University of Pennsylvania-Doctoral Dissertation Manual-Instructions for Preparing and Filing the Dissertation
Revised October 2009
Approved by the Graduate Council of the Faculties and the Council of Graduate Deans
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Table of Contents Page
Introduction………………………………………………………………………………….……...3
I. Preparing the Manuscript
a. Overall Appearance
b. Organization of the Manuscript
c. Margins…………………………………………………………………………………......…….4
d. Line Spacing
e. Font
f. Pagination
g. Abstract
h. Title Page………………………………………………………………………………......…….6
i. Paper
j. Mixed Media
k. Copyright Notice
l. Footnotes/Endnotes………………………………………………………………..……….8
m. Bibliography
II. Accompanying Forms
a. Approvals
b. ProQuest Publishing Agreement
c. Using ProQuest for Copyright Registration
d. Use of Copyrighted, Previously Published or Co‐authored Material
e. Patents…………………………………………………….……………………………..….....…9
f. Request for Restriction of Publication
g. Survey of Earned Doctorates
h. PhD Exit Survey
III. Submission Procedures
a. Appointment at the Graduate Division
b. Dissertation Deposit Fee……………………………………………………………….….10
c. Electronic Filing of the Dissertation
d. Hard Copy Filing
e. Open Access Publishing by ProQuest
IV. Checklist……………………………………………..…………………………………………………11
V. Transcripts and Diplomas
Appendix 1. Restriction of Publication Request Form…………………….……….….12
Appendix 2. Official Names of the Graduate Groups…………………………………….13
Appendix 3. Certification of Dissertation…………………….……………….……...……...15
Appendix 4. Tips for Creating a PDF with Embedded Fonts…………………………16
Appendix 5. Alumni Request for Posting to Scholarly Commons………………….17
Appendix 6. Sample Title Pages ………………………………………………………………...19
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Introduction: Writing and filing the dissertation are among the final steps leading to the award of
the PhD. At the University of Pennsylvania, the student presents the dissertation publicly, defends
it, and, with the approval of the dissertation committee, submits the final manuscript to the
Graduate Division. The University’s publication requirement is satisfied when the Graduate
Division submits the dissertation to ProQuest for unlimited distribution and to the University
Library for shelving in the permanent collection. (See Section III.f. for permission for temporary
delay of publication.)
The University’s requirements regarding the format for the dissertation are documented in this
manual. Follow the instructions carefully and, should further questions arise, consult the
Graduation Coordinator of the SAS Graduate Division Office (Suite 322A, 3401 Walnut Street/6228;
phone 898‐7444).
I. Preparing the Manuscript
a. Overall Appearance: The manuscript must be clear and legible, free of errors, and
attractive in appearance. All pages must be printed single‐sided. The manuscript should
be submitted unbound in an envelope or box.
b. Organization of the Manuscript:
Preliminary Pages, in the following order:
Title Page
Copyright Notice (optional)
Dedication (optional)
Acknowledgment (optional)
Abstract
Table of Contents
List of Tables
List of Illustrations
Preface (optional)
Main Text
Appendices (optional)
Bibliography (optional)
Index (optional except for graduate groups in Anthropology,
Architecture, City & Regional Planning, Earth & Environmental
Science, East Asian Languages & Civilization, Folklore &
Folklife, Near Eastern Languages & Civilization, South Asia
Regional Studies)
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c. Margins:
Left‐hand margin: 1.5 inches
Right‐hand margin: 1 inch
Top and bottom margins: 1 inch
All text, including footnotes and page numbers, must be inside these boundaries.
Nothing may appear in the margin area.
d. Line spacing: The text of the dissertation is double‐spaced, except for footnotes,
long quoted passages, and lists of tables and figures, which are single‐spaced.
e. Font: Any non‐italic 10‐ or 12‐ point font may be used. Headings may be larger. For
enhanced screen readability, use Arial (10pt), Courier New (10pt), Georgia (11pt),
Times New Roman (12 pt), or Verdana (10pt) font. For footnotes, figures, citations,
charts and graphs, a font of 8 point o
