GUIDELINES

FOR PSY.D. DISSERTATION PREPARATION

USM Office of Graduate Studies

Editors:
Alexis Berry
Rosemary Mahoney

Revised April 2009 USM Psy.D. Dissertation Guidelines i

 TABLE OF CONTENTS

CHAPTER 1: INTRODUCTION...........................................................................1
1.1. The Dissertation Committee................................................................... 1
1.2. Graduate Studies Dissertation Consultants.............................................2
1.3. Legal and Ethical Issues..........................................................................2
1.3.1. Regulations Regarding Research Methods.......................................... 2
1.3.2. Copyright............................................................................................. 3
1.3.2.1. Obtaining Copyright for One’s Own Dissertation............................3
1.3.2.2. Using Copyrighted Materials............................................................3
1.3.3. Dissertation Containing a Patentable Discovery..................................4
1.4. Style Manual for Dissertation Format.....................................................4
1.5. Deadlines.................................................................................................4
1.6. Forms...................................................................................................... 4
1.6.1. The Application for Degree Form........................................................5
1.6.2. The Tentative Dissertation Acceptance Form......................................5
1.6.3. The Final Dissertation Acceptance Form.............................................5
1.6.4. The Completion of Requirements Form..............................................5
1.6.5. The Survey of Earned Doctorates........................................................ 6
1.7. Dissertation Submission..........................................................................6
1.7.1. Tentative Dissertation Submission.......................................................6
1.7.2. Final Dissertation Submission............................................................. 6
1.8. Electronic Dissertation............................................................................7
1.8.1. Electronic Submission Procedure........................................................ 7
1.8.2. The Electronic Dissertation Database.................................................. 7
1.8.3. Long Term Archiving...........................................................................7

CHAPTER 2: PARTS OF THE MANUSCRIPT.................................................. 8

2.1. Order of the Manuscript..........................................................................8
2.1.1 Title Page.............................................................................................. 8
2.1.2. Copyright Notice..................................................................................10
2.1.3. Library Rights Statement..................................................................... 10
2.1.4. Abstract................................................................................................ 10
2.1.5. Acknowledgments................................................................................13
2.1.6. Table of Contents................................................................................. 13
2.1.7. Tables, Figures, Theorems, Symbols, Abbreviations, Definitions.......15
2.1.8. Text of the Manuscript......................................................................... 18
2.1.9. References............................................................................................18
2.1.10. Appendices.........................................................................................18
2.1.11. Biography of the Author.................................................................... 18

Revised April 2009 USM Psy.D. Dissertation Guidelines ii

CHAPTER 3: STYLE AND FORMAT REQUIREMENTS................................20
3.1. Paper Quality.......................................................................................... 20
3.2. Print Requirements..................................................................................20
3.3. Margins................................................................................................... 20
3.4 Oversize Material.....................................................................................20
3.5. Pagination............................................................................................... 21
3.6. Spacing....................................................................................................21
3.7. Widows/Orphans.....................................................................................21
3.8. Documenting Sources............................................................................. 22
3.8.1. Formats for In-text and References Citation........................................22
3.8.2. Citing Internet Sources........................................................................ 22
3.8.3. Footnotes..............................................................................................22
3.9. Two-Volume Dissertation....................................................................... 22
3.10. Dissertation Compiled from Two or More Studies............................... 23

LIST OF FIGURES

Figure 2.1. Title Page example.................................................................................. 9

Figure 2.2. Abstract example in double spaced, bold, capital letters and in inverted
pyramid format...........................................................................................................12
Figure 2.3. Table of Contents example...................................................................... 14
Figure 2.4 Example of acceptable and unacceptable images.....................................16

APPENDICES

Appendix A. Checklist for Formatting.......................................................................24

Appendix B. Preparing Your Manuscript for Submission.........................................25
Appendix C. Open Access versus Traditional Publishing.........................................28
Appendix D. UMI Forms and Instructions................................................................ 30

Revised April 2009 USM Psy.D. Dissertation Guidelines iii

 CHAPTER 1
INTRODUCTION

The policies, format and style requirements in this manual reflect The University of
Southern Maine’s standards for scholarship and quality of work. It is the student’s responsibility
to follow and meet the requirements when writing a dissertation. Students should not follow the
format of a previously written dissertation, nor should they rely on a former version of this
manual. If clarifications are needed, students should consult with the USM Office of Graduate
Studies. Manuscripts that do not fully comply with the guidelines will not be accepted.
A dissertation is the culmination of a graduate student's career, and it represents original
scholarly research and writing. It is a contribution to knowledge and will be available to other
scholars in the Glickman Library, and with the student’s permission, on the World Wide Web
through the Glickman Library and/or Dissertation Abstracts International. Its content and style
reflect on the author, the faculty members who have guided the research, and The University of
Southern Maine. Hence, the guidelines of Graduate Studies have been developed to ensure high,
professional and ethical standards for research writing at The University of Southern Maine.
THE MANUSCRIPT AUTHOR IS RESPONSIBLE FOR MEETING GRADUATE STUDIES
REQUIREMENTS SET FORTH IN THIS MANUAL. To avoid delays or disappointment,
students should contact The USM Office of Graduate Studies and the Psy.D. Program Manager
early in the writing process to be sure they understand all requirements. Throughout this guide,
references to relevant pages in the Psy.D. Program Handbook will be given at the end of
sentences or sections where such materials are important.

1.1. The Dissertation Committee

The role of the dissertation committee is to guide the student through the research and
writing process by providing suggestions and feedback as to the contents, direction, timeline,
style, and other aspects of the dissertation (Handbook, p. 42). The dissertation will be reviewed
by the dissertation committee for content and research accuracy (Handbook, p. 38). The draft
submitted to Graduate Studies should be a product of this negotiation between student and

Revised April 2009 USM Psy.D. Dissertation Guidelines 1

committee. Even though the committee’s recommendations may have significant impact on the
project’s final form, it is the student who is ultimately responsible for the content and style of the
dissertation (Handbook, pp. 41-42: Forms 7.1 – 7.3).
Psy.D. doctoral dissertation committees are comprised of at least three members; of these
three, at least two must be Psy.D. Program faculty members. The third member can be another
USM graduate faculty member or a psychologist from the community. All dissertation committee
members must be approved by the Psy.D. Program faculty. The University of Southern Maine
does not use the term "reader" for any member of the committee; each committee member is a
full, voting member. A student wishing to recognize someone as a “reader” can do so in the
Acknowledgements.

1.2. Graduate Studies Dissertation Consultants

The USM Office of Graduate Studies (OGS) has a role in the final format of the
dissertation. Staff from OGS will review the dissertation for correct format and consistency.
After the dissertation has been successfully defended and approved by all members of the
dissertation committee, it must be submitted to OGS for final review and submission. A Graduate
Studies consultant will check the draft to be sure that it adheres strictly to the requirements set
forth in this manual. A consultant will notify the student by e-mail that the dissertation has been
reviewed and should be picked up. A checklist of the required revisions will be provided. If
students have questions about the revisions, they should make an appointment to review them
with the dissertation consultant. It is the student’s responsibility to make all of the changes
indicated on the checklist provided before submitting the final copy. Manuscripts that have
not been reviewed and approved by Graduate Studies will not be accepted for online submission
and cataloguing in the Glickman Library.

1.3. Legal and Ethical Issues

1.3.1. Regulations Regarding Research Methods
Complying with the various federal and state regulations regarding research methods and
ethics is a joint responsibility of the student researcher, the dissertation advisor and The
University of Southern Maine. The writer of a dissertation which involves human subjects,
animal care, radiation, recombinant DNA, legend drugs and/or hazardous materials/wastes

Revised April 2009 USM Psy.D. Dissertation Guidelines 2

must have received clearance from the respective authorities prior to initiating the research
project. Evidence of such approval must be noted on the student’s Final Dissertation Acceptance
Form or Graduate Studies will not accept the final dissertation. The full text of the respective
policies and regulations and any additional information can be obtained from the USM Office of
Research Compliance.

1.3.2. Copyright
Although Graduate Studies does not require dissertations to be copyrighted, students
should be concerned about copyright law both in using the work of others and in protecting
their own work. Information about the various issues surrounding copyrights can be found in
Kenneth D. Crew’s Copyright Law and the Doctoral Dissertation: Guidelines to Your Legal
Rights & Responsibilities. A regularly updated version of the text can be found online at:
http://www.proquest.com/en-US/products/dissertations/copyright/

1.3.2.1. Obtaining Copyright for One’s Own Dissertation

Students have full rights as authors from the moment they create their work; hence, they
can acknowledge their privileges by including a copyright notice in their manuscripts even if
they have not filed for registration. Still, obtaining formal copyright protection may have the
following advantages. First, it will allow the student to file an infringement lawsuit and claim
“statutory damages” and attorneys’ fees if someone copies the work beyond “fair use.”
Eventually, it may also allow the work to be added to the Library of Congress Collection.
Student’s whose research has been externally funded, should review the terms of that
support to see if they are allowed to claim ownership of the results of the research. If manuscripts
are written in collaboration with other authors and/or published in any form, they may be subject
to copyright regulations. In these cases, the text of the copyright notice included in the
dissertation should meet the policies outlined in the funding or publishing agreement.

1.3.2.2. Using Copyrighted Materials

For additional information regarding the use of copyrighted materials please visit the U.S.
Copyright Office website at http://lcweb.loc.gov/copyright.

Revised April 2009 USM Psy.D. Dissertation Guidelines 3

1.3.3. Dissertation Containing a Patentable Discovery
Upon the student’s request, a dissertation containing a patentable discovery can be held by
Graduate Studies before being bound. The student must submit to Graduate Studies a written
request co-signed by the dissertation advisor stating that a patent application has been filed.
Having the dissertation on hold at Graduate Studies for this reason does not prevent the student
from graduating on time.

1.4. Style Manual for Dissertation Format

Psy.D. dissertations must follow the formatting requirements of the most recent version of
the American Psychological Association (APA) Manual of Style. When submitting the final
version of the dissertation, FORMAT REQUIREMENTS OF GRADUATE STUDIES MUST BE
SATISFIED FIRST, even if they depart from the style manual that has been adopted.

1.5. Deadlines
Checklist packets for students who are preparing to graduate can be found on the following
website at http://www.usm.maine.edu/cehd/School-Psychology/student_resources.htm . These
checklists indicate final dates to:

1. Apply for graduation

2. Schedule an oral defense
3. Submit the tentative dissertation for review by the Dissertation Consultant
4. Submit the final dissertation to your advisor, UMI and Graduate Studies
5. Graduation date / Commencement

Psy.D. students must complete the above forms by the stated deadlines. Students are advised to
consult the Psy.D. Program Handbook for the forms and guidance about how to use them.

1.6. Forms
As students approach graduation, certain forms are required to facilitate the graduation
process (forms must be submitted with appropriate signatures; see Handbook pp. 41-46). With
the exception of the Application for Degree form, the remaining forms can be found in the Psy.D.
Handbook http://www.usm.maine.edu/cehd/School-Psychology/student_resources.htm

Revised April 2009 USM Psy.D. Dissertation Guidelines 4

1.6.1. The Application for Degree Form
This form indicates that the student plans to graduate in May, August, or December of a
given year and can be found at http://www.usm.maine.edu/~reg/applicationfordegree.pdf .
Students must complete this form, by downloading, printing, and mailing or faxing it to the
Registrar’s Office. IMPORTANT: No student will graduate without filing this form! The
deadlines for each semester are:

 May: March 15
 August: July 15
 December: November 15

1.6.2. The Tentative Dissertation Acceptance Form

This form must be signed by all members of the dissertation committee and it indicates
that the dissertation is ready to be defended. The form is submitted to the School Psychology
Program Manager at least 2 weeks before the defense date. If a committee member (or members)
are unable to sign the form due to field work, sabbatical, etc., a faxed signed form to: (207) 780-
5703, or an e-mail stating that the committee member certifies that he/she has read the
dissertation and recommends that it is sufficiently complete in order for the student to undertake
the final oral examination, should be submitted to the School Psychology Program Office.

1.6.3. The Final Dissertation Acceptance Form

This form must be signed by the advisory committee and the Program
Coordinator of the program (Handbook p. 46, Form 7.6). It must indicate that the final
copy is accepted by the Program. This form must accompany the final dissertation
submitted to Graduate Studies for binding.

1.6.4. The Completion of Requirements Form

This form is initiated by the Program Coordinator and must be completed and signed by
the advisor. It should indicate that the student has met all of the requirements for the degree. A
student's diploma and final transcript will not be issued without this form.

Revised April 2009 USM Psy.D. Dissertation Guidelines 5

1.6.5. The Survey of Earned Doctorates
The University of Southern Maine is a participant in this national survey each year and
requires that all doctoral candidates submit this survey. The School Psychology Program
Manager has hard copies of this survey. The survey must be completed before the final copy of
the dissertation will be accepted and submitted to the library.

1.7. Dissertation Submission

1.7.1. Tentative Dissertation Submission
The TENTATIVE copy of the dissertation submitted after the oral defense may be printed
on ordinary paper. Students must submit both a hard copy and electronic copy of the dissertation.
Psy.D. students can submit these copies to the School Psychology Program Manager at 407
Bailey Hall, Gorham, or rmahoney@usm.maine.edu. The phone number is 207-780-5220. Once
submitted, the student will be notified of the schedule for the dissertation review. Generally,
these reviews are completed within 5 working days. It is expected that after the oral defense
there may be changes made to the dissertation. The tentative manuscript should include any
changes requested by the dissertation committee and represent the completed product of the
student's research, ready for final printing. Once the tentative manuscript has been reviewed, it
will be returned to the student for final editing. The student is expected to complete all changes
indicated by the reviewer prior to submitting the FINAL copy for electronic and library
publication.

1.7.2. Final Dissertation Submission

The FINAL copy of the dissertation must be submitted in both hard copy and electronic
versions. The paper version should be submitted to the Program Manager at 407 Bailey Hall,
Gorham. It will be checked to ensure that all required components, forms, and dissertation fees
are included. Graduate Studies requires a single paper “hard” copy of the "final" or "original"
dissertation. This copy must be on plain white, 25% cotton, bond acid free paper (includes a
watermark) and must be letter-quality print. Students are also required to submit a copy of their
dissertation electronically, using the UMI dissertation submission portal. The paper copy which
fully meets the format and print requisites specified in these guidelines will be kept in the Special

Revised April 2009 USM Psy.D. Dissertation Guidelines 6

Collections Department of Glickman Library.

1.8. Electronic Dissertation Submission

The University of Southern Maine Electronic Dissertations submission is conducted via
ProQuest/UMI’s portal. When students submit their final dissertation copy, they will be given
instructions about how to access and register for electronic dissertation submission.

1.8.1. Electronic Submission Procedure

The process for submitting the final electronic copy of the dissertation involves logging
into the UMI website and submitting the file as specified at the site. There are costs associated
with this process that start at a minimum of $65.00 for basic submission. Additional costs include
copyright registration and/or purchase of bound copies of the dissertation from UMI. Students
are expected to pay the minimum submission amount. The only method of payment is by credit
card and it is done online during the submission process. Students interested in learning about all
possible costs should visit the ProQuest/UMI website prior to submitting the final version of the
dissertation. Information about the range of costs, copyright filing options, and other details are
found in Appendices A, B, and C of this document.

1.8.2. The Electronic Dissertation Database

Once a student’s dissertation has been submitted to ProQuest/UMI it will be accessible
via the internet according to the conditions specified at the time it was submitted.

1.8.3. Long Term Archiving

Print copies of dissertations are archived in Special Collections department in the
Glickman Library. These copies can be used and/or checked out by library patrons according to
the Library policies.

Revised April 2009 USM Psy.D. Dissertation Guidelines 7

 CHAPTER 2
PARTS OF THE MANUSCRIPT

2.1. Order of the Manuscript

The following is a list of the required parts of the dissertation in the order in which they
should appear in the manuscript.

1. Title Page
2. Copyright Notice (optional)
3. Library Rights Statement
4. Abstract
5. Dedication/Preface (optional)
6. Acknowledgments (optional)
7. Table of Contents
8. List of Tables (if any)
9. List of Figures (if any)
10. List of Abbreviations, Plates, Equations, Theorems, Symbols, Definitions etc.
11. Text of the Manuscript
12. Endnotes (if any)
13. References
14. Appendix or Appendices (if any)
15. Biography of the Author

There are certain requirements as to the content and appearance of the above parts. Students
should read the following descriptions carefully and review the sample in the Appendix.

2.1.1 Title Page

The Title Page is the first page of the manuscript. It is considered page “i”, but the
number does not appear on the page. Two copies of the title page must be submitted with the
final manuscript. The following should be included on the title page:
1. Title of dissertation in ALL CAPS, BOLD, and inverted pyramid format (centered)
2. The student’s full name as it appears in University records (centered)
3. Previous degree(s) earned (centered)
4. A statement of fulfilling requirements for the degree sought (centered)
5. Institution name: The University of Southern Maine (centered)
6. The month and year of the student’s graduation date (centered)
7. The advisory committee members (left justified) Note: The order starts with the
Advisor’s (or Co-Advisors’). All names are followed by their title (i.e. Professor of
Economics). Do not include administrative titles (i.e. Dean of the Engineering College).
“Readers” are not committee members. They can be recognized in the
Acknowledgements section of the dissertation.

Revised April 2009 USM Psy.D. Dissertation Guidelines 8

 Figure 2.1. Title Page example

TIER II READING INTERVENTIONS: RESEARCH STUDY

By

C. Lee Goss

B.A. University of Virginia, 1981

M.S. University of Southern Maine, 2003

A DISSERTATION

Submitted in Partial Fulfillment of the

Requirements for the Degree of

Doctor of Psychology

(in School Psychology)

The University of Southern Maine

December, 2008

Advisory Committee:

Rachel Brown-Chidsey, Associate Professor of School Psychology, Advisor

Mark W. Steege, Professor of School Psychology

F. Charles Mace, Professor of School Psychology

Revised April 2009 USM Psy.D. Dissertation Guidelines 9

2.1.2. Copyright Notice
A Copyright Notice is numbered but does not appear on the Table of Contents. Unless the
manuscript has been formally registered (copyrighted), this page is optional. If the student
chooses to acknowledge his or her rights as the author, a copyright notice should be placed as the
sole text on a page immediately following the title page. The copyright notice is centered
vertically and horizontally within the margins. Unless there are special terms under which the
work has been copyrighted the text of the notice may take either of these two forms:

Copyright 2001 Student’s name

or
© 2001 Student’s name
All Rights Reserved

2.1.3. Library Rights Statement

A Library Rights Statement is numbered but not listed on the Table of Contents, and must
accompany the manuscript and it follows the same format as that of the dissertation. For the
submission of the Final Dissertation, the statement must be signed and dated. Only original
signatures are acceptable.

2.1.4. Abstract
An Abstract is NOT numbered nor is it listed on the Table of Contents, and must be
included in the manuscript. It is a clearly written, concise summary of the dissertation. It
describes the problem, the procedures or methods used, and the results and conclusions of the
research. Since doctoral abstracts are included in Dissertation Abstracts International, it is
extremely important to write accurately (see appendix for tips for writing abstracts). Formulas,
diagrams or other illustrations are not included in the abstract.
The maximum length for doctoral abstracts is 350 words. The heading is not counted in
the word limit. When submitting the final dissertation, two copies of the abstract are required.

Revised April 2009 USM Psy.D. Dissertation Guidelines 10

 The heading of the abstract should be centered and include:

1. Title of the dissertation in ALL CAPS, BOLD, and inverted pyramid format
2. The author's full name
3. The name of the dissertation advisor (including degree “Dr.”)
4. A statement that the dissertation is fulfilling requirements for a degree sought in a
particular department
5. The month and year of the student’s graduation date

For complex or extremely discipline-specific dissertations, an additional abstract (Lay

Abstract), in language suitable for an audience unfamiliar with the subject matter must also be
submitted. This abstract must not exceed 350 words. At the student's request, this abstract may
also be bound with the dissertation. For more detailed information and a sample of the abstract
see the appendix.
The abstract should be a summary of the student’s work, and not an introduction, nor a
version of the Table of Contents. Within the space limit of 350 words, the writer should convey
to the reader concisely and accurately the significance of the work, the boundaries of space and
time, the method of inquiry as well as the claim to generality (if any) made in the research. The
abstract should be well balanced to reflect not only the original elements of the work, but the
overall spirit and structure as well. This balance is achieved if the abstract and the manuscript
make sense without one another. Abstract page numbers are not typed.

Revised April 2009 USM Psy.D. Dissertation Guidelines 11

 Figure 2.2. Abstract example in double spaced, bold, capital letters and in inverted
pyramid format.
TIER II READING INTERVENTIONS: RESEARCH STUDY

By C. Lee Goss, M.S.

Dissertation Advisor: Dr. Rachel Brown-Chidsey

An Abstract of the Dissertation Presented

In Partial Fulfillment of the Requirements for the
Degree of Doctor of Psychology
(in School Psychology)
December, 2008

The purpose of this dissertation is to describe a doctoral research study designed to

implement response to intervention (RTI) techniques in reading for first grade students. RTI is

an early intervention and prevention method for identification and effective intervention for

students at-risk for developing academic problems. This research study focuses on research-

based reading instruction and early identification and intervention for first grade students at-risk

for developing reading problems. The effectiveness of two Tier II reading interventions,

Reading Mastery and Fundations 2, are compared. The results indicated that all at-risk students

made progress with supplementary intervention following eight weeks of intervention and

weekly progress monitoring. A comparison of Reading Mastery and Fundations 2 reading

intervention results indicated that Reading Mastery students demonstrated the most significant

progress. The findings are discussed in the context of the procedures necessary to implement

and monitor RTI methods for students at-risk for developing reading problems in the early stages

of literacy development.

Revised April 2009 USM Psy.D. Dissertation Guidelines 12

2.1.5. Acknowledgments
This page is for the author to express professional and/or personal indebtedness.
Permission(s) to use previously copyrighted materials, receipt of grant funds, recognition of
“Readers”, etc. are acknowledged on this page. Students must be consistent with the use of the
third ("the author") or first person throughout. This section is optional, but if included, it is
numbered (lower case Roman numerals) and listed in the Table of Contents.

2.1.6. Table of Contents

The Table of Contents is a topic outline of the manuscript. It functions as an index to the
work and must fully and accurately reflect the organization of the manuscript. All chapter
divisions and subsections must be included in the Table of Contents (TOC) and labeled
exactly as they appear in the text. Other points:

1. The Copyright Page, Table of Contents, Abstract, and Library Rights Statement are NOT
listed in the TOC.
2. All chapter divisions and subsections must be listed in the TOC. If the headings system
is used for organizing the text of the manuscript, the subsections must be indented
appropriately in the TOC. If the decimal system is used, this should also be reflected in
the TOC (see appendix).
3. Each Appendix must be listed by its title and page number. If there is only one Appendix,
it is listed by the name “Appendix” and its title. Therefore, an Appendix “A” should not
be listed unless there is an Appendix “B”.
4. Leader dots must be used to connect the chapter divisions/subsection headings to their
respective page numbers. A minimum of 5 leader dots between the chapter
divisions/subsections and the page numbers is required (e.g. the text of the headings
should not extend into the area where the page numbers are placed). (see appendix)
5. The Biography of the Author page is the last page of the dissertation.

Revised April 2009 USM Psy.D. Dissertation Guidelines 13

 Figure 2.3. Table of Contents example.
TABLE OF CONTENTS
LIST OF TABLES…………………………………………………………. v

LIST OF FIGURES………………………………………………………... vi

Chapter

1. LITERATURE REVIEW………………………………………….. 1

2. METHOD…………………………………………………………...11

Research Design…………………………………………….11

Participants………………………….……………………....11

Dependent Measures………………………………………..12

Materials…………………………………………………….14

Procedures…………………………………………………..18

Data Analysis………………………………………………. 19

3. RESULTS………………………………………………………….. 22

Effects of Tier II Reading Mastery and

Fundations 2 Supplemental Interventions…………………. 22

4. DISCUSSION………………………………………………………39

Effects of Fundations 2 Instruction…………………………39

Effects of Reading Mastery Instruction……………………. 40

Instructional Implications………………………………….. 45

Limitations and Future Research……………………………47

5. SUMMARY………………………………………………………...49

REFERENCES…………………………………………………………….. 50

BIOGRAPHY OF THE AUTHOR………………………………………... 53

Revised April 2009 USM Psy.D. Dissertation Guidelines 14

2.1.7. Tables, Figures, Theorems, Symbols, Abbreviations, Definitions
A TABLE is a columnar arrangement of information organized to save space and convey
relationships at a glance. A FIGURE is a graphic illustration (chart, graph, diagram, photo, map
or plate). Figures may be professionally prepared or drawn by the author. In either case, they
must be of letter-quality print.
The Lists of Tables/Figures (if any) appear as individual pages. A List of Tables/Figures
is necessary even if there is only one table/figure. If the text of the manuscript contains a set of
theorems, symbols, abbreviations or definitions, those should be listed in a List of Theorems,
Symbols, Abbreviations, or Definitions, respectively. These lists are also included in the Table of
Contents. All words on Tables/Figures must be typed (not hand written). The only exception to
this rule would be if the original author has hand-written notes in a Table/ Figure that has been
scanned and included in the student’s dissertation. Computer-generated figures are acceptable if
they are of letter-quality print and large enough to be readable on microfilm. Note: If color is
used in any figures, it will not reproduce on microfilm. Other points:

1. Tables/Figures must be numbered and titled. Further explanatory information can be

provided in a caption which is not part of the title and should not appear on the List of
Tables/Figures. The title, caption, and key (if used to assist in interpreting the figure),
should be placed on the same page as the Table/Figure. If this is not possible, a facing
page must be used.
2. The Tables/Figures are numbered separately from each other. Each group can be
numbered consecutively throughout the entire manuscript or by chapter using a decimal
numbering system (e.g., the third table in chapter two will be Table 2.3., and the third
figure in chapter two will be Figure 2.3.). The same system should be used for numbering
both groups (e.g., if the tables are numbered by the chapter decimal system, so should be
the figures).
3. All Tables/Figures must fit into the required page margins (see section 3.4 for including
oversized materials).
4. The title and caption of the Table/Figure are part of the text and must be the same font
size and style of the manuscript. It is acceptable for the font within the table/figure to be
as small as 10 point.
5. Tables/Figures must be placed in the text as they are mentioned. If the Table/Figure is
larger than one-half of the page it must be placed on a page of it’s own.
6. Appendix Tables/Figures must be numbered separately (e.g., the third table in appendix A
would be numbered Table A.3.) and must be included in the List of Tables/Figures
respectively.
7. If using photographs they must be originals or high-quality reproductions. Whenever
possible, color should be avoided as it does not reproduce on microfilm. All photographs
must have captions.

Revised April 2009 USM Psy.D. Dissertation Guidelines 15

Revised April 2009 USM Psy.D. Dissertation Guidelines 16
 Figure 2.4 Examples of acceptable and
unacceptable images.
A) Unacceptable picture.
B) Acceptable version of the same
picture.
C) Unacceptable graphic.
Revised April 2009
D) Enhanced, acceptable version17of the
USM Psy.D. Dissertation Guidelines
graphic.
2.1.8. Text of the Manuscript
Since a dissertation is usually of considerable length, a uniform organizational scheme
should be applied to the whole text so that a reader can tell at a glance which ideas are of greater
importance. Breaking the text into too many small parts should be avoided.
The text may be divided into chapters, parts, or other types of sections and the principles
of division must be consistent throughout. Two popular arrangement schemes are the headings
system and the decimal system (see Appendix).

2.1.9. References
The full publication information of all sources cited in the manuscript should be provided
in a References section which is placed after the text, but preceding the Appendix(ces). The
layout as well as the title of the References must follow the current version of the American
Psychological Association (APA) Manual of Style. If the dissertation has been compiled from a
series of articles, the references must still be combined into a single, comprehensive References
section.

2.1.10. Appendices
The appendices contain material that is pertinent to the text, but not directly included
(raw data, questionnaires, consent forms, etc.). If there is only one Appendix, it is called
"APPENDIX" (not Appendix A) and is given a title. If there are two or more Appendices, each is
labeled “A”, “B”, “C” etc., given a title, and entered on a new page. The titles of the Appendices
should be listed in the Table of Contents.
Pagination from the text must continue throughout the Appendices. If display pages are
used, they must be counted in the pagination. The margins and font size used in the Appendices
should be the same as in the text. A reduced copy of material may be included in an Appendix;
however, the title and caption of such material must be the same font size and style of the
manuscript.

2.1.11. Biography of the Author

A Biography of the candidate must be included in the dissertation. It must be written in
the third person and include the following information: place of birth, place of high school

Revised April 2009 USM Psy.D. Dissertation Guidelines 18

graduation, place and date of college graduation with degree(s) and major(s), professional or
employment experience, scholarly publications, and memberships in professional or honorary
societies. The last sentence must state, "S/He is a candidate for the---------degree in ------- from
The University of Southern Maine in Month, Year."

Revised April 2009 USM Psy.D. Dissertation Guidelines 19

 CHAPTER 3
STYLE AND FORMAT REQUIREMENTS

3.1. Paper Quality

The final manuscript submitted to the Library must be printed on the following type of
paper:

1. Plain white 8 ½" x 11” paper

2. 16-20 pound weight
3. At least 25% cotton (rag) content
4. Acid free

The tentative manuscript can be printed on multipurpose copy paper.

3.2. Print Requirements

Each page should be printed on one side only. All print styles must be clear, sharp, and of
uniform darkness. The tails on letters such as "p" and "q" must descend clearly. This requisite
also applies to the page numbers and to scanned or photocopied images. A print sample may be
brought to Graduate Studies in advance for pre-approval.
The same typeface must be used throughout the manuscript, including the page numbers,
footnotes/endnotes. The font size should be between 10 and 12 point throughout the manuscript.
Exception: the font size within a Table/Figure and for footnotes may be smaller than that of the
text but no smaller than 10 point. Italic print should not be used except for emphasis.

3.3. Margins
Margins on each page MUST be at least one and a half inches on the left (this allows for
proper binding), one inch on the right, top, and bottom of the page. All tables, figures,
appendices, and other illustrative material must conform to the margin specifications. If facing
pages are included, the left and right margins should be reversed (see Figure 2.4).

3.4 Oversize Material

Specific guidelines for oversize material are as follows:

Revised April 2009 USM Psy.D. Dissertation Guidelines 20

 1. When Tables/Figures are printed landscape, the page number must be placed in the same
location as all other page numbers in the manuscript..
2. The text within the Table/Figure may be reduced but must be legible (10 point minimum).
The title and caption font must be the same size and style as the manuscript.
3. If a Table/Figure fits within the margins of a page, but the title and caption do not, a
facing page must be used (reverse margins). It immediately precedes the Table/Figure and
“faces” it (page is face down in comparison to the other pages) and is printed on one side
only. Facing pages are numbered consecutively within the text, as are all pages (see
example in Chapter 2 above).
4. If oversize materials are included, they must be folded to fit in a 6” x 8” inch pocket that
will be attached to the back cover of the binding. The Table of Contents must indicate
that such material is “In Pocket”.
5. When using fold-out pages, please consult with Graduate Studies for appropriate folding
technique.

3.5. Pagination
Each page of the dissertation is numbered including display (optional) pages. Page
numbers should be placed on the top right of the page. All “front matter” pages are given lower
case Roman numerals. All pages of the dissertation itself use Arabic numberals. They must not
appear closer than half an inch from the top and one inch from the right, or half an inch from the
bottom edge of the page. The location and the font style of the page numbers must be consistent
throughout the manuscript. The page numbers must not have any periods, hyphens, or slashes.
When using fold-out pages, please consult with Graduate Studies. Refer to the sample Table of
Content in Chapter 2 for examples of page numbers for each section.

3.6. Spacing
The text of the dissertation must be double-spaced as required by APA format. The
References are also double spaced both within between citations using the formatting included in
the APA Manual.

3.7. Widows/Orphans
Paragraphs composed of 3 lines or fewer must be kept together on the same page. This
rule also applies to References and Titles included in the Table of Contents. The first or last lines
of a paragraph or a block of text must not be left alone on the bottom (widows) or top of a page
(orphans). This can be achieved by using the “Orphans/Widows Protection” or the “Keep Text
Together” features of most word processors.

Revised April 2009 USM Psy.D. Dissertation Guidelines 21

 Chapter divisions and subsections appearing at the bottom of the page that are not
followed by text must be moved to the next page.

3.8. Documenting Sources

Psy.D. dissertations must use the most current version of the APA Manual of Style. This
style includes parenthetical citations with References at the end of the dissertation. If the
dissertation was created from a series of articles, these must be combined under a uniform style
for documenting sources. The manuscript must also include a single, comprehensive list of
References in APA style (see section 3.10).

3.8.1. Formats for In-text and References Citation

All sources mentioned or used in the manuscript should be documented fully. This is
achieved by including citations in the text, and then providing full information of the source in
the list of References.

3.8.2. Citing Internet Sources

Internet sources such as websites, reference works, e-books, e-poems, government
documents, news articles, newsgroups, etc., should be fully documented. The APA manual
includes a format for correct citation and referencing of internet sources.

3.8.3. Footnotes
APA format does not include the use of footnotes for citations and references. If needed,
footnotes can be used to clarify specific information on a page. The font size of the footnotes and
endnotes must NOT be smaller than 10 points.

3.9. Two-Volume Dissertation

If the paper copy of a dissertation is 500 or more pages, or over 2 1/2" thick, inclusive of
all material, it must be bound in two volumes. The break between the two volumes must be at
the end of a chapter. The volumes should be approximately equal in size. EACH VOLUME
CONTAINS A TITLE PAGE AND A TABLE OF CONTENTS.
The title page for each volume specifies the volume and chapters included in that volume.

Revised April 2009 USM Psy.D. Dissertation Guidelines 22

The Table of Contents for Volume I lists the material contained in the entire dissertation (both
volumes). The pagination is continuous from Volume I to Volume II. The Title Page and Table
of Contents pages in Volume II are assigned Arabic numerals.

3.10. Dissertation Compiled from Two or More Studies

A manuscript can be compiled from two or more research studies by the student.
However, these should be reformatted to conform to Graduate Studies’s Dissertation Guidelines.
Such a dissertation should have one comprehensive Abstract and one comprehensive list of
References. The separate studies should be organized according to APA format. The List of
Tables/Figures should cover all Tables/Figures in the manuscript. The Tables/Figures should be
titled and numbered continuously and in a uniform style. The font style and the text organization
style of the combined manuscript should be consistent throughout.

Revised April 2009 USM Psy.D. Dissertation Guidelines 23

 APPENDIX A

CHECKLIST FOR FORMAT

Is the TITLE PAGE in duplicate? Does the wording appear exactly as in the sample in
Figure 2.1.?

Does the TITLE of the manuscript appear the same, word for word, on the Title page and
the Abstract? Is the STYLE of the HEADINGS of all parts of the manuscript the same?

Is the ORIGINAL LIBRARY STATEMENT signed by hand and dated?

Does the ABSTRACT meet the requirements for length – 350 maximum words for
doctoral manuscripts?

Is the PAGINATION of the preliminary pages in lower case Roman numerals, and that of
the text in Arabic numerals? Have the pages of the Abstract and the Library Rights
Statement been paginated by mistake? Are the References and the Appendices included in
the continuous pagination of the text as required?

Do the MARGINS on all pages of the publication copy meet the required sizes: 1 1/2" on
the left, 1" on the right, top and bottom?

Are the TABLES and FIGURES numbered, titled and captioned consistently throughout
the manuscript? Are they displayed in the text as they are mentioned and not left behind at
the end of the text? Are the appendix tables and figures numbered separately and listed in
the List of Tables/Figures?

Does the TABLE OF CONTENTS display the headings and subheadings and their
respective page numbers exactly as they appear in the text? Does it reflect fully and
accurately the organization of the text? Are there at least 5 leader dots left between the
headings and the page numbers?

Are the APPENDICES titled and listed in the Table of Contents?

Do the REFERENCES and CITATIONS include all sources used in the manuscript? Are
the entries listed in a uniform style?

Is the text on all paragraphs kept together so that no single lines (widows or orphans) are
left alone at the top or bottom of the page?

Revised April 2009 USM Psy.D. Dissertation Guidelines 24

PQ/UMI® GradWorks Guide F2006

Guide 1: Preparing Your Manuscript for Submission to ProQuest/UMI

Abstract
As a section of your dissertation or thesis, your abstract (if you include one; check with your institutions
requirements) must meet the specifications provided below for your manuscript.

Please supply an additional copy of your abstract in English, if the primary language of your dissertation or
thesis is NOT English.

We no longer have a word limit on your abstract, as this constrains your ability to describe your research in a
section that is accessible to search engines, and therefore would constrain potential exposure of your work.
However, we continue to publish print indices that include citations and abstracts of all dissertations and
theses published by ProQuest/UMI. These print indices require word limits of 350 words for doctoral
dissertations and 150 words for master's theses. Additionally, our print indices allow only text to be included
in the abstract. In the editorial process for these print publications, we will simply truncate your abstract if it
exceeds these word limits and remove any non-text content. You may wish to limit the length of your
abstract if this concerns you. The abstract as you submit it will NOT be altered in your published
manuscript.

Manuscript Specifications
Regardless of how you submit your dissertation or thesis, it will eventually be produced in digital, microform
and or microfiche, and probably print media. Your library may have a standing order for reduced (6" x 9")
size bound copies. Achieving a legible copy of acceptable quality in all of these formats and sizes requires a
conservative approach to paper size and quality, fonts, font sizes, spacing, images and graphics. Your
institution may provide you with specifications for some or all of these details, in addition to specifications for
required sections, organization, pagination, and others. In cases of variation, your institution's
specifications supersede ours. Please adhere to either/both your institutional specifications and those that
follow here to ensure the highest quality reproduction of your work.

To prevent the release of digital signatures, do NOT include the signature page in your submitted
manuscript.

MAKE SURE all your fonts are embedded fonts. See the end of this guide for instructions on
embedding fonts. Manuscripts without embedded fonts can cause ALL punctuation and formatting to
disappear when the document is printed from the digital file, and causes delays in our publishing process.

DIGITAL MANUSCRIPT
File Format: Manuscript Adobe PDF required. NO compression; NO password protection; NO digital
signature. You are responsible for the appearance of your manuscript in PDF.
It will appear and may be downloaded exactly as you submit it.
Multimedia files and formats Acceptable with external or internal links.
Images GIF (.gif); JPEG (.jpeg); TIFF (.tif)
Video Apple Quick Time (.mov); Microsoft Audio Video Interleaved (.avi); MPEG
(.mgp)
Audio AIF (.aif); CD-DA; CD-ROM/XA; MIDI (.midi); MPEG-2; SND (.snd); WAV
(.wav)
Margins Left: 1 ½"; Right: 1"; Top and Bottom: 1".
Applies to all material except page numbers, including figures,
headers/footers, footnotes/endnotes, and full-page images. Page numbers: at
least ¾" from edge of page.
Fonts Embedded fonts REQUIRED. Post Script Type 1 fonts required. Any legible
font except script, italic, or ornamental fonts equivalent in scale to 10pt. Arial
or 12pt. Times New Roman accepted. Italicized font may be used for non-

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PQ/UMI® GradWorks Guide F2006

English words and quotations. Applies to all text including captions,

footnotes/endnotes, citations, etc.
Line spacing Double-space: abstract, dedication, acknowledgements, table of contents, and
body of the manuscript, except for quotations as paragraphs, captions, items
in tables, lists, graphs, charts. Single-space: footnotes/endnotes,
bibliographic entries, lists in appendices.
Color Native digital manuscripts will appear in color when viewed electronically.
Microfilm and print reproductions will NOT preserve color; colors will appear in
shades of gray and may compromise legibility of figures, illustrations,
photographs, and graphics. Data and information that is color-coded or based
on color shading may not be interpretable. For best results, have color
photographs reprinted in black and white by a professional lab.
PAPER MANUSCRIPT
Preferred Laser printed copy with crisp, dark black characters
Acceptable High-quality photocopy with crisp, dark black characters
Paper Size 8 ½ " x 11"
Paper Type High-quality, 24 lb bright white; high contrast
Do NOT use erasable paper
Single-side printing Required
Margins Left: 1 ½"; Right: 1"; Top: 1"; Bottom: 1". ALL material, including figures,
headers/footers, footnotes/endnotes, and full-page images must appear within
the margins of the manuscript. Page numbers are the only exception; these
must appear at least ¾" from the edge of the page, but do not need to appear
within the margins.
Fonts Any legible font except script, italic, or ornamental fonts equivalent in scale to
10pt. Arial or 12pt. Times New Roman. Italicized font may be used for non-
English words and quotations. Applies to all text including captions,
footnotes/endnotes, citations, etc.
Line spacing Double-space: abstract, dedication, acknowledgements, table of contents, and
body of the manuscript, except for quotations as paragraphs, captions, items
in tables, lists, graphs, charts. Single-space: footnotes/endnotes,
bibliographic entries, lists in appendices.
Black & White Preferred for paper submissions
Color Acceptable. Microfilm and print reproductions will NOT preserve color; colors
will appear in shades of gray and may compromise legibility of figures,
illustrations, photographs, and graphics. Data and information that is color-
coded or based on color shading may not be interpretable. For best results,
have color photographs reprinted in black and white by a professional lab.
Oversize materials Acceptable. Fold maps and other material larger than 8 ½" x 11" to
manuscript size, or roll and place in a mailing tube clearly identified as part of
your submission.

Embedding Fonts
This guidance assumes you are writing your manuscript in MS Word on a PC. If you are using a Mac, similar
guidance should exist in help files.

To begin with, create your manuscript using a TrueType font—NOT a scalable font. See below for a list of
recommended TrueType fonts and point sizes. Then:
1. On the Tools menu, click Options, and then click the Save tab.
2. Select the Embed TrueType fonts check box.
3. Save the document.

Alternatively, if you have Acrobat Professional available to you, you can follow the excellent instructions
provided by the Graduate Thesis Office at Iowa State University:
1. Open your document in Microsoft Word.
2. Click on the Adobe PDF tab at top. Select "Change Conversion Settings."
3. Click on Advanced Settings.
4. Click on the Fonts folder on the left side of the new window. In the lower box on the right, delete any
fonts that appear in the "Never Embed" box. Then click "OK."
5. If prompted to save these new settings, save them as "Embed all fonts."

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PQ/UMI® GradWorks Guide F2006

6. Now the Change Conversion Settings window should show "embed all fonts" in the Conversion
Settings drop down list and it should be selected. Click "OK" again.
7. Click on the Adobe PDF link at the top again. This time select Convert to Adobe PDF. Depending on
the size of your document and the speed of your computer, this process can take 1-15 minutes.
8. After your document is converted, select the "File" tab at the top of the page. Then select "Document
Properties."
9. Click on the "Fonts" tab. Carefully check all of your fonts. They should all show "(Embedded Subset)"
after the font name.
10. If you see "(Embedded Subset)" after all fonts, you have succeeded.

Some recommended TrueType fonts and point sizes

*Arial 10pt
Century 11pt
*Courier New 10pt
Garamond 12pt
*Georgia 11pt
Lucida Bright 10pt
Microsoft Sans Serif 10pt
Tahoma 10pt
*Times New Roman 12pt
*Trebuchet MS 10pt
*Verdana 10pt
* Web font. Designed for easy screen readability. Since many readers are likely to view and/or use your
dissertation or thesis onscreen, you may wish to improve the readability of your text by using one of these
fonts.

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PQ/UMI® GradWorks Guide F2006

Guide 3: Open Access versus Traditional Publishing

What is Open Access?

The now-common usage of the term "open access" means freely available for viewing or downloading
by anyone with access to the internet. Sometimes a distinction is made for "limited open access" meaning
that material is available free of charge to a limited group of authorized users. Our usage of "open access"
means the former; that is, dissertations and theses published for Open Access with ProQuest/UMI will be
available at no charge for viewing or downloading by anyone with access to the internet, indefinitely.

What is Traditional Publishing?

Traditional publishing at UMI® corresponds with the model that generated the publishing industry as
soon as mass-reproduction of printed material was possible. That is, the owner of intellectual property and
author of the work contracts with the publisher to reproduce, distribute, and sell copies of the work. The
publisher pays the author a certain portion of the revenue thus generated. That is why we also refer to our
Traditional Publishing model as the "copy sales and royalty payments" model. It's been our business model
since 1938, and we've paid out hundreds of thousands of dollars in royalties to the authors of dissertations
and theses over the decades.

Why do we offer both options for publishing your work?

Just as the modern printing press stimulated the modern publishing industry, technology and the
ubiquity of the worldwide web have revolutionized the dissemination of intellectual property—including
graduate works. The scholarly community in particular has benefited as more and more of its reference
materials and the latest literature in every discipline becomes available online—especially when it's free
whether or not you or your institution subscribe to the publication. The primary literature is accelerating
toward open access as scholarly publishers work to create new business models that will support this demand
while sustaining the quality of their product. Where the primary literature goes, so does ProQuest/UMI,
because we believe graduate works are primary literature.
At the same time, society is rapidly altering its notion of intellectual property, as access to information
becomes a mouseclick rather than a trip to the library or bookstore. There is a strong and growing notion that
information should be free to all members of society. While academia has long argued that there is a
difference between information and intellectual property, it is clear that the distinction becomes ever more
blurred as the Web grows and search engines become increasingly intelligent and powerful. The notion that
information is a global commons, that society has a right to access the results of research that it supports,
and the increasing call for academic accountability are together generating powerful forces that will affect how
you publish as a scholar from this point forward. For example, search the internet under the term "Federal
Research Public Access Act" and you will see that Congress may soon require the published results of all
federally funded research to be held in open access repositories. In a nutshell, it is time for ProQuest/UMI to
offer an open access publishing option to the authors of graduate works.
So why will we continue to offer the traditional copy-sales and royalties publishing option? The
landscape of scholarly publishing is evolving—not changing overnight—so we are evolving with it by offering a
range of options to suit the best interests of all graduate student authors.

How do you choose between Open Access and Traditional publishing?

ƒ Check in with your graduate school or its equivalent first. Your university may require that you publish for
Open Access, particularly if your research was supported by federal funds.

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PQ/UMI® GradWorks Guide F2006

ƒ Check into any restrictions imposed by a funding source. If your work was funded by industry or a
corporate interest, as part of their research and development efforts, there may be some restrictions on
the dissemination of all or part of your published dissertation or thesis.
ƒ If you have a patent pending, or there is patentable work in your dissertation or thesis, you should
already be working with your institution's technology transfer office or higher-level research office. If this
is the case, see Guide 4: Embargoes and Restrictions and take appropriate steps to ensure that any
patentable rights are protected.
ƒ Next, check in with your advisor, committee chair, and any trusted mentors in your field. Your disciplinary
community may share strong sentiments either for or against open access publishing. In some
disciplines, open access is seen as a threat to the peer-review system because of the financial stress it
causes for non-profit scholarly societies who publish journals. Other fields share a common and strong
ethic for open access, particularly if its contributions are important to individual and societal decision-
making. While you may not wish to have your decision governed by the norms of your discipline, you
should at least be aware of any strong culture for or against open access in your field. Your mentor
should also be able to advise you on whether or not your work is commercially viable in and of itself. If,
for example, it is likely that your dissertation or thesis would sell well, you may not want to forgo earned
royalties. Finally, your mentor should be able to help you decide if there is content in your work that
should remain within academic circles, at least for a while. In such cases, you could still choose to publish
for open access, but delay the release of your work for a fixed time (see Embargoes and Restrictions).
ƒ Lastly, check in with your own value system and your professional goals. Do you believe that society will
benefit from your research? Was your graduate work supported by public funds or by a charitable source
with a strong social mission? If so, you may feel like giving back by making your work free to anyone who
wants or needs it. Are you on your way to a career in the fine or performing arts? If so, you may not
want to give away the unique platform you've built through your graduate work, and prefer to let
interested readers or viewers pay for the privilege. Did you create or develop something with tangible
value to industry or business? Again, perhaps you should start requiring payment for your expertise now.
In the end, there is no right or wrong to either open access or copy sales and royalties as a basis for
disseminating your work. We have developed the means for you to choose the model that best serves
your professional and personal interests.

Open Access graduate works will be maintained in the new PQDT Open database, comprising the subset of
our collection for which authors have paid the one-time fee for open access (currently $95). 2007 graduates
will be the first cohort to have the Open Access Publishing option. For more information on PQDT Open and
Open Access Publishing with ProQuest/UMI, go to www.proquest.com/products_umi/dissertations/ and click on
"New! Open Access Publishing."

What about Copyright and Open Access publishing?

We have been asked whether there is any benefit in retaining your copyright or registering your claim
to copyright with the U.S. Copyright Office if you publish anything for open access. There certainly is good
reason, if not more reason to retain and protect your copyright if you publish open access, though you must
decide for yourself about registering your claim (see the following section). By giving open access to your
work, you are inviting people to read, reference, think about, build upon, refute, and perhaps even enjoy your
work. You are NOT granting the right to take your work as one's own and/or to use it as one's own and/or to
use it for commercial purposes without your permission. That is a copyright infringement.

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PQUMI0809--DISS

FORMS & INSTRUCTIONS

for Submitting your Doctoral Dissertation

Important Notes
Know your institution's submission procedures. If you accessed these forms at your school’s ETD Administrator, your school may be
using our on-line submission service UMI ETD Administrator. Instructions, publishing policies and procedures are embedded in UMI ETD
Administrator submission process. You do not need to use these forms. However, if your institution does NOT participate in our online
submission service please use these forms for submitting your paper manuscript. You will provide your submission package to your
graduate school or other designated office, and they will deliver it on to us.
You own and retain copyright to your dissertation. ProQuest/UMI only acquires a non-exclusive right to distribute your work according
to options you choose.
Your university and/or library may have specific policies regarding dissemination of, and access to your dissertation. You should
understand your institution’s policies clearly before you complete the ProQuest/UMI forms and submit your dissertation.
Most universities hold all submitted dissertations and theses until the end of the semester or quarter, then deliver them to us all at once.
Once your manuscript actually arrives at ProQuest/UMI, another 6 to 10 weeks are required for processing.
You can increase the chances of a speedy publishing process by following all instructions, guidelines, and requirements precisely. Use the
Submission Checklist. And if you have any questions, call our Author Relations Team at (800) 521-0600 ext. 7020.

UMI® Publishing Agreement Title

Read and understand the UMI® Publishing Agreement. This
agreement grants ProQuest/UMI the right to reproduce and
disseminate your work according to the choices you make. This is a
non-exclusive right; you may grant others the right to use your
dissertation or thesis as well. You retain your copyright.
Choose your publishing option, Open Access publishing or
Traditional publishing.
Select any necessary embargoes and restrictions. Note: your
institution may have explicit policies regarding embargoes and
restrictions, dissemination and access. Check with your graduate
school or its equivalent to be sure you comply with institutional
policies.
Sign the UMI® Publishing Agreement. Publication of your work may
be delayed or impossible if your signature is missing.
Submission Form
Personal information
We require a limited amount of personal information to process
your submission and provide records to your institution. Provide
your name exactly as it appears on the title page of your manuscript.
We request your Country of Citizenship because libraries and
researchers are often interested in searching for all dissertations
published by authors of a given nation or region. We use your
personal information solely for publishing and dissemination
purposes, and do not sell or supply your personal information to any
third party.
Degree & Dissertation or Thesis Information
We use this information to create the bibliographic data that
establishes your dissertation or thesis in the primary literature. It is
important that this information is accurate and corresponds
precisely with the information in your manuscript. Discrepancies
between the data you provide in this form and your manuscript can
delay publication of your work and/or make it difficult for other
researchers to discover your work. Please use full and official names
when completing the information about your institution and your
advisor and committee members.
In databases and indices, your title will appear in sentence case
regardless of the conventions of your discipline; e.g., "The long and
short of it: a sample title." Whenever possible, use full proper
names of people, organisms, places, etc. For example: "Samuel
Clemens" not "S. Clemens"; Hyla arenicolor, not H. arenicolor. Try to
spell out abbreviations for specialized vocabulary; e.g., "Triassic"
rather than "Tr." Use word substitutes for formulas, symbols,
superscripts, subscripts, Greek characters, etc. For example, use
st
"potassium", not "K"; "first", not "1 "; "delta", not "∆". Be sure to
include all appropriate accents and diacritical marks.
Subject Categories
The first (primary) subject category that you enter is the one under
which your dissertation or thesis will occur in our citation and
abstract indices. Using Guide 2: ProQuest/UMI Subject Categories
(attached), choose the category that most closely corresponds with
the field in which you did your graduate research. You may add one
or two more secondary subject categories; these will be associated
with your work and may increase its exposure to search engines.
Keywords
Adding good keywords is another way to increase the chances that
your work will be discovered. For example, geographic locations or
specialized terms that do not occur in your title or abstract can
increase exposure of your work.
Contact Information
Provide a future mailing address and telephone numbers. If there is
an issue with your submission and we are not able to reach you,
release of your dissertation or thesis and production of any print
copies you order will be substantially delayed. Provide a permanent
email address (e.g. a hotmail-type web mail address).
Additional Materials
Required
Any necessary co-authorship and/or copyright permissions. If
you share authorship with anyone else for any part of your
dissertation or thesis, you need to acquire his or her permission
to include that content. If any content in your manuscript,
including appendices, is already under another copyright, you

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PQUMI0809--DISS
need to acquire permission from the copyright holder to use believes all necessary rights of third parties have not been
that content. All such permissions must accompany your secured.
submission. Go online for more information and a sample Optional
permission letter.
Supplementary files on digital media. See the website to learn
http://www.proquest.com/products_umi/dissertations/submitt
about including multimedia material
ed_authors.shtml. ProQuest/UMI may elect not to distribute
http://www.proquest.com/products_umi/dissertations/submitt
your dissertation or thesis if, in its reasonable judgment, it
ed_authors.shtml.

Completed Submission Package

All materials should be packaged together and delivered to the appropriate office on your campus. A complete submission package includes:
Signed UMI® Publishing Agreement
Completed Submission Form
1 extra copy of your Title Page, identical to the one in your manuscript
1 extra copy of your Abstract, identical to the one in your manuscript
Your complete manuscript
Any payments you will make directly to ProQuest LLC
Any permission letters necessary to use material under another copyright in your manuscript
Copyright Registration Form, if you want us to register your copyright
Copy Order Form, if you want personal bound copies
Any supplementary multimedia material on CD/DVD

Checklist
 Have you indicated your choice of Open Access or Traditional Publishing?
 Have you indicated any necessary embargoes or restrictions?
 Have you signed the UMI® Publishing Agreement in the space provided?
 Have you enclosed any payments that you will make directly to us, or provided a credit/debit card number, expiration date, and signature?
Please ensure that whatever form of payment you use will not expire in the 6 months following your submission.
 Have you provided a permanent or future email address where we can reach you if there are any problems processing your submission?
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Guide 2: Subject Categories

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COMMUNICATIONS AND THE ARTS Modern 0291 History 0509
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Cinema 0900 Composition 0681 Folklore 0358
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Language and Literature 0279
Mathematics 0280 SOCIAL SCIENCES Social Work 0452
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Sciences 0714 Physical 0327 Ethnic and
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AND LINGUISTICS Economics Theory and Methods 0344
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General 0679 Agricultural 0503 Urban and
Ancient 0289 Commerce-Business 0505 Regional Planning 0999
Linguistics 0290 Finance 0508 Women's Studies 0453

8
PQUMI0809--DISS

The Sciences and Engineering

BIOLOGICAL SCIENCES Health Sciences Statistics 0463

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Health Care Engineering
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Management 0769 General 0537
Fisheries and
Human Development 0758 Aerospace 0538
Aquaculture 0792
Immunology 0982 Agricultural 0539
Food Science and
Medicine and Surgery 0564 Automotive 0540
Technology 0359
Mental Health 0347 Biomedical 0541
Forestry and Wildlife 0478
Nursing 0569 Chemical 0542
Horticulture 0471
Nutrition 0570 Civil 0543
Plant Culture 0479
Obstetrics and Electronics and
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Gynecology 0380 Electrical 0544
Range Management 0777
Occupational Health Environmental 0775
Soil Science 0481
and Safety 0354 Industrial 0546
Wood Technology 0746
Oncology 0992 Marine and Ocean 0547
Biology Materials Science 0794
Ophthalmology 0381
General 0306 Mechanical 0548
Pathology 0571
Anatomy 0287 Metallurgy 0743
Pharmacology 0419
Animal Physiology 0433 Mining 0551
Pharmacy 0572
Bioinformatics 0715 Nuclear 0552
Public Health 0573
Biostatistics 0308 Packaging 0549
Radiology 0574
Botany 0309 Petroleum 0765
Recreation 0575
Cell 0379 Robotics 0771
Rehabilitation and
Ecology 0329 Sanitary and Municipal 0554
Therapy 0382
Entomology 0353 System Science 0790
Speech Pathology 0460
Genetics 0369
Toxicology 0383 Geotechnology 0428
Limnology 0793
Home Economics 0386 Operations Research 0796
Microbiology 0410
Plastics Technology 0795
Molecular 0307
PHYSICAL SCIENCES Textile Technology 0994
Neuroscience 0317
Oceanography 0416 Chemistry PSYCHOLOGY
Parasitology 0718 General 0485
Agricultural 0749 General 0621
Physiology 0719
Analytical 0486 Behavioral 0384
Plant Physiology 0817
Biochemistry 0487 Clinical 0622
Veterinary Science 0778
Inorganic 0488 Cognitive 0633
Virology 0720
Nuclear 0738 Developmental 0620
Zoology 0472
Organic 0490 Experimental 0623
Biophysics Industrial 0624
General 0786 Pharmaceutical 0491
Physical 0494 Personality 0625
Medical 0760 Physiological 0989
Polymer 0495
Radiation 0754 Psychobiology 0349
EARTH SCIENCES
Psychometrics 0632
Atmospheric Sciences 0725 Mathematics 0405 Social 0451
Biogeochemistry 0425 Physics
Geochemistry 0996 General 0605
Geodesy 0370 Acoustics 0986
Geology 0372 Astronomy and
Geophysics 0373 Astrophysics 0606
Hydrology 0388 Atmospheric Science 0608
Mineralogy 0411 Atomic 0748
Paleobotany 0345 Condensed Matter 0611
Paleoecology 0426 Electricity and
Paleontology 0418 Magnetism 0607
Paleozoology 0985
Palynology 0427 Elementary Particles
Physical Geography 0368 and High Energy 0798
Physical Oceanography 0415 Fluid and Plasma 0759
Remote Sensing 0799 Molecular 0609
Nuclear 0610
HEALTH AND ENVIRONMENTAL SCIENCES
Optics 0752
Environmental Sciences 0768 Radiation 0756
Theory 0753