APU Style & Format Handbook for Dissertation and Thesis Publications (Dissertation, Doctoral Capstone Project, Doctoral Project, DNP Project, and Thesis) (See the online access to the handbook.)1 680 East Alosta Avenue, Suite 115, Azusa, CA, 91702 Director of Graduate Student Publications (626) 815-6000 (ext.edu Second Edition, May 2020 1 Online access to the handbook: a. APU Canvas course link: https://canvas. On the APU website, click home.edu from the bottom of the website, and log in. Under Dashboard in the middle, click on Graduate and Professional, and then, click on the handbook title.
On ORG website, under subheading "Training, Policies and Resources. You will find the link to the Canvas course.edu/researchandgrants/training/thesis-dissertation-preparation/ 1 of 51 DEDICATION This handbook is dedicated to Lillian Wehmeyer, Ph. (1934-2005), who was the Doctoral Dissertation Librarian at Azusa Pacific University. Wehmeyer was an educator, librarian, mentor, and author who believed in excellence and practiced it consistently.
She is missed by those who knew and loved her. 2 of 51 TABLE OF CONTENTS Dedication. 2 The APU Dissertation and Thesis Publishing Process. 6 Copyright Permission and Academic Integrity.
7 Fair Use Doctrine. 7 Copyright and Plagiarism. 8 Additional Copyright Protection. 8 Steps after the Oral Defense.
9 Finding an External Reader. 10 Contact Information for the APU Director of Graduate Student Publications. 11 Format of the Document. 13 Heading and Subheading Levels.
13 Chapter or Section Heading. 14 Tables and Figures. 14 Order of Required and Optional Components. 15 Dates Used in the Document.
16 General Format Requirements. 16 Submission of the Sample Copy. 17 3 of 51 Doctoral Degree Posting Dates. 17 Master’s Degree Posting Dates.
17 Need Hard-bound Copies?. 18 Summary of Fees. 19 ProQuest/UMI Links for Online Submissions. 20 Appendix A: Sample Pages.
21 Instructions for the Title Page. 22 Title Page Sample. 23 Instructions for the Approval Page. 24 Approval Page Sample.
25 Instructions for the Copyright Page. 26 Copyright Page Sample. 27 Instructions for the Dedication Page. 28 Dedication Page Sample.
29 Instructions for the Acknowledgements Page. 30 Acknowledgements Page Sample. 31 Instructions for the Abstract Page. 32 Abstract Page Sample.
33 Instructions for the Table of Contents. 34 Table of Contents Sample. 36 Instructions for the List of Tables (LOT) and/or List of Figures (LOF). 37 LOT/LOF Sample.
38 Instructions for the Chapter or Section Title Page. 39 Chapter/Section Title Page Sample. 40 4 of 51 Instructions for the Appendix Title Page .43 Appendix B: Approval Form, Process Chart, and Checklist. 44 APU Dissertation/Thesis Committee Approval Form.
45 APU Dissertation/Thesis Review Chart for Publications. 46 Explanations for the Review Chart. 47 APU Dissertation/Thesis Submission Checklist. 48 5 of 51 THE APU DISSERTATION2 AND THESIS PUBLISHING PROCESS All doctoral and some master’s3 students must submit an electronic sample copy in Word 2016 or higher of their completed and program-approved doctoral project, dissertation, or thesis to the director of Graduate Student Publications.
This submission is needed in order to receive final format and style approval leading to their dissertations or theses being published in the ProQuest Dissertation and Theses database, and to, thus completing their degrees. Students should be aware that degrees will not be posted to students’ transcripts until the sample copy has been approved by the director of Graduate Student Publications and uploaded to the ProQuest database, even if all other degree requirements have been met. The university reserves the right to refuse any document that does not meet its format requirements or is unsuitable for uploading. STYLE MANUALS Students’ departments indicate which manual is required for their disciplines.
Below is a list of recognized manuals in use by APU graduate programs. When specifications in this document differ from the style manual, this document prevails. • Publication Manual of the American Psychological Association (APA 2019, seventh edition) • The Chicago Manual of Style (Chicago, 17th edition) • The MLA Handbook for Writers of Research Papers (MLA, eighth edition) • A Manual for Writers of Term Papers, Theses, and Dissertations: Chicago Style for Students and Researchers (also referred to as Turabian, after the original author Kate L. Turabian, 9th edition) • SBL Handbook of Style: For Ancient Near Eastern, Biblical, and Early Christian Studies (second edition) 2 The word dissertation in this handbook includes doctoral capstone projects, nursing practice projects, doctoral projects, and dissertations.
3 It only refers to master programs that require thesis writing or make it as an option as a degree requirement. Master-level projects, portfolios, and creative writing are not reviewed by the Graduate Student Publications for publication. 6 of 51 COPYRIGHT PERMISSION AND ACADEMIC INTEGRITY Creators of printed materials and non-print media should be acknowledged for their material, whether it appears in the dissertation or thesis as a quotation, paraphrase, summary, figure, table, or other type of medium to convey information. Copyright law is intended to protect intellectual property from misappropriation and loss of income to the copyright holder.
Not all material falls within copyright law; its age is one factor. In addition, material that is unpublished or lacks notice of copyright may also be protected. Fair Use Doctrine In regard to the doctrine of “fair use,” according to the U. Copyright Office (www.gov/fls/fl102.html): One of the rights accorded to the owner of copyright is the right to reproduce or to authorize others to reproduce the work in copies or phonorecords.
This right is subject to certain limitations found in sections 107 through 118 of the copyright law (Title 17, U. One of the more important limitations is the doctrine of “fair use.” The doctrine of fair use has developed through a substantial number of court decisions over the years and has been codified in Section 107 of the copyright law. Section 107 contains a list of the various purposes for which the reproduction of a particular work may be considered fair, such as criticism, comment, news reporting, teaching, scholarship, and research. Section 107 also sets out four factors to be considered in determining whether or not a particular use is fair: 1.
The purpose and character of the use, including whether such use is of commercial nature or is for nonprofit educational purposes 2. The nature of the copyrighted work 3. The amount and substantiality of the portion used in relation to the copyrighted work as a whole 4. The effect of the use upon the potential market for, or value of, the copyrighted work The distinction between fair use and infringement may be unclear and not easily defined.
There is no specific number of words, lines, or notes that may be safely taken without permission. [italics added] Acknowledging the source of the copyrighted material does not substitute for obtaining permission. The use of any table or figure (including a photograph, chart, etc.) or of longer quotations or the major portion of any work must be authorized in writing by the copyright holder. Such written authorizations must be acknowledged in the dissertation or thesis as required by the appropriate style manual and the copyright holder.
Any such written authorizations also must be included in the dissertation or thesis as an appendix. 7 of 51 If copyright permissions are required, the doctoral or thesis-writing student is responsible for contacting the copyright holder, obtaining the necessary written releases, and paying any fees that may be required (Many copyright permissions can be obtained through the Copyright Clearance Center and be done online at www. Copyright and Plagiarism Copyright and plagiarism are not the same. Copyright is statutory, and plagiarism, while unethical, is a type of theft and governed under different rules.
There may be ethical problems with academic integrity with respect to plagiarism, which are not an infringement of copyright. Scholars must recognize the communities to which they belong by tracing and acknowledging all sources, including the originator of an idea. This principle includes, where applicable, explaining that one is replicating a study or acknowledging someone who may have recommended a study like one’s own. Violation of these principles constitutes academic plagiarism, even if copyright law is observed.
Students should refer to the current APU Graduate and Professional Catalog for further information about academic integrity and the consequences at Azusa Pacific University for violating these standards. Also, see ProQuest/UMI’s copyright guide, Guide 5: Copyright and Your Dissertation or Thesis. The URL address is http://www. In addition, students may consult with the University Libraries’ Copyright Advisory Services: (626) 815-3847.
Additional Copyright Protection To help protect their work, all students are required to have a copyright page as Page 3 of their dissertation or thesis. These protections are considered adequate copyright protection. Should students desire additional protection, they may purchase copyright services through ProQuest/UMI. In addition, students may electronically record their dissertations and theses with the Library of Congress through the U.
Copyright office (www.gov/forms) with a fee. 8 of 51 STEPS AFTER THE ORAL DEFENSE Following final approval of the doctoral or master’s manuscript by his or her committee, the student will spend additional time – typically two months or more – preparing the document for publishing, including the final electronic copy that will be uploaded to the ProQuest database. Following a successful defense and the approval of final corrections and edits by the dissertation committee, the student must take the following steps (see Page 46 for APU Dissertation/Thesis Review Chart for Publications). Have the department, school, or committee chair communicate to the director of Graduate Student Publications a confirmation that the final draft of the manuscript is ready for the publication review process (this can be done through email).
There are three options for certification of committee approval of the final manuscript: a) The signed approval/signature page b) Departmental or program approval form c) APU Dissertation/Thesis Committee Approval form (Complete the paper form on Page 45, or use the Google form linked to here.) The program’s coordinator/assistant/manager is responsible to send the certification to the director of Graduate Student Publications, unless the Google form is utilized, in which case the certification is automatically forwarded when the form is submitted. Following that confirmation, have the dissertation or thesis reviewed by an APU- approved reader in accordance with the appropriate style manual. Students may obtain a list of approved external readers on the Canvas course: Publishing APU Dissertations and Theses: Processes, Guidelines and Resources.edu/courses/21252) or from the director of Graduate Student Publications or their program coordinator, manager, and administrative assistant. Proofread the manuscript with the utmost care to eliminate all errors in spelling and grammar.
Provide an electronic sample copy in Word 2016 or higher to the director of Graduate Student Publications (swang@apu.edu) for pre-submission review along with a completed APU Dissertation/Thesis Submission Checklist (Page 48). Once the reviewed sample copy receives approval from the director of Graduate Student Publications, the student will receive both the final, approved PDF and Word 2016 versions of the dissertation or thesis. After approving the electronic copy for formatting, reproduction quality, and completeness, the director of Graduate Student Publications sends instructions to the student on completing the necessary forms on ProQuest and uploading the approved PDF file to the ProQuest database. The student has his or her dissertation or thesis released to ProQuest as soon as it is cleared by the director of Graduate Student Publications.
The student can choose to embargo its availability to be seen by the public for up to two years. Permanent embargo is used only under special circumstances. Please contact the program director and the director of Graduate Student Publications regarding a permanent embargo. The student’s department or the director of Graduate Student Publications can advise the student, if desired, in decisions regarding an embargo.
It is also recommended that students consult with their faculty advisors. The traditional publishing4 is free.
