(This guide is constantly updated. Please check back frequently.)

Last revised on: 11 December 2012.

Checklists for Review Process	Final ETD Submission Process
Continuous Enrollment Policy	Manuscript Text
Deadlines	Miscellaneous Items
Binding Fee for Personal Copy	Pagination and Sequencing Table
Formatting Quick Reference Guide	Plagiarism
Preliminary Materials	Sample Pages
Review Process for Defended and Corrected Copy	Embedding Document Fonts

INTRODUCTION

This preparation guide specifies Graduate School requirements pertaining to style, organization, and formatting for electronic theses and dissertations. Academic departments may have additional formatting requirements or may specify requirements in greater detail; therefore, graduate students are responsible for learning departmental requirements.

Students are strongly encouraged to use publications within their discipline, e.g., refereed journals, for help with formatting author reference citations, setting up bibliographic form and content, tables and figures, the use of numbers and mathematical equations, etc.You should become familiar with this guide at the time you begin your first draft and should use it in conjunction with a style guide or journal appropriate to your discipline. 

Requirements set forth in this guide take precedence over certain requirements in the style manual or refereed journal used for formatting purposes.

CONTINUOUS ENROLLMENT POLICY

The continuous enrollment policy applies to all students writing a master's thesis or a doctoral dissertation. Students must be enrolled in thesis or dissertation credit for at least 1 semester hour each Fall and Spring semester until the document is complete; students planning to defend during the summer semester must also be enrolled in thesis or dissertation credit. Failure to register will result in the student being charged tuition for each semester he/she did not enroll, along with applicable late registration fees.

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 of graduate studies 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 studies 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 limitations for a degree program.

THESIS OR DISSERTATION FACULTY COMMITTEES

Before undertaking ANY work on your document, a faculty committee must be formed, and the Graduate School must 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 committee are current members of the graduate faculty.  Students should not defend their final document until all faculty members, whether on campus or outside the university, have been granted graduate faculty status. (Click here for a current listing of all graduate faculty members and for the Faculty Committee form).

The University of Memphis maintains six 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. 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. 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.

Affiliate or adjunct graduate faculty may be members of doctoral and master's committees in their areas of expertise, but may not serve as chair. No more than one adjunct or affiliate graduate faculty member may serve as a voting member of a student's committee. If a student has two adjuncts or an adjunct and an affiliate member on their committee, both members can participate in the final defense meeting, but only one of the two can sign the final thesis or dissertation approval page.

Teaching adjuncts may not serve on graduate committees.

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 generalized knowledge.

Student who fail to comply with University policy may jeopardize awarding of the degree being sought.

The appropriate IRB or IACUC approval form must accompany an 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 or dissertation as a separate appendix.

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.

USE OF COPYRIGHT MATERIALS

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 or dissertation. Students must obtain permission from the author or publisher of copyrighted materials used 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 Link:

http://saweb.memphis.edu/judicialaffairs/

QUICK REFERENCE GUIDE FOR FORMATTING

Under no circumstances should a previously submitted thesis or dissertation copy, whether electronic, library or departmental copies, be used to format your document because formatting requirements do change over time, and you could be copying someone's mistakes.

FONT TYPE AND FONT SIZE

• Arial or Times New Roman
• 12-point font size

MARGINS

• 1.0" top, right, and bottom
• 1.5" left

MARGIN JUSTIFICATION AND HYPHENATION

• Align text with the left-hand margin, except for paragraph indentations, centered headings, or block quotes. Full justification of margins is not acceptable; 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.

SPACING REQUIREMENTS

• Double space your text; however, you may single space data in long tables, quotations more than 4 lines in length, footnotes (double space between each entry), multi-line figure captions, and bibliography or reference entries (double space between each entry).
• Triple space before and after all tables and figures within the text.

PAGE NUMBERING AND PLACEMENT

• All page numbers should stand alone without any form of punctuation.
• Preliminary pages, such as the Copyright, Dedication, Acknowledgement, Abstract, Preface, Table of Contents, List of Tables, List of Figures, or List of Abbreviations, are numbered in small Roman numerals beginning with "ii" and are centered on the page.
• Pages in the body of text are numbered in Arabic numerals and must be centered on the page.

Table 1

Pagination and Sequencing Table

PRELIMINARY MATERIALS

SAMPLE PAGES (in sequence)

• Title Page (.pdf)
• Copyright Page (optional)
• Abstract Page
• Table of Contents
• Copyright Permission Letter
• Approval Form - this forms serves as the official approval page for an electronic thesis or dissertation.
• The approval form must NOT be included in the electronic submissission document.
• This form must have original signatures of all committee members and must be submitted to the Graduate School with the "paper" copy for review. DO NOT SUBMIT THIS FORM BEFORE THE REVIEW PROCESS.
• This is an interactive form; type the committee member names. They should not be handwritten.

ABSTRACT

• The abstract should be the last part to be written. It must show the reader both the context and content of the work and must 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 must NOT include internal headings or any author citations.
• Mathematical formulas, diagrams, and other illustrative materials must be avoided at all costs.
• Doctoral students must prepare an abstract for their dissertation in 350 words or less (MAXIMUM 2,450 typewritten characters - including spaces and punctuation).
• Master's students must prepare an abstract 150 words or less, doubled-spaced.

• If a Preface is included in your document, 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 (or journals, if more than one) the article or articles were submitted to or accepted for publication.

TABLE OF CONTENTS

• The Table of Contents must reflect the outline and organization of the thesis or dissertation.
• Headings included in the Table of Contents must be worded exactly as stated in your document.
• Page numbers in the Table of Contents must correspond to the page sequencing in your document.

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 specific objectives to be addressed by the research published in the thesis or 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 or 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 or Reference section. The bibliography or reference section should appear in one location at the end of the thesis or 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 materials included should represent the work of the student. The format may include individual tables and/or figures with legends, text alone, or whole chapters. The same format rules that apply to the text of the thesis or dissertation must also apply to all appendices. References included in the appendices must be included in the comprehensive bibliography or reference section.

DIVISIONS AND SUBDIVISIONS

• The thesis or 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 or 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, the document 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 name of the journal to which the articles have been submitted for publication.
• The document 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 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 document.
• Do not include the preliminary material (such as title page, authors' contact information, or running heads) 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.
• When submitting your document to the Graduate School for review, include sample articles for each chapter and "Instructions to Author," if available.

MISCELLANEOUS ITEMS

CITING ELECTRONIC OR ONLINE SOURCES

Most style guides include some information about how to cite electronic media or publications. The APA, MLA, and Kate 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

SUBHEADINGS

Do not begin any subheading or other divisions on separate pages.If a subheading falls at the end of a page, move it to the top of the next page unless at least two lines of text can follow the subheadings on that page.

TABLES AND FIGURES

• 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 must be typed ABOVE the table. Use Arabic numbers and single space the caption.
• The number of a figure and its corresponding caption must 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.
• If a table and/or figure is continued onto another page, repeat both the table or figure number, title, and table header row.Use this standard table format unless your journal specifies otherwise. Do NOT show full grid lines within the actual table, the only lines in a table should be the ones above and below the header row and at the bottom of the table.
• All diagrams, drawings, and figures must be clear, sharp, and large enough to be readable. Color figures, illustrations, or charts may be submitted.
• Tables and/or figures one half page or less in length must appear on the same page with text either above or below. If a table and/or 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 AND the page number should also be placed in landscape orientation.
• Master's students may place tables and/or figures in the body of the text or in a separate appendix UNLESS several tables and/or figures are listed together and interrupt the flow of the text, then they MUST be put in a separate appendix. If tables and/or 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, tables and figures MUST be incorporated within the text. Insert each table and/or figure as close as possible after it has been referenced in the text.

LIST OF TABLES (Required for 5 or more)

• A separate page (inserted after the Table of Contents) must be titled LIST OF TABLES.
• Single space each table title more than one line in length and align the wrapped text with the text on the next subsequent line.
• Double space between each title entry.
• The wording of the titles must be consistent with your document.

LIST OF FIGURES (Required for 5 or more)

• A separate page (inserted after the List of Tables) must be titled LIST OF FIGURES.
• Spacing requirements and the wording of titles are the same as the List of Tables.

RUNNING HEADERS/FOOTNOTES/ENDNOTES

• Running headers and endnotes are NOT allowed for theses or dissertations.
• 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.
• Footnotes are NOT to be numbered consecutively throughout the text. Begin each footnote number with the Arabic number "1" at the beginning of each new chapter.

WIDOWS AND ORPHANS

A thesis or dissertation 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.

MATHEMATICAL EQUATIONS

• Include a triple space before and after all mathematical equations.
• Equation numbers must be aligned with the right-hand margin.

IMAGES

• All images (color or grayscale) included in your document must be clearly readable both onscreen and when printed.
• The format embedded in the PDF version should be EPS (Encapsulated PostScript) files rather than bitmaps, GIFs or JPEG images.
• Larger images, including maps, plates or charts, which require high resolution must not be included in the main document. They must be uploaded as "supporting files" in the ETD system.

REVIEW PROCESS

• After you have defended and made all corrections given to you at the time of your final defense, submit one copy printed on standard computer paper.
• A completed Final Committee Approval form signed by ALL committee members.
• A Thesis/Dissertation Defense form, if one has not been previously submitted by your department.
• A Comprehensive Examination form (Master's students only--students who do not take an oral or written comprehensive exam, the oral defense of your thesis will satisfy this requirement. A results form must be submitted to the Graduate School).
• The IRB or IACUC approval form or waiver, if human or animal subjects were used for your research.
• An APA or Non-APA checklist (see next section)appropriate to your discipline.  Both the student and major professor must check all applicable items and sign the form.
  • The checklists are NOT to be used as a style guide for formatting purposes. They are used to insure that you have followed specific Graduate School requirements, in addition to what is required in your style manual or refereed journal.
  • If you did not use the Chicago Manual of Style, APA, ASA, ADA, MLA, or Kate Turabian manuals for formatting purposes, you must submit a sample article from the refereed journal you followed for each chapter for formatting purposes, in addition to the "Instructions for Author" for the particular journal, if available.

CHECKLISTS

• APA Checklist (For Students Using the American Psychological Association Style Manual)
• Non-APA Checklist (For Students Using Journals or Style Manuals other than the APA Style Manual)

FINAL SUBMISSION PROCESS

EMBEDDING DOCUMENT FONTS

All document fonts must be embedded. Embedding fonts simple means that your font information used to create your document will always look the same way it does when stored in a PDF file. If your fonts are not embedded, Adobe Acrobat will substitute fonts available on a reader's computer. Any type of font substitution can result in significant differences between your output and what the reader observes. Fonts can be embedded when you convert from Word to PDF. You should know that your file size will increase significantly when embedding fonts.

a. How to Embed Fonts Using Microsoft Word 2010 on a PC:

• You will need to first visit Word Options. To get there, click the File tab > Options > Save, and make sure that "Embed fonts in the file" in the textbook is checked.

b. How to Embed Fonts Using Microsoft Word 2007 on a PC:

• Create your manuscript using one of the fonts mentioned above (preferably Times Roman).
• Click the circular Office Button in the upper left-hand corner of Microsoft Word.
• A new window will open. In the bottom right-hand corner is a button called Word Options. Click that button.
• Choose Save from the left sidebar.
• Check the box next to Embed Fonts in the file.
• Click the OK button.
• Save your document.

c. How to Embed Fonts in Earlier Versions of Microsoft Word:

• Create your manuscript using a TrueType font.
• On the Tools Menu, choose Options.
• Click the Save tab.
• Select the Embed TrueType Fonts check box.
• Save the document.

c. Using Microsoft Word on a Mac using Word 2011:

• Convert your document to PDF.
• Open the original PDF in the Preview application of your Mac.
• Select File: Print
• Click on the Preview button - a new document should be generated.
• Select File: Print again (you should be in the newly-created document when you do this).
• Click the PDF button, and then select Save as PDF...from the pop-up menu.
• Choose a filename and save the file; the file you just saves should have all of the fonts embedded.

d.  Using Microsoft Word on an Earlier Version:

• Microsoft Word for Mac does not have a feature that allows for embedding fonts. Consider using OpenOffice (which embeds fonts automatically while converting to PDF) or using a PC to embed fonts in your manuscript.

INSTRUCTIONS FOR ELECTRONIC SUBMISSION

After all Graduate School corrections have been made, embed your document fonts and then convert to a PDF file. Carefully review your document before submitting to the ETD site.

Do NOT assume that if the final Word document looks fine, the PDF will look fine. In particular, may close attention to charts, graphs, tables, equations, special accent marks, and any graphics you imported into your Word document. If something looks incorrect, re-convert your document again to PDF. There should be no difficulty with including accent marks or special characters in your abstract as long as they are the basic ASCI character set (numbers 0-9, upper and lowercase letters A-Z, and typical English punctuation).

• If you decide to use Adobe Acrobat Professional to convert your document instead of using Word, include bookmarks for all preliminary pages, for the first page of each new chapter, and for the first page of the bibliography or reference section and any appendices.

Log into the U of M ETD site at: http://www.memphis.edu/etd

• Click on the My Submissions tab.
• Log in using your U of M UUID username and password.
• Choose the + Add New ETD option.
• At the top of the front matter page, you will be able to set an access level  (unrestricted, restricted, or no access). (A brief summary of the restriction levels can be found at the end of this section). We recommended unrestricted access so that your research and scholarship will be most widely distributed. However, if, upon consultation with your committee, you want to change the access level, you may do so.
• Indicate whether your manuscript is a Thesis or Dissertation.
• Your e-mail address and name will automatically populate (if this information is incorrect, please call 901-678-8888 or go to your account at my.memphis.edu to update your University records). You MUST use your U of M e-mail account during the electronic process.
• To complete the remainder of the form, you will need to have the following information handy:
  • the names and e-mail addresses of your committee members;
  • the exact title of your document, which must be entered using BOTH uppercase and lowercase letters (no ALL uppercase letters, please);
  • up to 10 keywords that describe your document's contents for search engines;
  • and the exact abstract from your document - 350 words or less for dissertations; 150 words or less for theses.
• Do not copy and paste your Word document abstract into the text box. Please type from scratch; remove the "header" paragraph containing your name, degree, university, date conferred, title, etc. The entire abstract must be single spaced; however, indent seven spaces at the beginning of each new paragraph. The font type and font size must be Arial, 12 point.
• Complete as much of the form as you want and then select Add.
  • When you access the form a second time, you will be asked to Save rather than Add. DO NOT ADD A NEW FORM TO THE SYSTEM. Work with your original submission.
• After the font matter has been completed, upload your document and any supporting files. Your document must be a single PDF file and must include all figures, graphics, and tables; you may submit up to 6 audio/visual supporting files.
• Once your document has completely uploaded, click the Submit button. Your document will be sent to the ETD manager in the Graduate School for final approval.  Once you submit, you will NOT be able to change your file. (NOTE: If you do not click the Submit button, your document will go to the "In Progress" queue and will never be submitted to the Graduate School).
• You will receive e-mail notification once your document has been opened for review by the ETD manager. Notification will be sent only to your U of M e-mail account.
• If your document is not approved, you will receive e-mail notification of further needed changes.
  • Make these changes in the original version of your Word document. Convert once again to PDF format, connect to the ETD web site, and log in.
  • Click View to get to your document; click Edit and Delete the previously uploaded file (look for a "Trash Can" icon at the bottom of the form). Add your revised document, then click Submit again.

You will receive e-mail notification when your document has been approved by the ETD manager. Your document on the ETD server will be available immediately for public viewing, depending on your requested access level (see next section).

ACCESS RESTRICTIONS OR EMBARGOES

Access to the University of Memphis Electronic Theses and Dissertations is determined by the student author and may fall into the following categories:

-- Open Access - open to anyone with Internet access.

-- University of Memphis Authorized Users - The author allows access only while on the University of Memphis campus and current University of Memphis faculty, staff or students who authenticate from off-campus.

-- Embargoed - The author has chosen to prevent online access for 3 or 5 years from the date of creation to protect their creative rights.

-- No Access - Due to patents included or other intellectual properties, the author has chosen not to make their work available online.

Eighty to 90% of publishers of professional journals (e.g., Elsevier) have decided that theses or dissertations that are made available online do not qualify as a prior publication, and therefore do not deter future publications. However, other publishers have reached the opposite conclusion.

If you have patent concerns or concerns that posting to the ETD site might prevent later acceptance of your work by professional journals or book publishers, consult with your committee and with possible future publishers to make an informed decision. Most professional journals publish "Instructions for Authors" on their web site where this specific issue is addressed.

PERSONAL COPIES FOR BINDING

Students who wish to have copies of their thesis/dissertation bound by the University should contact the Tiger Copy and Graphics office for information AFTER they have received notification that their document has been approved in the ETD system.

The minimum cost for binding is $20 per copy. Additional fees will be charged for any lettering on the spine and/or cover. Please contact Tiger Copy and Graphics at (901) 678-2838 or email them at tigercopygraphics@memphis.edu.

Paper Requirements for Copies to be Bound:

• 25% or higher "white" cotton content paper with watermark
• 20 or 24 pound weight

ADDITIONAL REQUIREMENTS FOR DOCTORAL STUDENTS

Submit the following items in a 9" x 12" envelope AFTER your dissertation has been approved in the ETD system:

• a final PDF version of your dissertation on a CD, which must be included in a hard plastic "jewel" case with a label containing your name, institution, and year of graduation;
• an extra title page;
• an extra abstract (with pages unnumbered);
• the completed copy of the Dissertation Publishing Agreement form (see below).Attach the following items to the agreement form:
  • permission letters for previously copyrighted materials;
  • permission letters to reproduce copyrighted images, videos, graphics, animation, data and images of individuals; and
  • IRB or IACUC approval or waiver forms.
• the completed copy of the Survey of Earned Doctorates (see below).
• Fee receipts for the following items:
• Dissertation microfilming ($35).
• Optional copyright fee ($55).
  • For doctoral students who live outside the Memphis area, mail your fee payment check (made out to The University of Memphis) to the Bursar's Office, Wilder Tower 115. Attach a note to the check asking that a duplicate receipt be sent to Michelle Stout in the Graduate School, AD 215.

After your CD is sent for microfilming, your work becomes available through the UMI dissertation database. Publication is usually completed within one month of 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).

UMI Dissertation Publishing Agreement

ProQuest (formerly University Microfilms International, Inc.) microfilms all doctoral dissertations, which can then be distributed in whole or in part for publication. Upon approval of your dissertation in the ETD system, complete the survey provided to you when you pick up your dissertatiaon after the Graduate School has completed its review. 

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. Once your dissertation has been approved on the ETD system, please go to: https://sed.norc.org/survey and complete the on-line survey. Send confirmation of completion to mstout@memphis.edu.

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.