Arkansas State University - Powering Minds

A dissertation is required for all doctoral students. Completion of the dissertation demonstrates the ability to address a major intellectual problem and the results constitute a contribution to knowledge in the field. The dissertation must also demonstrate the student’s ability to communicate. Prior to beginning research on the dissertation topic, a student must submit a proposal for approval by his/her dissertation advisory committee (page 24). Some departments require continuous enrollment during the dissertation writing process. Once doctoral student have enrolled for dissertation credit, they must maintain continuous enrollment in a minimum of one semester hour of dissertation credit during each regular semester, including at least one summer term each year, until the dissertation has been accepted. The Graduate School requires that dissertation abstracts be published in University Microfilm International (UMI) or an equivalent electronic publication. Details and application forms are available at the Graduate School.

A thesis, when required or chosen, must include the results of original and significant investigation.
Prior to beginning research on the thesis topic, a student must submit a thesis proposal for approval by his/her thesis advisory committee (page 24).

The term “research document” will be used throughout this guide to refer to both the dissertation and the thesis.
Preparation of the Research Document

Since the bound research document is a publication of Arkansas State University, the University sets certain standards for format, paper, reproduction, binding and approval which must be followed by students in all academic disciplines. This guide sets forth those standards. The guide is also intended to serve as an aid to faculty involved in the supervision and direction of research documents. The University encourages students to write in the form required by their disciplines, where possible, because that style is the one most likely to be useful after graduation. Students should consult the list of style manuals adopted by the graduate departments and should determine whether other guides or manuals are recommended.
In preparing the research document, common sense and discipline-specific requirements should be a major consideration. Obviously, if there are no illustrations in the manuscript, there should not be a “List of Illustrations” in the preliminary material. The research document may or may not lend itself to organization into separate chapters and an “Introduction” may or may not be appropriate. Finally, students should pay particular attention to the sample pages (page 12) and some of the more common errors that have appeared in the past (page 9).

Deadlines are established each semester for submission of the research document to the Graduate School. Follow the checklist (page 9) and consult the Graduate School for the deadlines, http://graduateschool.astate.edu/currenst.htm.

Style Books
Campbell, William Giles, Stephen Vaughn Ballou and Carole Slade. Form and
Style-Theses, Reports, Term Papers. Boston: Houghton Mifflin Co.

Turabian, Kate L. A Manual for Writers of Term Papers, Theses, and
Dissertations. Chicago: University of Chicago Press.

Blank Pages (Required)
When binding the research document, the first and last page of the research document must be a blank sheet of paper.

Parts of the Manuscript
            A research document consists of these major parts:
            1. preliminary pages
            2. text
            3. reference topics
            4. appendices
            5. autobiography (optional)

Preliminary Pages

Preliminary pages must appear in the order described below. Note that all pages (preliminary and text) must conform to the margins as indicated on page 4. These pages are numbered with lower case Roman numerals.

Title/Signature Page (Required)

Each copy of the research document must include a title/signature page prepared exactly in the accordance with page 13. This is the only page among the preliminary pages that does not bear a page number, it is page “I” but the “I” is not printed on the page. The candidate’s full legal name should be used on the title page.

Copyright is a form of protection provided by the laws of the United States to authors of original works. This protection is available to both published and unpublished works. If the author wishes to pursue formal copyright registration, the appropriate forms and the Copyright Law Guidelines may be obtained from many sources, including the United States Copyright Office, Library of Congress, http://lcweb.loc.gov/copyright or through University Microfilms International (UMI). A brochure explaining copyright regulations is available in the Graduate School. The author is responsible for all fees and for the preparation of the required number of copies. If a copyright notice is to appear in a research document, it follows a particular form (page 14). This notice should be placed on a separate page directly following the title page; it counts in the numbering system, but no number appears on the page.

The candidate may include a brief dedication or acknowledgement; if so, it follows the copyright page. The candidate need not acknowledge advisory committee members; their participation is assumed from their names on the approval page (page 15).

The Table of Contents lists the chapter and section headings with their page numbers (page 17). All entries in the Table of Contents should be made in the same wording as the headings appear in the text. Main headings in the table should be written in all capitals. If plates, tables, or illustrations (e.g., maps, diagrams, charts, or photographs) are incorporated in the text, a separate “List of Figures,” “Table of Illustrations,” or “List of Tables” must be included after the Table of Contents (page 18).

Although the abstract appears early in the research document, it should be the last part of the document to be written. The major purpose of the abstract is to summarize information that will enable the reader to decide whether to read the complete work. Usually the abstract will be a single paragraph, double-spaced, briefly describing the problem, the method of study, and a summary of the conclusion. Abstracts should not exceed 350 words for either a dissertation or a thesis, and be not more than one page.
The abstract is the final entry in the preliminary pages of the manuscript. The abstract page includes the full title of the research document in all capitals and the candidate’s full name (page 16). Abstract pages are not numbered.

Format, style and method of presenting text, bibliographies, etc., vary from discipline to discipline. Each department offering graduate degrees will choose the research manual that is accepted for published research in that discipline. In spite of the style differences, general uniformity is expected in all research documents. The same paper, spacing, margins and page numbering must be used throughout the research document.The following include requirements for completion of the research document and suggestions that should be followed unless the advisory committee directs otherwise.

Because the research document will be placed in the University’s archives, it must be typed, error-free, on archival quality paper. Minimum requirements are that the paper must be on:

Use of erasable paper is unacceptable. Use of Arkansas State University is
prohibited.

The research document may be prepared on a typewriter or personal computer. Before beginning preparation of the final draft, determine that the hardware and software are capable of meeting and formatted to meet the requirements for margins, pagination and spacing.

Research documents must be printed on a letter quality or laser printer. The standard font (Arial, Courier, Times New Roman, Helvetica) should be 10- or 12-point and easily readable (9-point might be used for an unusually large table). Use of larger type for titles and headings is acceptable.

Because the research documents are bound and filed in the University library, margins must allow for ease of binding and reading of the bound work. All pages of the research document must have the following margins:

            Left margin                1.5 inches
            Right margin             1.0 inch
            Top margin                1.0 inch
            Bottom margin          1.0 inch

A template is provided in the back of this guide to check the mandatory margins for all pages of your document (page 20). No text may appear outside the lines.

The Graduate School recommends that you set the left margin to 1.6to ensure an adequate binding edge. The top margin must be 1.0 inch, except on first pages of major sections (title page, abstract, introduction, chapter, bibliography, etc.) where the top margin should be 1.5 to 2.0 inches. In setting up any centered headings, titles, or numbers, the extra 0.5-inch of the left margin should be disregarded; i.e., centering should take place on the remaining 6.0 inch-long typed line. If word-processing is used, the right margin may be justified or not as you wish, but be consistent. The document must be typed or printed on one side of the paper. Standard double spacing is required. The only required exceptions to double spacing are that the space after the title of major sections of chapters must be triple or quadruple spaced and the space before and after short tables included on pages with other material must be triple or quadruple spaced.

Single spacing is normally used for captions, footnotes, quotations more that four lines in length, bibliographic citations of more than one line and appendices.
The Graduate School does not specify styles other than the margins indicated. Whatever style you follow should be followed consistently.

Care should be taken regarding paragraphs near the ends of pages. “Widow” lines occur when the last two lines of an “old” paragraph appear alone at the top of a new page. “Orphan” lines occur when the first two lines of a new paragraph appear alone at the bottom of a page. You may allow more that one inch at the bottom of a page in order to avoid widow and orphan lines.

Major sections should have titles and should begin on a new page. Each new section should have a two-inch margin from the top. The use of the word “CHAPTER” or the numbering of the selections is not necessary although either device may be used. With one exception, headings should follow the style manual adopted by the student’s department. The single exception is that the titles of major sections or chapters should be typed in all capital letters.

Lettering and drawing for charts, figures, tables and charts must be done in black, permanent ink. Computer-generated text is preferred for lettering and drawing. Each should be placed on a separate page immediately following where it is first cited.

Mounting of photographs, drawings or other illustrative materials onto pages of the research document must be accomplished to assure permanent adherence. Material should be mounted with heat-fixed adhesive paper or with permanent bonding spray adhesive. Each submitted copy of the research document should contain identical original mounted materials, not photocopies.All illustrative material should be incorporated into the text as soon as possible after they are mentioned. Diagrams, figures, illustrations, mounted photographs and longer tables should be placed on separate pages.Whenever possible, the caption should be placed on the page with the illustrative material. If a caption must be placed on a separate page, the page with the caption should precede the illustration and be included in counting for pagination.

Graphs and diagrams should be of professional quality. They may be reproduced by any of the processes used for the rest of the manuscript. Glossy 8x10-inch photographs or original computer-generated images are preferred for all copies of halftone illustrative material. Thermofax, blue-line, soft gelatin transfers or mimeograph copies are not acceptable.
Dry-mounting of illustrations is preferred, but any high quality sealant of guaranteed permanency is acceptable. Cellulose tape (including transparent tape), rubber cement, staples or paper clips are not to be used to attach illustrative material.
Computer-generated material may be included. The material should be printed on the best grade of paper available and care should be taken to ensure that proper page margins are observed after detaching perforated edges and trimming.

All margins of illustrative material must meet the requirements for textual material. Pages larger that 8.5” x 11” are not acceptable because of binding. Oversized pages may be reduced and copied onto archival quality paper so that the material fits within the margins, or placed in a pocket on the inside back cover. The Table of Contents should list this material as “in pocket at end.” The folded material and pocket should not exceed the specific margins.

When the writer of a research document quotes substantially from the work of another person or of other people, written permission should be obtained from whomever owns the copyright to the matter quoted. Writers may quote passages from copyrighted works when such quoting is for educational purposes and involves no profit, and when the material quoted is considerably less that the whole work.

Plagiarism is the act of taking and/or using the ideas, work, and/or writings of another person as one’s own.
1. To avoid plagiarism, give written credit and acknowledgement to the source of thoughts, ideas, and/or words, whether you have used direct quotation, paraphrasing, or just a reference to a general idea.

Footnotes appear at the bottom of the page; endnotes come at the end of each chapter or at the end of the entire text. Whatever system of footnoting is adopted should be followed consistently throughout the entire manuscript.

Full citation of the sources for particular quotations or other data must be provided. The form of citation varies from discipline to discipline and is established by each department. Students must be consistent in their use of the form prescribed by their department. If departmental standards permit placement of citations at the end of each chapter, the citations should begin on a new page and contain a heading (e.g., Notes of Chapter). Notes are not to be indicated in the Table of Contents.For electronic or online sources, include the full http address and the date you visited the website. Consult a style guide for details on how to correctly cite electronic media/publications.

A section headed “BIBLIOGRAPHY” of “REFERENCES” follows the endnotes, if used, or the text. The department establishes the style and form.

A final section may contain supporting data in the form of one or more appendices. If there is more that one, each appendix should be lettered in sequence, e.g., Appendix A, Appendix B. The title of the appendix should appear on a separate page before the appended information.

Compliance with federal regulations governing the use of human subjects, experimental animals, animal care, radiation, recombinant DNA, or the handling of hazardous materials in research is monitored by a number of federal agencies. If the research document involves the use of human or animal subjects, the student must include the approval form and other pertinent documents obtained from the Office of Research and Technology Transfer or http://researchoffice.astate.edu/irbforms.pdf.
Unless a study is clearly exempt from any level of IRB review, all research that utilizes human subjects must be approved by the IRB before the research begins.

Numbering Systems	Pages in Sequence
Preliminary pages
Use small Roman numerals beginning with page number iii. The first page on which the number is printed is the preface and/or acknowledgement.	One blank sheet Title/Approval page (no page number) Preface/Acknowledgement (page iii) Abstract (no page number) Table of Contents List of Tables List of Figures
Body of Text Use Arabic page numerals.	Body of Text (Page 1) Bibliography or References Appendix or Appendices Autobiography One blank sheet

Every page of the research document is numbered EXCEPT the title page, the abstract (which is still listed in the Table of Contents) and the approval page. Numbers appear without periods, hyphens or other punctuation.
The number of each page with a major heading (i.e., introduction, chapter, and references) should be centered between the margins 1” from the bottom of the page. The text should be not closer than one double space above the page number. Other page numbers should be placed in the upper right corner 1” from the top, double spaced above the text, and flush with right margin.

The original research document is to be presented to the committee in advance of the oral defense. After successful defense before the committee, two original unbound copies (thesis) or three unbound originals (dissertation) are to be presented to the committee for approval. Original signatures for approval are required on all copies. The Graduate School requires a minimum of two signed copies of the thesis or three signed copies of the dissertation to be turned in to the Graduate School for binding. The original is for the library, and one or two copies are for the department. Additional copies for the student and dissertation/thesis committee members are at the discretion of the student. Binding fees are $10 for a thesis and $15 for a dissertation and can be paid at the cashier’s window in the administration building. The original, the approved copies, an approval form to place the bound dissertation or theses in the library (page 22), and a binding fee receipt are to be presented to the Graduate School prior to the announced deadline.

The Graduate School requires that dissertation abstracts be published in University Microfilm International (UMI) or an equivalent electronic publication. Doctoral students must submit one copy of the title page and of the abstract along with the microfilming agreement for submission to UMI Dissertations Publishing (ProQuest). The digital document must appear in Adobe PDF format. Application booklets can be obtained at the Graduate School. The abstract will be published and distributed in Dissertation Abstracts International. All dissertations will be published under the plan provided by UMI. The student is responsible for initiating the submission process. That process includes the submission of a Doctoral Dissertation Agreement Form along with either a printed or an electronic copy of the dissertation and a fee (currently $55). Students are advised to visit http://www.bellhowell.infolearning.com/ or http://www.proquest.com/ for more information.

The most frequent errors are misspelling, incorrect verb tense, inaccurate use of capitalization and the incorrect division of words into syllables at the end of a line. One- and two-letter word divisions, such as e-vil, a-tone, en-velope, entire-ly, are not acceptable.

Dissertation and Thesis Checklist:
14 Steps to Complete Your Research Document Successfully

For the master’s thesis, the thesis adviser will select at least two additional graduate faculty to serve on a thesis committee for the student. One member of the committee may be from outside the department. The thesis adviser will chair the thesis committee.

      3.   A dissertation or thesis committee form, obtained from your advisor or on
            page 23, must be completed and submitted for approval to the department
            chair and the dean of the Graduate School.
      4.   Following study and consultation with the dissertation or thesis adviser and
            the committee members, the student will select a research problem or topic.
      5.   The student prepares a dissertation or thesis proposal approval form (page
            24).
      6.   The proposal is submitted to the dissertation or thesis committee for
            approval. The thesis proposal stays within the department, but a copy of the
            dissertation proposal is given to the Graduate School

7. The student studies the Guide for Writers of Dissertations and Theses and
reviews any questions with the advisor or committee chair.