Preparing and Submitting

Your Doctoral Dissertation

Dear CGU Student: Congratulations on arriving at this pivotal momentso close to graduating from your studies and receiving your degree! This package has been prepared to provide you with pertinent instructions and guidelines for the preparation and submission of your doctoral dissertation. The contents of this package include the following. Checklist of Institutional Deadlines Preparation of Your Dissertation Publication Provisions Submission of Your Dissertation Samples and Guidelines Regarding Preliminaries

CHECKLIST OF INSTITUTIONAL DEADLINES

In order to successfully complete your program, there are a number of things you must do by the end of the term in which you expect to receive your degree. Pay very close attention to the deadlines, which are published in the Academic Calendar. Due to graduation processing protocols, extensions on these dates or waivers on deadlines are NOT possible.

Schedule your Dissertation Defense. Contact your program office to arrange a date and time to defend your dissertation. This dissertation defense is often called your final oral examination. Defend your dissertation on the scheduled date and time. Deadline to complete degree requirements. Verify that all of your degree requirements have been completed by this date. This includes the payment of any outstanding fees.

Submit your approved dissertation and all required forms to the Registrars Office. After incorporating changes required during your dissertation defense, you must submit to the Registrars Office the following documents. Two complete copies of your dissertation with the approval pages. One must be an original, with signatures. ProQuest Doctoral Dissertation Agreement Form (pages 3 and 4) Payment for microfilming and binding$95 (personal check to CGU) Payment of copyright fee$55 (cashiers check or money order to ProQuest; optional, with ProQuest, page 5) Survey of Earned Doctorates Commencement Requirements. If you intend to participate in Commencement activities, watch for campus announcements and complete all instructions by the established deadlines.

PREPARATION OF YOUR DISSERTATION

General Guidelines Publication Protocols Your dissertation is a formal document that will be publicly available in the Honnold Library for reference. You must comply with all publication standards and protocols to avoid copyright infringement of other intellectual property. Preparation Guidelines & Standards Follow the recommendations of your dissertation committee in regard to the preparation and composition of your dissertation. Individual disciplines may require the use and submission of certain forms and incorporate other procedures.

General Reference

Turabian, Kate L., A Manual for Writers of Term Papers, Theses, and Dissertations. University of Chicago Press, 1996. (ISBN 0-226-81627-3)

If no directions are given, use the Turabian manual referenced above for guidelines on footnotes, bibliography, and other composition standards. If the Turabian manual differs from guidelines provided by your dissertation committee, follow the directions of your dissertation committee.

Appearance

Your document must be professional and print ready for publication. Copy should be clean, clear, and consistent in quality. Remember that your

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document will be reduced in size for microfilm reproductions. Fold-outs For tables and illustrations that require space that exceeds the breadth of a single page, fold-outs may be used. It is a good practice to verify acceptance with your dissertation committee. When submitting a dissertation with fold-out pages, be sure that the folding does not cause pages to be bound in such a way that the page is hidden or unavailable to the reader. Use the process that best meets your presentation needs. Footnotes may be presented at the bottom of a page, at the end of a chapter, or at the end of the dissertation. Use 10 point or larger. Any standard font is acceptable. Use the same font throughout the document. Do not use fonts that resemble written script or other novelty fonts. Images and photographsblack & white or colorare acceptable in a dissertation. Images or photographs that extend into the right margin should be no problem. The indenting of paragraphs is left to the style that best meets the needs of your dissertation or your discipline. Just be consistent throughout the dissertation. Restrict usage for emphasis. Non-English words and phrases should always be italicized. For tables and illustrations that require space that exceeds the breadth of a portrait orientation, a landscape presentation is acceptable. If possible, number the page at the bottom center of the portrait orientation. Margin requirements apply to all pages of the dissertation, including appendices, indices, etc. Left side: 1-1/2 margin required due to binding Other margins: at least one inch Note that the width of tables may need to be adjusted if they extend into the required margins. Order/ Sequence Dissertations typically contain three parts. Preliminaries Text References For more information, see the section on Organizing Your Dissertation.

Footnotes

Font

Images and Photographs

Indentations

Italics and Bold Face Landscape Pages

Margins

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Pagination

Count ALL pages of your document, including through the end of all appendices. Make sure you allow for blank pages that will not have the page number printed on them. Use lower case Roman numeralsv, vi, vii, etc.for the preliminaries. Start using Arabic numbers1, 2, 3, etcwith the first page of the introduction or with Chapter One. All pages should be numbered without breaks in the numbering sequencing. For consistency and to accommodate binding needs, locate the number of each page at the bottom center of the page. (Formerly, writers were instructed to number the first page of each chapter at the bottom, centered, and all other pages are numbered in the upper right hand corner.) 8-1/2 x 11 white bond paper, not less than 20 lb weight. All pages should be the same size, although exceptions may be made for oversized charts and non-text materials. Pages that exceed the standard size should be assembled according to binding specifications. Questions regarding deviation from the standards recommended in this document should be referred to your dissertation committee. Print pages single sided. Document should be double-spaced throughout. Exceptions may be made for the following. Footnotes Long quotations Tables, where double spacing may be detrimental to the presentation of data or information Table of Contents, where chapters may have numerous sections listed

Paper Size & Weight

Questions

Single Sided Spacing

Standards

Unless established by a particular department or discipline, there are no universal standards regarding caps, boldface, or italics where title pages are concerned. Writers are only urged to adopt a consistent protocol throughout the dissertation.

Organizing Your Dissertation Organize your dissertation as instructed in the table below. This table defines the appropriate order of sections in your dissertation. Directions are also included to specify whether an individual page is counted and whether the page number is printed on the page.

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Note that some of the items listed in this table are optional. The inclusion of optional items is deferred to your discretion as the author of the dissertation. You may wish to consult with your department or committee for individual standards appropriate to your discipline. While not all pages require that a page number be displayed, ALL pages of the dissertation must be accounted for in your numbering. (Samples and more guidelines are provided in the last section of this document.) SECTIONS OF YOUR DISSERTATION ORDER AND NUMBERING PROTOCOL
PAGE COUNT INSTRUCTIONS ON NUMBERING PRINT TYPE

1 2 3 4 5 6 7 8 9 10 11

Title Page Copyright Page (optional) Signature Page Abstract Dedication (optional) Acknowledgements (optional) Preface (optional) Table of Contents Table of Figures or Plates (optional) Introduction (optional) Chapter One

Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes

No No No No No Yes Yes Yes Yes Yes Yes

N/A N/A N/A N/A N/A Small Roman numeral, page v or vi Small Roman numeral Small Roman numeral Small Roman numeral Arabic, page 1 Arabic

Abstract The abstract of your dissertation is published in Dissertation Abstracts by University Microfilms International. The following requirements apply to the composition of your abstract. List the following items on the first page of your abstract. o Title of the dissertation o Your name o Claremont Graduate University o Year your degree will be awarded The abstract must be double-spaced. The abstract is limited to 350 words of text. No exceptions. The abstract should provide a narrative explanation of the nature and scope of the problem or topic of your dissertation, the method employed in developing your dissertation, and a summary of your conclusions.

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PUBLICATION PROVISIONS

Microfilming Agreement Dissertations are microfilmed by ProQuest, which also maintains a negative of your dissertation. When you submit your dissertation to the Registrars Office, you must also submit the following items. A signed ProQuest Agreement, authorizing ProQuest to reproduce your dissertation in microfilm (pages 3 and 4 of the ProQuest brochure) Microfilm and binding fees in the amount of $95 in a check payable to CGU

Microfilming through ProQuest does not deprive you of the right to publish your dissertation as a book or in any other form. NOTE: Personal Copies of Your Dissertation The agreements and fees collected by the University cover the Universitys archiving of your dissertation only. Students who wish to obtain a personal, bound copy of their dissertations should independently seek the services of a book bindery or contact KaterCrafts Bookbinders, www.katercrafts.com, (562) 692-0665.

Copyrights If you wish, you may copyright your dissertation through ProQuest. The Copyright Contract is included as page 5 in the ProQuest Agreement Package. Complete the contract and submit it to the Registrars Office with your dissertations. The contract must be accompanied by a cashiers check or money order in the amount of $55 payable to ProQuest. Personal checks are not accepted, since delays in processing may sometimes exceed six months. IMPORTANT: If you have copyrighted your dissertation through another source, you MUST submit permission from your copyright source in order for ProQuest to reproduce your dissertation upon request. This permission is required at the time you submit your dissertation to the Registrars Office. Even if you do not copyright your dissertation through ProQuest, you retain all rights to your work.

Other Notes about the ProQuest Brochure The ProQuest brochure includes the following information.

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Publication and availability of your dissertation. Open access, traditional publication, copyrights, embargoes (delayed release of your dissertation), and restrictions are all addressed in the ProQuest guides. Guide on preparing your dissertation. Please follow the guidelines in this document rather than those in the ProQuest guide. The ProQuest guide indicates that abstracts are not limited in length. CGU arrangements for publishing your abstract do require a 350 word limitation. Author Discount Offer for additional copies of your dissertation. This service is available to students who choose to go through ProQuest.

SUBMISSION OF YOUR DISSERTATION

Submit your dissertation to the Registrars Office after your dissertation defense (oral exam) and after incorporating any revisions required by your dissertation committee. Be sure to check your documents for completeness, accuracy, and print ready quality. Submit an original and one copy. Bound copies of your dissertation cannot be accepted. Once submitted to and accepted by the Registrars Office, dissertations may not be removed. Corrections and/or additions to your dissertations are rare and undertaken only in exceptional circumstances. Such corrections and/or additions require the approval of your dissertation committee.

After microfilming and binding, the original and a copy of your dissertation are deposited in the Honnold Library.

SAMPLES AND GUIDELINES REGARDING PRELIMINARIES

This section is provided as an expansion of the section on Organizing Your Dissertation. It presents samples of wording and format structure for the preliminary pages of your dissertation. Guidelines are also provided to help you determine whether an optional page or section is necessary. This section contains the following topics. Title Page Signature Page Abstract Dedication

Acknowledgements Preface Table of Contents Introduction or Chapter One

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Title Page

(Title of Dissertation)

by (Your Name) (Alternate wording for titlesee text below)

Claremont Graduate University (Calendar Year of Your Degree)

Approved by _______________________________________ Committee Chair

Copyright (Your Name), (Year) All rights reserved.

Alternate wording for the title line may describe what is being submitted. Below are two examples.

A final project submitted to the Faculty of Claremont Graduate University in partial fulfillment of the requirements for the degree of Doctor of (Name of Field).

A dissertation submitted to the Faculty of Claremont Graduate University and (the Joint Institution Name) in partial fulfillment of the requirements for the degree of Doctor of Philosophy in the Graduate Faculty of (Name of Field).

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When the degree is awarded jointly by two institutions, replace the Claremont Graduate University line with a line listing the locations of the two institutions. For example, the line might read Claremont Graduate University and California State University Long Beach. The title page may include the name and signature of the dissertation committee chair in the space just above the copyright notice. This inclusion is optional since approval is already provided on the Signature Page. If added, however, the citation should appear in one of the following formats. When the dissertation committee has a single chair, the wording can be centered to follow the flow of the remainder of the page.

Approved by the Dissertation Chair ____________________________________________________ Typed Name, Title, Department

If there are multiple chairs, the names and institutions of each chair should be recorded.

Approved by the Dissertation Chairs

Typed Name, Department Institution

Typed Name, Department Institution

Note that no page number is printed on the title page.

Signature Page The signature page is the formal declaration of your dissertation committee approving your work and its qualification for your degree. It includes a formal statement and the signature of each member of your dissertation committee. The listing of the committee members should identify the department or area of expertise for the committee member. Note that a Visiting Examiner, in the last signature line, is optional, but may be added with the approval of the dissertation committee chair. Note that no page number is printed on the signature page.

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APPROVAL OF THE DISSERTATION COMMITTEE

We, the undersigned, certify that we have read, reviewed, and critiqued the dissertation of (Student Name) and do hereby approve it as adequate in scope and quality for meriting the degree of (Degree Name).

____________________(Signature)_________________________________________________ Typed name of Chair Position or Title Department Name

____________________(Signature)_________________________________________________ Typed name of Committee Member Department Name

____________________(Signature)_________________________________________________ Typed name of Committee Member Department Name

____________________(Signature)_________________________________________________ Typed name of Member/Visiting Examiner Department Name

Abstract As noted in the instructional section of this document, your Abstract will be published in Dissertation Abstracts. The 350 word limit is absolute for publication purposes. To avoid being cut off mid-sentence, do not exceed this limit. Note that no page number is printed on the abstract page.

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Abstract (Dissertation Title) by (Your Name)

Claremont Graduate University: (Calendar Year of Your Degree)

(Your abstract is limited to 350 words, double-spaced. See information regarding the Abstract in the instructions section of this document.)

Dedication A dedication is not required; however, many individuals choose to honor an individual or individuals with a brief recognition. Dissertations are often dedicated to parents, spouses, significant others, or mentors. No page number is printed on the dedication page.

Acknowledgements An acknowledgements page is not necessary, but may be used as the first page of the dissertation to recognize individuals and other entities who significantly contributed to the development and composition of your dissertation. Examples of such entities may include committee members, outside readers, an individual who helped formulate your proposal, or someone who contributed computer work or statistical analysis. Funding resources for research support are appropriately recognized in an acknowledgements page. Note that the acknowledgements page is the first formal page of the body of your dissertation. It should be numbered with a lower case Roman numeralfor example, vi.

Preface If you include a Preface, it would follow the acknowledgements and continue the lower case Roman numeral numbering.

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Table of Contents Use the Table of Contents to list the significant headings and subheadings of your dissertation. The Table of Contents may be followed by other lists, such as tables of diagrams, figures, illustrations, plates, or the like. Continue the lower case Roman numeral numbering for all pages of your Table of Contents and other tables.

Introduction or Chapter One The Introduction is optional. Chapter One, or the Introduction if you include one, begins the Arabic numbering of your dissertation. The first page is page 1 and all subsequent pages should be numbered through the end of your reference sectionseven pages with illustrations, graphs, figures, charts, or plates.

This document has been prepared by the Registrars Office at Claremont Graduate University.

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