Chapter (1)

Capstone Template

This template specific to capstone studies is intended to support the quality of the

candidate’s manuscript and consistency with the expectations for the South College doctoral

program. Information related to formatting and the content notes are provided in each section.

Formatting

Consistent with APA requirements, the following requirements are used consistently:

• All margins are 1-inch on all sides

• Double-spacing used throughout

• A readable font, preferably Times New Roman, 12-point font

• Left justification throughout the body

• Only 1 space after the punctuation at the end of sentences

• Page numbers are Arabic numerals, in 12-point font in the same font as the body of the

capstone, and in the upper right-hand corner except on the first page

Below is the South College Capstone Template with a description of each section.

EXAMPLE OF A TITLE PAGE: AN EXAMPLE FOR A CAPSTONE STUDY

by Student’s Full Legal Name

A Capstone Presented in Partial Fulfillment

Of the Requirements for the Degree

Doctor of (Program)

South College, Knoxville, TN

Graduation Year

APPROVED BY:

Name and degree, Capstone Chair

(For example: Jane Doe, Ed.D., Capstone Chair)

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ABSTRACT Following APA requirements, the heading is in bold title case, a Level 1 heading, and centered,

and the first sentence, the purpose statement, is not indented. The following sentence can be used

to create your purpose statement. The purpose of this ______ (phenomenological, case,

ethnographic) study is to _________ (investigate? describe? develop? discover?) the _______

(central phenomenon of the study) for _______ (the participants) at ______ (the site if

applicable). For the utility of this study, the _______ (central phenomenon of the study) will be

generally defined as _______ (a general definition of the central idea in your own words). The

theory guiding this study is Patrick’s theory on this topic (you do not need to cite the year here)

as it (describe how the theory and your focus of inquiry are related). The abstract includes all

pertinent information, specifically: the theoretical framework, design of the study, the primary

research question, description of the setting, the sample, data collection methods, and the

procedures used for the analysis. No longer than one page, the abstract is written as one

double-spaced paragraph, with no indention. Prior to the completion of the study, the abstract is

written in the future tense. For proposals, the abstract does not include the results of the study,

but the results are added for the final capstone. Any additional information not specifically noted

here should not be included as the abstract must be concise; therefore, no citations are included.

Keywords: A list of 4-7 words that are integral to the study and separated by commas to

help others use search engines to find your study. An example is shown below.

Keywords: competency-based education, adult learning, andragogy, leadership

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(Optional) Copyright Page This page is not required; however, declaring copyright preserves your claim to the knowledge

generated from your study. Below are two formats to choose from:

Copyright 2022, Firstname Lastname

or

© 2022, Firstname Lastname

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(Optional) Dedication You have the option to include a dedication page for your capstone. Some examples

are as follows:

I dedicate this capstone to the most influential teacher I had during my earlier

education.

I dedicate this to my family member, who supported me throughout this process of

great learning and growth.

To my Capstone Chair, who provided unending insights and a strong sense of

support and humor as I completed my study.

To my children, First Child and Second Child, I hope you too will follow paths as

lifelong learners.

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(Optional) Acknowledgments

This optional page provides the candidate with an opportunity to acknowledge

individuals who guided the writing and completion of the capstone. You may choose to note the

efforts or guidance from your capstone chair, professors in the doctoral program, an editor, or

others who participated materially in your doctoral journey.

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Table of Contents

APA formatting for the Table of Contents must be followed to consistently present the

chapters and subsections of the capstone and appropriate page numbers. Items included within

the Table of Contents are double-spaced, and left-justified; Level 1 headings are indented

one-half inch, while Level 2 headings are indented one inch. A complete list of items in the

Table of Contents is: Abstract, Copyright Page, Dedication, Acknowledgements, List of Tables,

List of Figures, CHAPTER TITLES shown in all caps, Level 1 headings, Level 2 headings,

References, and finally, the Appendices. The appendices must be labeled (Appendix A,

Appendix B, etc.), and the title of the appendix must be included. Only the areas that rise to a

Level 1 or Level 2 heading should be included. Entries should be double-spaced. Take care not

to change the formatting of the table of contents in this template, as it will format items correctly

as they are added to your capstone document. Whenever submitting a draft document to your

capstone chair, send the entire document with the specific areas you would like reviewed, do not

remove other sections from the document.

ABSTRACT 3

(Optional) Copyright Page 4

(Optional) Dedication 5

(Optional) Acknowledgments 6

List of Tables 12

List of Figures 13

List of Abbreviations 14

CHAPTER ONE: INTRODUCTION 15

Overview 15

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Background 15

Historical Context 15

Social Context 15

Theoretical Context 15

Problem Statement 16

Purpose Statement 16

Significance of the Study 16

Definitions 18

Summary 18

CHAPTER TWO: LITERATURE REVIEW 19

Overview 19

Theoretical/Conceptual Framework 19

Literature Synthesis 19

Summary 20

CHAPTER THREE: DATA COLLECTION PLAN 22

Overview 22

Research Design 22

Setting and Participants 23

Site (or Setting) 23

Participants 23

Researcher Positionality 23

Interpretive Framework 23

Philosophical Assumptions 23

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Researcher’s Role 24

Procedures 24

Permissions 25

Recruitment Plan 25

Data Collection Plan 25

Data Collection Approach #1 25

Data Collection Approach #2 27

Data Collection Approach #3 27

Data Collection Approach #X 27

Data Synthesis 28

Trustworthiness 28

Credibility 28

Transferability 28

Dependability 28

Confirmability 28

Ethical Considerations 29

Summary 29

CHAPTER FOUR: IMPLEMENTATION PLAN 30

Overview 30

Implementation Plan 30

Potential Challenges 30

Implications for Practice and Policy 32

Expected Outcomes 33

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Disseminaton of Project 33

Conclusion 33

References 37

Appendix Title 38

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List of Tables

The tables and the corresponding pages of each table are included here and ensure the

reader can locate the tables easily within the capstone. As shown, the title is a Level 1 heading

centered. All tables listed should be double space with the appropriate page number.

Below is an example. Table 1. Interview Questions.……………………………………………………………………70

Table 2. Focus Group Questions..…………….………………………………………………….73

Table 3. Participant Demographics………………………………………………………………85

Table 4. Theme Development……………………………………………………………………94

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List of Figures

Any figures used in the capstone must have a corresponding page in this list, which helps the

reader easily find the figures. As shown, the title is a Level 1 heading centered. All figures listed

should be double space with the appropriate page number.

Below is an example:

Figure 1. Name Placed Here for Figure 1....................................................................................110

Figure 2. Name Placed Here for Figure 2....................................................................................115

Figure 3. Name Placed Here for Figure 3....................................................................................120

Figure 4. Name Placed Here for Figure 4....................................................................................135

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List of Abbreviations

The list of abbreviations used is included here; candidates should make every attempt to

not create new acronyms not already used in the selected field of inquiry. If the abbreviation or

acronym is common to the United States, their inclusion here is optional, such as USA. As

shown, the title is a Level 1 heading centered.

Below are examples: Association for Supervision and Curriculum Development (ASCD) International Society for Technology in Education (ISTE)

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CHAPTER ONE: INTRODUCTION

Overview

A clear and concise introduction within the overview will help to frame the study for the

reader. The organization of the areas addressed in the overview should be presented in a

paragraph to avoid unnecessary information while generating interest.

Background

Please refer to the required areas that should be addressed in this background as noted in

the Capstone checklist document.

Historical Context

A clear description of the historical context notes how the topic evolved/changed over

time and in relation to other historical events, recent or current events that would impact future

conditions or constraints that influence the study. Historical references should be combined with

more recent, relevant references to provide the prior, current, and potential future historical

context.

Social Context

The references included in this section are recent, less than five years old, and support the

analysis of the current social context of the research problem (how the problem impacts society).

Theoretical Context

The theoretical context provides a theoretical framework for the study through which the

problem statement and supporting scholarly work is analyzed. While the preference is for

references less than five years old, scholarly sources supporting the conceptual aspects of this

section reflect the spectrum of the professional literature related to the area of study.

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Problem of Practice Statement

This section moves from more general issues to the specific problem for the defined

population is described here. The Problem Statement includes the declarative “the problem

is______” for clarity and no more than two concise, persuasive paragraphs that ignite the

reader’s empathy and assure the need for further investigation. No less than 3-5 scholarly journal

articles published in the last five years support the Problem Statement.

Purpose Statement

The purpose statement is presented in a single sentence and identifies the type of study

and design, the phenomenon being investigated, participants, and setting, and follows the

common format: The purpose of this ______ (phenomenological, case, ethnographic) study is to

_________ (investigate? describe? develop? discover?) the _______ (central phenomenon of the

study) for _______ (the participants) at ______ (the site if applicable). For the utility of this

study, the _______ (central phenomenon of the study) will be generally defined as _______ (a

general definition of the central idea in your own words).

Significance of the Study

In one paragraph or less, the theoretical significance identifies how the learnings from the

study could expand current theory or suggest new applications of the theory. In a second

paragraph or less, empirical significance of the study notes how future studies could benefit from

the application of the methodology, exploration of the problem, and/or the area of the study that

does not currently exist in the professional literature. In a third paragraph or less, the practical

significance of the study addresses the possible impact in the industry if the outcomes from the

study are implemented in the profession. Finally, theoretical and empirical sources support the

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assertions made in all three practical, empirical, and theoretical discussions regarding the

significance of the study.

Definitions

The definitions for terms specific to the study are provided with contextual support from

the literature with citations, as dictionary definitions do not provide the context or necessary

support from the professional literature. Examples are shown below:

1. Term – definition that aligns with its use in your study followed by citation for the

location of the source (Author’s last name, year).

2. Term2 –the second term listed in alphabetical order and a definition that aligns with its

use in your study followed by citation for the location of the source (Author’s last name,

year).

3. Term3 –the third term listed in alphabetical order and a definition that aligns with its use

in your study followed by citation for the location of the source (Author’s last name, year

4. Etc.…

Summary

The final paragraph(s) is a concise restatement of the problem and purpose of the study

and serves as the conclusion for Chapter 1.

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CHAPTER TWO: LITERATURE REVIEW

Overview

Chapter Two opens with a clear, concise description of the contents and organization of

the chapter, is written in the present tense, and is no more than one paragraph.

Theoretical/Conceptual Framework

A discussion of how the framework guides the study is presented at the start of the

theoretical framework section. The concept or theory, including origination and major theorist, is

presented as the grounding for the analysis and evaluation. A second theory/theorist may be used

with an adequate rationale for the inclusion of this theorist and with the approval of the

committee chair.

Literature Synthesis

A cohesive and stylistically appropriate narrative introduction of the literature related to

the topic is presented and ensures the overview is not a list of sources with annotation by topic.

Create Connections for Your Audience

The synthesis demonstrated in the literature review creates a strong connection between

the existing knowledge found in the professional literature and the proposed study.

Critique the Literature

A primary focus of the synthesis you are communicating is to articulate the previously

examined areas of the topic(s) and a description of the enduring perspective(s) presented in

education and/or other social science fields. This section is where you will note which of the

prior literature supports your rationales, whereas others may have missed the importance of the

topic.

The Literature Review Is Not an Annotated Bibliography

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Most importantly, you are not grouping the literature by topic and annotating the sources

alphabetically or chronologically. In addition to your synthesis of the sources, you must clearly

communicate how the sources support your position and/or demonstrate a gap in the professional

literature.

Summarizing Synthesis

You see in the above passage that there were points of disagreement and agreement, and

the reader can tell what the field has had for a discussion in the literature about the synthesis

topic. This method is called creating dialogue within the literature. Not only is this easier to read

than a simple listing of the literature, but also it tells the story of the literature better, makes your

argument more effective, and engages the reader in your literature discourse, helping to shape the

gap in the literature that your study will partially fill.

How Many Sources

The number of sources is always a question, but the primary focus should be on how well

the contextually appropriate sources support your study. Are you certain that after reviewing

your synthesis of the literature your reader will agree that there is a gap in the literature, that your

study is pertinent, and that the theoretical approach you are taking aligns well? If there are gaps

in your synthesis you may have difficulty proving that your study is pertinent and will support

the profession.

Summary

A concise restatement of the literature synthesis and how the theoretical framework

supports the study makes up the summary for Chapter Two and serves as the conclusion. After

reflecting on your synthesis, how well do you make the connections for your reader to explicitly

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support the theoretical basis and the real-world application in the profession that will improve the

practice.

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CHAPTER THREE: DATA COLLECTION PLAN

Overview

Like Chapter Two, a clear, concise description of the contents and organization of

Chapter Three is written in the present tense and is no more than one paragraph. In addition to

the organization of the chapter, a restatement of the purpose of the study is explicitly included in

the overview.

Research Design

A clear, concise description of the research design is included. For example, an

ethnographic approach that included observations, content analysis, and interviews was used.

After providing the description, a strong rationale must be presented for the selection of the

topic, why the design is most appropriate to the study, and how the specific type of design was

chosen. Citations from research texts specific to educational/social science support the design

description and rationale.

Setting and Participants

A brief introduction related to the setting and the participants is to be written here.

Site (or Setting)

All pertinent aspects of the setting are concisely described and have been anonymized.

These aspects may include the leadership structure, demographics, and/or a general physical

location. If the study does not have a specific setting, then a description and rationale as to why

the study is not bound by a specific setting is clearly noted.

Participants

The population from which the sample is drawn is described along with a target number

of participants and at least 10 primary participants. The rationale for the sample size is supported

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by citations from qualitative research literature.

Researcher Positionality

The researcher’s motivation for conducting the study is addressed in the researcher

positionality section.

Interpretive Framework

The author’s interpretive framework (e.g., constructivism, pragmatism, post-positivism)

is clearly addressed, as well as the strong alignment with the topic and method.

Philosophical Assumptions

The ontological, epistemological, and axiological assumptions are clearly stated in this

section to ensure the reader is aware of all assumptions related to positionality. Each aspect of

the philosophical assumptions should be addressed below.

Ontological Assumption

Assumptions related to your beliefs on the nature of reality would be described here.

Epistemological Assumption

The basis of your beliefs on what counts as knowledge, how knowledge claims are

justified, and the relationship between you and the area under research are included in this

section (Creswell & Poth, 2018). Given the subjective nature of qualitative research, the

experiences of those in the study will be presented even though they are not experts in the field

and provide subjective responses.

Axiological Assumption

As the researcher, you must also address to what degree your values are known and

impact the study. The goal is to communicate your known positionality related to the topic of

study, as well as the context, setting, and participants and how you will bracket those in the

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research process.

Researcher’s Role

Your role as a researcher should be communicated through the lens of the design selected

and how you, as the human instrument, will impact the data collection and data analysis

procedures.

Procedures

The detailed, step-by-step narrative in the procedures section describes all pertinent

information about permissions, recruitment, data collection, data analysis, and data synthesis in

chronological order.

Permissions

A description of all required permissions, including site approval, is provided, and the

Appendix number is noted.

Recruitment Plan

All efforts used to recruit participants are described in detail, along with the type of

sampling chosen and appropriate citations, in the recruitment plan. The researcher’s detailed

review of the process notes how the participants were introduced to the topic of the study, the

sample was chosen or defined from the population, and the process for the participants to select

to participate. Samples of the informed consent/assent and the Appendix number are included as

well.

Data Collection

The data collection section provides detailed descriptions of the process/rationale for the

pilot studies (if conducted but are not required), triangulation, the data collection, analysis, and

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synthesis approaches for each set of data. Data collection should follow the recommendations

addressed in the research course and be cited appropriately.

Data Collection Approach #1

Each data collection approach is introduced in the order it will be conducted and clearly

defined with appropriate citations—the order is consistent wherever presented. Detailed

descriptions of the collection, recording, and documentation of the data are supported by the

rationale for the steps chosen for each set of data. Level 2 headings are used for each

subsection/set of data. Data collection strategies are detailed and contextually supported with

citation from the professional literature for each subsection/set of data. Details specific to the

location, date, process, duration of time expected, and participants are described for each

subsection/set of data. Pertinent information, such as technology needed, use of specific

platforms, method of communicating dates, and receiving responses from the participants, are

noted within the narrative of each subsection/set of data. For studies that include

interviews/focus groups, the narrative description of the data collection process for the data

includes the open-ended questions, references the Appendix number with a copy of the

questions, numbered sequentially, and a blank protocol. The process for piloting the questions is

described in detail and referenced appropriately with supporting citations regarding qualitative

practices. Examples shown below demonstrate how the questions are listed, along with the

research question they inform.

Samples of the Questions

1. Each interview question or focus group question is listed first with a code at the end of

the question to indicate which research question or sub-question the responses are

intended to inform.

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2. You should have as many numbers as you have questions in your interview, focus group,

or other method of collection.

3. While there are only three shown here, you can have as many questions as needed.

The narrative following the questions provides a concise rationale for their inclusion in

the protocol. The length of this section is directly related to the number of questions listed above.

Data Analysis Plan #1

Detailed descriptions of the collection, recording, and documentation of the data are

supported by the rationale for the steps chosen for each data set. Level 2 headings are used for

each subsection/set of data. Each strategy used for analyzing the data is clearly defined, and

aligned with the type of data collected, and the rationale for choosing the strategy is supported

with appropriate citations from the methods literature for each type of data collected. Pertinent

information, such as technology, analysis software, and/or use of specific platforms during the

analysis, are noted within each subsection/set of data narrative.

Data Collection Approach #2

Like the first data collection approach, this collection approach is introduced in the order

it will be conducted and clearly defined with appropriate citations—the order is consistent

wherever presented. Detailed descriptions of the collection, recording, and documentation of the

data are supported by the rationale for the steps chosen for each set of data. Level 2 headings are

used for each subsection/set of data. Examples are shown below.

Data Analysis Plan #2

Articulate the data analysis plan in a concise paragraph for this collection approach.

Data Collection Approach #3

If you chose to have three data collection approaches, then the third approach would be

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listed here. For example, an existing data set of interview questions gathered by the organization

for a current initiative could be focused on for the third approach.

Interview Questions Used

If you used interviews, you would list the interview questions here, including their

contribution to the data, and include a brief rationale as you did in prior sections. An exhaustive

rationale for each question supported by empirical literature is not required here.

Data Analysis Plan #3

Describe the data analysis plan in a concise paragraph.

Data Collection Approach #X

For any existing data set where there was an observation, focus group, or a method other

than an interview, the protocol used should be included as an appendix.

Data Analysis Plan #X

Describe the data analysis plan in a concise paragraph.

Data Synthesis

After all subsections/sets of data are analyzed, a separate heading is provided for the Data

Synthesis to describe how a coherent set of findings will be determined from all the

subsections/sets of data.

Trustworthiness

Five subsections are included in the trustworthiness section, and each is noted with the

use of level 2 APA headings: Credibility, Transferability, Dependability, Confirmability, and

Ethical Considerations (Lincoln and Guba, 1985).

Credibility

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A discussion of how well the findings accurately describe the strategies used to assure

credibility is noted in detail within the credibility section.

Transferability

The researcher’s actions that were taken to create the necessary conditions for the reader

to ascertain that this study can be applied to other areas are included in the transferability section.

No assertions of automatic transferability are made related to the study’s findings.

Dependability

The consistency of the data, how it could be replicated, and appropriate citations from the

research literature support the assertions in the cependability section.

Confirmability

A clear statement of the degree of neutrality achieved and all efforts to ensure the

findings are as free from bias as possible, and the techniques taken to acknowledge and reduce

bias are described in detail within the confirmability section.

Ethical Considerations

Any ethical considerations taken, at a minimum, are discussed: Obtaining site and/or

participant access and permission letters (if applicable), the process to obtain informed consent

from participants, documentation of how the participants received information regarding the

voluntary nature of the study and their right to withdraw from the study at any time, the

confidentiality of the site and participants, and discussing how both physical and electronic data

will be secured.

Summary

The primary focus of the Chapter 3 Summary is a concise restatement of the alignment

across the design, data collection, analysis, and synthesis strategy.

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CHAPTER FOUR: IMPLEMENTATION PLAN

Overview

A clear, concise description of the contents and organization of Chapter Four is written in

the present tense and is no more than one paragraph. In addition to the organization of the

chapter, a restatement of the purpose of the study is explicitly included in the overview.

Potential Challenges

A clear examination of potential barriers that could arise within the scope of project are

included: ethical concerns, participant access, resource limitations, organizational constraints,

time, etc. Strategies for overcoming each barrier or challenge are clearly detailed and supported

by current research.

Implications for Practice and Policy

The Implications section fully explores how the project’s anticipated findings/results

could impact professional practice in the organization. Information about the organizational

impact is included as well as the practical impact for practice. Implications are actionable and

realistic in relation to the organization’s context and resources. An examination of how the

project might contribute to reform or institutional improvements in alignment to the mission and

strategic goals of the organization, school, district, state, etc. is included in this section.

Expected Outcomes

The predicted outcomes of the action research are described in detail in this section.

These predictions should be based on personal experience, existing literature, and the theoretical

framework positioned in the study.

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Dissemenation of Project

A detailed, thorough discussion on how the project findings would be shared to produce

meaningful change and impact on/in the organization is included.

Conclusion

The conclusion section includes a succinct restatement of the results by listing the main

themes and provides a strong conclusion to the chapter. However, a complete restatement of all

the findings is not appropriate. All the contents of the proposed capstone project are summarily

connected as the final thoughts presented in the Conclusion.

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References

All the references cited within the text should be included in the references list and

follow the most recent version of the APA format and style. The reference title should be

capitalized, bold, and centered. Only sources cited in the text should be included here, so there

should be a one-to-one match between the citations and the list below. A few qualitative

examples are shown below for your use, so there is not a one-to-one match in this case:

Atkinson, M. (2016). Ethnography (pp. 71-83). Routledge.

Bryman, A. (2016). Social research methods. Oxford University Press.

Chase, S. (2005). Narrative inquiry. In N. K. Denzin & Y. S. Lincoln (Eds.), The Sage handbook

of qualitative research (3 ed., pp. 651-680). Sage.

Corbin, J., & Strauss, A. (2014). Basics of qualitative research: Techniques and procedures for

developing grounded theory. Sage.

Creswell, J. & Poth, C. (2018) Qualitative inquiry and research design: Choosing among five

approaches. Sage.

Lincoln, Y. & Guba, E. (1985). Naturalistic inquiry. Sage.

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Appendix Title

All items in the appendix are correctly formatted, numbered, and have appropriate

headings (capitalized, bold, centered). All appendices noted in the capstone are included in the

list, and all appendices present in the list are discussed in the capstone.

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Appendix B

Sample Appendix B Heading

This is a sample appendix to provide you with an example of the headings.