Dissertation Committees, Proposal, and Dissertation -- Policies and Guidelines
- Appointment of a Dissertation Committee
- Dissertation Proposal
- Deadline Information
- Instructions for Filing for Orals
- The Final Oral Examination
- Final Dissertation Approval
- Format Guidelines
In order to officially request the appointment of a dissertation committee, you should file the appropriate form with the Office of Research and Doctoral Studies. Please note that all forms to request the appointment of dissertation committees require the approval signature of the Department Chairperson and are subject to the approval of the Associate Dean for Research and Doctoral Studies.
Faculty Regulations Governing Appointment of Dissertation Committees
The following regulations apply to dissertation committee appointments for all Ph.D., Ed.D., and D.A. candidates in NYU Steinhardt.
The dissertation committee chairperson and at least one committee member must be full-time members of the faculty of New York University, holding the rank of professor, associate professor, or assistant professor with an earned doctorate. The chairperson is to come from the student's program of specialization. Further, in order to ensure a diversity of perspectives during the proposal and dissertation development process, at least one member of the committee must hold professorial appointment in a program different from the student's program.
Part-time adjunct faculty, clinical assistant professors, and persons with an affiliation other than New York University may serve as committee members with the approval of the Department Chairperson and the Associate Dean for Research and Doctoral Studies. Students requesting the appointment of such a member will be required to submit a copy of the proposed member's curriculum vitae along with the required dissertation committee appointment form to the Office of Research and Doctoral Studies. All committee members must have earned doctorates.
Students may request, by exception, the appointment of a two-member committee. This request must be made in writing and must be countersigned by the dissertation committee chairperson. Three-member committees that have been officially appointed may only be reduced to two-member committees by exception and with the approval of the Department Chairperson and the Associate Dean for Research and Doctoral Studies. A two-member committee, at the written request of the student and the chairperson, may be increased to a three-member committee.
Students may request, by exception, the appointment of a four-member committee. As is the case with three-member committees, the chair and at least one member must be full-time members of the faculty of New York University, holding the rank of professor, associate professor, or assistant professor with an earned doctorate. Students requesting a four-member committee should submit an additional "Request for Appointment of Dissertation Committee" form with the signature of the committee chair, the fourth member, and the department chair.
Students may request the appointment of a dissertation committee chairperson without simultaneously requesting the appointment of the remaining members of the committee by following the instructions on the committee appointment form. Students who elect to request the advance appointment of a chairperson will have one year from the date of the approval of the chairperson's appointment to request the appointment of the remaining member(s) of the complete dissertation committee.
The Role of the Committee
The development of the proposal and the dissertation is an effort that requires a great deal of collaboration involving the candidate and his or her dissertation committee. There is no single model or formula for writing a proposal or dissertation, nor is there a single model governing the relationship of a doctoral candidate and his or her dissertation committee; however, the recommendations that follow should be applicable to most students.
It is important to confer with your chairperson and committee members as you proceed and to avoid long periods without making contact. It is recommended that you ask your chairperson and members for their preferences regarding how often and at what point your work should be presented. It is also a good idea to get a sense of turnaround times for drafts of your proposal and dissertation from your committee chair and members. You should have a work plan and a timetable that has been discussed with your chair and communicated to your members. It is the responsibility of your committee to read drafts and provide appropriate and timely written and oral feedback. You should be aware of University breaks and peak periods (such as final exams and midterms) when response times will often be longer for most faculty members.
The following procedures for submission of dissertation proposals apply to all candidates for Ph.D. and Ed.D. degrees in NYUSteinhardt.
Please note that the dissertation committee must be officially appointed and on file with the Office of Research and Doctoral Studies prior to submission of the dissertation proposal. After filing the Request for Appointment of Dissertation Committee form with the Office of Research and Doctoral Studies, you will receive a letter confirming that the dissertation committee has been officially approved.
Dissertation proposals to be submitted to the Office of Research and Doctoral Studies must be accompanied by the Dissertation Proposal Cover Sheet obtainable in the Office of Research and Doctoral Studies. The cover sheet must be signed by all members of the dissertation committee, indicating their approval of the proposal for submission. The committee chairperson's signature on this form also indicates approval of the 15-point research elective requirement and the 3-point specialized research methodology requirement which the student has completed (or will complete).
Two copies of the proposal are to be submitted to the Office of Research and Doctoral Studies. The remaining copies must be submitted to the proposal review panel coordinator for your program or department. You should be aware that different departments require that different numbers of copies be submitted for review. Please consult the proposal review panel coordinator for the correct number of copies for the specific department or program. All copies of the proposal must include a copy of the signed Dissertation Proposal Cover Sheet.
The faculty of NYUSteinhardt recommends that the proposal be no longer than forty pages in length (exclusive of appendices and bibliography).
Information on the scheduling of proposal reviews and deadlines should be obtained from the proposal review panel coordinator for the department. Please note that some departments do not review proposals during the summer session.
The University Committee on Activities Involving Human Subjects (UCAIHS)
All students who are undertaking research either for the dissertation or otherwise must obtain schoolwide clearance for their applications to UCAIHS. Procedures for obtaining clearance outlined below.
If your proposed dissertation research involves interviews, surveys, questionnaires, participant observation, ethnography, or other methods involving the use of human subjects, an additional copy of your proposal, signed Dissertation Proposal Cover Sheet, and Application for Review by the University Committee on Activities Involving Human Subjects must be submitted electronically to the UniversityCommittee on Activities Involving Human Subjects http://www.nyu.edu/ucaihs/ after you have obtained clearance through the Office of Research and Doctoral Studies (see clearance process below). Approval from this committee must be granted before work on the dissertation or collection of data has begun, including all pilot studies, trial runs, pretests, and preliminary sampling or surveys.
Clearance Process for the Submission of Applications to the UCAIHS by Steinhardt Students
All Steinhardt students initiating a UCAIHS (University Committee on Activities Involving Human Subjects) application for any research study are required to use the following process:
- The student must work with a faculty mentor while preparing a UCAIHS application. This mentor is usually a dissertation chair or advisor.
- Prior to submission to UCAIHS, students must complete and pass the UCAIHS on-line human subjects tutorial. See http://www.nyu.edu/ucaihs/tutorial/
- When the faculty mentor determines the UCAIHS material complete, the application and all accompanying documents are transmitted electronically to the school’s designate for the clearance process, for pre-review. Submit materials by email to firstname.lastname@example.org
- Materials must be transmitted in Word document format. This includes the UCAIHS application and all appendices. The application should be given a file name that includes a last name (e.g., UCAIHS_APPLICATION_JONES.doc). Appendices must be similarly labeled (e.g.,APPENDICES_UCAIHS_JONES.doc).
- On subsequent revisions, add the word "revision1" etc. to the file name. Applications that are incomplete or not properly named will be returned without review.
- Feedback will be given to the student and faculty mentor within five (5) work days.Those applications requiring revisions will be returned and revised until the application is determined to be ready to submit to UCAIHS. After three (3) revisions, if the material remains unacceptable, a meeting will be required with the Associate Dean for Research and Doctoral Studies.
- After receiving clearance, the student must obtain the signature of the faculty mentor on page one of the UCAIHS application and deliver the application and accompanying materials to the drop-off mail box at the reception desk of the Office of the Associate Dean for Research and Doctoral Studies (Pless Hall, 5th Floor). Please do not email the Associate Dean regarding your materials – the Associate Dean will sign the first page of the application within 24 hours and place the materials in the pick-up mailbox at the reception desk on the 5th floor of Pless Hall. (UCAIHS will not accept any student application without this signature.)
- All submissions to UCAIHS are now electronic. Students will have to scan and attach the first page (with the signatures) onto the rest of the application. For more information: http://www.nyu.edu/research/resources-and-support-offices/getting-started-withyourresearch/human-subjects-research/forms-guidance/required-materials-for-application.html#quadBox_nyurichtext
Please note applications will not be accepted for Steinhardt Pre-Review from August 10th through Labor Day. All applications received on or after August 10th will be reviewed at the start of the fall semester.
The Dissertation Proposal Review
The procedures for reviewing dissertation proposals vary among the different departments; however, the following School policies apply to all departments and programs:
- The committee chairperson and both committee members must sign the Dissertation Proposal Cover Sheet indicating their approval of the proposal for review by the panel.
- The dissertation committee must meet as a group at least once prior to the filing of the proposal for review.
- Both the candidate and the dissertation committee chairperson are required to attend the review.
- Attendance by a minimum of two reviewers (external to the dissertation committee) is required.
- Attendance by the committee members is optional.
- The recommendations of the proposal review panel are advisory.
After the proposal review, the proposal review panel coordinator will notify you of the outcome in writing (with copies to the dissertation committee chairperson and members and to the Office of Research and Doctoral Studies). The proposal review panel will recommend that you proceed in one of the following ways:
- If the panel vote results in a "pass," the panel will recommend that you carry out the research and dissertation writing as proposed (there may be minor revisions suggested that are not officially noted).
- If the panel vote results in a "deferred pass" or "pass with conditions," the panel will recommend that you address the concerns of the panel in writing (with copies to the committee chairperson and members and to the Office of Research and Doctoral Studies). In some cases the proposal review panel or the dissertation committee may recommend that you submit a revised proposal reflecting the revisions suggested by the panel. Two copies of the revised proposal must also be submitted to the Office of Research and Doctoral Studies.
- If the panel does not approve the proposal, you will be asked to rewrite the proposal and submit it for a second proposal review.
Because the proposal review panel is an advisory committee, your dissertation committee may choose not to incorporate some or all of the proposal review panel's recommendations. In the event that the panel's suggestions are not incorporated, you will be expected to provide a written rationale explaining this decision. This rationale should bear the signature of the dissertation committee chairperson. As is the case with all correspondence regarding the proposal review, copies should be distributed to the committee members and to the Office of Research and Doctoral Studies.
A copy of the proposal, the review panel's outcome and notes, and your response to the panel's notes are given to each of the two faculty members who serve as outside readers on the final oral examination of the dissertation.
The Office of Research and Doctoral Studies maintains a proposal library of all current NYUSteinhardt proposals. You may review proposals during regular office hours (we recommend calling in advance to ensure that a representative from the office is available to assist you). Please be advised that proposals may not be photocopied or removed from the Office of Research and Doctoral Studies.
Editors and Consultants
You are the sole author of your dissertation and are responsible for understanding, discussing, and defending all aspects of your work, including the methodologies employed. While some students may seek guidance with analyzing data, the use of consultants to conduct statistical work is discouraged.
You are responsible for making sure that proposal and dissertation drafts submitted to your faculty committee are free of errors in form, style, diction, spelling, and grammar. Your dissertation committee chair and members may alert you to such problems, but it is not their responsibility to do so. Your committee chair or a member may recommend that you use a professional editor, or you may feel that your work would benefit from editorial assistance. If you do employ a professional editor, make sure you shop around and use someone who has been recommended to you by a faculty member, another student, or the Office of Research and Doctoral Studies. Again, you and only you are ultimately responsible for your own writing and for making sure that it conforms to the standards of written English and conventions of scholarly writing set forth by your dissertation committee.
In order to schedule your final oral examination, you must submit simultaneously to the Office of Research and Doctoral Studies the following forms and materials in accordance with the dissertation filing deadlines noted above:
- Three copies of the approved dissertation in black snap binders. Please note that these copies are in addition to the copies that you must supply for your committee chairperson and members.
- The Approval Form for Final Oral Examination which must bear the original signatures of the dissertation committee as well as a specific recommended date for the final oral examination (in accordance with the schedule outlined above). This date must be agreed upon by the chair and members of the dissertation committee.
- One copy of the following statement typed in the first person, signed and dated:
I hereby guarantee that no part of the dissertation which I have submitted for publication has been heretofore published and/or copyrighted in the United States of America, except in the case of passages quoted from other published sources; that I am the sole author and proprietor of said dissertation; that the dissertation contains no matter which, if published, will be libelous or otherwise injurious, or infringe in any way the copyright of any other party; and that I will defend, indemnify and hold harmless New York University against all suits and proceedings which may be brought and against all claims which may be made against New York University by reason of the publication of said dissertation.
- Two copies of an abstract not more than 350 words in length. The title page of the abstract is the same as the dissertation title page except that the words "An Abstract of" are inserted above the title of the study. One copy of the abstract must be signed by the chairperson of the dissertation committee.
- One completed copy of the Candidate Information Sheet.
- A dissertation filing fee of $100.00 payable by check or money order made out to New York University.
All forms referred to above can be found on the forms page or can be picked up in the Office of Research and Doctoral Studies, Pless Hall, 5th floor.
The final oral examination is a two-hour examination scheduled according to the guidelines outlined above. Attendance by the candidate and all members of the final oral commission, which consists of the dissertation committee and the two outside readers, is required. Please also note that attendance at the final oral examination is restricted to the candidate and members of the final oral commission. Other members of the University community may attend as observers with the permission of the Dissertation Committee Chairperson, however, The Office of Research and Doctoral Studies must be notified in advance.
The following policies pertain to the voting procedures for the final oral examination.
One vote is to be taken with three and only three possible outcomes (all members of the final oral commission vote). These outcomes (pass, fail, or deferred pass with conditions) result according to the following rules:
Rules Which Determines a Pass Outcome
- If the candidate has an official three member dissertation committee, then the candidate must secure at least four pass votes (out of five) to pass.
- If the candidate has an official two member dissertation committee, then the candidate must secure at least three pass votes (out of four) to pass.
Procedures to Follow in the Event of a Pass Outcome
The Final Oral Examination Report (obtained by the dissertation committee chairperson from the Office of Research and Doctoral Studies) is completed and returned to the Office of Research and Doctoral Studies no later than 24 hours after the final oral examination has been completed. This form should be accompanied by a copy of the candidate's dissertation (to be reviewed for format by the Office of Research and Doctoral Studies), unless the candidate is keeping the document to make minor changes and corrections required or noted by the final oral commission.
Rule Which Determines a Fail Outcomme
- If there are two or more fail votes, a fail outcome must be recorded.
Procedures to Follow in the Event of a Fail Outcome
The Final Oral Examination Report is completed and returned to the Office of Research and Doctoral Studies no later than 24 hours after the final oral examination has been completed.
This form must be accompanied by a separate statement indicating the reasons for the fail outcome.
The candidate may request permission for a second final oral examination from the Associate Dean for Research and Doctoral Studies. If approved, the examination must be held with the same final oral commission no sooner than six months from the first final oral examination . If the candidate fails the second final oral examination, matriculation is automatically and irrevocably terminated.
Rule Which Determins a Deferred Pass Outcome
- Any combination of votes which does not result in a pass or fail as specified above must result in a deferred pass with conditions. This outcome implies that although the candidate's performance is acceptable in many respects, substantive revision of the dissertation and/or additional requirements of consequence are deemed necessary.
Procedures to Follow in the Event of a Deferred Pass Outcome
The Final Oral Examination Report is completed and returned to the Office of Research and Doctoral Studies no later than 24 hours after the final oral examination has been completed.
Within three days after the final oral examination, the candidate and the Office of Research and Doctoral Studies must receive from the final oral commission a written statement which indicates what further work the candidate must complete in order to secure a pass outcome. This statement should include both revisions of the dissertation requested by the final oral commission and also any other requirements which the commission feels the candidate must complete to secure a pass outcome. Furthermore, this written statement of necessary revisions and/or requirements must be agreed to by at least four members of the final oral commission, and this agreement must be indicated by the signatures of these members on the written statement. Finally, this written statement must also include a projected timetable which the candidate should follow in completing all revisions and/or requirements designated by the final oral commission.
The candidate must complete all designated revisions and requirements within one semester following that in which the final oral examination is held (exclusive of summer semesters). When the candidate has completed all necessary revisions and requirements, the Deferred Pass With Conditions Final Report Form (obtained by the dissertation committee chairperson from the Office of Research and Doctoral Studies) must be circulated among and signed by all original members of the final oral commission, and then returned to the Office of Research and Doctoral Studies with a copy of the candidate's document to be reviewed for format. In order for the candidate's outcome to be recorded as pass, at least four out of the five (or three out of four if the final oral commission consisted of four members) members of the final oral commission must indicate a pass vote on the above-mentioned form.
Voting in the Event of the Absence of a Commission Member
If any member of the five-member final oral commission is absent, the dissertation committee chairperson must secure permission from the Associate Dean for Research and Doctoral Studies to proceed with the final oral examination. Assuming permission to proceed is granted, the information below applies to the voting procedures.
If a dissertation committee member is absent, the following rules apply:
- If there are three or more pass votes, the outcome is recorded as a pass.
- If there are two or more fail votes, the outcome is recorded as a fail.
- Any combination of votes which does not result in a pass or fail must result in a deferred pass with conditions.
If an outside reader is absent, the following rules apply:
- In order for a pass outcome to be recorded, a unanimous pass vote is required.
- If there are one or more fail votes, the outcome is recorded as a fail.
- Any combination of votes which does not result in a pass or fail must result in a deferred pass with conditions.
After the final oral examination, you are required to submit an additional copy of the dissertation to be reviewed by the Office of Research and Doctoral Studies for format. This copy should be submitted after you have made changes required by the final oral commission. If the required changes are minor, you may submit the dissertation for format review immediately after the final oral examination so that the format changes and the commission's changes can be completed simultaneously.
If the final oral examination results in a deferred pass outcome, you may submit the dissertation for format review only after the signed Deferred Pass with Conditions Final Report Form has been received by the Office of Research and Doctoral Studies. Final approval of the dissertation will take place only after the edited dissertation has been reviewed by the Office of Research and Doctoral Studies.
The deadline for the filing of the final edited dissertation is approximately three weeks prior to your anticipated date of graduation (the exact date will be emailed to candidates and is posted each semester in the Office of Research and Doctoral Studies). In order to be eligible for graduation, your final edited dissertation must be uploaded to ProQuest UMI and approved by the Office of Research and Doctoral Studies by the designated deadline date.
All candidates for the degrees of Ph.D., Ed.D., and D.A. are required to publish the dissertation through ProQuest UMI Dissertation Publishing and must upload a final dissertation electronically for this purpose. This electronic upload will take place through the Office of Research and Doctoral Studies only after the dissertation has been approved in its final form.
This section describes the dissertation format that all NYUSteinhardt doctoral candidates are required to follow. Dissertations must adhere to these requirements in order to be accepted by the Office of Research and Doctoral Studies for the scheduling of the final oral examination. Please read this section carefully and contact the Office of Research and Doctoral Studies Studies if you have any questions.
Choice of Style Manual
Faculty policy leaves the choice of a style manual to the doctoral candidate with the advice and consent of his or her committee. Generally, candidates are urged to learn and use the manual most often required for scholarly writing by journals within their disciplines. Typically, the following style manuals are used by NYUSteinhardt students:
- American Psychological Association, Publication Manual of the American Psychological Association
- Gibaldi, J., & Achtert, W. S., MLA handbook for writers of research papers
- Turabian, K., A manual for writers of research papers, theses and dissertations
- The University of Chicago Press, The Chicago manual of style
The most recent editions of the chosen style manuals should be used.
Your printer must produce consistently black letters and consistent margins. Sufficient darkness is also necessary for any supporting materials, such as tables, figures, drawings, pictures, etc., -- either as originals or as copies -- that you may need to append or insert in your manuscript. Your dissertation will be published by ProQuest UMI which requires clear, high-contrast characters and images. As a guide to the quality that will be obtained, you can photocopy a sample page at 75% reduction to evaluate the readability and clarity of the print.
The School and ProQuest UMI allow students to use typefaces that are between 10 and 12 points; however, because 10 point can appear too small in most typefaces, 12 point is generally preferred. A smaller or condensed typeface can be used for tables that otherwise might not fit across a page within the correct margins, however, mixing typefaces is otherwise not recommended.
Underlining or italics may be used for statistical symbols, book titles, or definitions (but use either one or the other consistently throughout your manuscript, including tables). Headings should be underlined when appropriate and not italicized. Bold type should not be used in the manuscript.
Do not justify the right margin of your text; keep it left aligned like the text shown here.
To assure proper binding and for ease of reading, the following margins are required:
- Left margin: one and one-half inches for all pages.
- Right margin: one and one-half inches for all pages, with no intrusion of letters or anything else into the right margin.
- Top margin: one-and-one-quarter inches for all pages except the first page of the Acknowledgments, Table of Contents, List of Tables, List of Figures, each chapter, Bibliography, and Appendices which should begin two inches from the top edge of the page.
- Bottom margin: one-and-one-quarter inches for all pages.
- Page numbers for all pages preceding page 1 of Chapter I (lower case roman numerals for Acknowledgments, Table of Contents, etc.) should be placed three-quarters of an inch from the bottom of the page, centered between the left and right margins.
- Page numbers from page 1 of Chapter I through the last page of the last appendix should be placed three-quarters of an inch from the top or bottom, centered between the left and right margins.
See the next section for sample dissertation pages.
Avoid leaving more than two inches of white space without type. This applies to tables and figures as well as to text. A table or figure should be inserted in the text as soon after it is first referred to where it will fit in its entirety on one page. Leave three blank lines between a table and text or text and a table; the same for figures. Continue your text if you can fit at least four lines after it. You may have more than one table on a page and you may have a table, discussion, and a table. The same procedure applies to all illustrative material.
Double space the entire manuscript with these exceptions (which should be single-spaced):
- chapter titles, appendix titles, headings, and subheadings of more than one line;
- block quotations;
- column headings and lines that run on in tables;
- bibliography or references entries -- double space between entries;
- figure captions;
- explanatory material for figures, tables, and illustrations; and
- appendices -- the spacing will vary depending on the source and content.
APA style requires writers to double space all typed material, including the exceptions noted above. If you are using APA, the above rules supersede APA rules in most cases. You have the option, however, of double spacing your references and block quotations; MLA style users also have this option.
The title page is counted as page one and the copyright page as page two, but numbers do not appear on them. Lower case roman numerals (iii, iv, v, vi, etc.) are used for all subsequent pages up to the first page of the text (page 1 of Chapter I) and should be placed three quarters of an inch from the bottom edge of the paper, centered between the margins.
Beginning with page 1 of Chapter I, Arabic numbers are used and are continuous through the last page including all appendices. Page numbers for all pages in the chapter, including the first page of each chapter or major section, should be placed three quarters of an inch from the top or bottom edge of the paper centered between the margins.
Order of Sections
The material of your manuscript should be ordered as follows:
- title page;
- copyright page;
- table of contents;
- list(s) of tables, figures, charts, graphs, musical examples, illustrations, etc., if used;
- preface or forward, if used;
- the text;
- and appendices (if any).
Title Page of Dissertation
Please see the sample title page below. You are required to follow that format exactly.
Your dissertation will be automatically copyrighted by UMI when it is published. You should include a copyright page with your name and copyright date in the middle of the page, centered left to right (between the margins) and top to bottom. Please note that the copyright date is the year of your degree conferral. Follow this format:
The copyright page is page ii of the pages preceding the text (the title page is understood to be page i), but no number should appear on either the title page or the copyright page.
Table of Contents and Lists of Tables and Figures
Because a dissertation does not have an index, your Table of Contents should be as comprehensive as possible. Include all headings and subheadings, exactly as they appear in the text, up to and including Level 2. Including lower level headings is optional. (See sample Table of Contents in the next section.) Note that the indentation of a heading used in the Table of Contents corresponds to the level of the heading. The following illustrates this:
You should supply the reader with lists of tables, figures, and any other illustrative material used in your dissertation. See the sample lists in the next section. Lists of musical examples or reproductions of art, or information about films, follow the same form as that used for lists of tables and figures.
Chapter Titles and Headings
Chapter headings and titles appear centered between the margins as follows, beginning two inches from the top of the page:
Headings within the chapter should indicate the weight you assign to particular ideas by the form of headings suggested in the style manual you have selected or the form suggested below.
Leave three blank lines (i.e., begin typing after two double spaces) before each heading and after each major section and chapter title. If one heading immediately follows another, leave only one blank line (a double space) between the two. Leave one blank line (a double space) after each heading. Capitalize the first letter of each word of headings except for articles, conjunctions, and prepositions.
The following is one way in which to order headings and to type them. Students following APA style may use the format in the APA Style Guide, however, the format below is preferred for NYU Steinhardt dissertations.
See the sample page 1 in the next section for an example of heading placement.
Be sure that no heading appears at the bottom of a page without at least two lines of text beneath it. The Table of Contents will contain all Level 1 and Level 2 headings exactly as they appear in the text. It is not necessary to include Level 3 or lower-level headings in the Table of Contents, but you may if it provides the reader with more useful information.
Chapter numbers are upper case roman numerals (with no period), e.g., CHAPTER IV, to differentiate them from any other numbers in the text. All other items requiring numbers should have Arabic numbers. Appendices, should be designated by capital letters, e.g., APPENDIX A, APPENDIX B, etc.
Use numbers or letters for other items only when necessary. Use 1) in the text and 1. in a set-off list; a) in the text and a. in a set-off list -- not (1) or 1). or a.), etc. If items in a numbered list run onto two or more lines, you may let the additional lines begin at the margin or indent the entire paragraph to the right of the numbers.
Numbers beginning a sentence, as well as numbers below 10 (or, if you prefer, 12) should be spelled out when they appear within the text.
Reduction of Tables and Other Materials
If a table, appendix, illustration, or graph is too wide or long, or both, to fit within the specified margins, have it reduced, or if textual material, type it using a smaller font. Whenever possible, avoid inserting tables which must be read by turning the book sideways. If such a table is necessary, be sure to insert it with the heading to the spine or binding. You may also use a condensed typeface.
For style guides other than APA, if you have more than one work by the same author, do not repeat his or her name over and over. Use ten underscore characters, ending with a period if the author is exactly the same as the previous one, or with a comma if the author is the first of a series of new authors, as shown below. Single space the entry; double space between entries. Indent the second and subsequent lines one-half inch.
Note that authors with two initials have a space after the period between each initial, e.g., Smith, A. B., & Jones, M. J. Do not allow initials to break between lines; keep them together on one line or the other.
Regardless of the style guide you use, avoid having one or two lines of an entry on one page and the rest of the citation on the next page. The entry should be cited in its entirety on one page or the other.
Citations in Text
The way you cite an author in your manuscript is based on the context. If you are attributing an idea that you paraphrased to someone, use the name and date (according to APA style) such as (Jones, 2002), or as shown in the first sentence below. If you are
using a direct quotation, use the same format, but you must include the page number where you found it, as shown in the second sentence below. Also, specific information or ideas need a page number even if paraphrased. For example, the following brief passage refers to the same publication by a hypothetical author:
Review the whole manuscript to be sure that every work referred to in the manuscript is cited in the text (or footnotes) and included in the bibliography.
Block (Indented) Quotations
Four or more lines of a quotation should be set off from the main text with a double space, typed single spaced with no quotation marks, and the entire block indented one-half inch. Quotations within these block (or indented) quotations may use double quotations. The first line of the quotation is not indented; however, the first lines of new paragraphs within the quotation should begin with an additional indent of one-half inch. Students using APA or MLA style may double space block quotations.
Each appendix should have the proper designation at the top of the first page. A title page does not need to be inserted before each one. Use the following format, centered between the left and right margins, beginning two inches from the top of the page:
PARTICIPANT CONSENT FORMS
If you have material that, because of its format, needs to have a title page (because the title doesn't fit on the same page as the material), you need to consistently use title pages for all appendices. Avoid it if you can. Again, all material in an appendix must fit within the overall page margins.
Letters of Permission
It is necessary to obtain letters of permission for the reproduction of any copyrighted material which exceeds the Federal law pertaining to "Fair Use." Copies of those letters will be submitted to Proquest UMI when you upload your final dissertation. Copies of the letters do not need to be included in the dissertation.
The abstract is a brief summary of the contents of the dissertation. Begin typing the abstract two inches from the top of a blank page with no heading. The abstract should be typed double-spaced with the same typeface and margins as the dissertation. The length of the abstract should be limited to 350 words.
The abstract title page is identical to the dissertation title page with one exception: the abstract title page has the words An Abstract of directly above the title (see Sample Title Page in the next section). Each abstract is stapled in the upper left corner and kept separate from the dissertation. The chairperson of the dissertation committee should sign one copy of the abstract title page.
The following section includes sample dissertation pages which should be followed carefully. Refer to the preceding section for more detailed information on format requirements. Students should follow the instructions on these sample pages rather than using a dissertation from the library (or elsewhere) as a guide. Format requirements differ from year to year and from school to school.
- Sample Title Page for Doctoral Dissertation (with Annotations)
- Sample Copyright Page for Doctoral Dissertation
- Sample Acknowledgement Section for Doctoral Dissertation
- Sample Table of Contents for Doctoral Dissertation (with Annotations)
- Sample List of Tables for Doctoral Dissertation
- Sample List of Figures for Doctoral Dissertation
- Sample First Page for Doctoral Dissertation