Guidelines for Dissertation Submission and Publication: Formatting Guidelines and Checklist



What You Need to Know and Do

Congratulations! If you’re reading this then you’re close if not ready to deposit your dissertation. Before delving into the fine details of formatting your dissertation, take note of the following important and time-saving steps/pieces of information:

1. SAVE a Microsoft Word .doc/.docx version of your dissertation in addition to the PDF file you will eventually create in Adobe Acrobat. DO NOT replace the .doc/.docx version with the PDF as it will make the editing process (should there be errors in your formatting) much harder than it needs to be. File name should be last name, “dissertation,” graduation year (e.g., PeckDissertation2014.pdf).

2. CHECK your table of contents whenever you make changes to your dissertation. Make sure fonts do not change in your dissertation. Auto Format in Word sometimes changes the fonts randomly to whatever your default font is set as. 

3. REVIEW the guidelines presented in this packet. Should you make an error related to pagination, margins, content order, or font you will be referred back to these guidelines. USE the enclosed checklist.

4. ATTEND a dissertation workshop. Be on the lookout for an email from GSAS for it.

5. STAY IN TOUCH. Do not assume that once you deposit your dissertation into the repository that you are done. Students typically still have revisions to make after this initial deposit. 

6. DEPOSIT EARLY. Do not wait until the last minute to deposit your dissertation; such an approach rarely works in your favor and causes unnecessary chaos and stress during the revision process, and could lead to you not receiving your degree in February or May. Assume that you will have to make revisions and allow ample time to make those revisions. You must submit your dissertation here. If you would like to also make your dissertation Open Access without paying an additional fee, you can do a dual submission of your dissertation by submitting it to the Brandeis Institutional Repository

7. Whom to contact if….

  • you have a problem with Microsoft Word or Adobe Acrobat: LTS @ Brandeis via e-mail, phone, or in-person.
  • you are confused about the formatting guidelines, deadlines, and/or depositing process: Meghan Peck in the GSAS. 
  • you have a question about the content of your dissertation: your faculty advisors. 

Pages and Documents which MUST be Included in Your Dissertation

1. Title Page

2. Signature Page (unsigned version goes in your online submission; signed version is turned into GSAS)

3. Copyright Page

4. Abstract

  • Double-space content.
  • Include a statement of the problem, procedure and/or methods, results, and a conclusion. Present information in that order.
  • If multi-media elements are used in the document that cannot be embedded within the PDF, they should be identified in the Abstract.

5. Table of Contents

6. Dissertation Text

7. Reprint Permission Letters (if applicable/required)

8. Third party software licenses (if applicable/required)

As previously mentioned, you will probably be working with several documents that are easiest to combine first in Microsoft Word and then save a new copy as a PDF. 

Order of Prefatory Materials, Text, and Respective Pagination


Section/Page Page Numbering
Title Page

number not printed on the page, but is still considered page i

Signature Page number not printed on the page, but is still considered page ii
Copyright Page number not printed on the page, but is still considered page iii
Acknowledgements (Optional) 
**First page showing a page number**
number is printed on the page, start with iv or iii if no copyright page is used
Abstract continue with Roman numerals, printed
Preface (Optional) continue with Roman numerals, printed
Table of Contents continue with Roman numerals, printed
List of Tables continue with Roman numerals, printed
List of Illustrations/Figures continue with Roman numerals, printed
Introduction Start with Arabic numerals, beginning with page 1, printed on the page
Main Body, Appendices, Bibliography Continue with Arabic numerals, printed

EXPLANATION OF PAGINATION—Printed v. Not-Printed: While page numbers are not printed on the Title, Signature, and Copyright pages, these pages still count (they are pages i, ii, and iii), which is why your Acknowledgements page is page iv (or iii).

Additional Instructions for Pagination:

1. Your dissertation MUST include page numbers. All pages are numbered, whether printed or not. However, page numbers must begin being printed with either the Acknowledgements (if you include this page) or Abstract.

2. Page numbers should appear centered at the bottom of each page.

3. For placement of footnotes or endnotes, refer to the Chicago Manual of Style, either online or in print. Or if you are using a different citation method, please follow those guidelines.

4. Over 300 pages? A second volume is recommended. Each volume should contain a title page duplicating the title page of the first volume. Label the title page Volume I of II, Volume II of II, etc. under the title. Place the table of contents at beginning of the first volume (you do not need more than one table of contents). Page numbering should continue from one volume to the next, not counting the second title page. The bibliography may be placed at the end of the final volume

Helpful Links for Pagination:

The first link includes a video for how to do pagination format in Microsoft Word (2010 and beyond).

Margins and Fonts

Margins should be formatted as follows:
Left Margin: 1 inch
Top, Bottom, and Right margins: 1 inch 

**The top margin of the first page of each chapter must be 2 inches**
This also applies if you have sections (Methods, Results, etc) in lieu of chapters. 

Fonts: Times New Roman, Arial, Cambria, or Calibri are recommended fonts; do not use fancy typefaces. Size 12 for any of these fonts is recommended for the text, but you may use sizes 11 or 10 (but no smaller) for notes, bibliographic references, and long quotations. 

Spacing and Single-Sided Printing

  • Your document should be arranged for single-sided printing. 
  • There should be no blank pages following your title page, abstract, etc. 
  • Double-space all text material, preliminary pages, including your abstract.
  • Single-space all notes, bibliographic references, and long quotations.

Charts, Graphs, Tables, and Photographs

Online submission instructions:

  • Photographs and images should be produced at a high resolution of at least 300 dpi.
  • Charts, graphs, tables, and other illustrations can be digitized in high quality color.
  • Images can either be embedded inside the PDF or attached separately (depending on whether you plan to convert the files to PDF before or at the time of submission). If you choose to use UMI/ProQuest’s online conversion, please make sure that all of your electronic files conform to their type requirements.

Music Compositions

  • Unless your combined text and composition piece runs significantly over 300 pages, keep them as one volume.  
  • The composition should be on the same paper as the rest of your manuscript (8 ½ x 11).
  • The title of your entire submission should include the name of the text of your work followed by “and an original composition, _________ for ________” An example is the following title, which Jeremy Spindler, Ph.D. 2010 had for his dissertation: Ligeti’s Wedge: Expansion, Contraction, Transformation; and an original composition, Concerto for Seven for flute, carinet, trumpet, piano, percussion, violin, cello”

PDF Conversion 

When submitting online at UMI/ProQuest, your Microsoft Word file(s) must be converted into a single PDF.  

  • Embed all fonts.
  • Save all JPEG images into PDF.
  • In the abstract, list any electronic files that cannot be embedded inside the PDF. 
  • If you have not used Microsoft Word's Table of Contents generator, and are hand-typing the table of contents, please set it within a two-column table.

A tutorial on converting to PDF is available here. UMI/ProQuest offers a PDF conversion tool which is available within the submission site and last, you may also contact Research & Instruction Services in Goldfarb Library at (781-736-4739) to schedule an appointment for individual assistance. 

Acceptable File Formats

Your document should appear in Adobe PDF format. You should carefully check the PDF file after conversion, regardless of which software you use to convert to PDF! No compression or password protection and no digital signature should be used. UMI Dissertation Publishing can make no changes to the document. Therefore, the burden of how the document looks when it is accessed or printed is entirely the responsibility of the author.  

All fonts used should be embedded in the document.  External or internal links to multi-media files are acceptable.  If multi-media elements are used in the document, file formats should be identified in the dissertation/thesis abstract. Acceptable file formats include the following:

Images Audio Video
  • GIF (.gif)
  • JPEG (.jpeg)
  • PDF (.pdf) use Type 1 PostScript fonts
  • TIFF (.tif)
  • AIF (.aif)
  • CD-DA
  • CD-ROM/XA
  • MIDI (.midi)
  • MPEG-2
  • SND (.snd)
  • WAV (.wav)
  • Apple Quick Time (.mov)
  • Microsoft Audio Video Interleaved (.avl)
  • MPEG (.mpeg)

Checklist


*Make sure you have completed EACH step in the formatting checklist before submitting*

Overall Formatting

Margins

  • Left margin: 1 inch
  • Top, bottom, right margins: 1 inch
  • Top margin of first page in each section/chapter: 2 inches

Font

  • Times New Roman, Arial, Cambria, or Calibri
  • Size 12 font (Notes, bibliographic references, and long quotations may be size 10 or 11)

Spacing

  • Double-space all text (including abstract) EXCEPT: Single space all notes, bibliographic references, and long quotations
  • Format for single-sided printing
  • No blank pages

Multi-media elements are all in one of the following acceptable formats:

Images Audio Video
  • GIF (.gif)
  • JPEG (.jpeg)
  • PDF (.pdf) use Type 1 PostScript fonts
  • TIFF (.tif)
  • AIF (.aif)
  • CD-DA
  • CD-ROM/XA
  • MIDI (.midi)
  • MPEG-2
  • SND (.snd)
  • WAV (.wav)
  • Apple Quick Time (.mov)
  • Microsoft Audio Video Interleaved (.avl)
  • MPEG (.mpeg)

Content and page numbers, by section:

Section/Page Content
Title Page 

number not printed on the page, but is still considered page i

Signature Page  number not printed on the page, but is still considered page ii
Copyright Page (only if necessary) number not printed on the page, but is still considered page iii
Acknowledgements (Optional) 
**First page showing a page number**
number is printed and centered on the page, start with iv or iii if no copyright page is used
Abstract  continue with Roman numerals, printed, centered;
-statement of the problem, procedure and/or methods;
-results;
-conclusion;
Optional: If multi-media elements are used in the document that cannot be embedded within the PDF, they should be identified here.
Preface (Optional) continue with Roman numerals, printed, centered
Table of Contents continue with Roman numerals, printed, centered
List of Illustrations/Figures continue with Roman numerals, printed, centered
Introduction Start with Arabic numerals, beginning with page 1, printed on the page
Main Body, Appendices, Bibliography continue with Arabic numerals, printed, centered;
-Footnotes/endnotes in Chicago style;
-Charts/graphs/tables (optional): Online submission can be digitized in high quality color;
-Photographs (optional): At least 300dpi, online submission in color;
-Reprint permission letters (if required/applicable);
-Third party software licenses (if required/applicable).





PDF Conversion

  • Embed all fonts.
  • Save images into PDF (all files that cannot be embedded listed in abstract).
  • Either: Use Microsoft Word’s Table of Contents Generator OR Set the hand-typed Table of Contents within a two-column table.

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