Instructions for Preparing
Printed Dissertations
and Doctor of Musical Arts Projects

Page Formatting and Font

• Margins: A 1-inch margin is required on the top, bottom and right sides of all pages of the dissertation; a 1.5-inch margin is required on the left side of all pages to allow for binding.
• Line Spacing: Either one and one-half or double spacing should be used in the body of the dissertation. Footnotes, bibliographic entries, long quoted passages, etc., should be single-spaced.
• No Bold on Preliminary Pages.
• Justification: Either left justification or full justification is acceptable for the body of the text. “Orphans” (headings or sub-headings located at the bottom of a page that are not followed by text) and “widows” (short lines ending a paragraph at the top of a page) should be avoided.
• Pagination: Roman numerals must be used for the acknowledgment page and all pages following until the first page of the text. Begin with numeral “iii “. Arabic numerals must be used for the main text, illustrative material, appendices, references, and vita. Begin with page 1 and number consecutively. Numbers must be positioned 0.5 inches from the bottom of the page. They must be centered and must be consistent throughout the dissertation.
• Font: A standard 10 to 12 point font is required and should be consistent throughout the dissertation. This includes all, preliminary pages, table of contents, list pages, table/figure headings and page numbers. The text must be black. Only laser printing (impact printing) with a minimum resolution of 300 dpi, or professional-quality photocopying is acceptable for the final version of the dissertation.

Page Order

The dissertation consists of three major sections: the preliminary pages, the main text, and the appendix/reference materials. The specific order of the pages is as follows:

1. Cover Page for Abstract
2. Title Page for Abstract
3. Abstract: The abstract must not exceed 350 words and must be single-spaced. Do not include graphs, charts, tables or other illustrations in the abstract. If the abstract is not in English, provide an English translation. Include exactly 5 keywords or key phrases at the end of the abstract for indexing and cataloging purposes. If multimedia elements are used in the document, add this listing to the Abstract immediately after the keywords. For example - Multimedia Elements Used: JPEG (.jpg); Apple Quick Time (.mov); WAV (.wav).
4. Approval Page (signature page) If you have co-directors, they must also sign the approval page.
5. Rules for the Use of Dissertations (or D.M.A. Projects)
6. Cover Page for Dissertation
7. Title Page for Dissertation
8. Blank page
9. Dedication Page (Optional): The information should be centered on this page; this page is not paginated.
10. Acknowledgments (Optional)
11. Table of Contents: This Table of Contents must provide the page location of the Acknowledgments, List of Tables (if included), List of Figures (if included), each chapter or section and sub-sections, as well as Appendices, Bibliography/References, and Vita. (Musical Arts Projects must indicate Part I and Part II in the Table of Contents)
12. List of Tables (Required only if tables are presented in the text): This page must include the table number, exact title, and table page number. Do not include the table legend.
13. List of Figures (Required only if figures are presented in the text): This page must include the figure number, exact title, and figure page number. Do not include the figure legend.
14. Text: This section must be divided into chapters or sections. Musical Arts Projects must include (I) Extended monograph of Lecture Recital and (II) Program notes. Do not begin with abstract.
15. Appendices: Appendices include materials that are independent of but relevant to the dissertation, for example surveys, additional data, computer printouts, symbols, abbreviations, definitions, etc. The appendices must conform to the rules for margins, but the print may be reduced in size.
16. Bibliography and/or References: A bibliography is a comprehensive list of all sources used in the preparation of a dissertation, whether those sources are cited or not. References are those works cited in the text, including traditional footnotes and parenthetical citations. Either option is acceptable to The Graduate School. Bibliographies must be alphabetized even within sub-headings if used. References may be listed either alphabetically or numerically (in order of citation). References for a Musical Arts Project must follow each of the two individual parts of the project. The Bibliography (presented at the end) covers both parts.
17. Vita: A VITA must be included. The vita can be compiled in a list or paragraph format and should be restricted to the following information:
• Date and place of birth (required for Library cataloging purposes)
• Educational institutions attended and degrees already awarded
• Professional positions held (do not include job descriptions)
• Scholastic and professional honors
• Professional publications
• Original signature of student on final two copies
• Do not include Doctoral Degree on Vita. You may use wording such as: In progress, to be completed, expected graduation date.
• Do not include job descriptions or course listings.

Tables and Figures

• Table/Figure Placement: There are three options for table and figure placement within the dissertation. Use one consistent method throughout the dissertation. Tables/figures may not be grouped at the end of the dissertation.
• Place the table/figure on the page along with the body of the text (do not wrap the text around the table/figure).
• Place the table/figure on a separate page immediately following the page in which it is first cited in the text.
• Group tables/figures at the end of the chapter in which they are first cited in the text (note that when grouping, tables precede figures).
• Table/Figure Numbering: The recommended method is to identify each Table or Figure according to the chapter in which it appears (Table/Figure 2.1, 2.2, 3.1, 3.2, etc.)
• Table/Figure Headings:
• Table headings must be positioned above the table using the same font style and size as used in the main body of the dissertation. Use a continuation notation for tables that exceed one page in length. For example, Table 3.1 (continued).
• Figure headings may be placed either above or below the figure, depending on the convention used in the discipline. For larger figures that fill the area of the page, it is acceptable to place the corresponding heading on a separate page that immediately follows the figure in the dissertation. Both the figure page and the heading page should be numbered in the usual consecutive manner. Do not abbreviate the word "figure."
• For landscaped tables/figures, headings placed on the same page must be oriented to read from bottom to top.

Illustrations

Illustrations should be laser printed or photocopied directly onto the same archival-quality paper as is used for the body of the dissertation. The only exceptions to this requirement are:

• Original photographs: Consult with the Graduate School for acceptable printing, mounting and labeling procedures.
• Line drawings: Such drawings must be done on archival quality, alkaline-buffered paper in black, permanent, non-water-soluble ink. Color line drawings may be acceptable in some instances, and should utilize high-quality acrylics or colored pencils.
• Color illustrations should be avoided if possible; they do not reproduce well to microfilm.

Oversize Materials

The use of oversize illustrations and foldouts should be kept to a minimum. They are difficult for readers to use and cause added complications in binding and microfilming. Where possible, reduce the image to fit the standard (8.5 x 11 inch) paper size. Oversize papers may not exceed 30 x 30 inches. An additional binding fee will be levied for the incorporation of pocketed material into the binding (see section on charges).

• Foldouts to be bound into the text: Oversize foldouts must conform to the following restrictions 1) the page height is exactly 11 inches; 2) the page width does not exceed 17 inches; 3) the foldout is creased in such a manner as to preserve the 1.5 inch left margin for binding and 4) the final size of the foldout is 8.5 x 11 inches. All foldouts must be printed on the same archival quality paper as is used for the body of the dissertation.
• Oversize materials to be placed into pockets: There are two options for information on pages that are larger than 11 x 17:
• Very thick folded items or a group of more than four individual items must be appended to the text as a pocket bound into the back cover of the dissertation. Label each item so that it is clear where it references the text. A reference should be included in the text at the appropriate location, either as a separate page or an embedded caption, to alert the reader to the presence of the pocket at the back of the binding. Place the item(s) securely in a labeled envelope and submit with the dissertation. The oversize item(s) must fold to a maximum dimension of 7.75 x 10 inches.
• There are two options for fewer than four, small, individual folded items: 1) they may be placed into a pocket in the back cover of the volume, as described above, or 2) they may be placed into archival envelopes, attached to a base paper, and bound into the volume at he appropriate place in the text. If the latter option is chosen, contact the Graduate School for mounting instructions.

Mixed Media

It is strongly recommended that students consider submitting an Electronic Dissertation (ETD) if multimedia elements are to be incorporated into the document. If you elect the more traditional format, additional information may be submitted in the form of a computer diskette, compact disc, videotape, audio tape, or other medium. In most cases, the library binder will bind the non-print medium into the back board of the binding.

Multi-Volume Works

Binding the dissertation into multiple volumes will be required if the manuscript and pocket materials together exceed 2.75 inches in thickness. In the event that multiple volumes are needed, the author must 1) indicate where the dissertation should be split (at a chapter break, and not within a chapter) 2) provide an additional title page for the second volume (in this case, all title pages should have an indication of volume number, including volume one) and 3) indicate the volume split in the Table of Contents.

Paper Requirements

The paper on which the work is printed must meet the standards for durability and permanence suitable for a work that will reside in the Library and Archives (see American National Standards Institute (ANSI) / National Information Standards Organization (NISO) Z39.48-1992; Permanence of Paper for Publications and Documents in Libraries and Archives).

The requirements for dissertation papers are:

• 8 ½ x 11"
• Acid- and lignin-free
• Alkaline-buffered (such paper will usually have a pH of 7.5 to 8.5)
• Durable
• At least 20 lb bond weight
• White with a watermark

The following 8 ½ x 11" papers meet the standards listed above:

• Neenah Laser (Neenah Paper Company. DISTRIBUTOR: Kimberly-Clark)
• Perma/Dur Buffered Bond (DISTRIBUTOR: University Products)
• Crane's Thesis Paper (DISTRIBUTOR: Crane and Company)
• Xerox Image Elite (DISTRIBUTOR: Xerox Corporation)
• Hollinger Permanent Bond ( DISTRIBUTOR: Hollinger Corporation)

Note that all of the paper used in a given copy of the dissertation must be from the same source, and must be of the same whiteness.

Copyright Information

In any work, copyright implicitly devolves to the author of that work whether or not you so state. Copyright arises automatically when a work is first fixed in a tangible medium such as a book or manuscript or in an electronic medium such as a computer file or e-mail. To make your ownership of the work clearer, The Graduate School now requires a copyright notice be placed centered at the bottom of the abstract title page and the dissertation title page: For example, Copyright © John J. Smith 2001.

By submitting a dissertation to the University of Kentucky Graduate School, the student attests 1) that all material contained therein is the original work of the student 2) that proper scholarly attribution has been given to all outside sources and 3) that all necessary copyright permissions have been obtained for any third-party-copyrighted material included in the dissertation. Students must obtain written permission from the author and/or copyright owner if using copyrighted materials beyond the "fair use" policy. If you have any questions concerning copyright law or what constitutes "fair use", consult Copyright Law & Graduate Research: New Media, New Rights and Your New Dissertation by Kenneth Crews by visiting the Bell & Howell / UMI Web site at: <www.umi.com/hp/Support/DServices/copyright/>.

In submitting the dissertation, the student will be granting to the University of Kentucky and its agents the non-exclusive license to archive and make accessible the dissertation in whole or in part in all forms of media, now or hereafter known. However, the student retains all other ownership rights to the copyright of the work, including the right to use it in future works (such as articles or books) all or part of the work. Further, the student is free to register the copyright to the dissertation.

• Pre-published Materials: Students should be first authors on any publications based on their dissertation work. This reflects the primary creative role students should play in the organization, development, and execution of their research with guidance from the advisory committee. If a student is not first author on a manuscript presenting the dissertation research, then written approval must be obtained from the Director of Graduate Studies for the work to be included in the dissertation. Written verification of DGS approval must be presented to The Graduate School with the Dissertation Approval Sheet. Any of the student's work that has been previously published must be appropriately referenced within the dissertation. It is the student's responsibility to contact journal editors regarding an individual journal's copyright regulations prior to publication with that journal. The journal may hold the copyright to the material, and a request for release should be made prior to reproducing that material in the dissertation.
• Proprietary Content: In certain circumstances, the dissertation may contain information of a proprietary nature. The Graduate School will honor requests to hold a dissertation for a period up to one calendar year prior to releasing it for publication and archiving in the UK Libraries. A written request must be presented to the Dean of The Graduate School that specifies substantive reasons why the dissertation should be held; this request should be endorsed by the Major Professor and the Director of Graduate Studies.

WARNING: While the Graduate School will check the dissertation for proper format and pagination at the time of submission, it cannot assume any responsibility for editing or correcting the dissertation. Therefore, each author should take care to proof for spelling and format, as well as the inclusion of all components, before bringing the dissertation to the Graduate School for final submission. Note that the Graduate School cannot accept replacement copies or other changes once the final dissertation has been submitted.

Direct questions to the Degree Certification Officer for your program.

CHECKLIST

FAQ's

Direct questions to grad.webmaster@email.uky.edu
Last updated May 6, 2005