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Preparing Theses and Dissertations

Table of Contents

I. Doctoral Dissertations - Traditional method
II. Doctoral Dissertations - Electronic method
III. Master's Theses - Traditional method only

Format for Theses and Dissertations

Appendix A - Announcement Page
Appendix B - Master's Degree Title Page
Appendix C - Doctoral Degree Title Page
Appendix D - Doctoral Acceptance Page
Appendix E - Master's Acceptance Page
Appendix F - Copyright Page
Appendix G - Abstract

Important Information

This guide was last updated Fall 2008 by the University Graduate School.

QUESTIONS?
Contact the University Graduate School (812-855-1117-doctoral; 812-855-9345 masters; grdschl@indiana.edu) or check with your departmental secretary.

Indiana University Graduate School
Kirkwood Hall 111
130 S. Woodlawn Avenue
Bloomington, IN 47405-7104

Resources

Requirements

NOTE: You must enroll each semester after passing the qualifying examination even if you are not in residence. If you are graduating during the summer, you must enroll for at least one session during that summer.

 

I. DOCTORAL DISSERTATIONS: Traditional Method

To complete your degree: Arrange a mutually agreeable time with your committee, set up the oral exam at least thirty days prior to when you wish to defend (leave a little extra time to allow for problems with mail), submit your defense announcement, then come back and defend. Ordinarily, the defense is conducted here at Indiana University, but under extraordinary circumstances, other arrangements can sometimes be made; individuals have had their oral examinations at conventions, for example. Check with your committee or with the University Graduate School to see if this would work for you.

  1. Once your defense time and date are set, submit a one page dissertation defense announcement (see Appendix A for formatting) to the University Graduate School, Kirkwood Hall 111.
    • Tip: Provide each member of your committee with a complete copy of your dissertation at least thirty days before the defense so they will have sufficient time to read and criticize your work; this time will also allow other faculty members who might be interested in your work to plan to attend your defense.
    • Tip: If possible, phrase your announcement in non-technical language.
    • The chairperson of your research committee must approve and sign the announcement.
    • The announced time and place cannot be changed without the approval of the Dean of the University Graduate School.
    • Your dissertation will be announced on the UGS website to the University community.

  2. Remind your research chair to remove any "R's" from your dissertation, research or G901 hours.
  3. During your oral examination, have your FULL committee sign:

    4. NOTE: The Acceptance page goes into the unbound copy of your dissertation and must be on appropriate paper. The Abstract remains with the University Graduate School and can be on normal printer paper.

  4. Once your dissertation is approved and finalized, have one (or two) copies bound at a bookbindery.

    5. One copy (required) is for the library, and one copy is for your department (only if they require a copy). Check with your department to see if you'll need to bind that second copy.

    List of Bookbinderies:

    Smith Bookbindery
    112 W. 10th St.
    Bloomington, IN 47404
    (812) 332-2743
    Hours:
    Monday, Tuesday, Thursday, Friday
    9:00 a.m. - 4:00 p.m.
    Closed Wednesdays

    National Library Binding Co.
    55 South State Ave.
    Indianapolis, IN 46201
    (317) 636-5606
    Hours:
    Monday - Friday
    8:00 a.m. - 5:00 p.m.

  5. Complete the University Graduate School's Exit Survey

    6. After your defense, complete this survey and return it to Kirkwood Hall 111.

  6. Complete the Application for Graduation for Ph.D. Students (ONLY if you want to participate in the graduation ceremony)
    To be listed in the commencement program, participate in the graduation ceremony and receive mail from the Alumni Office regarding commencement, graduating students should ask their chairperson to approve this form and return it to The University Graduate School no later than October 1st for December Commencement and no later than March 1st for May Commencement.
  7. Pay the $65 microfilming fee directly to ProQuest via the University Graduate School by attaching a personal check or postal money order to the Dissertation Submission Form. The fees are as follows: microfilming fee - $65 (mandatory), copyright fee - $65 (if you plan to copyright your dissertation), and the Open Access fee - $95 (if this publishing option is selected).
    • The check or money order should be payable to ProQuest LLC.

    Cost:
    $65 microfilming - mandatory
    $65 copyrighting - optional
    $95 open access - optional

  8. Bring the following items to the University Graduate School, Kirkwood Hall 111.
    • Unbound Dissertation (finalized copy, all revisions complete)

      • NOTE: This MUST be in a box approximately 9 inches by 11-1/2 inches in size, and on watermarked, 100 percent cotton bond 8-1/2' by 11' paper of 20 or 24 lbs. (See the Format for Theses and Dissertations section for complete instructions.)

      The front matter must appear in the following order:

    1. Title page (mandatory) - see Appendix C
    2. Acceptance page, signed (mandatory) - see Appendix D
      This page confirms the committee's approval and acceptance of your dissertation.
    3. Copyright page (mandatory if you copyright) - see Appendix F
    4. Dedication (optional)
    5. Acknowledgments (recommended)
      NOTE: Depending on your personal inclination, you may wish to include a dedication, a preface, or a set of acknowledgments. The latter are designed to recognize people or agencies to whom you feel grateful for any academic, technical, financial, or personal aid in the preparation of your thesis or dissertation; as a matter of courtesy, you would ordinarily mention the members of your committee here, as well as institutions that provided funding, your typist, or anyone else who helped.
    6. Preface (optional)
    7. Abstract, unsigned (mandatory) - see Appendix G
    8. Table of Contents (mandatory)
    9. Lists of tables, figures, appendixes, abbreviations and other supplemental materials (if appropriate)

      At the end of the dissertation or thesis, place a:

      Vita page - Use a basic resume/CV format.

    • Doctoral Dissertation Submission Form (microfilm)

      NOTE: Attach a copy of your Title Page and an Unsigned Abstract to this form.
    • Copyright Registration Form (optional) (make sure you sign the form)
      This form is part the microfilm, copyright and pulishing options contract.
    • UMI Publishing Agreement (completed and signed)
    • Your microfilm & copyright fees are now paid to ProQuest through the University Graduate School by attaching a personal check or postal money order to the Dissertation Submission Form; payable to ProQuest LLC.
    • Abstract, signed (350 words or less) - see Appendix G
      NOTE: The signed abstract does not have to be on the same paper used for your unbound dissertation - it can be on copy paper.
      NOTE: If your original abstract is not in English, please also turn in an English version as well.
    • Survey of Earned Doctorates (completed and signed)
         Directions (.pdf)
         Questionnaire (.pdf)
         Confidentiality Guidelines (.pdf)

      NOTE: The information you provide on the SED remains confidential and is reported only in aggregated form or in a manner that does not identify information about an individual.
    • UGS Exit Survey
    • PhD Commencement Participation Application (optional) (pdf)
    • One (or possibly two) bound copies of your dissertation

      Book Binding Options

      The University Graduate School must receive the bound copies before your degree can be certified or awarded.

      • One copy for the library (required for traditional)
      • One copy for your department (only if required by your department)

        Check with your school/department to see if they require a bound copy: Some schools that do not require a bound copy: School of Business, School of Education, School of Journalism, the Department of Chemistry.

        NOTE: Because the original signed copy of the Acceptance Page must be placed in your unbound dissertation, it must be on cotton paper, but you may use photocopies of this document for any other bound volumes.

    • Verify that the Office of the Registrar has the correct spelling of your name and correct diploma-mailing address
      You will receive the diploma for your degree within about three months of your award date.

 

II. DOCTORAL DISSERTATIONS: Electronic Method

If you are a Ph.D. student, you are now able to submit your dissertation online through ProQuest.

BOOK BINDING
If you would still like to have a hardbound copy of your thesis, please consider one of two local binderies in the area.

Book Binding Options

FORMATTING: Please follow the formatting for submitting your dissertation as listed below. The formatting for electronic submission has ONE IMPORTANT DIFFERENCE from the traditional method. Include the Acceptance page in your dissertation UNSIGNED. This is for security purposes, ProQuest requests that no signatures be included in the online submission of your dissertation. The signed Acceptance page is turned into the University Graduate School.

The front matter for your dissertation must appear in the following order:

  1. Title page (mandatory) - see Appendix C
  2. Acceptance page, unsigned (mandatory) - [the SIGNED copy goes to UGS] - see Appendix D - This page confirms the committee's approval and acceptance of your dissertation.
  3. Copyright page (mandatory if you copyright) - see Appendix F
  4. Dedication (optional)
  5. Acknowledgments (recommended)
    NOTE: Depending on your personal inclination, you may wish to include a dedication, a preface, or a set of acknowledgments. The latter are designed to recognize people or agencies to whom you feel grateful for any academic, technical, financial, or personal aid in the preparation of your thesis or dissertation; as a matter of courtesy, you would ordinarily mention the members of your committee here, as well as institutions that provided funding, your typist, or anyone else who helped.
  6. Preface (optional)
  7. Abstract, unsigned (mandatory) - see Appendix G
  8. Table of Contents (mandatory)
  9. Lists of tables, figures, appendixes, abbreviations and other supplemental materials (if appropriate)

At the end of the dissertation or thesis, place a:

Vita page - Use a basic resume/CV format.

To complete your degree: Arrange a mutually agreeable time with your committee, set up the oral exam at least thirty days prior to when you wish to defend (leave a little extra time to allow for problems with mail), submit your defense announcement, then come back and defend. Ordinarily, the defense is conducted here at Indiana University, but under extraordinary circumstances, other arrangements can sometimes be made; individuals have had their oral examinations at conventions, for example. Check with your committee or with the University Graduate School to see if this would work for you.

  1. Once your defense time and date are set, submit a one page dissertation defense announcement (see Appendix A for formatting).
    • Tip: Provide each member of your committee with a complete copy of your dissertation at least thirty days before the defense so that they will have sufficient time to read and criticize your work; this time will also allow other faculty members who might be interested in your work to plan to attend your defense.
    • Tip: If possible, phrase your announcement in non-technical language.
    • The chairperson of your research committee must approve and sign the announcement.
    • The announced time and place cannot be changed without the approval of the Dean of the University Graduate School.
    • Your dissertation will be announced on the UGS website to the University community.
  2. During your oral examination, have your FULL committee sign:

    3. NOTE: Because you are not turning in a paper copy of your dissertation to be bound, these documents DO NOT need to be on paper appropriate for bound theses. Normal-quality laser printer paper (or the equivalent) is acceptable.

  3. Complete the University Graduate School's Exit Survey

    4. After your defense, complete this survey and return it to Kirkwood Hall 111.

  4. Complete the Application for Graduation for Ph.D. Students (ONLY if you want to participate in the graduation ceremony)
    To be listed in the commencement program, participate in the graduation ceremony and receive mail from the Alumni Office regarding commencement, graduating students should ask their chairperson to approve this form and return it to The University Graduate School no later than October 1st for December Commencement and no later than March 1st for May Commencement.
  5. Pay the $65 microfilming fee directly to ProQuest.

    6. Cost:
    $65 microfilming - mandatory
    $65 copyrighting - optional

    NOTE: When you submit your dissertation electronically, you'll be asked about microfilming and copyrighting your work. Microfilming is required, but copyrighting is optional. If you think you might publish your dissertation under your own name, then copyright your dissertation. If in doubt, ask your committee.

  6. Bring the following items to the University Graduate School, Kirkwood Hall 111.
    • Acceptance page, signed (mandatory) - see Appendix D
      This page confirms the committee's approval and acceptance of your dissertation.
    • Abstract, signed - see Appendix G
    • Complete the Survey of Earned Doctorates (completed and signed) (either download and print, or pick this form up from the University Graduate School, Kirkwood Hall 111):
        •    Directions (.pdf)
           Questionnaire (.pdf)
           Confidentiality Guidelines (.pdf)

        NOTE: The information you provide on the SED remains confidential and is reported only in aggregated form or in a manner that does not identify information about an individual.
    • PhD Commencement Participation Application (optional) (pdf)
  7. Verify that the Office of the Registrar has the correct spelling of your name and correct diploma-mailing address.

    8. You will receive the diploma for your degree within about three months of your award date.

    NOTE: Submitting your dissertation online replaces the unbound and bound dissertation required by the University Graduate School, HOWEVER, please remember to check with your department to see if they require a bound dissertation.

 

III. MASTER'S THESES: Traditional Method
  1. Submit an Application for Advanced Degree form

    2. Submit this form (also available from your department) to the University Graduate School, Kirkwood Hall 111, at least sixty days prior to the desired degree date.

  2. Verify that the Office of the Registrar has the correct spelling of your name and your correct diploma-mailing address.

    3. The Registrar mails the diploma to your permanent address.

  3. Also verify that your name does not appear on the University Checklist.

    4. The Registrar will not release your diploma or transcripts until all entries are cleared.

  4. Submit two bound copies to the University Graduate School:

(Follow the formatting section below for binding, paper and layout)
You may make arrangements for the bindery to send these copies to us; however, the University Graduate School must receive the bound copies before the degree can be certified and/or awarded. The two copies are for the library, but you may also be required to submit at least one additional bound copy of the thesis to your department. Check with your department for details.

The front matter must appear in the following order:
  1. Title page (mandatory) - see Appendix B
  2. Acceptance page, signed (mandatory) - see Appendix D

    This page confirms the committee's approval and acceptance of your thesis. The page with the original signatures should be included in one of the bound copies after the title page. Photocopies of the signed acceptance may be used in additional bound volumes.
  3. Copyright page (mandatory, but only if you copyright) - see Appendix F

    NOTE: If you choose to copyright your thesis, YOU MUST REGISTER by following these steps provided by the U.S. Copyright Office (http://www.copyright.gov/register/literary.html). If you have trouble, call them at (202) 707-8250. Generally, students copyright their work if they think they might publish it under their own name at a later date. If you are unsure about this, please talk to your advisor.
  4. Dedication (optional)
  5. Acknowledgments (recommended)

    Note: Depending on your personal inclination, you may wish to include a dedication, a preface, or a set of acknowledgments. The latter are designed to recognize people or agencies to whom you feel grateful for any academic, technical, financial, or personal aid in the preparation of your thesis or dissertation; as a matter of courtesy, you would ordinarily mention the members of your committee here, as well as institutions that provided funding, your typist, or anyone else who helped.
  6. Preface (optional)
  7. Abstract, unsigned (optional by department)- see Appendix G
  8. Table of Contents (mandatory)
  9. Lists of tables, figures, appendixes, abbreviations and other supplemental materials (if appropriate)
At the end of the dissertation or thesis, place a:

Vita page.
Your resume/CV, placed at the end of the thesis.

 

FORMAT FOR THESES AND DISSERTATIONS

Printing
The document must be typed / printed. Laser printing is acceptable, but dot-matrix printing is not.

Paper

Fonts
Script fonts (ex. Monotype Corsica) and italicizing large sections of text are not allowed for the main body of your text, although italics may be used appropriately.

Spacing

Photographs, images

Margins

NOTE: These margin requirements apply to all materials included in the thesis or dissertation, including figures, tables, maps, plates, etc? and any preliminary material you choose to include.

Page layout

Ordinarily, the text and any other materials will appear on the right-hand page only. If, however, you and your committee agree that it is absolutely necessary to include facing material on the left-hand page as well, be sure to leave 1-1/2 inches on the right-hand side of the facing page.

Page numbers

Language

Theses and dissertations should be written in English unless you and your department/committee have decided otherwise.

References, citations, bibliography, footnotes

Check with your department ? this format depends largely on your particular field or topic. For example, footnotes can appear either on the page where the annotation occurs, the end of each chapter, or the end of the dissertation ? be sure to follow the conventions of your department and discipline.

Binding

Indiana University Graduate School
Attn: Dana Ruddick (Ph.D.)
Attn: Matthew Boots (Master's)
Kirkwood Hall 111
130 S. Woodlawn Avenue
Bloomington, IN 47405-7104

Some Recommended Style Manuals

Some Recommended Dictionaries for Spelling and Usage

Appendix A
ANNOUNCEMENT PAGE
Separate page, content centered on page, limit of one page

Announcing the
Final Examination of
(Student's Name)
for the
Degree of Doctor of Philosophy in (department)
(Day, Date, Time)
(Room, Building)

Dissertation: (Title)

(Summary: The summary of the dissertation should be limited to one page and not more than 300 words. It should contain a statement of the problem, a description of the methods or procedures used, and a formulation of the results and conclusions. Unlike the abstract, which is for specialists in the field, an attempt should be made in the summary, whenever possible, to communicate the findings in language and style that can be understood by the University community at large.)

Outline of Current Studies

Major: (Field)

Minor(s): (Field and Department)

Educational Career

(Degree, Institution, year graduated ? major area not needed, e.x. ?B.A., I.U., 1996?)

Committee in Charge
Professorial Rank (Name), Chairperson (Phone Number), Department
(Alphabetically list other committee members)

Approved: ________(Chairperson's Signature)_______

(Chairperson's Name - Typed)
(Any member of the Graduate Faculty may attend. As a courtesy, please notify the Committee Chairperson in advance.)

 

Appendix B
MASTER'S DEGREE TITLE PAGE
Separate page, content centered on page, limit of one page

 

 

 

 

TITLE CENTERED, ALL IN CAPITAL LETTERS: KEY WORDS ARE IMPORTANT FOR A SUCCESSFUL INDEX

 

 

 

 

Author's Name

 

 

 

 

Submitted to the faculty of the University Graduate School
in partial fulfillment of the requirements
for the degree
Master of (Arts or Sciences)
in the Department (or School) of (Department/school name),
Indiana University
*Month Year

*(NOTE: The month and year is the date when all requirements have been completed for the awarding of your PhD degree by the University Graduate School? This is not necessarily the month in which you defended your dissertation.)

 

Appendix C
DOCTORAL DEGREE TITLE PAGE
Separate page, content centered on page, limit of one page

 

 

 

 

TITLE CENTERED, ALL IN CAPITAL LETTERS: KEY WORDS ARE IMPORTANT FOR A SUCCESSFUL INDEX

 

 

 

 

Author's Name

 

 

 

 

Submitted to the faculty of the University Graduate School
in partial fulfillment of the requirements
for the degree
Doctor of Philosophy
in the Department (or School) of (Department/school name),
Indiana University
Month Year

(NOTE: The month and year is the date when all requirements have been satisfied ? this is not necessarily the month in which you defend.)

 

Appendix D
DOCTORAL ACCEPTANCE PAGE
Separate page, content centered on page, limit of one page
(Adding lines for the signatures is optional.)

Accepted by the Graduate Faculty, Indiana University, in partial fulfillment of the requirements for the degree of Doctor of Philosophy.

Doctoral Committee

(Chairperson's signature)

Chairperson's name typed, Ph.D.)



(Second reader's signature)

(name typed)



(Third reader's signature)

(name typed)



(Fourth reader's signature)

(name typed)

(Date of Dissertation Defense - Month Day, Year)

 

Appendix E
MASTER'S ACCEPTANCE PAGE
Separate page, content centered on page, limit of one page
(Adding lines for the signatures is optional.)

Accepted by the Graduate Faculty, Indiana University, in partial fulfillment of the requirements for the degree of Master of Arts.

Master's Thesis Committee

(Chairperson's signature)

Chairperson's name typed, Ph.D.)



(Second reader's signature)

(name typed)



(Third reader's signature)

(name typed)

 

Appendix F
COPYRIGHT PAGE
Separate page, content centered on page, limit of one page
(In Microsoft Word, Alt-Ctrl-C (hold down all at once) will make the © sign.)

 

 

 

 

 

 

© (enter correct year)
(Student's Name)
ALL RIGHTS RESERVED


 

 

 

 

 

 

 

Appendix G
ABSTRACT
Separate page, content centered on page, limit of one page

 

 

Student's Name

 

 

Dissertation Title
(may be underlined or in caps)

 

 

The abstract is double-spaced and limited to 350 words. As many people will learn about your work through your abstract published in Dissertation Abstracts (http://proquest.umi.com/login), you should spend a good bit of effort in the composition of both the abstract and the title of your work. Try to convey the flavor of your work, not just the bare bones of your findings; in an average abstract there will be about 70 characters per line with a maximum of 35 lines. You should also work to phrase your title so that it truly describes the contents and will be easily found in the index of Dissertation Abstracts. The index is based on key words, so be as specific as you can be about your subject.

 

 

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