How to write a 1st class Dissertation

Dissertation and Thesis Guidelines tips for writing a dissertation proposal format of dissertation thesis and sample thesis dissertation proposal sample dissertation thesis statement
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2013 Dissertation and Thesis Guidelines 2013 Dissertation/Thesis Format Options The Graduate School allows two dissertation/thesis types. The decision about which option to use must be made by the student and dissertation or thesis advisor, not by the student alone. THE STANDARD FORMAT The Standard Format has been the most commonly used format for dissertations and theses for decades. The body of the dissertation resembles a book manuscript, including an introduction, literature review, and other chapters that conform to disciplinary conventions. THE MANUSCRIPT FORMAT The Manuscript Format allows for the body of the dissertation or thesis to include one or more articles that have been published or are prepared for publication in an academic journal. A general introduction (for all projects) and conclusion (for projects with multiple manuscripts) are still required, and most dissertations will include a literature-review chapter and reference section that covers the entire work. The introductory and concluding chapters should provide an overarching context for the project, including a short explanation of the overall research agenda as well as the importance and consequences of this research. Ideally, these sections will be intelligible to a lay reader.  The style and format of the front matter and back matter must conform to the Graduate School Guidelines.  Each manuscript constitutes a new chapter within the thesis/dissertation. The chapter heading should follow the standard format guidelines, including a level 1 heading with the manuscript title as the level 2 heading. After this, the student should follow the manuscript format for the remainder of the chapter.  If the thesis/dissertation contains only one manuscript, the references and the conclusion may be contained within the contents of the manuscript chapter.  The thesis or dissertation author must be the lead contributor to the work submitted, normally represented by sole author or first author on all manuscripts. In cases of multiple authorship, the contribution of each author (not just the dissertation writer) must be explained in the Introduction or separate attribution page.  For previously published work, the student must provide the University with a letter of copyright release from the journal or publisher. This is submitted as a separate file to Beardocs.  Margins and page numbers must be in accordance with the standard format. 2 2013  Figures and tables should be numbered consecutively by chapter and figure/table number (eg. 1.1, 1.2; 2.1, 2.2). This will likely deviate from the format of the manuscript but aids in the flow of the dissertation/thesis.  The Graduate School reserves the right to require minor changes to the manuscript format to aid in the flow of the dissertation/thesis. 3 2013 Style and Formatting All graduate programs at Baylor University have selected a nationally recognized style manual for their dissertations and theses. In case of conflict, the Graduate School specifications below always supersede your program’s chosen manual of style. For a departmental list of approved style manuals, see Appendix D. TYPEFACE AND SIZE Typeface  A serif font is required (e.g. Times New Roman). Size  12-point size is required for the body of the dissertation/thesis.  10-point is acceptable for notes, tables, figures, etc. MARGINS Consistent margins and page numbers must be maintained throughout the entire work. All typing (except for pagination) and all parts of tables, figures, and appendices must fit within the specified margins. Top and Bottom Margins  1‖ Left and Right Margins  1.25‖ 4 2013 SPACING All text must be double-spaced throughout except for the following, which are single-spaced with a double-space in between:  footnotes or endnotes  bibliography entries  block quotations  captions for tables and legends for figures Additional Spacing Rules Include:  Do not allow typed pages to have ―widows‖ (a single line that ends a paragraph and is printed alone at the top of the next page) or ―orphans‖ (the first line of a paragraph stranded at the bottom line of a page).  Avoid breaking bibliography entries onto a following page. PAGE NUMBERS Pages Numbers  Do not number: abstract, signature/title page, or copyright page.  Number with lowercase Roman numerals: table of contents, list of figures, list of tables, preface, acknowledgments, and dedication pages (in this order).  Number with Arabic numerals: the first page of chapter one, and continue throughout the document, including reference pages. Placement of Page Numbers  All pages are numbered at the bottom of the page.  Page numbers are the only typing on any page that goes outside of the margins specified above.  Page numbers are to be centered between the left and right margins and placed within the one-inch footer. JUSTIFICATION AND HYPHENATION Justification  Align text at the left margin (except for paragraph indentations).  The right margin may be either uneven (ragged) or right-justified. - Select the form of justification that is appropriate for your discipline and apply that style in all sections of your document. 5 2013 Hyphenation  Hyphenation at the right margin is permitted as long as it does not lead to ambiguity or cause difficulty in reading. FOOTNOTES AND ENDNOTES Footnotes  Use superscript numerals within the text at the point of reference.  Number footnotes consecutively by chapter (i.e., begin each chapter with number one).  The one-inch margin is maintained at the bottom of each page except on the last page of the chapter. When the text of the last page does not fill the entire page, the footnotes for that page follow directly under the text.  Footnotes must begin on the page where referenced.  The footnote number and first line of each footnote is indented the same as the paragraph indention in the text.  Full footnote reference may be repeated or not at the beginning of each chapter, as preferred by the department.  Each footnote is single-spaced, with a double space between footnotes.  Footnotes may be typed in 10- or 12-point font. Endnotes  Title the first endnotes page ―Notes;‖ this title should be 1 inch from the top of the page.  Each endnote is single-spaced, with a double space between endnotes.  Endnotes should follow your department’s chosen manual of style. HEADINGS Use the five levels of headings and subheadings listed below. For an example of proper heading usage see Appendix C. Five Headings Levels:  Level 1 - designates chapter number, is centered and typed in all uppercase letters with the number spelled out  Level 2 - indicates the title of the chapter, is centered with uppercase and lowercase lettering  Level 3 - is centered and italicized with uppercase and lowercase lettering with triple space above 6 2013  Level 4 - is typed flush at the left margin, is italicized with uppercase and lowercase lettering with triple space above; text begins, following a double space below  Level 5 - is indented at the beginning of the paragraph with triple space above, is italicized, using sentence-style capitalization, ending in a period (which also is italicized) and followed by 2 spaces, text continues after the heading on the same line. Further Instructions:  When a heading exceeds a single line of text, the heading should be single spaced, maintaining the specified spacing above and below it. 7 2013 Components of the Dissertation or Thesis Dissertations and theses consist of three sections: front matter, body, and back matter. The number of chapters and components included in each section will vary by student according to the particulars of the project and the format used (Traditional or Manuscript). The overview below indicates the proper order of each of the components within each of the sections. Additional information for each component is detailed in the following sections. OVERVIEW Front Matter Components:  Abstract  Unsigned Signature/Title Page  Copyright page  Table of Contents  List of Figures  List of Schemes  List of Tables  List of Abbreviations  Glossary  Preface  Acknowledgments  Dedication  Epigraph Body Components: Traditional Format Manuscript Format  Chapter One: Introduction  Chapter One: Introduction  Chapter Two: Literature Review  Chapter Two: Literature Review  Chapter Three: Methods  Chapter Three: Manuscript One (with  Chapter Four: Results the following sections as appropriate) - Title  Chapter Five: Discussion - Abstract - Introduction - Materials and Methods - Results - Discussion - References  Chapter Four: Manuscript Two (if required, same as above)  Chapter Five: Manuscript Three (if required, same as above)  Chapter Six: Conclusion Back Matter Components:  Appendices (as needed)  Bibliography/References  Index (optional) Required Required for projects with multiple manuscripts 8 2013 FRONT MATTER Abstract (un-paginated)  The abstract briefly summarizes the contents of the document.  For dissertations, the abstract is limited to 350 words; for theses, 150 words. (Be advised that editors at UMI Dissertation Services, without consulting the author, will shorten abstracts that exceed these limits.)  Only page that requires a 2.5 inch margin.  For a sample abstract see Appendix A. Signature Page (un-paginated)  A blank signature page can be obtained here.  Complete and insert an unsigned copy into the pdf document. You will have to print and scan the blank signature page to insert it.  The signature page is left unnumbered.  Three copies are needed for defense; two submitted to Graduate School after defense Copyright Page (un-paginated)  For a sample copyright page see Appendix B. Table of Contents (Lowercase Roman numeral pagination begins)  This is the first page where pagination appears, although previous pages are counted.  Right-justify the page numbers at the right margin (but not the entire line) for each included heading.  Include at least the first three levels of headings.  Double-space between headings, but single-space and indent any continuation lines of the same heading.  See this document’s Table of Contents for an example. th - Turabian, 8 Ed. (Figures A.3 & A.4, pp. 381-382) also offers suitable examples. Lists of Figures, Schemes, and Tables  These pages are required if any figures (illustrations), schemes, or tables are included in the document.  The titles of these sections are typed as first-level headings, centered and all uppercase, 1.5 inches from the top of the page, followed by a triple space.  If the legend of a figure or scheme or the caption to a table is brief, then include the entire legend or caption in the list; if the legend or caption is long, then an abbreviated legend or caption is acceptable.  Follow the same formatting as the Table of Contents 9 2013  These lists are numbered using lowercase Roman numerals centered, continuing on from the Table of Contents. List of Abbreviations  This page is optional (Turabian, A.2.1, p. 386).  The title of this section is typed as a first-level heading, centered and all uppercase, 1.5 inches from the top of the page, followed by a triple space.  It is paginated with lowercase Roman numerals.  The entries are single-spaced where the text is more than one line, with a double space between entries. Preface  This page is optional (Turabian, A.2.8, p. 383).  The title is typed as a first-level heading, centered and all uppercase, 1.5 inches from the top of the page, followed by a triple space.  This page is paginated with lowercase Roman numerals. Acknowledgments  This page is optional.  An acknowledgments section traditionally is included in all dissertations and theses. It is the place for the author to acknowledge professionally the various sources of direction, assistance, funding, etc. that facilitated the project.  The title is typed as a first-level heading, centered and all uppercase, 1.5 inches from the top of the page, followed by a triple space.  This section is paginated with lowercase Roman numerals.  Double-spaced. Dedication  This page is optional.  If this page is included, it may or may not bear the title ―Dedication.‖ If the title is to be present, it is typed as a first-level heading, centered and all uppercase, 1.5 inches from the top of the page.  The text of this page is brief and is also centered.  Typing of the text begins at approximately 3 inches below the top of the page.  Generally, there is no ending punctuation.  The dedication page is paginated with lowercase Roman numerals. 10 2013 BODY Chapters (Arabic numeral page numbers begin.)  The number of chapters and their titles may vary according to topic and discipline.  Consult with your mentor or program director to determine the chapter designations (if any) that have been adopted by your program.  ―Introduction‖ and ―Conclusion‖ are always labeled as chapters.  For a sample Chapter Title Page see Appendix C. Chapters That Have Been Previously Published  For each chapter of your dissertation or thesis that represents a published paper, you will need to provide the full literature citation for that published article.  This is done on the first page of the chapter, following the chapter title.  Double-space after the chapter title, then type ―This chapter published as:‖ and then insert the full citation, using the format specified by your style guide.  This citation statement will be centered.  For more information on using previously published chapters, see Appendix E. Block Quotations  Indent according to your designated manual of style.  Always single-spaced with double-space above and below. Epigraphs  Epigraphs are quotations that are used at the beginning of a dissertation/thesis, chapter, or section to allude to a central idea or theme.  Treat epigraphs as a block quotation.  Do not justify the text of the quotation; instead leave a ragged right edge.  On the line below the quotations, give the author and the title, flush right and preceded by an em dash (a formal citation is unnecessary). 11 2013 Tables and Captions Numbering Tables and Pagination  All tables are referenced by number within the text.  Tables are numbered sequentially.  Pages with tables are paginated in sequence with text pages.  Tables and their captions should be embedded within the text if the table and caption occupies less than approximately three-quarters of a page.  Tables within an appendix are numbered with the letter of the appendix plus the number (i.e., A.1, B.1, etc.). Table Captions and Placement  The caption is single-spaced and is centered.  Leave a triple-space between the preceding text and the caption, a double-space between the caption and the body of the table, and a triple-space below the table before resuming text.  The typeface and font size used within a table should match the typeface used in the caption and in the text. If necessary the font size may be decreased to 10 point, but not smaller.  If the table and caption is greater than about three-quarters of a page, then allocate an entire page to that table; in such cases, center the table so that equal amounts of blank space occur above and below the table. Table Formatting  Three lightweight, horizontal lines are all that are allowed in formatting tables: one line above and one line below the column headings, and an ending line at the very bottom of the table. Generally, vertical lines are not used.  Every column should have a heading.  Consult your departmental style guide and the Graduate School for further instruction in creating tables. 12 2013 Figures, Schemes, and Legends Numbering Figures and Pagination  All figures are referenced by number within the text.  Figures are numbered sequentially.  Pages with figures are paginated in sequence with text pages.  Figures and their legends should be embedded within the text if they occupy less than approximately three-quarters of a page.  Tables within an appendix are numbered with the letter of the appendix plus the number (i.e., A.1, B.1, etc.). Legends and Placement  The legend is single-spaced and left-justified, except for short legends (one line or less) which must be centered.  Leave a triple-space between the preceding text and the top of the figure, a double- space between the figure and the legend, and a triple-space below the legend before resuming text. Figure Formatting  Ideally, the typeface used within a figure should match the typeface used in the text.  Be consistent in use of the same typeface for all figures.  Font size should not be smaller than 10 point.  Generally, borders are not used around figures.  Black-and-white or color images are permissible. - If the original of a figure is in color, then the figure should be reproduced in color. - ProQuest/UMI Dissertation Services offers several recommendations regarding figures. Among them are that lines on graphs should be identified by labels or symbols rather than by colors. Also, use of different patterns (e.g., cross-hatching, stippling) offers more contrast than does use of different colors which photocopy as various shades of gray.  Consult your departmental style guide and the Graduate School for further instruction in creating figures. th - Turabian, 8 ed., also gives general specifications and offers formatting help (cf. Chapter 8, p. 84 and Chapter 26, p.358). 13 2013 BACK MATTER Reference Pages  The only required reference component is the bibliography (others are included as appropriate).  Order reference pages as follows: - endnotes, (if and if not done by chapter) - appendices - additional reference material (e.g., glossary) - bibliography - index  The titles of reference page sections are first level headings; they are centered, typed in all uppercase letters, and (except for appendices) placed at 1.5 inches from the top of the page with a triple space below. Appendices Appendices contain material that is too massive or is otherwise inappropriate to be incorporated within the body of the text.  The section of the document containing appendices begins with a separator page that bears the word ―APPENDIX‖ if only one is included, or ―APPENDICES,‖ if more than one is included.  This word is in uppercase lettering and is centered horizontally and vertically. The page number of this separator page is centered at the bottom of the page.  Appendices are designated with capital letters, beginning with A; if there is only one appendix, then do not assign it a letter.  The first page of each appendix bears a first level heading, such as ―APPENDIX C‖, placed 1.5 inches from the top of the page, followed by a double-space, then a title (in the format of a level two heading).  Pagination is continuous with the rest of the document with page numbers placed at the bottom of the page, centered.  If the material in an appendix is photocopied or scanned in from another source, then it, with its original pagination, must fit within the standard thesis margins. - Be sure that reduction does not shrink printing so small that it is illegible.  If photocopied material is included, it must be of high resolution. 14 2013 Bibliography  The title of this section varies by discipline, and may have been specified by your department or institute.  Regardless of how this section is named, the title is a level one heading, centered, in all uppercase letters, and placed at 1.5 inches from the top of the page.  Entries start after a triple-space below the title.  The specifications require single-spacing within entries and double-spacing between entries.  Also required is the hanging-indentation style in which the first line of each entry begins at the left margin and each subsequent line of the same entry is indented.  Pagination is continuous with the rest of the document with page numbers placed at the bottom of the page, centered.  The style used within a citation (e.g., sequencing of author, date, title, and other information; abbreviation or full spelling of periodical names; etc.) is determined by your department or program’s chosen style guide.  Inclusive pagination should be used within citation.  Use italics for titles, rather than underlining.  Avoid breaking bibliography entries onto a following page. 15 2013 Processing of the Document The processing of dissertations and theses begins with the preliminary review and ends with electronic submission. Along with reading the Guidelines, be sure to follow them, and complete the necessary forms. Additionally, (1) you must be registered for at least one hour of graduate level coursework during the semester of graduation and (2) you must file for graduation by completing the Intent to Graduate Form. PRELIMINARY REVIEW In order to stay on task, the preliminary review should take place at least two weeks prior to the defense. Reviews are conducted by Mrs. Sandra Harman, the Dissertation and Thesis Coordinator, or her Graduate Assistant, in the office of the Assistant Dean for Graduate Studies. Before you schedule a preliminary technical review, please be sure you have read the Guidelines carefully and have formatted every section of your document according to the specifications. To schedule a review:  1) Send a request via email to dissertation_thesisbaylor.edu listing several possible times you are available.  2) Include with the email an attachment with the entire Word document (LaTex students should send a pdf document).  3) Attach a separate filled signature page. Do not attempt to insert the signature page yet. At the time of the review, students should turn in paper copies of the following  a completed copy of the Preliminary Checklist  Doctoral students should also turn in the completed Doctoral Investment Form 16 2013 FINAL REVIEW The final review is required and occurs after successful defense of the dissertation or thesis. Within 10 days of the defense, but prior to the semester deadline date. Submit the following to the Graduate School (all of the following forms may be found online):  the Preliminary Checklist (with steps initialed to indicate compliance)  the Approval of Final Dissertation/Thesis Copy form signed by the mentor to indicate departmental approval (dissertation or thesis CANNOT be reviewed for final approval without the signed Final Approval form)  two of the three signed signature pages - Two copies will be retained by the Graduate School; the third copy is for the student. - An unsigned signature page will be inserted into the document at the time of electronic submission.  one of the two signed copies of the Copyright and Availability form, giving permission to post your document to the Electronic Libraries Beardocs site Email the following to dissertation_thesisbaylor.edu:  your dissertation or thesis (saved as a pdf/a file)  the Copyright and Availability form (saved as a pdf/a file)  the signed signature page (saved as a pdf/a file) (Reference the following to understand how to convert to pdf/a: http://www.baylor.edu/content/services/document.php/114513.pdf) Naming your files:  Ph.D. Students - first name_last name_phd.pdf-a  Ed.D. Studens - first name_last name_edd.pdf-a  Master’s Students - named first name_last name_masters.pdf-a  Copyright and Availability Form - first name_last name_copyright and availability form.pdf-a  Signed Signature Page – first name_last name_signaturepage.pdf-a Final approval from the Graduate School of the pdf/a copy of your dissertation or thesis is necessary before you can proceed with the electronic submission to Beardocs and reach the final steps for graduation. 17 2013 ELECTRONIC SUBMISSION After Graduate School approval of the final pdf-a copy, instructions are given to advance to the successive steps of final submission. Follow the steps in the Submission Checklist for successful steps leading to submission into Beardocs and the remaining steps to completion. Submission of your thesis/dissertation to Beardocs is required. Be sure to pay careful attention to naming your dissertation/thesis appropriately as stated above. In addition to submitting the thesis/dissertation and Copyright and Availability form, please also submit a separate pdf/a of any permissions you have received from journals or publishers. You must use your Baylor email account for submission. The dissertation or thesis is stored in Beardocs repository in the Baylor Electronic Libraries system on the Baylor server. The Graduate School will receive notification that the document has been uploaded. After a review, the Graduate School will either accept the document or reject and return it for additional changes. Email notice will be sent to the student, giving notice of acceptance or listing the necessary revisions. After acceptance, the student advances to the next level toward completion. If you are a doctoral student, follow these directions: 1. Proceed to the UMI website (http://dissertations.umi.com/baylor/). It places your dissertation on the UMI Dissertation Services access server for worldwide cataloging. The system will notify the Graduate School that you have submitted your dissertation. 2. Optionally, you may also use the service of UMI/ProQuest to register your copyright with the U.S. Copyright Office. Follow their directions. The additional cost for this service is 55. You will pay them directly with a credit card online, per the directions given, and you and the Graduate School will receive notice of submission to register copyright. 3. Complete the Survey of Earned Doctorates (http://survey.norc.uchicago.edu/doctorate) This is a required step in your completion of the dissertation submission process and the Graduate School will receive notice of completion. 4. Return all materials to the Library, check out of your library carrel if necessary, and complete any lab and key clearances with your department. The Graduate School will receive notice that all these items are clear before your final clearance to graduate. 5. Upon completion of all the above steps, you will receive notice that your file has been sent to the Graduate School Records Office for final clearance to graduate. This signifies completion and clearance from Mrs. Harman. Mrs. Sherry Sims in the Records Office notifies the department of any issues with a student’s course audit, and the student will be notified through the department of any necessary changes. 18 2013 If you are a Master’s student, follow these directions: 1. Optional, but encouraged, for Master’s students: Proceed to the UMI website (http://dissertations.umi.com/baylor/). It places your thesis on the UMI Dissertation Services access server for worldwide cataloging. The system will notify the Graduate School that you have submitted your thesis. 2. Optionally, you may also use the service of UMI/ProQuest to register your copyright with the U.S. Copyright Office. Follow their directions. The additional cost for this service is 55. You will pay them directly with a credit card online, per the directions given, and you and the Graduate School will receive notice of submission to register copyright. 3. Return all materials to the Library, check out of your library carrel if necessary, and complete any lab and key clearances with your department. The Graduate School will receive notice that all these items are clear before your final clearance to graduate. 4. Upon completion of all the above steps, you will receive notice that your file has been sent to the Records Office in the Graduate School for final clearance to graduate. This signifies completion and clearance from Mrs. Harman. Mrs. Sherry Sims in the Records Office notifies the department of any issues with a student’s course audit, and the student will be notified through the department of any necessary details. Congratulations 19 APPENDICES 20