University of Pennsylvania
Doctoral Dissertation Manual
Issued by the Office
of Graduate Studies for the Graduate Council of the Faculties
Revised January 2003
TABLE OF CONTENTS
Statement on Plagiarism
Sample Title Pages
Sample Abstract
DOCTORAL DISSERTATION MANUAL
I. MICROFILMING AND COPYRIGHT INFORMATION
All dissertations are microfilmed by ProQuest, Ann Arbor, Michigan.
The University's publication requirement is satisfied by microfilming,
however microfilming does not preclude publication by other methods.
The negative is retained in the files of ProQuest. Positive microfilm
copies may be ordered at any time by interested scholars and researchers.
The microfilming fee is $80, to cover cost of publication by this
process. This fee is subject to change.
If a registered copyright is desired,
pay the copyright fee of $45 to the University Cashier at the Franklin
Building and inform the Graduate Division Office at least two days
before the appointment to deposit the dissertation.
No dissertation is available for circulation
until after microfilming. The original manuscript copy of the dissertation
and the microfilm are deposited in the University Library and are
available for circulation after the completion of the microfilming
process.
The original dissertation must be suitable
for microfilming and must be ready for publication before it can
be processed by the SAS Graduate Division Office on behalf of the
Graduate Council of the Faculties. Occasionally, the Graduate Group
Committee will suggest minor revisions which must be made by the
candidate before the completed dissertation is delivered to the
SAS Graduate Division Office. The original and copy of the dissertation
must be clean with no handwritten corrections.
The candidate must consider any special
requirements imposed by the Graduate Group Committee under which
he/she is working. However, regulations and specifications in this
Manual are considered established requirements of the Graduate Council
of the Faculties.
Should further questions arise, consult
the Graduation Coordinator of the SAS Graduate Division Office (Suite
322A, 3401 Walnut Street/6228; phone 898-7444).
II. REQUIREMENTS FOR DEPOSITING THE DISSERTATION
The following requirements must be fulfilled no later than
two weeks prior to the degree award date:
- The dissertation may be submitted in printed form or as a compound
document. (A compound document contains both text on paper and
other information only available/accessible through a specific
electronic format such as a floppy disk or CD-ROM).
- If the dissertation is in printed form, the original and a second
printed copy (not a photocopy) of the Doctoral Dissertation
must be deposited in two separate boxes or two separate envelopes.
(See "General Printing Instructions" for appearance
and margin requirements.)
If the dissertation is a compound document, the original manuscript
and the disk/CD-ROM and a second printed copy and disk/CD-ROM
must be deposited in two separate boxes or two separate envelopes.
ProQuest guidelines must be satisfied for all compound submissions.
The option of submitting a compound document at the University
of Pennsylvania is limited to PhDs at this time (e.g., masters
theses may not be submitted in compound format).
- Title page: Each copy of the dissertation must be accompanied
by a paper title page with original signatures.
- Abstract: The abstract is a summary of the dissertation
not to exceed 350 words. Each copy of the dissertation must contain
a copy of the abstract, just before the Table of Contents. An
additional copy of the abstract must be submitted separately so
that it can be forwarded to ProQuest for publication in Dissertation
Abstracts. (See "Detailed Instructions For Individual Pages"
for style requirements for the Abstract.)
- The Microfilming Contract (included in ProQuests's "Publishing
Your Dissertation" brochure) must accompany the dissertation,
along with an extra copy of the title page and abstact. Follow
the instructions given on the contract when preparing this form.
If the dissertation is submitted with a CD, the following must
be included:
- a Reprint Permission Letter to authorize previously copyrighted
materials within the body of the work
- a description of software or other applications used to
create the floppy or CD-ROM disk, including a list of files
and file sizes copies of licenses for third part software
needed to access, display, run, or print dissertation
- written permission to reproduce copyrighted images, video,
graphics, animation, data and images, of individuals.
- A completed Survey of Earned Doctorate questionnaire
must accompany the dissertation. Completion of the "Survey
of Ph.D. Recipient's Opinion" is also requested. (The
survey is available online at www.upenn.edu/grad/sdso/sdso.html;
a copy of the form will also be mailed to the degree candidate
shortly before the degree award date).
- The Certification of Dissertation form (Form 153), with
the Graduate Group Chairperson's signature, must accompany the
dissertation.
III. GENERAL
PRINTING INSTRUCTIONS
A dissertation is microfilmed exactly as received. It is essential
that the manuscript be clear and legible, free of errors, and attractive
in appearance. Color print and photographs will appear black and
white when reproduced. No color should be used in the original (100%
cotton paper) used for microfilming. Color may be used in the second
copy, which will be in circulation in the Penn library.
Compound dissertations will be distributed
by ProQuest as hardbound publications only, with a CD or floppy
disk sleeve on the inside of the binding. All submissions must conform
to the current ProQuest Guidelines.
Only white paper, 8 1/2 x 11 inches
in size, may be used. Use only one side of the sheet for all text,
illustrations, charts, and other material.
The original must be printed
on 100% cotton content or acid-free paper, 20 lb. bond or heavier
stock.
Fonts: Any 10- or 12- point font
may be used.
Headings may be larger.
Margins: Left-hand margin: one
and one-half inches
Right-hand margin: one inch
Top and bottom margins: one inch
All text, including footnotes and page
numbers, must be inside these boundaries. Nothing may appear in
the margin area. Do not exceed margins.
Line spacing: See "Detailed
Instructions" for spacing requirements for the title and preliminary
pages. The text of the dissertation is double-spaced, except for
footnotes and long quoted passages, which are single-spaced.
Handwritten Insertions: Symbols and
other material entered by hand must be in permanent black ink, clear
and accurate. A draftsman's pen may also be used.
Sequence of Dissertation Text:
1.Preliminary Pages, in the following
order:
Title Page, with two original signatures
(Dissertation Supervisor and Graduate Group Chairperson).
Copyright Notice, if desired.
Dedication(s). Optional.
Acknowledgment(s). Optional.
Abstract.
Table of Contents. A consecutive listing
of chapters or major headings with page numbers.
List of Tables, with titles and page
references.
List of Illustrations, with titles
and page references.
Preface. Optional.
2.Text, with footnotes or endnotes,
as per the "Detailed Instructions". It must be properly
paginated, with all pages accounted for. See the Pagination section
in the "Detailed Instructions" for information on how
to paginate.
3.Appendices. Optional.
4.Bibliography. An alphabetical
list of references used. See note below.
5.Index. An alphabetical list
of subject matter with page number references.
The following graduate groups require
a bibliography and/or index with the dissertation:
American Civilization
Anthropology
Architecture
Asian/Middle East Studies
City/Regional Planning
Earth & Environmental Science
Folklore and Folklife
Nursing
South Asia Regional Studies
You may include a bibliography or index
with your dissertation even if your Graduate Group does not require
one.
Method of Presentation:
The finished dissertation must be presented at Suite 322A, 3401
Walnut Street/6228 in two appropriate sized boxes or two appropriate
sized manila sealable envelopes. Each envelope or box should contain
one copy of the dissertation in paper, electronic, or compound format.
All paper submissions must be unbound.
For grammar and usage, or for manuscript
style procedures not specifically prescribed in this Manual, students
should follow as closely as possible the forms approved in Webster's
New International Dictionary, second edition; the Chicago Manual
of Style; the M.L.A. Style Sheet; or the manual of style for publications
in your area of specialization.
IV. DETAILED INSTRUCTIONS FOR INDIVIDUAL
PAGES
Pagination
Every page in the dissertation has a number, except for the
Title Page and registered copyright notice (if desired).
For the preliminary pages -- dedication
(optional), acknowledgements (optional), abstract, table of contents,
list of tables, graphs, illustrations and preface (optional), use
small Roman numerals (i, ii, iii, iv, v,...). These may be
placed either at the top or the bottom of the page. The title
page is counted as page i, and the copyright page (if there is one)
as page ii, but do not print the page numbers on either of
these two pages (e.g., in a dissertation with a copyright notice,
the first numbered page is iii; in a dissertation without
a copyright notice, the first numbered page is ii.)
For the text, use Arabic numbers (1,
2, 3, 4, 5,...) starting with page 1 (the first page of the text
itself). These may be placed either at the top or the bottom of
the page. Do not print page numbers, footnotes, or anything else
in the margins. Every page must be consecutively numbered, including
tables, graphs, illustrations, and bibliography/index (if they are
included); letter suffixes (such as 10a, 10b,...) are not allowed.
Check pagination carefully. All pages
must be accounted for.
Title Page
The Title Page must contain the TITLE (in upper case), the author's
name, the graduate group name, the year the degree is being granted,
and two signatures: the signature of the dissertation supervisor,
and the signature of the Graduate Group Chairperson. Students in
the Graduate Group in Managerial Science and Applied Economics (Wharton
Doctoral) must also include their field of specialization above
the graduate group name. Both the original manuscript and the copy
of the completed dissertation must have two original signatures
on the title pages when presented to the Graduation Coordinator
at Suite 322A, 3401 Walnut Street/6228.
Do not print a page number on this
page. It is understood to be page "i" for counting
purposes.
Registered Copyright Notice
If a registered copyright is desired, the Copyright Notice must
appear on a separate page immediately following the Title Page.
(A request for a Copyright must be indicated on the Microfilm Agreement
Form. Payment of Copyright and Microfilm fees must be made in advance
to the Cashier at the Franklin Building.)
The copyright page must have the following
format:
COPYRIGHT
Author's Full Legal Name
Year of Publication
Do not print a page number on this page.
It is understood to be page "ii" for counting purposes.
Dedication(s) and Acknowledgment(s)
These are optional pages. Text should be double-spaced.
Abstract
This is a condensed summary of the dissertation, not to exceed
350 words. All words count towards the total. The abstract, which
is normally a single paragraph, consists of four parts: the statement
of the problem; the procedure and methods used to investigate the
problem; the results of the investigation; and the conclusions.
The abstract is published in Dissertation
Abstracts, a widely distributed bi-monthly publication. This enables
interested readers to know the general content of the dissertation
before reading it.
The abstract should be printed single-sided,
on 100% cotton paper and must be double-spaced like any other text
in the dissertation.
Use the following format. Below the
word "ABSTRACT" (in upper case), list the title of the
dissertation (upper case), your name, and your dissertation supervisor's
name.
ABSTRACT
TITLE OF DISSERTATION
Author's Name
Supervisor's Name
Handwritten insertions such as mathematical
formulae, symbols, and foreign words must be clear and accurate
so that they may be interpreted by publisher without questions.
This will avoid delays in publication. Use black permanent ink for
all handwritten insertions.
List(s) of Tables, Graphs, Illustrations
Make a consecutive listing of all tables, and a second consecutive
listing of all figures (graphs, illustrations, charts, photographs,
etc.), with titles and page numbers.
For hand-drawn illustrations, charts,
and graphs, use opaque, permanent black ink to insure satisfactory
reproduction. Also, use cross-hatchings and line symbols, rather
than color variations, to give greater contrast for microfilming.
Large colored areas, such as those
found on maps, will appear as shades of gray on microfilm.
Use black and white photographs which
do not have much contrast, or use halftone dot screens of photographs.
Photos may be dry mounted, although rubber cement and glue mounted
methods are acceptable. Copies of pictures, charts, and graphs are
acceptable.
Avoid the use of illustrative material
on pages larger than standard typing paper size (8 1/2 x 11). Such
materials may be reduced in size by photocopying and then inserted
into the original dissertation. Abide by the regulations governing
margins.
Any third party electronic application
used to calculate a problem, present a video clip or sound recording
or a combination of sound recording and video, a graph, picture,
animation or representation, must be freeware or licensed for commercial
distribution. Without written permission, the document will not
be distributed by ProQuest.
Text
All text should be double-spaced, except for long quoted passages,
which are single-spaced.
Footnotes/Endnotes
You have the option of placing footnotes below the text on a
page, or placing endnotes at the end of each chapter. If you place
notes together at the end of a chapter, the notes should be numbered
chapter by chapter. Footnotes that appear at the bottom of a page
may be numbered continuously throughout the dissertation. A bottom-of-the-
page footnote must begin on the same page as the text to which it
refers, but may be continued on a following page if necessary.
Bibliography
This must be an alphabetical listing of all references used.
It may be a single alphabetical list by chapters, or an alphabetical
list by authors for subject and class of publications. Page numbers
in the bibliography section should continue the pagination of the
text; do not number the bibliography separately.
Index
If an index is required (see by your graduate program, it should
be consecutively paged after the bibliography.
V. CHECK LIST FOR AUTHORS
- Is every page of the dissertation correctly numbered?
- Are all pages included? (Check pagination.)
- Is a bibliography and/or index required by your Graduate Group?
- Is the author's name, in full, on the title page of the dissertation,
the abstract, and the contract form? Does the name read the same
on all three?
- Is the title on the abstract and on the Microfilming Agreement
Form the same, word for word, as it is on the dissertation?
- Is the supervisor's name on the abstract? Is the name typed
accurately and in the proper place, so that it is clearly indicated
that he/she is the supervisor and not the author?
- Are all charts, graphs, and other special illustrative materials
perfectly legible in both dissertation and abstract? Are they
in the order and position in which they are to be photographed?
Are they paginated?
- Is the dissertation to be copyrighted? If so, has a copyright
page been included following the title page? Payment of the $45
copyright fee must be made to the Cashier at the Franklin Building
two days prior to deposit of the dissertation.
- Have all significant quoted copyrighted passages been cleared
with the copyright owner? If the dissertation is submitted with
a CD, have the following been included: a description of software
or other applications used to create the CD-ROM disk, including
a list of files and file sizes on the CD-ROM disk; copies of licenses
for third party software necessary to access, display, run, or
print the dissertation; and written permission to reproduce copyrighted
images, video, graphics, animation, data and images of individuals?
- Have you obtained Form 153, which certifies that the dissertation
is in suitable form for microfilming, from your Graduate Group?
This form must be submitted along with your completed dissertation.
- Have you received and completed the Survey of Earned Doctorates,
the Survey of Doctoral Degree Recipients' Opinion form, and "Publishing
Your Dissertation/Microfilming Agreement Form". These forms
are mailed from Suite 322A, 3401 Walnut Street to all degree candidates
and must be turned in along with the completed dissertation. If
you did not receive these forms, call 215-898-7444 as soon as
possible.
* The dissertation must be deposited
in Suite 322A, 3401 Walnut Street according to the schedule issued
with the "Instructions for Candidates for Degree." This
schedule varies with each degree-granting period. See www.sas.upenn.edu/GAS/degree/
STATEMENT ON PLAGIARISM
The University's Code of Academic Integrity defines Plagiarism
as:
using the ideas, data, or language
of another without specific and proper acknowledgment. Example:
copying another person's paper, article, or computer work and
submitting it for an assignment, cloning someone else's ideas
without attribution, failing to use quotation marks where appropriate,
etc.
* The full text of the Code of Academic
Integrity may be found in University Policies and Procedures, issued
by the Office of the Vice Provost for University Life. It is available
online at www.upenn.edu/osl/acadint.html
SAMPLE
TITLE PAGE (#1)
PRACTICAL
ADVICE: THE IMPACT OF "POOR RICHARD'S ALMANAC
ON
DOMESTIC HABITS IN THE AMERICAN COLONIES
Author's
Name
A
DISSERTATION
in
History
Presented
to the Faculties of the University of Pennsylvania
in
Partial Fulfillment of the Requirements for the Degree of Doctor
of Philosophy
2003
_______________________________
Supervisor
of Dissertation
_______________________________
Graduate
Group Chairperson
SAMPLE
TITLE PAGE (#2 - for Wharton Doctoral Students)
THE
EFFECT OF EMPLOYER SUBSIDIES FOR MASS TRANSIT
ON
LAND USE AND ENVIRONMENTAL QUALITY
Author's
Name
A
DISSERTATION
in
__________________
For
the Graduate Group in Managerial Science and Applied Economics
Presented
to the Faculties of the University of Pennsylvania
in
Partial Fulfillment of the Requirements for the Degree of Doctor
of Philosophy
2003
_______________________________
Supervisor
of Dissertation
_______________________________
Graduate
Group Chairperson
SAMPLE
ABSTRACT
ABSTRACT
PRACTICAL
ADVICE: THE EFFECT OF "POOR RICHARD'S ALMANAC
ON
DOMESTIC LIFE IN THE AMERICAN COLONIES
Author's
Name
Supervisor's
Name
The
same elements that transformed the political structure of the British
colonies in North America, first through revolution and later through
a new constitution, were also eager to promote a similar transformation
of social relations among Americans. But at the time of the Revolution,
there was no widespread consensus on how Americans should act towards
one another nor an official aristocracy whose manners were expected
to set the tone for the larger society. Benjamin Franklin's "Poor
Richard's Almanack" sought to fill this void through the means
of pithy homilies issued by an "ordinary" American of
the day. Examining its text, one finds both significant guidance
concerning interpersonal relations in a society which officially
had shed the formal class distinctions of the mother country, practical
suggestions for new arrivals in the cities, and useful tips for
those working the land in a country that was still largely unsettled.
The book also served as the original model for a uniquely American
literary form, the self-help book, which in the United States soon
took the place of custom and clan as a means of providing the average
individual with clues to proper behavior. Through this book, Franklin
had an influence on everyday American manners that was every bit
as significant as his influence on American scientific and intellectual
life.
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