THESIS/DISSERTATION PREPARATION GUIDE
(This guide is constantly updated. Please check back frequently.)

Last revised on: November 2, 2009.

Appropriate Checklists for Review Process	Final Submission Process for Cotton Copies
Continuous Enrollment Policy for Theses/Dissertations	Manuscript Text
Deadlines for Submission	Miscellaneous Items
Binding and Microfilming Fees	Pagination & Sequencing Table
Quick Reference Guide for Formatting	Plagiarism
Preliminary Materials	Sample Pages
Review Process for Defended and Corrected Copy

INTRODUCTION

This guide sets forth requirements established by The Graduate School for preparing theses/dissertations. Each academic department may have additional requirements or may specify requirements in greater detail. The thesis/dissertation should be prepared in accordance with the information provided below plus any specific departmental requirements, if applicable.

Graduate students are responsible for learning what, if any, special requirements may apply. Students are strongly encouraged to use publications within their discipline, e.g., refereed journals, for help with formatting questions such as formatting for author/reference citations, setting up bibliographic form and content, and the use of numbers and mathematical expressions, etc. Therefore, you should become familiar with this manual at the time you begin your first draft and use it in conjunction with a style guide appropriate to your discipline.

Requirements set forth in this guide take precedence over requirements in the style manual or refereed journal you follow for preparing your thesis/dissertation.

FORMATTING

To avoid complications, do not rely on others' theses and dissertations, whether library or departmental copies,to format your document because formatting requirements change over time, and you may be copying someone's mistakes. Do not use the checklists as a style guide for formatting purposes. They are only to be used to insure that you have followed specific Graduate School requirements which take precedence over the style guide or journal for your discipline.

THESIS/DISSERTATION FACULTY COMMITTEE

Before undertaking ANY work on your thesis/dissertation, a thesis/dissertation committee should be formed, and the Graduate School should be notified of said committee (minimum of three members for a master's thesis committee; minimum of four members for a doctoral dissertation committee). It is the student's responsibility to ensure that all members of their thesis/dissertation committee are current members of the graduate faculty. "Click here" for a current listing of all graduate faculty members.

The University of Memphis maintains five levels of graduate faculty: full, associate, affiliate, adjunct, research co-mentor and teaching adjunct. Only full graduate faculty members may chair doctoral committees. Full or associate graduate faculty may chair master's committees. Full members of the Graduate Faculty may direct dissertations; associate members may direct theses in an academic unit other than their own at the discretion of the graduate coordinator and/or the chair of that unit. Affiliate or adjunct graduate faculty may be members of doctoral and master's committees in their areas of expertise, but may not chair them. No more than one adjunct or affiliate graduate faculty member may serve as a voting member of a student's committee. Teaching adjuncts may not serve on graduate committees.

If the chair of a student's committee leaves the University of Memphis, that person can no longer serve as chair and must be replaced by another graduate faculty member.

CONTINUOUS ENROLLMENT POLICY FOR THESES/DISSERTATIONS

The continuous enrollment policy applies to all theses or dissertations. A student must be enrolled for at least 1 hour each Fall and Spring semester until the thesis/dissertation is complete. Students planning to defend their work during the summer semester must be enrolled in thesis/dissertation credit. Failure to so register will result in the student being charged tuition for each semester he/she did not enroll.

The only exception to this policy is if the student's major professor is on leave or otherwise unavailable. In such cases, the approval of the appropriate college director and the Vice Provost for Graduate Programs is required. In case of serious medical circumstances, students may request a leave of absence, subject to the approval of the program graduate coordinator, the college director of graduate studies, and the Vice Provost for Graduate Programs. Retroactive approval will not be granted. A leave of absence does not extend the time limititations for a degree program.

USE OF COPYRIGHT MATERIAL(S)

Excerpts to be reprinted from other sources, such as maps, figures, tables, or text must meet the same paper and margin requirements for the thesis/dissertation. Students must obtain permission from the author or publisher of copyrighted materials used in a thesis/dissertation beyond the limits of the "fair use" doctrine. The general fair use practice states that quotations of a brief prose passage or several lines of verse do not require permission. However, fair use nowhere is spelled out exactly. Check the U.S.Copyright Office for further information.

In any case, the student must quote accurately and credit the source. An explanation of copyright law and fair use, along with a guide to obtaining written permission from copyright owners, may be found in The Chicago Manual of Style, 14th ed. Chicago: The University of Chicago Press.

For doctoral dissertations, University Microfilms International requires the author to sign a certificate that use of copyrighted material beyond brief excerpts has the written permission of copyright owners and that the student is responsible for any copyright violations. A copy of all letters of permission for use of copyrighted materials must be submitted along with the microfilming/copyright agreement form (given to the student AFTER the defended, corrected copy has been reviewed by the Graduate School).

Master's students may write to the Information Section, U.S. Copyright Office, Library of Congress, Washington, DC 20559 to request forms. Telephone: (202)707-3000 or the forms may be downloaded and printed for use in registering or renewing a claim to copyright. The forms and the information may also be accessed and downloaded through the Copyright Office web site.

PLAGIARISM

The term plagiarism includes, but is not limited to, the use, by paraphrase or direct quotation, of the published or unpublished work of another person without full or clear acknowledgment. It also includes the unacknowledged use of materials prepared by another person or agency engaged in the selling of term papers or other academic materials. Published or unpublished work might include art, graphics, computer programs, raw data, web sites, music and any other type of creative expression. The most obvious form of plagiarism is copying word-for-word without enclosing the copied work in quotation marks and without citing the original source in the text.

Guidelines for Avoiding Plagiarism:

• Use Your Own Words and Ideas. Practice is essential to learning. Each time you choose your words, order your thoughts, and convey your ideas, you can improve your writing.

• Give Credit for Copied, Adapted, or Paraphrased Material. If you repeat another's exact words, you MUST use quotation marks AND cite the source. If you adapt a chart or paraphrase a sentence, you must still cite the source. Paraphrase means that you restate the author's ideas, meaning, and information in your own words.

• Avoid Using Others' Work with Minor Cosmetic Changes. Examples: using "less" for "fewer", reversing the order of a sentence, changing terms in a computer code, or altering a spreadsheet layout. If the work is essentially the same, you must give credit.

• There Are No Freebies. ALWAYS cite words, information, and ideas you use if they are new to you (learned in your research). No matter where you find it--even in an encyclopedia or on the internet -- you must cite it.

• Beware of Common Knowledge. You don't have to cite "common knowledge," BUT the fact must be commonly known.

Source: Student Judicial Affairs, October 1999-2001. The University of California, Davis.

Pertinent Plagiarism Links:

http://www.lib.duke.edu/libguide/plagiarism.htm
http://saweb.memphis.edu/judicialaffairs/

REGULATORY ISSUES

Human Subjects: All University of Memphis faculty, staff, or students who propose to engage in any research activity involving the use of human subjects must have prior approval from the Institutional Review Board (IRB). The IRB is responsible for safeguarding rights and welfare of all persons participating in research projects, whether funded or non-funded. Human subjects means a living individual about whom an investigator (whether professional or student) conducting research obtains (1) data through intervention or interaction with the individual, or (2) identifiable private information. Research means a systematic investigation, including research development, testing, and evaluation, designed to develop or contribute to generalizable knowledge. For further information, contact the IRB coordinator in the Office of Research Support Services.

Vertebrate Animals: All uses of vertebrate animals must receive prior approval from the Institutional Animal Care and Use Committee (IACUC).

Biohazards: Research involving recombinant DNA, radioisotopes, or other hazardous material must receive prior approval by the Institutional Biosafety Committee.

The appropriate IRB or IACUC approval form must accompany the approved Thesis/Dissertation Proposal form. In addition, a copy of the IRB or IACUC approval form and examples of informed consent forms must be included in your thesis/dissertation as a separate appendix.

QUICK REFERENCE GUIDE FOR FORMATTING

FONT TYPE AND FONT SIZE

• Arial, Times New Roman, Courier New

• 10 or 12 point font size; 14 point or larger is not acceptable

• 12 point is required for dissertations

MARGINS

• 1.0" top, right, and bottom.

• 1.5" left (needed for binding)

MARGIN JUSTIFICATION AND HYPHENATION

• Align text with the left-hand margin, except for paragraph indentations or block quotes. Full justification is not acceptable for a thesis or a dissertation; the right-hand margin must be jagged.

• Hyphenation at the right-hand margin is allowed as long as it does not cause difficulty in reading.

PAGE NUMBERING AND PLACEMENT

• All page numbers should stand alone without any form of punctuation.

• The Thesis/Dissertation Approval Page is neither numbered nor counted. The Title Page is understood to be page Roman numeral i, although the number does not appear on the page.

• Preliminary pages, such as the Copyright, Dedication, Acknowledgement, Abstract, Table of Contents, List of Tables, List of Figures, or List of Abbreviations, are numbered in small Roman numerals beginning with" ii" and are also centered on the page.

• Pages in the body of the thesis/dissertation are numbered in Arabic numerals and are also centered on the page.

SPACING REQUIREMENTS

• Double space the text in your manuscript; however, single space data in long tables, quotations more than 4 lines in length, footnotes (double space between each entry), multi-line figure captions, and bibliographical/reference entries (double space between each entry).

• Triple space before AND after all tables and figures within the text.

Table 1

Pagination and Sequencing Table

PRELIMINARY MATERIALS

SAMPLE PAGES (in sequence)

• Dissertation Approval Page (.pdf)
• Thesis Approval Page (.pdf)
• Title Page (.pdf)
• Statement of Permission to Use (.pdf) (master's thesis only)
• Copyright Page (optional)
• Abstract Page
• Copyright Permission Letter

• One approval page reproduced onto cotton paper (see below for specific requirements) with all committee member signatures must be submitted with the defended and corrected copy to Graduate School for review.
• This page must be typed in the same type face as your manuscript and must conform to the required margin specifications.
• Please follow the sample page exactly as is on our web site for formatting purposes.
• The approval page must contain the correct degree program and academic major (see academic majors list for correct information).
  • Approval pages with incorrect information will be returned to student.
• Do not include your area of concentration on the approval page
• All committee members must sign in "black" ink.

ABSTRACT

• The abstract should be the last part of the thesis/dissertation to be written. It should show the reader both the context and content of the work and should include the purpose of the work, including any hypothesis to be tested or major question asked; the approach used; the main findings; and the conclusions.
• The abstract should NOT include internal headings or parenthetical citations of items listed in the bibliography/list of references.
• Mathematical formulas, diagrams, and other illustraive materials must be avoided.
• Doctoral students should prepare an abstract for their dissertation in 350 words or less (MAXIMUM 2,450 typewritten characters - including spaces and punctuation).
• Master's students should prepare an abstract 150 words or less, doubled-spaced.

• If a Preface is included in the thesis/dissertation, it should contain a brief statement of the scope or purpose in writing the paper. It may also explain the author's choice of subject and his/her belief in its importance.
• The Preface must not contain any material covered elsewhere in the paper, in the Abstract, the Introduction, or the Summary and Conclusions.
• If articles submitted for publications are used as sections or chapters in your manuscript (see special section below) , the Preface should include the name of the journal(s) the article(s) were submitted to or accepted for publication.

TABLE OF CONTENTS

• The Table of Contents must reflect the outline and organization of the thesis/dissertation.
• The format of the Table of Contents and Lists of Tables or Figures must adhere to the guidelines in the style manual or journal preferred by your department.
• Be sure that all page numbers in the Table of Contents correspond to the page sequencing in your text.
• Be sure that all headings in the Table of Contents are the same as those listed in the text.

MANUSCRIPT TEXT

MAIN BODY (if appropriate to your discipline, the following format should be used; otherwise adhere to the guidelines in the style manual or journal preferred by your department.)

• Introduction. The introduction should contain a clear statement of the purpose or hypothesis to be tested, an overview of the problem or subject as it is known from the literature, and a broad statement summarizing the findings.
• Literature review. The literature review should be a comprehensive discussion. It should provide a unique and valuable reference resource for other scholars in your field.
• Statement of research objectives (if not explicitly stated in the introduction). This statement should consist of a specific objective(s) to be addressed by the research published in the thesis/dissertation.
• Body of the work (methods and materials, results, and discussion in scientific disciplines).
• Overall conclusion (if not explicitly stated in the discussion). The discussion or last chapter/section should be followed by an overall conclusion. This section should include a brief restatement of your conclusions presented in the body of the text.
• Bibliography/reference section. The bibliography/reference section should appear in one location at the end of the thesis/dissertation BEFORE any appendices (unless specified differently in a scientific discipline) and should include ALL cited references. Citations should be listed alphabetically and should conform to a single format that is accepted as standard within your discipline. Avoid breaking bibliographic entries onto a following page. Separate bibliographies for each chapter are NOT acceptable, unless your manuscript consists of articles submitted or accepted for publication.
• Appendices (if needed). The majority of the material(s) should represent the work of the student. The format can include individual tables/figures with legends, text alone, or whole chapters. The same format rules that apply to the text of the thesis/dissertation also apply to all appendixes. Any references included in the appendixes should be included in the comprehensive bibliography/reference section. Photographic reduction of material to conform to margin requirements is permitted, if the material remains clear and legible. The appendix must also include the necessary IRB or IACUC approval or waiver if human or animal subjects were used in the student's research.

DIVISIONS AND SUBDIVISIONS

• The thesis/dissertation should include an introduction, a literature review that defines objectives of the research, and a concluding chapter that ties the results together.
• In some departments, theses/dissertations may include, as chapters, articles that have been or will be submitted to journals for publication. See next section for specific requirements.

USING JOURNAL ARTICLES AS CHAPTERS OR SECTIONS

• In some departments, theses/dissertations may include, as chapters, articles that have been or will be submitted to journals for publication. A thesis may include one or more articles; a dissertation may include two or more.

• A Preface must be included in your manuscript and must state the journal(s) to which the articles have been submitted for publication.

• The thesis/dissertation should include a chapter introducing the research and a concluding chapter that ties the results together.

• • The Introduction should contain a clear statement of the purpose or hypothesis to be tested and a brief overview of the problem or subject. The Introduction should also contain an explanation of the theme(s) tying the articles together. The Introduction need only be 2 or 3 pages long.

  • The last chapter should be followed by an overall 1 to 2 page Conclusion. This section should include an explanation of the student's contribution to the research and a brief restatement of your conclusions presented in the body of the text.

• The student must be the primary author of each article submitted.

• Individual manuscripts serving as chapters may not all have the same internal structure. Instead, each chapter should be presented in the style appropriate to the refereed journal. The Introduction and Conclusion may be presented in the style of one of the journals in the thesis/dissertation.

• Do not include the preliminary material (such as title page, authors' contact information, running heads or key words) required by the journal.

• The usual requirements for margins, figures, tables, and other items covered in this guide will apply. Do not put figure and table captions on pages separate from the table or figure.

• References will follow the style of the journal to which the article was submitted.

• Continuous pagination is required throughout the manuscript.

• Include sample articles for each chapter.

MISCELLANEOUS ITEMS

ELECTRONIC OR ONLINE SOURCES

Most style guides include some information about how to cite electronic media/publications. The APA, MLA, and Turabian manuals all include several pages devoted to online sources.

The following information is usually included in citations of electronic sources:

• The author's name (if known) or screen name/alias

• The full title of the document cited as a journal article

• The title of the complete work (if applicable)

• Version or file numbers (if applicable or known)

• The date of the document's publication or last revision (if applicable or known)

• The full http address (URL); some style manuals may require you to put the address in brackets

• The date you visited the web site, in parentheses

INCLUDING NON-PRINT MEDIA WITH THESES/DISSERTATIONS

Any type of non-print media, such as CDs, diskettes, audio cassette tapes, or videotapes, may be used to store information that accompanies your thesis/dissertation but is not essential to it. The information stored on such media, particularly any included software, must not violate any current copyrights.

Acceptable formats include CD-R, CD-RW, Audio CD, or 3.5-inch diskettes. The media must also be marked with a description of the software and operating system (e.g., MAC or Windows 2003 or Windows 2007) required to view the contents.

MATHEMATICAL EQUATIONS

• Equations must be typed so that there is ample space between the lines of the equation.

• Equation numbers must be aligned with the right-hand margin.

RUNNING HEADERS/FOOTNOTES/ENDNOTES

• Running headers (excludes page numbers) are NOT allowed for theses or dissertations.

• Since all doctoral dissertations will be microfilmed, endnotes are NOT acceptable.

• If footnotes are used, they must conform to margin requirements. They must also begin on the page they are cited. The font size, however, may be one size smaller than the text. Indent the first line of the footnote, then flush each subsequent line with the left margin. Double space between each footnote entry.

• Begin footnote numbers with the Arabic number "1" at the beginning of each new chapter.

• Footnotes are NOT to be numbered consecutively throughout the text.

TABLES AND FIGURES

• Master's students may place tables/figures in a separate appendix ONLY if several are listed together and interrupt the flow of text. If tables/figures are placed in a separate appendix, please be sure to reference this information in the text.

• Due to the required microfilming of all doctoral dissertations, all tables and figures MUST be incorporated within the text. Insert each table and/or figure as close as possible after the text is referenced.

• All tables and figures, including the caption, must meet margin, font, and format requirements.

• Triple space before AND after all tables and figures within the text.

• The number of a table and its corresponding caption should be typed ABOVE the table. Use Arabic numbers and single space the caption.

• The number of a figure and its corresponding caption should be typed BELOW the figure. Use Arabic numbers and single space the caption.

• The figure caption must appear on the same page as the figure; the figure may be reduced (but still readable) to accommodate the caption.

• The caption must be repeated if the figure/table is continued on other pages; repeat header row.

  • Use this standard table format unless your journal specifies otherwise: the only lines should be in the table should be above and below the header row and at the bottom of the table. Do NOT show full grid lines.

• All diagrams, drawings, and figures must be clear, sharp, and large enough to be readable.

• Color figures/illustrations/charts may be submitted.

• Tables/figures one half page or less in length must appear on the same page with text either above or below the table/figure. If a table/figure is larger than one half page, it should be inserted on a single page.

• Two small tables or figures should be placed together on a single page, with a triple space (or 2 double spaces) between them.

• Extra-wide tables or figures should be placed in landscape orientation (broadside). The table number and title should be closest to the 1.50" left margin (the binding side).

• The page number for landscape tables/figures, should be in the same position as other pages in the text (portrait orientation).

WIDOWS AND ORPHANS

A dissertation or thesis will not be accepted if it contains "widows or orphans". Widow lines occur when the last line of a paragraph appears alone at the top of a page. Orphan lines occur when the first line of a paragraph appears alone at the bottom of a page.

• A subheading at the bottom of a page must have two lines of text below it. Otherwise, the subheading should begin at the top of the next page.

• A new paragraph at the bottom of a page, must include two lines of text. Otherwise, the entire paragraph should begin at the top of the next page.

• When ending a paragraph at the top of a page, there must be at least two lines of text.

• You may allow more than 1" at the bottom of a page in order to avoid widows and orphan lines.

REVIEW PROCESS FOR DEFENDED AND CORRECTED COPY

One copy of your thesis/dissertation printed on standard computer paper must be submitted to the Graduate School (AD 215) for review AFTER you have defended and have made all corrections given to you by your committee at the time of the defense. The original thesis/dissertation approval page must also be submitted with the defended copy. This page must be typed in the same type face as your manuscript and must conform to the required margin specifications; it MUST be copied onto cotton paper and all signatures obtained must be in black ink. All committee signatures, with the exception of the Vice Provost for Graduate Programs, ARE required at the time of submission.

• HELPFUL HINT: On the day of your final defense, take one committee approval page, which has been reproduced onto cotton paper, with you. This will give your committee the opportunity to sign the final approval form after the completion of the defense. Depending on the committee and the state of your final thesis/dissertation, some committee members may or may not sign the approval page at that time.

THESIS/DISSERTATION CHECKLISTS

One of the checklists listed below and a sample of the publication whose style you followed for formatting (other than APA, ASA, ADA, MLA, Turabian or the Chicago Manual of Style) must be submitted to the Graduate School with the defended copy. Both the student and major professor must check all of the applicable items and sign the form. Please use the checklist appropriate to your discipline.

Do NOT use the checklists as a style guide for formatting purposes. They are only to be used to insure that you have followed specific Graduate School requirements.

• APA Checklist (For Students Using the APA Style Manual))

• Non-APA Checklist (For Students Using Journals or Style Manuals Other Than American Psychological Association)

In fairness to all students, theses/dissertation will be reviewed in the order they are submitted. PAPERS WILL NOT BE REVIEWED OUT OF ORDER FOR ANY REASON. Review copies will be available for pick-up from the Graduate School approximately one week following their submission. You will be notified by e-mail when the review process has been completed.

FINAL SUBMISSION PROCESS FOR COTTON COPIES

PAPER FOR FINAL COPIES

• 25% or higher "white" (ivory colored paper is not acceptable) cotton content paper with watermark

• 20 or 24 pound weight

• 8.5" x 11.0" in size

DO NOT SUBMIT FINAL COPIES GENERATED FROM A COMPUTER PRINTER. Run a master copy on a laser or inkjet printer and reproduce the final copies onto 25% or higher white cotton paper, 20 lb. or 24 lb. weight from this master. The use of dot matrix printers for your final master copy is not permitted. Be sure to include a copy of your committee approval page in each final copy submitted to the Graduate School; include the original in one of these copies.

Before printing and copying your final master copy:

• Check to see that all page numbers in the Table of Contents correspond to the actual page in your document.

• Check to see that all pages are present and in the correct order.

• Check to see that no pages are backwards or upside down.

• Check to see that the margins are correct on each page.

• Check to see that all pages are legible.

When submitting your final copies, place copies in an 8 1/2 x 11" box or a 10" x 13" clasp envelope. Separate each copy with a colored piece of paper.

BINDING AND MICROFILMING FEES

Three cotton copies are due to the Graduate School (AD 215) two weeks before graduation (two copies for McWherter Library and one copy for the student's departmental office; you may submit only one additional copy for your personal use). A binding fee of $7.50 per copy submitted is also required. Doctoral students are also required to pay a $65 microfilming fee. A $55 copyright fee is optional for doctoral students.

A duplicate fee receipt with your name and mailing address written on the receipt (if you are requesting a personal copy) must be submitted with your final copies. For students who live outside the Memphis area, mail your fee payment check (made out to The University of Memphis) to the Bursar's Office, 115 Wilder Tower. Attach a note to the check asking that a duplicate receipt be sent to Michelle Stout in the Graduate School, AD 215. Include your mailing address with your final cotton copies.

DISTRIBUTION OF FINAL BOUND COPIES

Final copies of theses/dissertations are distributed in the following manner:

• One copy for special collections in McWherter Library;

• One copy for interlibrary loans and general circulation in McWherter Library;

• One copy for student's academic department;

• One copy for student's personal use, if submitted for binding.

PUBLISHING DOCTORAL DISSERTATIONS THROUGH MICROFILMING

ProQuest (University Microfilms International, Inc.) microfilms dissertations, which can then be distributed in whole or in part for publication. The Graduate School provides one copy of each dissertation to UMI for microfilming. If any copyrighted material was used in your dissertation, a copy of the permission letter obtained from the author MUST be submitted along with your dissertation and the Microfilming Agreement form (furnished when picking up review copy from Graduate School). After your dissertation is sent for microfilming, your work becomes available through the UMI dissertation database. Publication is usually completed within one month of UMI's receipt of the manuscript. Your dissertation is published exactly as it is submitted to ProQuest. The abstract (350 words or less) will appear in ProQuest's monthly publication, Dissertation Abstracts International (DAI).

SURVEY OF EARNED DOCTORATES

This survey is generated by the National Opinion Research Center (NORC), a self-governing, not-for-profit corporation, affiliated with The University of Chicago. The basic purpose of this survey is to gather objective data about doctoral graduates. These data are important in improving graduate education by providing governmental and private agencies with the information necessary to make program and policy decision. The survey will be provided to you after the Graduate School has reviewed your dissertation.

The information provided on the survey questionnaire remains confidential and is safeguarded in accordance with the Federal Educational Rights and Privacy Act of 1974. The survey data are reported only in aggregate form or in a manner that does not identify information about any individual.

If, for any reason, you wish not to complete this survey, please complete the requested information on the front cover and write the word, "REFUSED" in the Comments section on the back page (page 12).