inch.

Bulleted lists are formatted the same as a numbered lists. Use a bulleted list when there is no need to indicate a certain order or chronology.

Formatting Lists in Block Quotations

If copying from text that already appears in list form in the original source, determine if the entire quotation needs to be included. The text may be better served with a paraphrase. If the quotation of a list is required, indent the entire set of items in the list. By properly punctuating at the end of the text, the reader will identify this as a block quotation. Further instructions on block quotations are provided in the Crediting Sources section of this guidebook. See the example below:

Hosmer (2005) offered three statements typical of psychological egoism:

1. People always look out for No. 1 first.

2. People act so as to benefit themselves, whether or not they also benefit others.

3. People always do what they want to do, or if that is impossible, what they dislike doing the least. (p. 70)

Punctuating Lists

Properly punctuating lists is a bit of an art and a bit of a science. APA allows the use of periods at the end of items in lists, even if the item is not a complete sentence. To determine the proper punctuation, writers must consider the syntax of the introductory phrase.

Sometimes writers introduce lists with a phrase just like this:

1. End each item in a list like this with a period, even if it is not a complete sentence.

2. Item 2 in a list per APA.

3. Item 3 in a list per APA.

In the above example, the clause that introduces the list could end as a sentence. That is, the items in the list do not complete the introductory clause. In this case, end the clause with a colon, and, per APA, capitalize the first word in each numbered item, and use periods at the end of the items.

On the other hand, see this example:

Sometimes, however, writers introduce lists with a clause that concludes with

1. item 1 in a list per APA that completes the introductory clause,

2. item 2 in a list per APA that completes the introductory clause, and

3. item 3 in a list per APA that completes the introductory clause.

In this case, the three items in the list complete the introductory clause. Per APA, separate the items with commas if there are no other commas in the items or with semicolons if there are. Start each clause with a lowercase letter.

Tables and Figures

In the body of the capstone, information that does not appear in textual form must be formatted and labeled as either a table or figure. APA does not allow for the words graph, illustration, or chart. Refer to them as either a table or figure. To learn how to correctly display data in tables and figures, students should carefully review the text and examples in APA Chapter 5 as well as the information on the Writing Center website.

Below are a few helpful tips:

Ensure that all tables and figures fit within the margin specifications.

Do not separate a title or caption from the table or figure it identifies.

Number all tables and figures without a suffix or indicator of the chapter in which they appear: Table 1, Table 2, Table 3; Figure 1, Figure 2, Figure 3, and so on. In the appendices, tables are labeled Table A1, Table B1; figures are labeled Figure A1, Figure B1, and so forth.

In the text, capitalize the word table or figure when referring to the data (e.g., see Table 12). Refer to the specific table number, not to the page number on which the table appears or to “the table below.”

Tables

Place the word Table and the table number above the table, flush left. The title of the table appears double-spaced below the table number, flush left in italics, in title case. If the title runs over one line, single-space the two lines of the title, leaving double-space between the table number and the first line of the title. Double-space before and after the table. Use the same font and point size for table numbers and titles as the narrative text.

Information regarding abbreviations or symbols used in a table, copyright information, and probability must be located in a note below the table. See APA 5.16 for information about formatting table notes.

Figures

Place the word Figure and the figure number under the figure, flush left in italics. The title of the figure (which APA includes in the figure’s caption) goes next to the number in sentence case. Use the same font and point size for figure numbers and captions as the narrative text. If the figure caption exceeds one line of type, single-space the continuing line(s). In capstones, do not type captions on a separate page. See APA 5.23 for more information about figure captions.

In dissertations, tables and figures are inserted into the narrative as close to the text that introduces them as is practical.

Do not split a table unless it is too large to fit on one entire page. Placing a table on its own landscape-oriented page is permissible. Do not place any other text on a page if a table or figure takes up three-fourths or more of the page.

The point size used in tables and figures may be smaller than that used in the text; however, for a professional appearance and legibility, type should be no smaller than 8 points and no larger than 12 points.

Grayscale (shading) and color used in figures is acceptable; however, they often will not reproduce well in black and white. Avoid color except where its use improves the presentation of data (APA 5.25). Instead, consider using crosshatching, broken lines, and so forth.

Numbers and Percentages

The APA style manual has an extensive section (4.31–4.38) dealing with the nuances of presenting numbers. Always check the manual if unsure of the proper style. Examples of APA style for numbers can be found on Walden’s Writing Center website.

Abbreviations

Here are some tips regarding commonly used abbreviations:

Lowercase should be used for Latin abbreviations, such as a.m., p.m., i.e., and e.g.

Latin abbreviations such as e.g., etc., i.e., and cf. should be used only in parenthetical materials. Use the English translation of these abbreviations in non-parenthetical material (APA 4.26). Roman, not italic, type should be used for these abbreviations. An exception is made for the term [sic], which is always italicized and set in square brackets, as shown here.

The plural of the abbreviation p. is pp. Such abbreviations are rarely used when not within parenthetical elements.

In text copy, spell out the names of states and countries. (See APA pp. 88 and 187 to learn when and how to abbreviate locations.)

United States should be written out when referred to in noun form. It is abbreviated with periods when used as an adjective: the U.S. economy (p. 88).

APA has many additional rules regarding abbreviations. See APA 4.22–4.30 and consult the index of the style manual for more information.

Spelling, Grammar, and Punctuation

The latest edition of Merriam-Webster’s Collegiate Dictionary is the authority for matters of spelling in Walden capstones. APA has some additional conventions regarding spelling and hyphenation (4.12–4.13) and provides guidance regarding grammar (3.18–3.23) and punctuation (4.01–4.11). Carefully reviewing these sections of the APA style manual and applying them to the capstone manuscript will help capstone reviews go more smoothly.

Following are items to supplement the APA style manual and highlight some common errors:

1. Only standard American English is acceptable in Walden capstones. Naturally, cited material from previously published sources should be left in the original form, including British or archaic spelling and excessive punctuation or lack of punctuation.

2. Do not use contractions. For example, write cannot rather than can’t and I will rather than I’ll.

3. In most cases, make the possessive form of proper names ending in s by adding an apostrophe and s: Jones’s, Grimes’s, Wilks’s, Sanchez’s. The Chicago Manual of Style notes several exceptions: Moses’, Jesus’, Xerxes’.

4. Do not add an apostrophe when forming the plural form of a number:

Most of you scored 1s and 2s.

The 1950s was a decade of great social homogenization.

5. If a compound adjective cannot be misread or if its meaning is established, a hyphen is not necessary:

covert learning conditions

day treatment program

sex role differences

grade point average

6. In general, compound adjectives that end in -ed are hyphenated when they precede the noun they are modifying:

client-centered service

group-oriented process

self-described phenomena

but

Billie is quick tempered.

7. Check the style manual for the appropriate hyphenation of combinations of words like high school, follow up, and well being (4.13) and the spelling of such words as appendices (4.12).

8. Many prefixes do not require hyphens, including anti, non, inter, intra, semi, mini, pseudo, and under. (See APA 4.13 for detailed guidance regarding hyphenation.)

9. Academic degrees are spelled as follows in lowercase, unless following a person’s name:

doctorate

doctoral degree

bachelor’s degree

master of science

master’s degree

Dayna Herrington, MA

Eric Riedel, PhD

10. As discussed in APA 3.19, the subject and verb must agree in number (i.e., singular or plural). Data and media are plural nouns. (“The data were misleading, but the media were reporting the erroneous information anyway.”) Datum and medium are singular nouns.

11. Pronouns must agree in number and gender with the nouns they replace.

12. A comma must be used between items (including before and and or) in a series of three or more items (e.g., trains, planes, and automobiles).

13. No comma appears between the month and year when used alone (without an exact date): for example, December 1957.

14. Use double quotation marks for quotations. Use single quotation marks within double quotation marks only. For a quotation within a block quotation, the internal quotation gets double quotation marks. (APA 4.08)

15. Quotation marks nearly always go outside the final punctuation.

The title of the article was “A Day in High School.” One respondent noted, “My boss is a source of great joy at my job.”

but

As Hernandez (2008) observed, “Nothing is more important than financial integrity in higher education” (p. 26).

16. One or two character spaces after a period is acceptable, however it is necessary that the number of spaces you use after a period be consistent throughout your document. In the References section, use a single space after end punctuation (e.g., periods, colons).

17. The proper format for a dash (4.06) is an “em dash” or two hyphens with no space between them or on either side: like this—or--like that. This is automatic in some software programs. Other programs leave spaces around a hyphen, requiring adjustment or an override of that function: In Microsoft Word, use File/Options/Proofing/AutoCorrect Options/AutoFormat. Consult the APA style manual (p. 97) for more on dashes and hyphens.

Capitalization

The following items supplement the APA style manual’s coverage of capitalization (4.14–4.20):

1. Do not capitalize the names of job titles unless they immediately precede a person’s name.

The vice president of the United States is the second in command.

Vice President Nelson Rockefeller came from a wealthy family.

2. Do not capitalize words related to schools when they are used generically. Capitalize such words when used with the name of a school.

the junior high school

Churchill Area Senior High

this university

Walden University

Terms designating academic years are lowercase: freshman, junior.

3. Proper names associated with topographical features, geographical locations, and names of organizations are not discussed at length in APA. Walden recommends The Chicago Manual of Style’s extensive sections on such terms. In general, follow these examples:

the state of Washington; Washington State; New York State

the East Coast; the West Coast

the South; the southeastern United States

the Columbia River; the Columbia River valley

the Allegheny, the Monongahela, and the Ohio Rivers; the Mediterranean and the Caspian Seas

a senator; Senator Barbara Mikulski

the Congress; congressional; the Senate; the House

the Supreme Court; the court; juvenile court

the Democratic Party; a Democrat; communism

Sample Pages

The sample title and manuscript pages that follow are from an actual approved 2016 Public Policy and Administration dissertation, with permission of the author. See the template on the Writing Center website for additional guidance.

Capstone Abstract Title Page

Capstone Abstract

The abstract should not exceed one page. The text must be double-spaced with no paragraph breaks. Details on writing both the proposal and final study abstract can be found on the Abstract Assistance page of the Center for Research Quality website.

Capstone Title Page

Note that the committee chair’s name and signature do not appear on the capstone title page. They appear on a separate approval page, inserted after final approval and before ProQuest submission.

Capstone Manuscript Pages

(Manuscript page examples continue.)

Part 4: Frequently Asked Questions

This section of the EdD Capstone Guidebook contains typical questions asked by doctoral students while in the capstone process.

Questions About the Capstone Process

When and how will I receive my capstone supervisory committee?

Students are assigned their capstone supervisory committee following the processes set forth by their school within the college. Students will be assigned a chair prior to beginning the prospectus course. The URR member will be assigned to the committee after program director (PD) approval of the prospectus and before the committee members have both approved the proposal.

How do I set up a teleconference?

After you have received approval to hold an oral conference for the proposal or final defense of the dissertation or project study, you should work with your committee members to identify possible dates and times. Several alternatives should be requested, in case your first choice is not available. Your committee chair will submit the scheduling form to the research service specialist, and a date and time will be selected. The chair will be responsible for managing the phone call.

At what point does tuition stop?

Tuition stops when your capstone is approved by the chief academic officer (CAO) or the CAO’s designee. If you receive approval within the first 7 days of a term, you are not charged tuition for that term. If you receive approval later in the term, you will be charged prorated tuition. You will pay an entire term’s tuition, and a reimbursement will be provided after the end of the term.

My capstone has been approved. When is my official graduation date?

Graduation dates fall at the end of the term. Your official graduation date will be the end of the term in which you finish your degree. You are finished when all prerequisites are met; your capstone is written, approved, and accepted by ProQuest; and your tuition is paid in full. You must have officially graduated before you can attend a graduation ceremony in either the winter or summer.

When can I refer to myself as a “doctoral candidate”?

You may use the designation “doctoral candidate” after you have completed all the expectations for doctoral candidacy, including completing all required coursework and the core research sequence, successfully completing required academic residencies, and having an approved prospectus after rubric review on file with OSRA.

When can I use the title Dr. or EdD?

You may use the doctoral title only after your degree has been validated.

If I want to participate in the commencement ceremony, when do I need to finish?

Your capstone must be approved by the CAO or CAO designee no later than the last business day of the spring term to participate in the summer commencement ceremony or the last business day of the fall term to participate in the winter commencement ceremony. You are not automatically registered for commencement; to attend a commencement ceremony, register online.

Questions About Form and Style

What is the correct style to use? Is there a manual that explains it?

For academic writing, Walden University endorses and uses APA style, as explained in the sixth edition of the Publication Manual of the American Psychological Association. The APA style manual is your primary source for style guidance. Throughout this guidebook, the few Walden style preferences that supplant APA recommendations are indicated in green boxes.

What font should I use to type my capstone? What point size?

A serif font is required, and Times New Roman is the preferred serif font. Do not use Courier or New Courier. Tables and figures can use a sans serif font, such as Arial, to help improve readability and appearance. Particularly for Times New Roman, 12-point font size is preferred. (APA pp. 228–229)

Which is right: italics or underlines? Can I use bold?

Italics are correct, rather than underlines. Use bold only in heading levels (APA 3.03), for certain mathematical copy (APA 4.45), and sparingly in tables and figures to improve readability.

How do I format citations of electronic sources?

APA changed its rules for electronic citations in 2009. See APA 6.31–6.32 for overall guidance and review examples of references to electronic sources (pp. 198–215). For up-to-date information about proper formatting of web references and other online documentation, visit the Walden Writing Center or the APA website.

Can I single-space block quotations and reference lists?

No. The sixth edition of the APA style manual specifies double-spacing for block quotations (p. 171) and reference lists (p. 229).

How far down should the page number and first line of text appear?

The Walden template is preformatted with correct margins. The page number must appear 1 inch from the top edge of the page and 1 inch from the right edge. The first line of text appears about 0.3 inch under the page number, or 1.3 inch from the top edge of the paper. Caution: Students have run into problems with Microsoft Word’s page number placement. Be sure your page layout is adjusted correctly. Set the top margin to 1.3 inch and the header to 1 inch.

Do all the tables and figures come at the end of the capstone? What about table titles and figure captions?

In capstones, tables and figures along with their titles and captions are inserted in the text as close to where they are referred to as possible. If you plan to publish your capstone results in a journal, please see APA’s many requirements for papers submitted for publication (Chapter 8).

What do I do if a table goes longer than one page?

Always try to fit the table on one page. If the table must run over onto the subsequent page, type the phrase table continues in parentheses flush right at the bottom of the table on the first page. Repeat the column headings, but not the table number or title, at the top of the subsequent page.

If including a long table or figure, can I format it in landscape instead of portrait?

Yes. The “top” of the landscape page needs to have a margin of 1.5 inch to allow for binding. The page number on the landscape page is placed in the same spot as it would be when turned in the portrait orientation. This formatting can be accomplished electronically in Microsoft Word.

Do I need a running header on my capstone?

No. Walden does not use running headers on capstones.

Does it matter if I write Chapter or Section Two, II, 2, or CHAPTER 2?

Yes, it matters. Per APA, only the form Chapter 2 is correct in chapter headings. Note that in the narrative text, chapter is capitalized when followed by a number (e.g., In Chapter 2). For the project study, the chapter heading used is Section 2.

Do I need to get permission from the copyright holder to reprint a table or figure or some text in my proposal?

For the proposal, it is unnecessary, although you may as well go ahead and obtain permission. You will need that permission for your capstone unless the item you wish to use is in the public domain or under the rules of fair use (APA 6.10). Contact ProQuest at 1-800-521-0600, ext. 77020, for more specific information than what is provided in the Copyright s and Permission to Use section of this guidebook.

Should the references or the appendices come first? When should page 1 start? Should preliminary pages (such as acknowledgments, abstract, etc.) be numbered with small Roman numerals?

Per APA (pp. 229–230), the references come before the appendices. For the preliminary pages starting with the first page of the Table of Contents, use lowercase Roman numerals, centered, at the bottom of the page. Any pages before the table of contents are not counted in the pagination. The first page of Chapter 1 is page 1 using Arabic numerals, not Roman numerals.

May I use British spelling of English in my capstone?

Walden follows APA style for capstones, which allows only standard American English. Most word-processing software programs have spell-check features that convert British English to American English. The exceptions to this rule are direct quotes and titles of publications that use British spelling.

Do the key terms go in a glossary or in the first chapter?

You and your committee chair should decide how the reader is best served by placement of a Definition of Terms section.

Am I supposed to use one or two spaces after periods and colons?

For final publication, a single space after periods is preferred; however, you may use either one or two spaces after a period as long as you are consistent. Throughout the text, use single spaces after commas, colons, and semicolons; in reference citations; and after initials in personal names. In the reference list, use a single space after commas, periods, and colons (APA 4.01).

Can Walden Writing Center staff members review my proposal? Can they look at my capstone when I’m starting out?

Yes. If your progress toward completion is being impeded specifically because of challenges related to writing, your chair may nominate you for the Chapter Edits service. Encourage your chair to contact [email protected] for more information. Your chair will need to submit an application on your behalf before you can be connected with one of Walden’s Form and Style editors.

Is there software that can do the APA formatting for me?

Yes. Check the Walden Writing Center for information about software packages that automatically format reference lists in APA style, as well as set up pages, maintain a running database of references, and offer other useful features.

Are there templates for formatting the premise, prospectus, and proposal and capstone?

Yes. The Walden Writing Center website has a template available for all these documents.

Proposal Preliminary

Development

Begin Proposal Stage

Draft

Revisions

Optional draft development in Proposal Preliminary

Development section of Taskstream

Chair and 2

nd

member can provide feedback in the

Proposal Preliminary Development section

Chair determines readiness of document for committee

review under Proposal Committee Rubric Analysis

If assigned, URR is available to provide consultation and

advice on specific questions as the study develops

Chair deems proposal ready for formal review

Student uploads materials for committee review under

Proposal Committee Rubric Analysis

Committee chair scores as Met under Proposal Committee

Rubric Analysis, system notifies committee that one

evaluation has occurred. 2

nd

member completes rubric

analysis. Following both committee member rubrics being

completed, chair reconciles evaluations, combining all

feedback so it is visible to the student.

Proposal

Committee Rubric

Analysis

Proposal URR

Rubric Analysis

Approved

Move to URR review

Not Approved

Revise

Chair uploads proposal, checklist, and Turnitin

report to Meets Requirements reconciliation in

Taskstream

Not Approved

Revise

URR completes rubric analysis under Proposal URR

Rubric Analysis

Referral to

Writing Center

Referral to IRB

Not Approved

Refer-Revise

Approved

Move to Oral Defense

OPTIONAL

An optional meeting that

includes the committee and URR

may be held if necessary. The

student may attend the meeting

if the committee and URR agree

that the student’s presence

would be productive.

Schedule Oral

Defense

IRB Review

Complete Proposal Stage

Proposal Oral

Presentation

Approved

Move to IRB review

Approved

Student schedules oral with chair

and committee; URR does not

attend

Chair submits Conference Call

Request Form to OSRA

Upon completion of the Proposal Oral Presentation, the

commiittee chair evaluates under Proposal Oral

Presentation in Taskstream as having Met or Not Met the

requirements of the presentation.

If significant changes are required after the oral, the chair

notifies and consults with the URR.

Not Approved

Revise

Not Approved

Revise

IRB reviews application outside of MyDR and

communicates any needs to student, copied to chair

IRB notifies student of approval or request for

revision

Workflow e-mails approval of proposal with notice to

submit IRB.

IRB notifies student of approval

to collect data based on proposal

and IRB approval; copied to chair

and OSRA

Committee chair scores as Not Met, returns to

author

A score of Met will move the student forward to

the Proposal Oral Presentation.

A score of Not Met will return the system back to

student submission under Proposal Committee

Rubric Analysis.*

*Upon URR evaluation of Not Met, the chair is

responsible for providing the student with

feedback. Instructions will be sent from the

OSRA team on how to retrieve the URR

feedback after the system processes the URR

evaluation.

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Proposal Preliminary Development

Begin Proposal Stage

Draft Revisions

Optional draft development in Proposal Preliminary Development section of Taskstream Chair and 2nd member can provide feedback in the Proposal Preliminary Development section Chair determines readiness of document for committee review under Proposal Committee Rubric Analysis If assigned, URR is available to provide consultation and advice on specific questions as the study develops

Chair deems proposal ready for formal review

Student uploads materials for committee review under Proposal Committee Rubric Analysis Committee chair scores as Met under Proposal Committee Rubric Analysis, system notifies committee that one evaluation has occurred. 2nd member completes rubric analysis. Following both committee member rubrics being completed, chair reconciles evaluations, combining all feedback so it is visible to the student.

Proposal Committee Rubric Analysis

Proposal URR Rubric Analysis

Approved Move to URR review

Not Approved Revise

Chair uploads proposal, checklist, and Turnitin report to Meets Requirements reconciliation in Taskstream

Not Approved Revise

URR completes rubric analysis under Proposal URR Rubric Analysis

Referral to Writing Center

Referral to IRB

Not Approved Refer-Revise

Approved Move to Oral Defense

OPTIONAL An optional meeting that includes the committee and URR may be held if necessary. The student may attend the meeting if the committee and URR agree that the student’s presence would be productive.

Schedule Oral Defense

IRB Review

Complete Proposal Stage

Proposal Oral Presentation

Approved Move to IRB review

Approved

Final Study Preliminary

Development

Begin Final Study Stage

Draft

Revisions

Optional draft development in Final Study Preliminary

Development section of Taskstream

Chair and 2

nd

member can provide feedback in the Final

Study Preliminary Development section

Chair determines readiness of document for committee

review under Final Study Committee Rubric Analysis

If assigned, URR is available to provide consultation and

advice on specific questions as the study develops

Chair deems proposal ready for formal review

Student uploads materials for committee review under Final

Study Committee Rubric Analysis

Committee chair scores as Not Met under Final Study

Committee Rubric Analysis, returns to author (i.e. student) in

Taskstream

Committee chair scores as Met under Final Study Committee

Rubric Analysis, system notifies committee that one evaluation

has occurred. 2

nd

member completes rubric analysis. Following

both committee member rubrics being completed, chair

reconciles evaluations, combining all feedback so it is visible to

the student

Final Study

Committee Rubric

Analysis

Final Study URR

Rubric Analysis

Approved

Move to URR review

Not Approved

Revise

Chair uploads final study, checklist, and Turnitin

report to Meets Requirements reconciliation in

Taskstream

Not Approved

Revise

URR completes rubric analysis under Final Study URR

Rubric Analysis.

Referral to Writing

Center

Referral to IRB

Not Approved

Refer-Revise

Approved

Move to Form & Style Review

OPTIONAL

An optional meeting that includes

the committee and URR may be

held if necessary. The student may

attend the meeting if the committee

and URR agree that the student’s

presence would be productive.

Form & Style review

Final Overall Quality

URR Rubric Analysis

Move to Final CAO and UMI Review

Final Oral Presentation

Approved

Move to Final Overall Quality Committee review

Approved

Form & Style editors complete their

review under Form and Style Review

section of Taskstream

Upon completion of the Form & Style review, the

Final Oral Presentation may be held. Upon

completion of the Final Oral Presentation, the chair

will evaluate under that section of Taskstream.

Not Approved

Revise

Student uploads study under Final Overall Quality

Committee Rubric Analysis

Committee completes rubric evaluations and chair

reconciles evaluations.

Final Overall Quality

Committee Rubric

Analysis

A score of Not Met will return the system back to

student submission under Final Study Committee

Rubric Analysis.*

A score of Met will move the student forward to the

Form & Style review. The URR should ensure a clean

copy is uploaded to the URR review for F&S to access.

Not Approved

Revise

If Not Met, return to student to resubmit under Final

Overall Quality Committee Rubric Analysis.*

Met decision triggers URR Final Overall Quality Rubric

Analysis. If Met, URR uploads clean copy of the final study

for CAO review

If Met, triggers URR review. Chair uploads study

for URR review

Not Approved

Revise

*Upon URR evaluation of Not Met, the chair is

responsible for providing the student with

feedback. Instructions will be sent from the

OSRA team on how to retrieve the URR

feedback after the system processes the URR

evaluation.

*Upon URR evaluation of Not Met, the chair is

responsible for providing the student with

feedback. Instructions will be sent from the

OSRA team on how to retrieve the URR

feedback after the system processes the URR

evaluation.

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Final Overall Quality Committee Rubric Analysis

Final Study Preliminary Development

Begin Final Study Stage

Draft Revisions

Begin Final CAO and UMI Review

Abstract Review by CAO or

designate

Not Approved

Revise

CAO/Designate returns feedback in Taskstream, notification

generated to OSRA to clear Taskstream sections

OSRA clears sections and sends notification to committee

and URR

Chair supervises revisions with student

Student submits revised study under Final Overall Quality

Committee Rubric Analysis

Committee members complete rubric analyses; chair

reconciles evaluations and uploads study for URR to

reconciliation

URR completes rubric analysis upon system prompt and

uploads clean copy for CAO review

Cycle continues to achieve satisfaction of CAO/Designate

comments, Chair and student may be referred to Center for

Research Quality for additional guidance

Clean copy of FINAL draft of study

submitted for UMI publication review

Approved

Move to Final UMI review

CAO enters approval in Taskstream

Workflow notifies student, committee, and

URR of approval

OSRA follows up with approval page for

publication

Not Approved

Revise

Complete Final CAO and UMI Review

Approved

Graduation

Audit

Research Capstone is Complete

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Begin Final CAO and UMI Review

Abstract Review by CAO or designate

Not Approved Revise