Doctoral Proposal & Dissertation Guidelines - Walsh College · Doctoral Proposal & Dissertation Guidelines 2 Walsh College of Accountancy & Business Administration 3838 Livernois

Doctoral

& Dissertation

Doctoral Proposal

& Dissertation Guidelines

Revised as of April 28, 2010

Proposal

Guidelines

Doctoral Proposal & Dissertation Guidelines 2

Walsh College of Accountancy & Business Administration

3838 Livernois Road

Troy, MI 48007

Walsh College is accredited by the Higher Learning Commission and is a member of the

North Central Association 30 North LaSalle St., Suite 2400, Chicago, IL 60602.

http://www.ncahigherlearningcommission.org

Walsh College is accredited by the International Assembly for Collegiate Business

Education (IACBE). http://www.iacbe.org

Walsh College has a policy of nondiscrimination in admission to, access to, and

employment in its programs and activities. Walsh does not discriminate on the basis of

race, color, sex, age, religion or creed, marital status, handicap or disability, national or

ethnic origin, socioeconomic status, or sexual orientation.


Table of Contents

Preface 6

Doctoral Proposal and Dissertation Guidelines Organization 6

The Doctoral Candidacy Process 6

The Walsh College Dissertation Proposal Format 7

Section 1: The Walsh College Dissertation 9

Introduction 9

Steps in the Dissertation Process 9

The Walsh College Dissertation Format 10

UMI/ProQuest 12

Printed Copies 12

Special Instructions for Reporting Quantitative Studies 12

Special Instructions for Reporting Qualitative Studies 13

Confidentiality of Sources 13

Integrity and Accuracy 13

Formatting Interview Transcripts 14

Participant/Observer Field Notes 14

Additional Observations 14

Institutional Review Board Policies and Procedures 15


Policy on Academic Integrity and Plagiarism 15

Section 2: Style at Walsh College 17

The APA Style 17

Font Type and Size 17

Type of Paper, Margins and Justification 17

Spacing 18

Pagination and Sequence of Preliminary Pages 18

Section 3: Preliminary & Subsequent Pages 19

Title Page 19

Abstract 19

Trademark and Copyright Information 19

Copying Test Instruments, Surveys, and Questionnaires 20

Dedication Page 20

Acknowledgements Page 20

Table of Contents 21

List of Tables and List of Figures 21

Definition of Terms & Acronyms 22

Body Text Reference List 22


Appendices and Exhibits 23

Curriculum Vitae 23

Section 4: Body Text 23

Headings 23

Tables and Figures 24

Formatting Lists in Block Quotes 24

Words Defined and Words Used as Words 24

Verb Tense 25

First Person and Third Person 25

Numbers and Percentages 25

Section 5: Documenting Sources 25

Parenthetical In-Text Citations 25

Electronic Sources 26

Content Footnotes 26

Section 6: Writing Mechanics 26

Inclusive Language 26

Section 7: Examples 28

Sample Title Page 28

Sample Abstract Page 29

Sample Copyright Page 30


Preface

The Doctoral Research Guidelines is the official style guide for the Doctor of Management

in Executive Leadership dissertation. It is to be used in conjunction with the 6th edition of

the Publication Manual of the American Psychological Association, hereafter referred to

as APA. The Doctoral Research Guidelines complements the Doctor of Management in

Executive Leadership Program Handbook.

Doctoral Proposal and Dissertation Guidelines Organization

Section I of the Guidelines contains information about the dissertation, which

includes an overview of the fundamental characteristics of a Walsh College of

Accountancy and Business Administration (referred to hereafter as Walsh) dissertation,

and dissertation guidelines that describes the college’s standards for dissertation content.

Form and style guidelines for the proposal and dissertation appear in Section 2. Unless

noted otherwise, references to APA style reflect the sixth edition of the manual. Section 3

provides examples of a title page, copyright page, and abstract page. Section 4 provides

information about the arrangement of the dissertation. Section 5 provides clarification on

documenting sources. Section 6 provides details on writing mechanics. Section 7 gives

examples of dissertation pages.

Doctoral Candidacy Process In order to proceed to the dissertation research and writing phase of the Doctor of

Management in Executive Leadership, the following steps must be completed:

Successful completion of all DMEL coursework;

Successful completion of qualifying examination #3;

Successful completion of the oral examination;

An acceptable dissertation proposal signed off by your dissertation committee.

The Oral Examination will be a defense of the Dissertation Proposal and will be

conducted by the student’s Dissertation Committee. One additional faculty member,

selected by the Chairperson of the student’s Dissertation Committee and who is not

already a member of the student’s Dissertation Committee will participate in the oral

examination. The expected outcome of the Oral Examination is Committee approval of

the Dissertation Proposal.


The Walsh College Dissertation Proposal Format

Title Page

Abstract

Table of Contents

List of Tables

Chapter I: Significance and Purpose of the Study (Introduction)

� Introduces the Study - Overview

� States the Purpose of the Study (Identification of Researchable

Problem)

� Provides a Rationale of the Study (Stating Significance)

� Formulates Overarching Research Questions or Hypotheses or

Models (Objective(s) of the Study)

� Explains Limitations/Delimitations

� Delineates Related Theories & Theoretical Concepts & Research

� Provides Definitions

Chapter II: Review of Literature (Conceptualization)

• Introduces the Literature in an Overview

• Discusses the Historical Background of the Problem/Opportunity

• Reviews and Analyzes Related Theories and Theoretical Concepts

• Provides analysis and summary of current studies relevant to study

• Summarizes Literature as it relates to study

• Explicates study’s Research Questions or Hypotheses

Chapter III: Methodology (Operationalization)

• Provides Overview of Research Plans

• States appropriateness of methodology (provides rationale for

method over others)

• Explains Planned Research Design and Procedures

o Offers Full Description of Design

o Discusses Strengths/Weaknesses of Study Method

o Site and Participant/Subject Selection, Rationale for Selection o Addresses IRB Concerns and Procedures (Human Subjects

Research Procedures)


o Explains plans for Data Collection Procedures (Provides

techniques/instruments/protocols)

• Proposed Data Reduction and Analysis techniques

• Ethical Considerations

• Quality Assurance (validity & reliability; trustworthiness criteria)

• Address possible Limitations

• Summarizes Data Management section

References (in proper APA style)

Appendices (Provide supplementary material, such as:)

• Proposed time schedule for executing study, including

o Approximate dates for IRB approval

o Dissertation timeline

o Walsh College program dates & deadlines

o Specified timeframe for data collection and data analysis

o Specified timeframe for drafting and revising chapters

o Approximate date for distributing final draft to committee members

o Approximate date for final oral examination and public dissertation

defense

• Dissertation Chapter Outline

• Institutional Review Board forms (subject consent forms)

• Letters and other relevant documents

• Research instruments (Copies of survey instruments, interview protocols)

• Diagrammatic models of research design, statistical analysis

• Supporting evidence of possible funding sources

• Potential outlets for distributing dissertation findings (specific conferences,

journals, workshops, teaching potential)

• Supplementary annotated bibliography

*DM-EL students should check with their dissertation advisor to tailor the above outline

if necessary.


Section 1: The Walsh College Dissertation

Introduction

The final phase of your program of study as a Walsh Doctor of Management (DM)

student begins with the preparation of a dissertation proposal, which is affirmed in an

oral proposal defense and then followed by the execution of a research study resulting in

an acceptable doctoral dissertation. Walsh does not specify any particular research

approach or methodology, but does require that the dissertation reflect a high level of

conceptual understanding of your research question(s) and contributes to innovation in

your subject matter. Walsh requires you to demonstrate your knowledge of the subject

and its application, of research design and your ability to interpret research findings both

written and orally.

Steps in the Dissertation Process

• Establish a Dissertation Committee.

• Select, manage and validate a dissertation topic.

• Complete a Dissertation Proposal.

• Secure Institutional Review Board approval for the protection of human

participants in research.

• Conduct the dissertation research.

• Write the dissertation manuscript.

• Review the dissertation manuscript and secure committee approval.

• Submit and publish the dissertation manuscript.

These steps are outlined in greater detail as part in MGT 795 (Proposal and Dissertation Process).


The Walsh College Dissertation Format

Cover Page

Blank

Abstract

Title Page

Copyright Page (optional)

Dedication Page (optional)

Acknowledgements (optional)

Table of Contents

List of Tables

List of Figures

Definition of terms and acronyms

Chapter I: Significance and Purpose of the Study (Introduction)

� Introduction - Overview

� Purpose of the Study (Problem/Opportunity)

� Significance (Rationale of the Study)

� Objective of the Study (Overarching Research Questions or

Hypotheses)

� Delineation of Theories & Theoretical Concepts (Definitions)

� Limitations/Delimitations

Chapter II: Review of Literature (Conceptualization)

• Overview

• Review (and criticism) of Related Theories and Theoretical Concepts

o Historical background of problem/opportunity

o Analysis and summary of current studies relevant to study

• Summary of Literature as it relates to study


• Research Questions & Hypotheses

Chapter III: Methodology

• Overview of Research

• Appropriateness of Methodology (rationale for method over others)

• Research Design

o Full Description of Design

o Strengths/Weaknesses of Study Method

o IRB Procedures (Human Subjects Research Procedures)

o Data Collection Procedures

(techniques/instruments/protocols)

o Data Reduction and Analysis

• Summary of Data Management

Chapter IV: Results and Discussion

• Overview

• Results/Findings (Data Interpretation)

Chapter V: Implications and Conclusions

• Overview of Major Findings

• Summary of Major Findings

• Implications (Value to Others)

• Ethical Considerations

• Limitations

• Directions for Future Research

• Concluding Remarks

Appendices

References

Curriculum Vitae


UMI/ProQuest

UMI/ProQuest (previously University Microfilms) produces microfilms of

dissertations and publishes the abstracts online in its monthly publication, Dissertation

Abstracts International. Walsh plans to participate in the ProQuest Digital Dissertations™

process. You will receive instructions on electronic submission to ProQuest from the DM

Program Director at the proper time. You will need to submit your dissertation to UMI/

ProQuest in order to be validated for graduation.

You may request that UMI/ProQuest file an application for copyright on your

behalf. If you choose to do this option, you must indicate so when completing the

electronic submission form. Fees for abstract publication are included in the Walsh

College graduation fees. You may request bound copies of your dissertation for personal

use from UMI/ProQuest for an additional fee. Publication may take 3 to 6 months.

Printed Copies

Walsh requires an electronic copy as well as 5 paper copies of your dissertation,

and the following guidelines apply to the bound-and-printed dissertation for submission

to UMI/ProQuest. The dissertation must be printed with letter-quality type. All print

must be in black ink and appear on only one side of each page, including appendix

material. Do not use color in any figures or tables. If reprinting material from published

sources, be sure that the copy is clean and sharp, preferably the original or a first-

generation reprint. Except in cases of fair use, permission from the copyright holder to

reproduce such material must be obtained. (See the Trademark and Copyright Information

section for more details). Guidelines for electronic submission to UMI/Proquest will be

provided when a candidate is ready to submit the dissertation

Special Instructions for Reporting Quantitative Studies

Research methods focus on the choice of information and tend to follow two lines

of inquiry: deductive and inductive reasoning. Quantitative methods, those that present

their results in the form of numbers, are typically confirmatory or deductive but can be

exploratory or inductive. Research techniques refer to different ways of gathering,

analyzing, and interpreting information. They include questionnaire design, content

analysis, and statistical analysis of all kinds. Selection of an appropriate method, design

and technique is defensible on an academic basis rather than on a personal preference for

one method over another. DM students should answer the research question(s) in a

manner consistent with the underlying methodological assumptions that provide the best

approximation to valid conclusions. DM students should also consult with their

committee frequently throughout the design phase of the dissertation to develop a study

that is methodologically sound. Quantitative Studies are either experimental or non-


experimental in nature. Experimental designs fall into categories of true experimental,

quasi-experimental, natural or ex post facto (casual-comparative). Non experimental

designs include surveys, correlational studies, developmental studies or Delphi.

Special Instructions for Reporting Qualitative Studies

If you are undertaking qualitative research, you face the challenge of reporting the

findings in an appropriate way. Guidance and requirements may vary. For example,

some dissertation committees require students to include lengthy portions of interviews,

i.e., the raw data within the dissertation. Others request that interview transcripts appear

in an appendix; still others do not require raw data to be included in the dissertation at

all, but ask that interview notes and tapes be kept in a secure location for later review, if

necessary. You should follow your dissertation committee’s recommendations and

requirements in presenting and analyzing the data, and always keep raw data secured for

5 years. Several common form and style issues related to interviews, participant/observer

notes, and other raw qualitative data to be included in the dissertation bear mentioning.

In some qualitative research studies the conceptual solution to the research problem is

followed by a demonstration of concept by way of a case study, prototype or simulation.

The appropriate way to do this should be determined in collaboration with the

dissertation chair and dissertation committee at the time of designing the research study.

Confidentiality of Sources

Your sources may or may not wish to be identified in a dissertation. You are

obligated to notify participants and managers of research sites that all Walsh dissertations

enter the public arena. How you refer to anonymous locales and participants can vary.

Your reader should know the city or state, or at least the region, where the research took

place. You 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 Automotive

Manufacturer throughout this dissertation.

You may refer to participants who wish to remain anonymous as Participant 1 or

P1, by an initial, by any other logical abbreviation, or by a pseudonym. You should

inform your reader in the narrative if pseudonyms will be used throughout.

Integrity and Accuracy

A predetermined bias leads almost invariably to selective use of quotations. But as

scientists, researchers are obligated to report findings as completely, accurately, and

objectively as possible, lest the integrity of the narrative be compromised. Your reviewers

expect that the speaker’s actual words are reported and portrayed in an honest context,

including judicious use of blatant grammatical errors and vulgar language. Be prepared

to negotiate with the dissertation committee what the word judicious implies. Use an


ellipse 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.

Formatting Interview Transcripts

In many qualitative dissertations, portions of interview transcripts appear in the

narrative. While your dissertation committee members will guide your reporting and

analysis of the data, you should remember that an important goal is to help the reviewer

navigate the text. As such, be consistent and try to format the text with the reader in

mind. APA’s 40-word rule may be helpful here: If an interview excerpt is 40 words or longer,

set the transcript off in block form, customarily single spaced. Establishing a consistent pattern

whereby all transcript segments are set off in block form may be helpful.

The dissertation committee may require a listing of all interview dates. Here, too, you

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 authors offer a summary statement in the

narrative such as: Unless otherwise noted, all interviews took place between May 1, 2000 and

May 21, 2000. If complete transcripts are in the appendix, you could list the actual date of

the interview.

Participant/Observer Field Notes

As previously noted, one challenge you may face when using field notes is that the

first person is generally unacceptable in Walsh College dissertations. You and your

committee members should carefully consider this guideline, negotiating between the

needs of you as the writer, of the reader, and of the scholarly community. One method

that has been used successfully is to format first-person field notes in block form, single-

spaced, and thus set them apart from the third-person narrative.

Additional Observations

As is often the case in scholarship, and most forms of writing, you must first weigh

the needs of the audience and publisher with your own needs as an interpreter of

research data. Rules are often obscure or nonspecific for good reason, because no two

situations are alike. Thus, when reporting qualitative research, you should be concerned

less with prescribed rules and more with (a) accuracy and integrity, (b) protection of

confidential sources, and (c) ease of reading.


Institutional Review Board Policies and Procedures DM students are expected to comply with all provisions of the College’s

Institutional Review Board as part of the dissertation process. The College must review

and approve any research sanctioned by the College involving human subjects. All

policies and procedures pertaining to the Institutional Review Board are contained in the

Walsh College publication “Institutional Review Board Policies and Procedures”.

Policy on Academic Integrity and Plagiarism

Walsh College regards academic honesty to be essential to the entire academic

enterprise and will not tolerate any violation. Like all other Walsh students, doctoral

students have agreed to comply with the Walsh Academic Integrity Policy as stated on

the following web page: http://www.walshcollege.edu/currentstudents/ and affiliated

web pages. An excerpt is as follows:

“Students, faculty, and staff are expected to follow established standards of academic integrity and

honesty. Academic misconduct entails dishonesty or deception in fulfilling academic requirements

and includes but is not limited to cheating, plagiarism, or the furnishing of false information to the

College or a College affiliate in matters related to academics. An affiliate of the College is any

person, organization, or company who works in conjunction with Walsh College of Accounting

and Business for the purposes of assisting students in fulfilling their academic requirements. It is

therefore this institution’s stated policy that no form of dishonesty among its faculty or students

will be tolerated. Although all members of the College community have an obligation to report

occurrences of dishonesty, each individual is principally responsible for his or her own conduct.”

In The Craft of Research (Booth, Colomb, and Williams, 1995), the authors offer 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 show the difference between plagiarism and paraphrasing,

according to the Booth et al. definition:

Original from Severin and

Tankard (1992)

Plagiarism per Booth et al.

(1995)

Acceptable Paraphrase per Booth et al. (1995)

There is evidence to suggest that newsmakers

are becoming particularly savvy about placing

items on the media agenda. When, for example,

President Reagan was running for his second

term, he took a tour to promote his

administration’s record on environmentalism.

The tour was full of photo opportunities,

including the president standing on a fishing

boat in the Chesapeake Bay and the president

wearing a park ranger’s hat at Mammoth

Cave, Kentucky. Even though some thought

that the Reagan administration had a terrible record on the environment, many people were

likely to see photos of the president in the

ranger hat and make a positive link between

Reagan and the environment.

Evidence suggests that newsmakers are

becoming keenly aware about placing

items on the media agenda.

When, for instance, President Reagan ran

for his second term, he took a tour to

promote his administration’s

environmental record. The tour was full

of photo ops, including Reagan on a

fishing boat in the Chesapeake Bay and the

president wearing a park ranger’s hat in

Kentucky. Even though a few

environmentalists said Reagan’s record on

the environment was terrible, people who

saw photos of the president in the ranger

hat made a positive association between

Reagan and the environment.

(Severin & Tankard, 1992, p.224).

Sererin and Tankard (1992) observed that a

president has considerable power to form public

opinion by using the media to his advantage. As

an example, they cite President Reagan’s photo ops

during the 1984 campaign, in which he was shown

visiting several remote national resources.

Although environmentalists complained about

Reagan’s record on the environment, “many people

were likely to see photos of the president in the

ranger hat and make a positive link between

Reagan and the environment” (p.224).

In the above example of plagiarism, the authors were credited with an author-

date-page number citation at the end of the paragraph, but the words and ideas are

straight out of Severin and Tankard. Because of the conventions of documenting sources,

the reader cannot distinguish in the plagiarized example who originated the ideas and

words. For a lengthy discussion of the ethics of scholarly writing, see section 8.05 in the

fifth edition of the Publication Manual of the American Psychological Association (APA).

Walsh uses a service provided by turnitin.com to check manuscripts (dissertations and

theses) for plagiarism. Submission to this service is handled and determined by the

committee Chairperson. Any instance of suspicion will be expressed to the committee

members and student, and will slow the completion process.

Walsh reserves the right to rescind the Doctor of Management in Executive Leadership

degree once conferred if subsequent evidence of academic misconduct is determined.


Section 2: Style at Walsh College

The APA Style

Students writing dissertations must use the sixth edition of the Publication Manual

of the American Psychological Association (APA). In instances where the APA manual may

conflict with Walsh’s requirements, the College style standards prevail.

Font Type and Size

The recommended font is Palatino Linotype. You may choose to use Arial or

Times New Roman fonts if you prefer. All text copy must be printed in the same font.

The size of the body text, tables, and figures font should be 12 points, with title, headings

and subheadings 14 points. The font size used in tables and figures may be smaller than

that used in the text; however, to ensure legibility on microfilm, use fonts no smaller than

8 points. Grayscale (shading) and color used in figures often will not reproduce well on

microfilm. Instead, use crosshatching or broken lines.

The title of the dissertation should not include chemical or mathematical formulas,

symbols, superscripts, subscripts, Greek letters, or other nonstandard characters; words

must be substituted for any such characters. (The UMI/ProQuest guidebook goes into

this in more depth.) In general, boldface type should be avoided in dissertations,

although exceptions are made in tables and figures when its use improves readability.

Highlighted words, such as words being defined on first reference, and titles of books,

journals, newspapers, and magazines, must appear in italics or underlined, not set in

quotation marks or boldface. Be consistent in the use of either italics or underlines

throughout the dissertation.

Type of Paper, Margins and Justification

The dissertation must be printed on letter size paper (8.5 inches wide by 11 inches

high) 25% white cotton bond paper. Bond paper has an embedded water mark indicating

the cotton content which is visible when held up to the light. Onionskin or regular copier

paper is NOT acceptable. Nothing should appear in the margins. All page numbers, text,

tables, and illustrations must be contained completely inside the area bounded by the

margins. Pages containing tables and figures may be formatted in landscape page setup.

The bound margin must be 1½ inches wide. Page numbers should be placed consistently

with the rest of the manuscript. Students who use Microsoft Word should be certain that

the page number placement is defaulted to 1 full inch from the bottom edge of the paper

and centered in the footer.

The margins of the dissertation must conform to the following guidelines (this

includes the appendices, exhibits and the curriculum vitae (CV)):


Left: 1½ inches (to allow for binding).

Right: 1 inch. The right margin must be ragged—not justified—throughout the

dissertation.

Top: 1 inch.

Bottom: 1 inch.

The page number must appear one full inch from the bottom edge of the page, centered

within the footer.

The first page of the body of the dissertation (Chapter 1 page) is numbered 1.

Spacing

• Double-spacing should be used between lines of text, between text and a block

quotation, between paragraphs, and between a heading and subsequent text.

• Acknowledgments and dedications must be double-spaced.

• Triple-spacing must be used between a heading and preceding text.

• Do not leave a heading “floating” at the bottom of a page without accompanying

text.

• Begin each chapter on a new page.

• Do not begin each section (within a chapter) 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.

• Single-space block quotations.

• Double-space table of contents and figure and table captions.

• Double-space reference list entries.

• Triple-space between tables and figures and subsequent and preceding text.

• If a table or figure takes up more than three fourths of a page, do not place any

additional text on the page.

• End-of-line hyphenation is not acceptable in Walsh dissertations.

Pagination and Sequence of Preliminary Pages

Page Number Spacing In Table of

Contents?

Blank page Mandatory Not counted, not numbered No

Title page Mandatory Counted, not numbered No

Abstract Mandatory Counted, not numbered Double No

Copyright Optional Counted, not numbered Double No

Dedication Optional Counted, Roman numbered Double No

Acknowledgements Optional Counted, Roman numbered Double No


Table of Contents Mandatory Counted, Roman numbered Double No

List of Tables Optional Counted, Roman numbered Double Yes

List of Figures Optional Counted, Roman numbered Double Yes

Definitions of

Terms and

Acronyms

Optional Counted, Roman numbered Double Yes

Body Mandatory Counted, Arabic numbered Double Yes

Reference List Mandatory Counted, Arabic numbered Double Yes

Appendices Optional Counted, Arabic numbered Depends

on content

Yes

Curriculum Vitae Mandatory Counted, Arabic numbered Yes

Section 3: Preliminary and Subsequent Pages

Title Page

The title page is the cover page of the dissertation. Chairperson’s name and

signature appears on the title page.

Abstract

The abstract must be double-spaced and no longer than 350 words; one page is

preferred. No page number appears on the abstract. The abstract is used by researchers

as an overview of the topic before accessing the entire dissertation. As noted in the sixth

edition of the APA manual, the abstract should be accurate, self-contained, concise and

specific, coherent, readable, and informative. As a marketing tool, the abstract should

provide a succinct, descriptive account of the paper that includes the following elements:

• A brief statement of the research problem and purpose.

• A brief exposition of methods and procedures.

• A brief summary of the findings.

• A brief summary of the implications of the research on practice and theory.

Double-space all lines and include all pertinent place names and other proper

nouns, which are very useful in automated retrieval. Do not include tables or figures in

the abstract.

Trademark and Copyright Information

A statement of copyright ownership to a dissertation is required, even though by

federal law a copyright exists once a work is “fixed in a tangible form of expression.” If a

copyright notice is added, place this wording at the bottom of the acknowledgments

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


Copyrights are not required for a proposal, but they are for a dissertation. When a

dissertation is submitted to UMI/ProQuest, copyrights are included in the process.

If previously copyrighted material is used in the dissertation beyond “fair use,”

certification to reproduce the material by the copyright owner is required. To determine

if something is “fair use,” consider 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.

You should seek permission if any of the following criteria exists:

• Long quotations. One and one half pages or 500 words or more.

• Reproduced publications. This includes standard survey instruments or

questionnaires and articles, such as newspaper or magazine articles, included in

the appendix.

• 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

the letter of permission in an appendix. Permission to reprint is usually indicated on the

first page of a copyrighted document, following the wording requested by the copyright

holder.

Copying Test Instruments, Surveys, and Questionnaires

Gaining permission to reproduce a survey instrument for participants in a study is

not the same as permission to reproduce it in the dissertation. If the committee asks to

include a published document in the dissertation itself, specific authorization must be

obtained from the copyright holder.

Dedication Page

This optional page is counted and numbered and must be double-spaced.

Acknowledgments Page

Many writers choose to recognize the help of friends, colleagues, mentors and

family members on this page. The acknowledgments page, too, is optional. Research

funding, grants, permission to reprint copyrighted materials, and any other copyright

information that is not placed in the appendix should be acknowledged on this page.

Publishers usually require specific wording. The word ACKNOWLEDGMENTS appears

in uppercase letters at the top of the page, centered. The preferred spelling of


acknowledgments is without the letter e after the g. The page is double-spaced. The

pagination is page ii and is centered 1 inch from the bottom of the page.

Table of Contents

Do not list anything in the table of contents that appears before it. The use of a dot

leader is preferred. The table of contents acts as the outline for the dissertation and

should reflect the levels of organization within the dissertation. For example:

LIST OF TABLES…………………………………. VIII

LIST OF FIGURES…………………………………... IX

CHAPTER 1: INTRODUCTION TO THE STUDY….….1

Background…………………………………..1

Garden Flowers………………………………2

Tulips………………….…...3

Roses……………………….7

Daisies………………….......9

In this table of contents, the organizational structure is apparent to the reader and

identifies how the subsections relate to each other. The table of contents in the

dissertation should be organized to fully represent the various levels used in the

dissertation itself. Please see the section on pagination for instructions on numbering the

page of the Table of Contents.

List of Tables and List of Figures

A list of tables is required if one table or more is used. The list of tables must be on

a separate page following the table of contents and must include table numbers, titles,

and page numbers, even if only one item is listed.

A list of figures is required if one table or more is used. The list of figures must be

on a separate page following the table of contents and list of tables (if any), and must

include figure numbers, figure title, and page numbers, even if only one item is listed.


Definitions of Terms and Acronyms

Many dissertations include a brief listing of key terms that the author interprets

and clarifies for the reader’s benefit. In general, do not define a common terms, list only

ambiguous, controversial, or operational terms used throughout the dissertation. If

necessary, technical terms are usually defined in the text. Definitions must be explicit,

specific, and scholarly.

Walsh suggests these two options for defining key terms. Consult your

dissertation committee chairperson about what is most appropriate for the reader’s

comprehension.

1. Define more common terms, particularly acronyms and technical terms with only

immediate application for the reader, upon first usage.

2. List key words or phrases in a section called Definition of Terms and Acronyms,

prior to the first chapter.

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

When defining a term, determine whether the definition belongs in the list or in the text.

Body Text Reference List

The reference list comes after the body of your dissertation and before the

appendices.

Note that a reference list cites works that specifically support the dissertation. A

bibliography cites works for further reading. As such, dissertations require reference lists

but not bibliographies. Please refer to the sixth edition of the APA publication guide for

more information regarding the Reference List. Here are some general features of the

Reference List:

• The reference list must be paginated.

• Use the first and middle (if any) initials of all authors; do not write out the first

name. There should be a space between the initials. With two or more authors, use

& rather than and before the last author. Separate the names with a comma.

• Et al. cannot be used in the reference section. If known, all authors must be listed.

• If two or more of the works by a single author or set of authors have the same

publication date, the dates are assigned the letters a, b, c, and so on.

• For the titles of books and journal articles, capitalize only the first word of the title

and of the subtitle, and any proper nouns. Use italics or underlines in a manner

consistent with the rest of the manuscript. Italics are preferred for titles of books.

The titles of journals are capitalized in the “normal” title case manner and

underlined or italicized in a manner consistent with the rest of the dissertation.

• Quotation marks should not be used around titles of journal articles.

• The abbreviations Vol. and No. are not used in reference to journals.


• The volume number should be underlined or italicized (consistent with the rest of

the document), and the issue number (if any) should be in parentheses, followed

by a comma and the page numbers.

• In reference lists, use U.S. postal code abbreviations for state names. Some large

cities, including New York, Chicago, and San Francisco, do not need to be

identified by state. In text copy, spell out the names of states and countries.

• Page numbers of journal articles should not be preceded by p. or pp.

Appendices and Exhibits

The appendices and exhibits follow the Reference List. They are lettered A, B, C,

and so on. Appendices are the equivalent of tables within the text but are usually more

extensive, or may be a letter or a form. Exhibits are the equivalent of figures and

diagrams within the text. Individual items within the appendices are labeled A1, A2, and

so forth, and items within the Exhibits are labeled E1, E2, E3. If there is only one

appendix, it gets no letter. A (blank) divider page is unnecessary between appendices

unless the reader is served or if a heading cannot be placed on the first page of an

appendix. (Typically this could be a reprinted document.) The materials in the appendix

must not extend beyond the margins of the rest of the dissertation: reduce the appendix

materials on a photocopier as needed. Use only one side of the page. Avoid color on any

appendix materials that will be photocopied or microfilmed.

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 the letter of permission in an appendix. Permission to reprint is usually indicated

on the first page of a copyrighted document, following the wording requested by the

copyright holder.

Curriculum Vitae

The curriculum vitae (CV) is the final item listed in the table of contents. A copy of

the author’s CV or résumé must be included at the very end of the dissertation. The CV

may be formatted in either basic outline form, as a résumé, or full-sentence form. The CV

must conform to the same margin specifications as the dissertation and be included in the

pagination.

Section 4: Body Text

Headings

Headings must be worded identically in the table of contents and the text. Do not

strand a heading at the bottom of a page. Headings should not be labeled with letters or

numbers.


Different from the 6th Edition APA, follow the following guidelines for dissertation

headings:

CHAPTER III: METHODOLOGY – Centered, uppercase

Methods of Data Collection – Centered, title case

Method 1: Qualitative Interviews- Centered, italicized, title case

Elite Interviews – flush left, italicized, title case

Challenges Interviewing CEOs. – Indented, italicized, title case. Paragraph heading

ending with a period.

Tables and Figures In the body of the dissertation, 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 a figure.

Tables and figures are to be numbered 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 appendixes, tables are called A1, A2, A3, and so forth. Figures are called E1, E2, E3,

and so on. In the text, capitalize the words TABLE or FIGURE when referring to them.

Refer to the specific table number, not to the page number on which it appears. A table

or figure must be referenced within the text prior to the appearance of table or figure.

Place the word Table and the table number above the table, flush left. The title of

the table appears alongside, on top of the table, title case, flush left in bold.

Place the word Figure and the figure number double-spaced under the figure, flush

left in bold. The title of the figure goes next to the number in title case. In dissertations,

do not type captions on a separate page.

Formatting Lists in Block Quotes

If copying from text that already appears in list form in the original source,

determine if the entire quote needs to be included. The text may be better served with a

paraphrase. If a block quote of a list is required, single-space the block quote and indent

the entire set of items in the list. By single-spacing and properly punctuating the end of

the block quote, the reader will identify this as a block quote.

Words Defined and Words Used as Words

To emphasize a word or highlight a word used as a word, set it in italic type or

underline it on first reference. Be consistent throughout the document. This most often

occurs in the context of defining a word, term, or phrase. Roman, not italic, type, should

be used for such scholarly words and abbreviations as ibid, et al., and etc. An exception is

made for the term sic, which is always set in brackets.


Verb Tense

A significant portion of the dissertation proposal will be written in future tense. In

the review of literature, use the past tense when discussing another’s work (e.g., Jones

(2009) showed). Once the study has been completed, the dissertation will appear in

present and past tense as appropriate. As a general rule 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.

First-Person and Third-Person

Narratives in Walsh dissertations are written in the third person. Any exceptions

to this Walsh policy should be approached only in careful consultation with your

Chairperson. First-person narratives are permissible in the dedication, acknowledgments,

and CV.

Numbers and Percentages

The sixth edition of the APA style guide has an extensive section dealing with the

nuances of typing numbers. Always check the manual if unsure of the proper style.

1. In general, numbers 10 or greater are written as numerals.

2. Write as numerals all numbers that denote a specific place in a numbered series or

in parts of books and tables, and each number in a list of four or more numbers.

Use a percentage sign, not the word percent, unless connected to a number at the

start of a sentence.

3. Write as numerals all numbers that represent time, dates, ages, or points on a scale;

numerals as numerals; and numbers preceding a unit of measurement. Ordinal

numbers follow the pattern of cardinal numbers.

4. Use commas in most figures of 1,000 or more.

Section 5: Documenting Sources

Parenthetical In-Text Citations

APA requires the parenthetical referencing (author-date) system. Authors’ names

and dates of publication are given in parentheses within the text or at the end of block

quotations. These parenthetical citations are reflections of 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. Any reference listed on the

experience page must be cited within the dissertation. Any source cited within the

dissertation must be listed on the references page.

Consult the APA’s section and examples on in-text and block citations when

writing scholarly papers, including exceptions and explications.


Electronic Sources

Please refer to the sixth edition of the APA Manual regarding the citing of

electronic sources of information.

Content 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 text, so Walsh

encourages minimal use of content footnotes.

Section 6: Writing Mechanics

Merriam-Webster’s Collegiate Dictionary (11th ed.) is Walsh’s authority for matters of

spelling. Follow the guidelines for mechanics of style in the sixth edition of the APA.

Consult the index of the style manual for more information.

• In most cases, make the possessive form of proper names ending in s by

adding an apostrophe and s.

• Quotation marks nearly always go outside the final punctuation.

• The proper format for a dash is two hyphens with no space between them

or on either side.

• Use double quotation marks for quotations. Use single quotation marks

within double quotation marks only.

• For a quote within a quote in a block quotation, the internal quote gets

double quotation marks.

• The subject and verb must agree in number (i.e., singular or plural). Data

and media are plural nouns. Datum and medium are singular nouns.

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

• Do not use contractions.

• No comma appears between the month and year when used alone.

Inclusive Language

Language used in scholarly writing should be inclusive. By now, most writers

know the gender-restrictive nature of words like policeman, mailman, or fireman.

Accordingly, students should employ words that are not sexist and more accurately

describe American society.

Some ethnicity and nationality titles require sensitivity due to historically racist

usage: Oriental, American Indian, and Eskimo, for example. Please consult the sixth

edition of the APA Style Guide for examples and remedies.


One of the most troublesome issues related to sexist language for writers revolves

around the pronouns he and she. The combination he or she is common if cumbersome;

some readers resent if he always precedes she. Some writers choose as a matter of course

to only use 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.


This is a sample of a Title page.

EMOTIONAL INTELLIGENCE, SHARED VISION

AND TEAMWORK EFFECTIVENESS

by

JOHN JAMES DOE

Submitted in partial fulfillment of the requirements

for the degree of Doctor of Management in Executive Leadership

Advisory Comittee: Joseph Jones, Ph.D, Advisor

Sally Smith, Ph.D

Mike Lee, Ph.D

WALSH COLLEGE OF ACCOUNTANCY AND BUSINESS ADMINISTRATION

June, 2010

(anticipated date of graduation)


This is a sample of an abstract page.

EMOTIONAL INTELLIGENCE, SHARED VISION

AND TEAMWORK EFFECTIVENESS

ABSTRACT

Work teams have become increasingly important, yet do not always perform in an

efficient manner. Researchers have developed conceptual and normative models of

group behavior and have mapped them to teamwork effectiveness criteria such as team

composition, conscientiousness, agreeableness, and emotional stability. Despite these

behavioral-science research attempts to improve teamwork effectiveness, operational

models and guidelines for practitioners are still lacking.

Moreover, there is a gap in the literature concerning two particular factors that

contribute to teamwork effectives, emotional intelligence and group shared vision.

Qualitative research based on semi-structured interviews with members of successful and

struggling teams is proposed to produce a grounded theory about how these two factors

contribute to team effectiveness. Implications for both scholars and practitioners are

suggested.


This is a sample Copyright page.

Copyright © 2010 by John James Doe

All rights reserved

Documents

Doctoral Proposal & Dissertation Guidelines - Walsh College · Doctoral Proposal & Dissertation Guidelines 2 Walsh College of Accountancy & Business Administration 3838 Livernois