The University's requirements are designed to allow authors a great deal of latitude for deciding how best to present their work. There are no rules except those directly related to the University's commitment to preserve and disseminate the scholarly and research contributions of its students. Students are accordingly expected to adhere to these rules.
The rules specifying margins are to permit dissertations to be bound and trimmed.
Margins must be uniform throughout the dissertation. The binding edge, normally the left margin, must be at least one and a half inches; the other three margins must be at least one inch. With only one exception (see V.2.), nothing may be printed outside these margins including page numbers. Thus, the first line of text normally will be approximately one and one-quarter inches from the top edge of the sheet, assuming that you place page numbers at the top of the page, as recommended (see V.2.). If page numbers are at the bottom throughout, they all must be at least one inch from the bottom edge.
On those pages which have only a caption and legend facing a figure, the right edge becomes the binding edge, and thus the right margin must be one and a half inches (see Section V.3.2.6.).
Page numbers on the first page of any major section (including the table of contents, lists of tables or figures, chapter openings, reference list or bibliography, and appendices) should be centered at one inch from the bottom of the page, but may be placed at 3/4 inches from the bottom if necessary. No other page numbers may be printed outside the margins. All other page numbers should appear either top centered and one inch from the top of the page, or, better, top right, that is, one inch from both the right edge and top edge. (On facing caption pages, numbers should appear either top centered or top left, i.e., near the edge of the book rather than the spine.)
Every sheet must be counted for purposes of numbering pages. Every sheet must have a page number printed on it except for the title page, and copyright, dedication, part-opening, and epigraph pages. Other guidelines for pagination follow:
Dissertations are generally composed in three main divisions: the preliminary pages, or front matter; the text, or main body, of the work, usually divided into parts, chapters or sections; and the end matter, which consists of appendices and bibliographies, references, or works cited.
The preliminary pages include elements such as the title page; the table of contents; lists of tables, figures, maps, abbreviations and so on; acknowledgments and/or dedication; and an abstract or a preface. Every dissertation must include a title page and a table of contents--(except a musical score, which needs only a title page--beyond that, it depends on the dissertation. (However, a musical score need not have a table of contents.) Some departments require an abstract as part of a dissertation, others do not. (This is separate from the requirement to include abstracts for the Dissertation Office and for PQIL/UMI--see Section VI.1.) All dissertations with tables or figures must include separate lists of tables and figures on separate pages.
Each new element in the preliminary pages must begin on a new page. It is conventional to use the same format and style-the same drop (larger top margin), typeface and type size--as is used on chapter opening pages. Although there is no required order of appearance of each element of the preliminary pages (excepting the title page), the order in which each section is discussed below is one practical suggestion.
Each dissertation must have a title page arranged in the form of the model title page distributed by the Dissertation Office. A sample is included in the Section VIII, Sample Pages and Forms. The title page is counted as "i", but the number is not printed on the page. The date at the bottom of the page must be the month and year of convocation--either March, June, August, or December--not the date of the defense.
If you have more than one volume, each volume must have a separate title page. The words VOLUME ONE (1, I) must appear centered under the title of the first title page, VOLUME TWO (2, II) on the second title page, and so on.
You may wish to include a blank page following the title page to prevent "see-through" from the table of contents page. This page may also be used as a copyright page. If so, enter the words "Copyright © 200x by Author's Name" [new line] "All rights reserved", centered, toward the bottom of the page. You may include a copyright notice even if you do not plan to register your copyright.
If used, this page is counted in the pagination, but by convention no number should be printed on it.
Each major section (including front and end matter sections as well as parts and chapters) must be listed in the table of contents with corresponding page numbers, except for the title, copyright, dedication or epigraph pages, and the table of contents itself. A title listed in the table of contents must be listed exactly as the title appears within the text.
If a dissertation is divided into two or more volumes, then the division must be reflected in the table of contents. The words VOLUME ONE (1, I) must be placed centered beneath TABLE OF CONTENTS, and VOLUME TWO (2, II) must print, again centered, at the corresponding break. No page numbers correspond to these lines.
If your manuscript has figures or tables, you must include a list of figures or tables; if there are both figures and tables, there must be two lists. Even if you have just one figure or table, you still must include a list of tables and/or figures. The figure or table number, its title, and a page number must appear on these lists, which should immediately follow the table of contents.
If a figure or table is longer than a page, reference only the first page (or facing caption page) of the figure or table.
If you wish to include an acknowledgment, preface, abstract or a dedication page, this is the place to do it. The dedication page does not need a page number printed on it, although it is counted in pagination. (This page may also be put immediately prior to the table of contents.) The abstract's content may be the same as the PQIL/UMI abstract, or it may be different. The abstract that goes in the manuscript must be paginated consecutively with the other front matter pages. Please note: the dissertation title, your name and your advisor's name should not be printed on the abstract that is in your dissertation. These are only printed in the Dissertation Office and PQIL/UMI abstracts. (see abstract section VI.1)
Some departments have specified how they want their students to format chapter headings and subheadings within chapters. Check with your department or advisor to see if yours is one of them.
Here are some workable suggestions:
Subheadings announce sections within chapters. They should not begin on a new page, except by pagination chance, or to prevent the subheading from being followed by only one line of text. They should never be the last line of text on a page. Again, choose a style for subheadings and use it consistently. This office recommends that you use the styles function of your word-processing software to format subheadings. (see Section VII. Using Technology)
The basic text of all dissertations must be double spaced. The following should be single spaced:
The author is responsible for choosing a style of citation that is appropriate to the field and using that style correctly and consistently. Consult your department or your advisor to see if they have set up guidelines for you.
Footnote indicators (the footnote number in your text) must be superscript and large enough (at least nine point) to be legible in microfilm. Footnote numbering must be continuous within each chapter or appendix, not throughout the text. That is, start each chapter or appendix with footnote 1. If you use numbered footnotes, each one must begin on the same page as the footnote indicator.
You must insert an extra line space between notes when there is more than one on a page, so that your reader easily can see where each note starts.
Endnotes, that is, numbered notes gathered at the end of a chapter or of the work, must not be used.
A short line rule called a separator dividing the footnote area from the main text is required. All major word processors will create a separator automatically. If a note continues onto the next page, it is conventional to insert a line rule (called a continuation separator) which runs from margin to margin on the page where the note ends. Some word processors cannot do this, however. The second part of a continued footnote must appear within the same chapter as the first part.
Footnotes must be paragraph indented if the body is. Footnote text must be at least ten point type, or twelve characters per inch. Footnote text is usually single spaced. In the footnote itself you may want to follow the traditional superscript style (with no space following the number), or to follow the modern practice described in the Chicago Manual of Style, 15th edition, and use full-size numbers, followed by a period and a space.
It is recommended that footnote indicators in the text be placed outside any punctuation. The only exception is if the text to be noted falls entirely within a parenthetical comment; then the footnote indicator will fall within the close parenthesis.
The University does not specify how tables or figures must be formatted, although individual departments may. If your department does not specify a style, you may want to consult A Manual for Writers of Term Papers, Theses, and Dissertations, by Kate L. Turabian, the Chicago Manual of Style, or a style manual in your discipline.
Each table and figure must have a unique number assigned to it, along with a title or description of the figure or table. There are two possible numbering schemes: consecutively throughout the text, or by chapter, e.g., Table 1.1, 1.2, 1.3, 2.1, 2.2, 2.3, A.1, A.2, B.1, and so on. No dissertation may have two different tables called "Table 1."
All dissertations with tables or figures must include a List of Tables and/or a List of Figures following the Table of Contents, even if there is just one table or figure. The lists will include the number and title of each table or figure and the page number on which they begin. If both lists are included, they must begin on separate pages.
We strongly encourage students to interleave their tables and figures with the text on the same page or, often easier and better, the page after the first citation. If you place all of your tables at the back of the book, readers (especially microfilm readers) will find it significantly harder to use them. However, there are two good reasons for putting tables or figures at the end of the dissertation: if there are so many that they tend to stack up on top of each other (say, six pages of tables, then two pages of text, then five more pages of figures), or if they are discussed throughout the text, rather than primarily in one place.
If the tables or figures are placed at the end, they must be gathered in an appendix, e.g., "Appendix A, Tables," or "Appendix B, Figures". They must not simply appear at the end of a chapter or bibliography.
If a table or figure continues to a second page, label the continuation, "Table 1, continued." It is poor practice not to repeat the boxhead on the continued pages; if you do not, the reader will have to turn back to the first page to know what each column represents.
APA style calls for authors to place a prominent note "Insert Table (or Figure) X here" in the area where the item is referred to. Do not do this in your dissertation. APA style assumes that a typesetter will later correctly place the table. You are your own typesetter for your dissertation. You may use a font and point size in tables or figures that is different from the one you use in the body of your text. See Section V.4 for details.
Each table and figure must be identified by a caption, or title, as well as a number. Figures may also include explanatory material (a legend). You may single space captions and legends. If they will not fit on the same page with the figure, you may put them on the facing page. Separate caption pages must be turned face down in the copies that you submit to this office. The right hand margin will then be the binding edge, and must be set at one and a half inches. Both the facing caption/legend and the figure pages must be counted and numbered.
If a table or figure is printed in a broadside (or landscape) orientation, the top of the item must be adjacent to the binding edge (this margin should measure 1 1/2"). The page number must be placed in the same place and with the same orientation as the page numbers on portrait pages. You may put the number on with a typewriter. All margin requirements must be observed.
Notes in tables are not numbered sequentially with other footnotes. You should use either superscript lowercase letters, such as a or b, or symbols, such as * or **. The sequence begins anew for each table. Table footnotes do not appear at the bottom of the page; they should appear at the bottom of the table to which they refer. Sources for tables do not require footnotes; you may simply put "SOURCE"; followed by the source(s), under the line rule at the bottom of the table.
UMI discourages using color in figures because it will not be reproduced either in microfilm or in the print copies made from microfilm masters; students should make every effort to use some convention other than color to convey significant material. Likewise, the use of gray in charts and graphs can also be problematic because the microfilm process renders it black or white. If your graphics depend on color, see VII.4.
Each major section of the end matter of a dissertation must begin on a new page, and should have a format consistent with every other major section of the work. Each section is listed in the table of contents.
Appendices may begin with separate appendix opening pages if the material includes, for example, a previously published article, a survey, or a full page figure or table. Page numbers (bottom centered) on these opening pages are optional, as on part-opening pages, but the page must be counted in the pagination. If you have more than one appendix, each must have a title and a number or letter (e.g., "Appendix A: Tables"). If there is only one, you may call it "Appendix: Title."
If you are inserting a previously published article, form, questionnaire, survey, etc., it may be photocopied, but it must be readable, unless your advisor or department chair determines that readability is not for some reason essential to its meaning in your dissertation. The sheets must be numbered consecutively with the rest of the dissertation. The rules for margins must be followed. Page numbers must be bracketed if there may be confusion between the page numbers in the original and those in your dissertation.
We recommend that you single space each individual entry in a bibliography, and put a line space between entries. Bibliographies are often more easily read if they have a "flush and hang" style-the first line flush left, each runover line in the entry indented. It is also helpful to readers if entries are not split across pages.
The University does not specify which bibliographic forms you may use. It is to your advantage to follow a style used by an authoritative journal in your field.
You may never use any script or ornamental font. There are no University-wide rules specifying the fonts you must use. Some departments do specify the fonts they want students to use. Please check your department requirements.
All type, including super- and subscripts in formulas and footnote indicators, must be large enough and sufficiently dark and crisp to be legible in microfilm. However, if you adhere to the following guidelines, we will not reject the result on the grounds that the type is too small to read:
If you have a question about one of your tables or figures, it is a good idea to show us a sample at your earliest convenience. See Section VII.3. for further information about fonts and printers.
Be sure to obtain competent technical advice covering every phase of producing your dissertation, from entering text to printing, before you begin using Greek, Russian, Japanese, Hebrew and other non-standard fonts.