(This guide is constantly updated. Please check back frequently.)
Last revised on: 1 July 2014.
This preparation guide specifies Graduate School requirements pertaining to style,
organization, and formatting for electronic theses and dissertations. Students should
become familiar with this guide at the time they begin their first draft.
Students are 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. In addition, academic departments may have additional formatting requirements
or may specify requirements.
Requirements set forth in this guide take precedence over certain requirements in
style manuals or refereed journals.
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 each Fall and Spring semester until the document is complete. Once students have
enrolled in the maximum number of hours allowed, they may continue to enroll in one
additional hour. 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 Dean of the Graduate School 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 Dean of the Graduate School. Retroactive approval will not be granted. A leave
of absence does not extend the time limitations for a degree program.
THESIS/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 committee members 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).
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. Faculty members employed outside the University of Memphis must apply for Adjunct
Graduate Faculty Status.
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 members may not serve on committees.
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
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 submitted with your thesis or dissertation.
For further information, contact the IRB coordinator in the Office of Research Support
Services at (901) 678-2533.
All uses of vertebrate animals must receive prior approval from the Institutional
Animal Care and Use Committee (IACUC).
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 (ProQuest) 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
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.
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:
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
FONT TYPE AND FONT SIZE
- Arial or Times New Roman
- 12-point font size
- 1.0" top, right, and bottom
- 1.5" left
MARGIN JUSTIFICATION AND HYPHENATION
- Align all text with the left-hand margin, except paragraph indentations (5 spaces required), centered headings, or block quotations (indent 5 spaces only, not 10). 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
- Double space all text.
- EXCEPTION: you may single space data in long tables, quotations more than 4 lines in length (block quotations),
multi-line figure captions, and bibliography or reference entries.
- Double space between all footnote entries.
- Double space between all bibliography or reference entries
- Double space between all paragraphs within centered/and or subheadings.
- Triple space before and after all tables and figures within the text.
PAGE NUMBERING AND PLACEMENT
- All page number should stand alone without any form of punctuation and should be 1/2"
from the bottom of a page. (The last line of text must be 1" from the bottom).
- Preliminary pages, such as the Copyright, Dedication, Acknowledgement, Abstract, Preface,
Table of Contents, List of Tables, List of Figures, or List of Abbreviations, etc. must
be numbered in small Roman numerals beginning with "ii" and must be centered on the
- Pages in the body of text must be numbered using Arabic numerals and must be centered at the bottom of each page.
PAGINATION AND SEQUENCING TABLE
Table of Contents
Small Roman Numerals
Count/Do not Number
Copyright Notice (optional)
Table of Contents
List of Tables (for 5 or more only)
List of Figures (for 5 or more only)
Key to Symbols or Abbreviations (optional)
Arabic Numbers Starting at 1
Thesis or dissertation text
Summary or Conclusions
Appendix or Appendices
SAMPLE PAGES (in sequence)
This form must have original signatures of all committee members and must be submitted
to the Graduate School with the "paper" copy for review. Please do NOT submit to the Graduate School prior to review copy submission.
The approval form must NOT be included in the electronic submission document.
- 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 author citations.
- Mathematical formulas, diagrams, and other illustrative materials must be avoided
at all costs.
- 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 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
- Page numbers in the Table of Contents must correspond to the page sequencing in your
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 second and
subsequent lines with the text on the first line.
- Double space between each title entry.
- The wording of table 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 mentioned for the List
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. Try to 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.
CITING ELECTRONIC OR ONLINE SOURCES
Most style guides include current information for citing electronic media or publications.
The APA, ASA, MLA, Chicago Style Manual, 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
- 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
- The date you visited the web site, in parentheses.
- 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.
DIVISIONS AND SUBDIVISIONS
- The thesis or dissertation must include an introduction, a literature review that
defines objectives of the research, and a concluding chapter that ties the results
- In some departments, theses or dissertations may include as chapters, articles that
have been published or have been 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
published or have been 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 accepted or 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.
TABLES AND FIGURES
- All tables and figures, including the caption, must meet margin, font, and format
- Triple space before AND after all tables and figures within the text.
- The table number and its corresponding caption must be typed ABOVE the table. Use Arabic numbers and single space the caption.
- The figure number 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
to accommodate the caption but still must be readable.
- If a table and/or figure is continued onto one or more pages, repeat both the table
title and the table column 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 column header row and at the bottom of the table. They
may, however, be used only for needed visual clarity.
- 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 placed 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.
- 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, must be one size smaller than
- Indent the footnote number and first line footnote text, 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. At the beginning of each new chapter,
begin each footnote number with the Arabic number "1".
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 and text must 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
- You may allow more than 1" at the bottom of a page in order to avoid widows and orphan
- Include a double space before AND after all mathematical equations.
- Equation numbers (typed in either parentheses or brackets) must be aligned with the
- 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 bitmaps, GIFs or JPEG images.
- Larger images, including maps, plates or charts, which require high resolution must
be included in the main document.
Submit the following items to the Graduate School to begin the review process:
- A "paper" copy printed on standard computer paper must be submitted AFTER you have defended and made all corrections given to you at the time of your final
- A completed Final Committee Approval for Electronic Thesis or Dissertation Submission form signed by ALL committee members.
- A Thesis/Dissertation Defense form, if one has not been previously submitted by your department.
- REMINDER: The Graduate School is required to have a Comprehensive Exam Results form for ALL degree seeking students. If you have not been administered a separate oral and/or
written comprehensive exam by your department, the oral defense of your thesis will
satisfy this requirement; therefore, this form must be submitted to Graduate School by your department.
- 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 used for formatting purposes, in addition to the "Instructions for Author"
for the journal, if one is available.
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 exact 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 sees. Fonts can be embedded when you convert
from Word to PDF. Embeddings fonts will significantly increase your file size.
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
- 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
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 document fonts and 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
- Click on the My Submissions tab.
- Log in using your U of M UUID (Email) 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
- 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.
- Please type your abstract from scratch. Do not copy and paste your Word document abstract into the text box. If you do copy
and paste, HTML code will appear and could cut off sentences in the middle. 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 front matter form as you wish 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 front matter has been completed, upload your document and any audio/visual
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
- After submission, 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
- 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, click the "Back" button in the ETD system, not your browser Back button, 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.
-- 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.
FINAL 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 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 ProQuest Dissertation Publishing Agreement form (see below). Attach the following items to the agreement form: (1) permission letters for previously
copyrighted materials and (2) permission letters to reproduce copyrighted images,
videos, graphics, animation, data and images of individuals.
- the confirmation page for 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 payable to The University of Memphis) to the Bursar's Office, Wilder Tower 115.
Attach a note asking that a duplicate receipt be sent to Michelle Stout in the Graduate
School, AD 215.
The dissertation process is considered complete only after all the above items have
been submitted to the Graduate School.
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.
After your CD and additional items are sent for microfilming, your work will become
available through the UMI dissertation (ProQuest) database. Publication is usually
completed within 8 to 10 weeks 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
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.
The information provided on the survey questionnaire remains confidential and is safeguarded
in accordance with the Federal Educational Rights and Privacy Act of 1974 (FERPA).
The survey data are reported only in aggregate form or in a manner that does not identify
information about any individual.
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 firstname.lastname@example.org.
PERSONAL COPIES FOR BINDING
Students who wish to have bound copies of their thesis/dissertation may contact:
J & K Bindery
4602 Quince Road
Memphis, TN 38117
Phone: (901) 685-0446
The minimum cost for binding is $25 per copy.