dissertation research publications

Adapting a Dissertation or Thesis Into a Journal Article

Dissertations or theses are typically required of graduate students. Undergraduate students completing advanced research projects may also write senior theses or similar types of papers. Once completed, the dissertation or thesis is often submitted (with modifications) as a manuscript for publication in a scholarly journal. Thus, the dissertation or thesis often provides the foundation for a new researcher’s body of published work.

Writers will first want to determine whether the work in their dissertation or thesis merits publication. If it does, we then provide guidance on how to adapt a dissertation or thesis for submission to a journal.

Adapting a dissertation or thesis into a journal article is covered in the seventh edition APA Style Publication Manual in Section 12.1

Deciding to submit a dissertation or thesis for publication

When deciding whether to publish the work in your dissertation or thesis, first consider whether the findings tell a compelling story or answer important questions. Whereas dissertations and theses may present existing knowledge in conjunction with new work, published research should make a novel contribution to the literature. For example, some of your original research questions might be suitable for publication, and others may have been sufficiently addressed in the literature already. Likewise, some of your results may warrant additional experiments or analyses that could help answer the research questions more fully, and you may want to conduct these analyses before seeking publication.

You may also want to consider such factors as whether the current sample size provides sufficient power to adequately inform the analyses and whether additional analyses might clarify ambiguous findings. Consultation with colleagues can help evaluate the potential of the manuscript for publication as well as the selection of an appropriate journal to which to submit it. For information on selecting and prioritizing a journal (and tips for avoiding predatory or deceptive journals), see Sections 12.2 to 12.4 of the Publication Manual .

Adapting a dissertation or thesis for publication

Once a decision is made to convert your dissertation or thesis into a manuscript for submission to a journal, you will want to focus attention on adapting it for publication. By attending to brevity and focus, writing style, relevant literature review and data analyses, and appropriate interpretation of the results or findings, you can enhance the fit of your manuscript for journal publication. Editors and reviewers readily recognize an article that has been hastily converted; careful attention when reformatting the dissertation or thesis is likely to increase the manuscript’s potential for serious consideration and eventual publication.

There are several steps writers seeking to prepare their dissertation or thesis for publication can take beforehand:

• Look at articles in the field and in relevant journals to see what structure and focus are appropriate for their work and how they are formatted.
• Request and consider the input of advisors, colleagues, or other coauthors who contributed to the research on which the dissertation or thesis is based.
• Review an article submitted to a journal alongside their advisor (with permission from the journal editor) or serve as a reviewer for a student competition to gain firsthand insight into how authors are evaluated when undergoing peer review.

The original research reported in a dissertation and thesis can then be reformatted for journal submission following one of two general strategies: the multiple-paper strategy or the conversion strategy.

Multiple-paper strategy

The quickest strategy for converting (or “flipping”) a dissertation or thesis into one or more publishable articles is to use a multiple-paper format when initially writing the dissertation or thesis. This involves structuring the dissertation or thesis used to fulfill the requirements for a degree as a series of shorter papers that are already formatted for journal submission (or close to it). These papers are usually each the length of a journal article, conceptually similar, and come from the same overarching project—but can stand alone as independent research reports. Consult your university’s editorial office to confirm that this is an approved format for your dissertation or thesis and to obtain the specific guidelines.

Conversion strategy

A second strategy is to reformat and convert a dissertation or thesis into a journal article after completing your dissertation or thesis defense to fit the scope and style of a journal article. This often requires adjustments to the following elements:

• Length: Brevity is an important consideration for a manuscript to be considered for journal publication, particularly in the introduction and Discussion sections. Making a dissertation or thesis publication-ready often involves reducing a document of over 100 pages to one third of its original length. Shorten the overall paper by eliminating text within sections and/or eliminating entire sections. If the work examined several research questions, you may consider separating distinct research questions into individual papers; narrow the focus to a specific topic for each paper.
• Abstract: The abstract may need to be condensed to meet the length requirements of the journal. Journal abstract requirements are usually more limited than college or university requirements. For instance, most APA journals limit the abstract length to 250 words.
• Introduction section: One of the major challenges in reformatting a dissertation or thesis is paring down its comprehensive literature review to a more succinct one suitable for the introduction of a journal article. Limit the introductory text to material relating to the immediate context of your research questions and hypotheses. Eliminate extraneous content or sections that do not directly contribute to readers’ knowledge or understanding of the specific research question(s) or topic(s) under investigation. End with a clear description of the questions, aims, or hypotheses that informed your research.
• Method section: Provide enough information to allow readers to understand how the data were collected and evaluated. Refer readers to previous works that informed the current study’s methods or to supplemental materials instead of providing full details of every step taken or the rationale behind them.
• Results section: Be selective in choosing analyses for inclusion in the Results section and report only the most relevant ones. Although an unbiased approach is important to avoid omitting study data, reporting every analysis that may have been run for the dissertation or thesis often is not feasible, appropriate, or useful in the limited space of a journal article. Instead, ensure that the results directly contribute to answering your original research questions or hypotheses and exclude more ancillary analyses (or include them as supplemental materials). Be clear in identifying your primary, secondary, and any exploratory analyses.
• Discussion section: Adjust the discussion according to the analyses and results you report. Check that your interpretation and application of the findings are appropriate and do not extrapolate beyond the data. A strong Discussion section notes area of consensus with and divergence from previous work, taking into account sample size and composition, effect size, limitations of measurement, and other specific considerations of the study.
• References: Include only the most pertinent references (i.e., theoretically important or recent), especially in the introduction and literature review, rather than providing an exhaustive list. Ensure that the works you cite contribute to readers’ knowledge of the specific topic and to understanding and contextualizing your research. Citation of reviews and meta-analyses can guide interested readers to the broader literature while providing an economical way of referencing prior studies.
• Tables and figures: Make sure that tables or figures are essential and do not reproduce content provided in the text.

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Transforming a Dissertation Chapter into a Published Article

By  Faye Halpern and James Phelan

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As a dissertation writer, you are extremely well positioned to produce a publishable journal article because you know the current scholarly conversations on your topic intimately and have figured out ways to intervene in them. In fact, it might seem that the journey from dissertation chapter to journal article ought to be a relaxing day trip: extract the chapter from the rest of the dissertation, delete any references to other chapters and to your new manuscript as itself a chapter, trim as necessary to fit the word limit of your chosen journal, and send it off.

You might round off the day by kicking back and rewarding yourself with an adult beverage. Such thinking is likely to feel intuitively correct because of a common way we conceive of the dissertation’s purpose: to demonstrate to already-certified members of your profession (aka your committee) that you have mastered the fundamental research skills of that profession by carrying out a well-designed and original research project.

But our experience as editors of scholarly journals has taught us that effective chapters and publishable journal submissions have important differences. Indeed, the cumulative effect of those differences makes the two modes closely related but ultimately distinct genres. Consequently, moving from chapter to article is an act not of extraction but of adaptation.

To be sure, the challenges of this generic adaptation are not as great as those involved in adaptations from one medium to another (e.g., Greta Gerwig directing Little Women ), but we believe that thinking about your task as more than an extraction-cum-copyediting will increase your chances for success. In what follows, we will focus on the nexus of writer, audience and purpose in each genre in order to highlight their differences and, thus, help you identify strategies for your adaptation.

To illustrate our points, we will refer to a hypothetical dissertation within our shared field of literary studies: an investigation of the uses of unreliable narration in the British and American modernist novel that seeks to contribute to conversations within the fields of narrative theory and modernist studies. While this one example won’t represent all dissertations in all fields, we hope our commentary on it will help you think through the opportunities and challenges of your own possible adaptations.

Audiences: In-House/Out in the Field

Attending to audience helps identify what are paradoxically the most subtle and most significant differences between the genres -- subtle because their effects are easy to miss, significant because they influence so many other properties of the two genres. You write your dissertation chapters for your committee members, and you write your journal articles for a much larger audience of scholars in your field, most of whom don’t know you from Adam. Since your committee members are representatives of your field, you have reasons to think that writing for them shouldn’t be different from writing for the audience of a scholarly journal. If your committee members judge your work highly, won’t readers for journal articles do the same?

As the adage has it, appearances are deceiving, and thus the answer is “not necessarily.” Your committee members do not apply the same standards to your chapters that they do to others’ journal articles, and readers for journals will not apply the standards of your committee members to your submissions. Understanding why opens up the differences between the two genres.

Let us return to the purpose of the dissertation: to demonstrate to already-certified members of your profession that you have mastered the fundamental research skills of that profession by carrying out a well-designed and original research project. In contrast, the purpose of a journal article is to make a contribution to scholarly conversations about significant issues in a given field that substantially alters the dimensions, directions or stakes of those conversations.

Again, the differences may appear insignificant, but thinking about them, first from your perspective as writer and then from the perspective of your committee members as readers, uncovers their importance. From your perspective, one of the main challenges of writing a dissertation is that you’ve never written one before. Consequently, you’re undertaking a task that you learn how to do only by doing it, a situation that puts you in the Kafkaesque position of being fully ready to write your dissertation only after you’ve finished it. What is true of the dissertation is also true of its individual chapters. It’s therefore unlikely that a simple extraction will be sufficient.

In addition, the criteria for assessing quality in each genre aren’t exactly the same. Your committee members apply three main criteria: 1) Does the chapter answer the so-what question and thus make a worthwhile contribution to the relevant scholarly conversations? 2) Does it demonstrate that you have acquired the skills -- from doing thorough research to analyzing your objects of study to marshaling these materials into a coherent argument -- to do publishable research? and 3) Does it fit well with the rest of the dissertation? For journal reviewers, the question of fit is off the table, and the demonstration of skills is simply a necessary condition. Thus, their main criterion is the answer to the so-what question, and they put an even greater premium on the significance of your answer.

Suppose the writer of our hypothetical dissertation seeks to adapt a chapter on Ernest Hemingway’s A Farewell to Arms that traces the evolution of Frederic Henry’s narration from unreliable to reliable and concludes with a few paragraphs linking this evolution to Hemingway’s innovations with the genre of narrative tragedy. The writer’s committee has applauded the chapter for its insightful close readings of the narration, its move from the fine-grained analyses to a big-picture argument, and its fit with the larger dissertation because it shows how Hemingway adds a distinctive use of unreliability within the period.

But to make the work publishable, the writer would need to adapt the chapter so that it clearly identifies both its central question(s) and the significance of its response to the so-what question. Perhaps the writer would shift the focus so that the dominant question is about Hemingway’s generic innovation with narrative tragedy, creating the need to give more prominence to his handling of the plot. Perhaps the writer would decide to offer a direct comparison/contrast between Hemingway’s handling of unreliability and, say, William Faulkner’s. This shift would of course involve drawing on material from the chapter on Faulkner, but it would also mean deciding on whether to use that material primarily in the service of highlighting Hemingway’s technique or to give it equal standing and thus seek mutual illumination.

The writer’s choices about the central question(s) would also have consequences for how they make the case for the significance of their intervention. Guided by the need to establish that significance, the writer would adjust their treatment of work by other scholars, engaging more or less fully with those discussed in the chapter and even perhaps bringing others into the conversation.

Core Argument: Interdependence/Self-Sufficiency

Since an effective chapter is well integrated into the larger argument of your whole dissertation, it is interdependent with other chapters. Since a journal article, by contrast, is a stand-alone entity, you need to find strategies to move from interdependence to self-sufficiency.

A first step, as noted above, is to identify the presuppositions or ideas from other chapters you and your committee members bring to this one. A second is to identify the elements of the chapter that tie it to the rest of the dissertation. These elements may be extended passages or allusions to what comes before or after, or, indeed, things taken for granted because already discussed.

A third step follows closely from the second: examining whether those elements are crucial to your case for the specific contribution you want the journal article to make. If so, then you need to find a way to include them that will be clear to readers who are not part of your dissertation conversation. If not, you obviously need to delete them, but you should also ask whether deletion by itself will be enough. Perhaps it will reveal a hole that must be filled with other material so the adaptation results in a self-sufficient argument that makes a substantial intervention.

Suppose the writer of the hypothetical dissertation decides to do the comparison-contrast between Hemingway and Faulkner in order to provide mutual illumination. The writer would need to do at least the following: draw on material from the dissertation’s introduction that stakes out the writer’s position in the debates about unreliability, select and refashion material from both the Hemingway and Faulkner chapters to fit the new purposes of the essay, and cut back on the discussions of material not directly related to each author’s use of unreliability. As the writer made these revisions, they would be guided by their purpose of changing conversations about Hemingway’s and Faulkner’s handling of narrative technique.

Voice: Other Scholars’/Yours

What about the dissertation chapter whose contribution to the whole involves a recognizably distinct intervention in a scholarly conversation? Even then, there might be salient differences between the two genres. Journal articles need to let readers know within the first one or two pages what their scholarly intervention is, whereas dissertation chapters often spend many pages laying out what other scholars have said before turning to how they add to that conversation.

Why? Dissertations want you to give equal weight to two sometimes conflicting aims: 1) demonstrating you know the field and 2) making a contribution to it. In demonstrating you know what previous scholars have said (which might also, as an apprentice scholar, feel like paying necessary homage to the leading lights in your field), you are allowed to sideline your own voice for long stretches.

The case is different for journal articles. Even as it’s crucial for you to situate yourself within conversations among other scholars, your voice needs to ring out loud and clear from beginning to end.

In another article , we've recommended thinking of the introduction to a journal article as requiring a “hook and an I”: authors need to provide a scholarly context that allows readers to see how the author’s own intervention advances the field. We cautioned against ignoring one in favor of the other. In adapting a dissertation chapter, you’re more likely to have favored the hook, so you need to emphasize the “I.”

Beyond the introduction, journal articles need you to refer throughout to what other scholars have said concerning different points you make -- you need a hook line -- but you should keep your voice prominent as you play out that line. Strategies include shaping summaries of other scholars’ arguments to highlight your difference from them and using footnotes rather than the body of your essay to bring in work that is related to but not as directly pertinent to your argument. Dissertations allow you to sideline your own voice in other ways. Dissertation chapters often include a myriad of examples. One of us, Faye, has a friend in a history department who told her that she took great pains to include examples from different primary sources to support each claim she made. She carefully chose these examples to demonstrate to her committee members that she had visited many different historical archives, and they were duly impressed.

But journal reviewers of an extracted chapter would be far less impressed. They don’t need you to prove you have done the research. Instead, they need to understand what your argument is and how it offers a substantial answer to the so-what question. If you think of your examples less as a means to underline your argument and more as occasions to advance it, you will be better able to decide how many -- and which ones -- to use.

Scope: For a Chapter/For an Article

Dissertation chapters and journal articles often differ in the scope of their concerns and in the size of the claims they make about their respective arguments. Many dissertations produce their scholarly intervention more at the level of the whole project than at the level of individual chapters. Because chapters are not stand-alone pieces, they can have diverse functions -- some of which have little to do with making a scholarly intervention of the kind found in journal articles. Some chapters can be devoted to providing methodological or theoretical groundwork, others to extending a previous argument by treating more examples that support it. Indeed, when the dissertation makes its intervention through the cumulative weight of the whole, it may not have a single chapter that directly attempts to meet the criteria for journal articles.

Ah, you might think, in that case I’ll just condense my whole dissertation into an article-length piece. But the result is often that no aspect of the article gets sufficient time, leaving reviewers scratching their heads at the leaps in logic and turning up their noses at the inevitably superficial consideration of examples. Your dissertation does more, as a whole, than any journal article, but a single journal article does more than any individual chapter.

We advise a different strategy. Rather than shrink your dissertation to fit, isolate and expand. What are the smaller, original claims you make along the way to making the big one? Maybe you can flesh out one of those claims and clarify its significance by elaborating on the evidence that supports it and bringing in new evidence. Conversely, maybe you have a striking piece of evidence you use in your dissertation that can be analyzed to yield a substantial claim that you hadn’t yet considered.

Your dissertation is not a display case for a single fully formed diamond. It’s a storeroom of gems in various stages of processing, and you are the lapidary.

Fit: For the Dissertation/For the Journal

Finally, although the dissertation gives you the freedom to choose the scholarly conversations you want to respond to, submitting a portion of it to a journal requires finding a match between your choices and the scope of the journal. More often than not, finding that match will involve some adjustment of your chapter.

Suppose the writer of our hypothetical dissertation wanted to submit something to Narrative . Doing so makes good sense because unreliability, a narrative technique that has generated considerable scholarly debate, is a topic of interest to the journal’s readers. But the hypothetical chapter would need to be revised before it would fit with the journal’s mission, which is to publish work that sets up two-way traffic between narrative theory and interpretation.

Consequently, the writer’s submission would need to do more than analyze Hemingway’s uses of unreliability. It would need to link those analyses with one or more issues in the debate about unreliability and indicate how Hemingway’s practice warrants some revisions or extensions of particular positions in the debate, or even perhaps opens up new ways of thinking about unreliability.

We close with a personal anecdote about what we call Genre Conflation Syndrome, the more general condition underlying the assumption that chapters and articles belong to the same genre. Faye vividly remembers the comments an external reader gave her about what she thought was the clever opening of an article she had submitted to a journal. The opening subtly parodied the esoteric, jargon-laden voice of expertise that, in her view, scholars in writing programs often adopted in order to persuade faculty in other disciplines to listen to what they had to say -- a voice she argued in the rest of the article against adopting. The problem was that readers of the article, acting in good faith, put time into struggling to understand this parody, only to find out they needn’t have bothered. The external reader described feeling manipulated and disinclined to trust the author for the rest of the article (which the reader ultimately advised rejecting).

Faye was baffled: it had worked so well as the opening of a talk! She conflated the genres by assuming that talks are just like articles, just shorter and with fewer examples. It was only after Faye thought through the differences in audiences and purposes between talks and articles (e.g., that talks, paradoxically, have more room for an extended display of wit) that she was able to make the adaptations necessary to turn the talk into an article.

We hope our reflections here will enable you to successfully engage in the necessary generic adaptations as you move from chapter to article -- and that such success will inoculate you against any future bouts of Genre Conflation Syndrome.

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The Ultimate Guide to Getting Your Thesis Published in a Journal

7-minute read

• 25th February 2023

Writing your thesis and getting it published are huge accomplishments. However, publishing your thesis in an academic journal is another journey for scholars. Beyond how much hard work, time, and research you invest, having your findings published in a scholarly journal is vital for your reputation as a scholar and also advances research findings within your field.

This guide will walk you through how to make sure your thesis is ready for publication in a journal. We’ll go over how to prepare for pre-publication, how to submit your research, and what to do after acceptance.

Pre-Publication Preparations

Understanding the publishing process.

Ideally, you have already considered what type of publication outlet you want your thesis research to appear in. If not, it’s best to do this so you can tailor your writing and overall presentation to fit that publication outlet’s expectations. When selecting an outlet for your research, consider the following:

●  How well will my research fit the journal?

●  Are the reputation and quality of this journal high?

●  Who is this journal’s readership/audience?

●  How long does it take the journal to respond to a submission?

●  What’s the journal’s rejection rate?

Once you finish writing, revising, editing, and proofreading your work (which can take months or years), expect the publication process to be an additional three months or so.

Revising Your Thesis

Your thesis will need to be thoroughly revised, reworked, reorganized, and edited before a journal will accept it. Journals have specific requirements for all submissions, so read everything on a journal’s submission requirements page before you submit. Make a checklist of all the requirements to be sure you don’t overlook anything. Failing to meet the submission requirements could result in your paper being rejected.

Areas for Improvement

No doubt, the biggest challenge academics face in this journey is reducing the word count of their thesis to meet journal publication requirements. Remember that the average thesis is between 60,000 and 80,000 words, not including footnotes, appendices, and references. On the other hand, the average academic journal article is 4,000 to 7,000 words. Reducing the number of words this much may seem impossible when you are staring at the year or more of research your thesis required, but remember, many have done this before, and many will do it again. You can do it too. Be patient with the process.

Additional areas of improvement include>

·   having to reorganize your thesis to meet the section requirements of the journal you submit to ( abstract, intro , methods, results, and discussion).

·   Possibly changing your reference system to match the journal requirements or reducing the number of references.

·   Reformatting tables and figures.

·   Going through an extensive editing process to make sure everything is in place and ready.

Identifying Potential Publishers

Many options exist for publishing your academic research in a journal. However, along with the many credible and legitimate publishers available online, just as many predatory publishers are out there looking to take advantage of academics. Be sure to always check unfamiliar publishers’ credentials before commencing the process. If in doubt, ask your mentor or peer whether they think the publisher is legitimate, or you can use Think. Check. Submit .

If you need help identifying which journals your research is best suited to, there are many tools to help. Here’s a short list:

○  Elsevier JournalFinder

○  EndNote Matcher

○  Journal/Author Name Estimator (JANE)

○  Publish & Flourish Open Access

·   The topics the journal publishes and whether your research will be a good fit.

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·   The journal’s audience (whom you want to read your research).

·   The types of articles the journal publishes (e.g., reviews, case studies).

·   Your personal requirements (e.g., whether you’re willing to wait a long time to see your research published).

Submitting Your Thesis

Now that you have thoroughly prepared, it’s time to submit your thesis for publication. This can also be a long process, depending on peer review feedback.

Preparing Your Submission

Many publishers require you to write and submit a cover letter along with your research. The cover letter is your sales pitch to the journal’s editor. In the letter, you should not only introduce your work but also emphasize why it’s new, important, and worth the journal’s time to publish. Be sure to check the journal’s website to see whether submission requires you to include specific information in your cover letter, such as a list of reviewers.

Whenever you submit your thesis for publication in a journal article, it should be in its “final form” – that is, completely ready for publication. Do not submit your thesis if it has not been thoroughly edited, formatted, and proofread. Specifically, check that you’ve met all the journal-specific requirements to avoid rejection.

Navigating the Peer Review Process

Once you submit your thesis to the journal, it will undergo the peer review process. This process may vary among journals, but in general, peer reviews all address the same points. Once submitted, your paper will go through the relevant editors and offices at the journal, then one or more scholars will peer-review it. They will submit their reviews to the journal, which will use the information in its final decision (to accept or reject your submission).

While many academics wait for an acceptance letter that says “no revisions necessary,” this verdict does not appear very often. Instead, the publisher will likely give you a list of necessary revisions based on peer review feedback (these revisions could be major, minor, or a combination of the two). The purpose of the feedback is to verify and strengthen your research. When you respond to the feedback, keep these tips in mind:

●  Always be respectful and polite in your responses, even if you disagree.

●  If you do disagree, be prepared to provide supporting evidence.

●  Respond to all the comments, questions, and feedback in a clear and organized manner.

●  Make sure you have sufficient time to make any changes (e.g., whether you will need to conduct additional experiments).

After Publication

Once the journal accepts your article officially, with no further revisions needed, take a moment to enjoy the fruits of your hard work. After all, having your work appear in a distinguished journal is not an easy feat. Once you’ve finished celebrating, it’s time to promote your work. Here’s how you can do that:

●  Connect with other experts online (like their posts, follow them, and comment on their work).

●  Email your academic mentors.

●  Share your article on social media so others in your field may see your work.

●  Add the article to your LinkedIn publications.

●  Respond to any comments with a “Thank you.”

Getting your thesis research published in a journal is a long process that goes from reworking your thesis to promoting your article online. Be sure you take your time in the pre-publication process so you don’t have to make lots of revisions. You can do this by thoroughly revising, editing, formatting, and proofreading your article.

During this process, make sure you and your co-authors (if any) are going over one another’s work and having outsiders read it to make sure no comma is out of place.

What are the benefits of getting your thesis published?

Having your thesis published builds your reputation as a scholar in your field. It also means you are contributing to the body of work in your field by promoting research and communication with other scholars.

How long does it typically take to get a thesis published?

Once you have finished writing, revising, editing, formatting, and proofreading your thesis – processes that can add up to months or years of work – publication can take around three months. The exact length of time will depend on the journal you submit your work to and the peer review feedback timeline.

How can I ensure the quality of my thesis when attempting to get it published?

If you want to make sure your thesis is of the highest quality, consider having professionals proofread it before submission (some journals even require submissions to be professionally proofread). Proofed has helped thousands of researchers proofread their theses. Check out our free trial today.

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• Knowledge Base
• Dissertation

What Is a Dissertation? | Guide, Examples, & Template

A dissertation is a long-form piece of academic writing based on original research conducted by you. It is usually submitted as the final step in order to finish a PhD program.

Your dissertation is probably the longest piece of writing you’ve ever completed. It requires solid research, writing, and analysis skills, and it can be intimidating to know where to begin.

Your department likely has guidelines related to how your dissertation should be structured. When in doubt, consult with your supervisor.

You can also download our full dissertation template in the format of your choice below. The template includes a ready-made table of contents with notes on what to include in each chapter, easily adaptable to your department’s requirements.

Download Word template Download Google Docs template

• In the US, a dissertation generally refers to the collection of research you conducted to obtain a PhD.
• In other countries (such as the UK), a dissertation often refers to the research you conduct to obtain your bachelor’s or master’s degree.

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Table of contents

Dissertation committee and prospectus process, how to write and structure a dissertation, acknowledgements or preface, list of figures and tables, list of abbreviations, introduction, literature review, methodology, reference list, proofreading and editing, defending your dissertation, free checklist and lecture slides.

When you’ve finished your coursework, as well as any comprehensive exams or other requirements, you advance to “ABD” (All But Dissertation) status. This means you’ve completed everything except your dissertation.

Prior to starting to write, you must form your committee and write your prospectus or proposal . Your committee comprises your adviser and a few other faculty members. They can be from your own department, or, if your work is more interdisciplinary, from other departments. Your committee will guide you through the dissertation process, and ultimately decide whether you pass your dissertation defense and receive your PhD.

Your prospectus is a formal document presented to your committee, usually orally in a defense, outlining your research aims and objectives and showing why your topic is relevant . After passing your prospectus defense, you’re ready to start your research and writing.

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The structure of your dissertation depends on a variety of factors, such as your discipline, topic, and approach. Dissertations in the humanities are often structured more like a long essay , building an overall argument to support a central thesis , with chapters organized around different themes or case studies.

However, hard science and social science dissertations typically include a review of existing works, a methodology section, an analysis of your original research, and a presentation of your results , presented in different chapters.

Dissertation examples

We’ve compiled a list of dissertation examples to help you get started.

• Example dissertation #1: Heat, Wildfire and Energy Demand: An Examination of Residential Buildings and Community Equity (a dissertation by C. A. Antonopoulos about the impact of extreme heat and wildfire on residential buildings and occupant exposure risks).
• Example dissertation #2: Exploring Income Volatility and Financial Health Among Middle-Income Households (a dissertation by M. Addo about income volatility and declining economic security among middle-income households).
• Example dissertation #3: The Use of Mindfulness Meditation to Increase the Efficacy of Mirror Visual Feedback for Reducing Phantom Limb Pain in Amputees (a dissertation by N. S. Mills about the effect of mindfulness-based interventions on the relationship between mirror visual feedback and the pain level in amputees with phantom limb pain).

The very first page of your document contains your dissertation title, your name, department, institution, degree program, and submission date. Sometimes it also includes your student number, your supervisor’s name, and the university’s logo.

Read more about title pages

The acknowledgements section is usually optional and gives space for you to thank everyone who helped you in writing your dissertation. This might include your supervisors, participants in your research, and friends or family who supported you. In some cases, your acknowledgements are part of a preface.

Read more about acknowledgements Read more about prefaces

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The abstract is a short summary of your dissertation, usually about 150 to 300 words long. Though this may seem very short, it’s one of the most important parts of your dissertation, because it introduces your work to your audience.

Your abstract should:

• State your main topic and the aims of your research
• Describe your methods
• Summarize your main results
• State your conclusions

Read more about abstracts

The table of contents lists all of your chapters, along with corresponding subheadings and page numbers. This gives your reader an overview of your structure and helps them easily navigate your document.

Remember to include all main parts of your dissertation in your table of contents, even the appendices. It’s easy to generate a table automatically in Word if you used heading styles. Generally speaking, you only include level 2 and level 3 headings, not every subheading you included in your finished work.

Read more about tables of contents

While not usually mandatory, it’s nice to include a list of figures and tables to help guide your reader if you have used a lot of these in your dissertation. It’s easy to generate one of these in Word using the Insert Caption feature.

Read more about lists of figures and tables

Similarly, if you have used a lot of abbreviations (especially industry-specific ones) in your dissertation, you can include them in an alphabetized list of abbreviations so that the reader can easily look up their meanings.

Read more about lists of abbreviations

In addition to the list of abbreviations, if you find yourself using a lot of highly specialized terms that you worry will not be familiar to your reader, consider including a glossary. Here, alphabetize the terms and include a brief description or definition.

Read more about glossaries

The introduction serves to set up your dissertation’s topic, purpose, and relevance. It tells the reader what to expect in the rest of your dissertation. The introduction should:

• Establish your research topic , giving the background information needed to contextualize your work
• Narrow down the focus and define the scope of your research
• Discuss the state of existing research on the topic, showing your work’s relevance to a broader problem or debate
• Clearly state your research questions and objectives
• Outline the flow of the rest of your work

Everything in the introduction should be clear, engaging, and relevant. By the end, the reader should understand the what, why, and how of your research.

Read more about introductions

A formative part of your research is your literature review . This helps you gain a thorough understanding of the academic work that already exists on your topic.

Literature reviews encompass:

• Finding relevant sources (e.g., books and journal articles)
• Assessing the credibility of your sources
• Critically analyzing and evaluating each source
• Drawing connections between them (e.g., themes, patterns, conflicts, or gaps) to strengthen your overall point

A literature review is not merely a summary of existing sources. Your literature review should have a coherent structure and argument that leads to a clear justification for your own research. It may aim to:

• Address a gap in the literature or build on existing knowledge
• Take a new theoretical or methodological approach to your topic
• Propose a solution to an unresolved problem or advance one side of a theoretical debate

Read more about literature reviews

Theoretical framework

Your literature review can often form the basis for your theoretical framework. Here, you define and analyze the key theories, concepts, and models that frame your research.

Read more about theoretical frameworks

Your methodology chapter describes how you conducted your research, allowing your reader to critically assess its credibility. Your methodology section should accurately report what you did, as well as convince your reader that this was the best way to answer your research question.

A methodology section should generally include:

• The overall research approach ( quantitative vs. qualitative ) and research methods (e.g., a longitudinal study )
• Your data collection methods (e.g., interviews or a controlled experiment )
• Details of where, when, and with whom the research took place
• Any tools and materials you used (e.g., computer programs, lab equipment)
• Your data analysis methods (e.g., statistical analysis , discourse analysis )
• An evaluation or justification of your methods

Read more about methodology sections

Your results section should highlight what your methodology discovered. You can structure this section around sub-questions, hypotheses , or themes, but avoid including any subjective or speculative interpretation here.

Your results section should:

• Concisely state each relevant result together with relevant descriptive statistics (e.g., mean , standard deviation ) and inferential statistics (e.g., test statistics , p values )
• Briefly state how the result relates to the question or whether the hypothesis was supported
• Report all results that are relevant to your research questions , including any that did not meet your expectations.

Additional data (including raw numbers, full questionnaires, or interview transcripts) can be included as an appendix. You can include tables and figures, but only if they help the reader better understand your results. Read more about results sections

Your discussion section is your opportunity to explore the meaning and implications of your results in relation to your research question. Here, interpret your results in detail, discussing whether they met your expectations and how well they fit with the framework that you built in earlier chapters. Refer back to relevant source material to show how your results fit within existing research in your field.

Some guiding questions include:

• What do your results mean?
• Why do your results matter?
• What limitations do the results have?

If any of the results were unexpected, offer explanations for why this might be. It’s a good idea to consider alternative interpretations of your data.

Read more about discussion sections

Your dissertation’s conclusion should concisely answer your main research question, leaving your reader with a clear understanding of your central argument and emphasizing what your research has contributed to the field.

In some disciplines, the conclusion is just a short section preceding the discussion section, but in other contexts, it is the final chapter of your work. Here, you wrap up your dissertation with a final reflection on what you found, with recommendations for future research and concluding remarks.

It’s important to leave the reader with a clear impression of why your research matters. What have you added to what was already known? Why is your research necessary for the future of your field?

Read more about conclusions

It is crucial to include a reference list or list of works cited with the full details of all the sources that you used, in order to avoid plagiarism. Be sure to choose one citation style and follow it consistently throughout your dissertation. Each style has strict and specific formatting requirements.

Common styles include MLA , Chicago , and APA , but which style you use is often set by your department or your field.

Create APA citations Create MLA citations

Your dissertation should contain only essential information that directly contributes to answering your research question. Documents such as interview transcripts or survey questions can be added as appendices, rather than adding them to the main body.

Read more about appendices

Making sure that all of your sections are in the right place is only the first step to a well-written dissertation. Don’t forget to leave plenty of time for editing and proofreading, as grammar mistakes and sloppy spelling errors can really negatively impact your work.

Dissertations can take up to five years to write, so you will definitely want to make sure that everything is perfect before submitting. You may want to consider using a professional dissertation editing service , AI proofreader or grammar checker to make sure your final project is perfect prior to submitting.

After your written dissertation is approved, your committee will schedule a defense. Similarly to defending your prospectus, dissertation defenses are oral presentations of your work. You’ll present your dissertation, and your committee will ask you questions. Many departments allow family members, friends, and other people who are interested to join as well.

After your defense, your committee will meet, and then inform you whether you have passed. Keep in mind that defenses are usually just a formality; most committees will have resolved any serious issues with your work with you far prior to your defense, giving you ample time to fix any problems.

As you write your dissertation, you can use this simple checklist to make sure you’ve included all the essentials.

Checklist: Dissertation

My title page includes all information required by my university.

I have included acknowledgements thanking those who helped me.

My abstract provides a concise summary of the dissertation, giving the reader a clear idea of my key results or arguments.

I have created a table of contents to help the reader navigate my dissertation. It includes all chapter titles, but excludes the title page, acknowledgements, and abstract.

My introduction leads into my topic in an engaging way and shows the relevance of my research.

My introduction clearly defines the focus of my research, stating my research questions and research objectives .

My introduction includes an overview of the dissertation’s structure (reading guide).

I have conducted a literature review in which I (1) critically engage with sources, evaluating the strengths and weaknesses of existing research, (2) discuss patterns, themes, and debates in the literature, and (3) address a gap or show how my research contributes to existing research.

I have clearly outlined the theoretical framework of my research, explaining the theories and models that support my approach.

I have thoroughly described my methodology , explaining how I collected data and analyzed data.

I have concisely and objectively reported all relevant results .

I have (1) evaluated and interpreted the meaning of the results and (2) acknowledged any important limitations of the results in my discussion .

I have clearly stated the answer to my main research question in the conclusion .

I have clearly explained the implications of my conclusion, emphasizing what new insight my research has contributed.

I have provided relevant recommendations for further research or practice.

If relevant, I have included appendices with supplemental information.

I have included an in-text citation every time I use words, ideas, or information from a source.

I have listed every source in a reference list at the end of my dissertation.

I have consistently followed the rules of my chosen citation style .

I have followed all formatting guidelines provided by my university.

Congratulations!

The end is in sight—your dissertation is nearly ready to submit! Make sure it's perfectly polished with the help of a Scribbr editor.

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What is a thesis?

What is a dissertation, getting started, staying on track.

A thesis is a long-term project that you work on over the course of a semester or a year. Theses have a very wide variety of styles and content, so we encourage you to look at prior examples and work closely with faculty to develop yours. 

Before you begin, make sure that you are familiar with the dissertation genre—what it is for and what it looks like.

Generally speaking, a dissertation’s purpose is to prove that you have the expertise necessary to fulfill your doctoral-degree requirements by showing depth of knowledge and independent thinking.

The form of a dissertation may vary by discipline. Be sure to follow the specific guidelines of your department.

• PhD This site directs candidates to the GSAS website about dissertations , with links to checklists,  planning, formatting, acknowledgments, submission, and publishing options. There is also a link to guidelines for the prospectus . Consult with your committee chair about specific requirements and standards for your dissertation.
• DDES This document covers planning, patent filing, submission guidelines, publishing options, formatting guidelines, sample pages, citation guidelines, and a list of common errors to avoid. There is also a link to guidelines for the prospectus .
• Scholarly Pursuits (GSAS) This searchable booklet from Harvard GSAS is a comprehensive guide to writing dissertations, dissertation-fellowship applications, academic journal articles, and academic job documents.

Finding an original topic can be a daunting and overwhelming task. These key concepts can help you focus and save time.

Finding a topic for your thesis or dissertation should start with a research question that excites or at least interests you. A rigorous, engaging, and original project will require continuous curiosity about your topic, about your own thoughts on the topic, and about what other scholars have said on your topic. Avoid getting boxed in by thinking you know what you want to say from the beginning; let your research and your writing evolve as you explore and fine-tune your focus through constant questioning and exploration.

Get a sense of the broader picture before you narrow your focus and attempt to frame an argument. Read, skim, and otherwise familiarize yourself with what other scholars have done in areas related to your proposed topic. Briefly explore topics tangentially related to yours to broaden your perspective and increase your chance of finding a unique angle to pursue.

Critical Reading

Critical reading is the opposite of passive reading. Instead of merely reading for information to absorb, critical reading also involves careful, sustained thinking about what you are reading. This process may include analyzing the author’s motives and assumptions, asking what might be left out of the discussion, considering what you agree with or disagree with in the author’s statements and why you agree or disagree, and exploring connections or contradictions between scholarly arguments. Here is a resource to help hone your critical-reading skills:

http://writing.umn.edu/sws/assets/pdf/quicktips/criticalread.pdf

Conversation

Your thesis or dissertation will incorporate some ideas from other scholars whose work you researched. By reading critically and following your curiosity, you will develop your own ideas and claims, and these contributions are the core of your project. You will also acknowledge the work of scholars who came before you, and you must accurately and fairly attribute this work and define your place within the larger discussion. Make sure that you know how to quote, summarize, paraphrase ,  integrate , and cite secondary sources to avoid plagiarism and to show the depth and breadth of your knowledge.

A thesis is a long-term, large project that involves both research and writing; it is easy to lose focus, motivation, and momentum. Here are suggestions for achieving the result you want in the time you have.

The dissertation is probably the largest project you have undertaken, and a lot of the work is self-directed. The project can feel daunting or even overwhelming unless you break it down into manageable pieces and create a timeline for completing each smaller task. Be realistic but also challenge yourself, and be forgiving of yourself if you miss a self-imposed deadline here and there.

Your program will also have specific deadlines for different requirements, including establishing a committee, submitting a prospectus, completing the dissertation, defending the dissertation, and submitting your work. Consult your department’s website for these dates and incorporate them into the timeline for your work.

Accountability

Sometimes self-imposed deadlines do not feel urgent unless there is accountability to someone beyond yourself. To increase your motivation to complete tasks on schedule, set dates with your committee chair to submit pre-determined pieces of a chapter. You can also arrange with a fellow doctoral student to check on each other’s progress. Research and writing can be lonely, so it is also nice to share that journey with someone and support each other through the process.

Common Pitfalls

The most common challenges for students writing a dissertation are writer’s block, information-overload, and the compulsion to keep researching forever.

There are many strategies for avoiding writer’s block, such as freewriting, outlining, taking a walk, starting in the middle, and creating an ideal work environment for your particular learning style. Pay attention to what helps you and try different things until you find what works.

Efficient researching techniques are essential to avoiding information-overload. Here are a couple of resources about strategies for finding sources and quickly obtaining essential information from them.

https://owl.purdue.edu/owl/subject_specific_writing/writing_in_literature/writing_in_literature_detailed_discussion/reading_criticism.html

https://students.dartmouth.edu/academic-skills/learning-resources/learning-strategies/reading-techniques

Finally, remember that there is always more to learn and your dissertation cannot incorporate everything. Follow your curiosity but also set limits on the scope of your work. It helps to create a folder entitled “future projects” for topics and sources that interest you but that do not fit neatly into the dissertation. Also remember that future scholars will build off of your work, so leave something for them to do.

Browsing through theses and dissertations of the past can help to get a sense of your options and gain inspiration but be careful to use current guidelines and refer to your committee instead of relying on these examples for form or formatting.

DASH Digital Access to Scholarship at Harvard.

HOLLIS Harvard Library’s catalog provides access to ProQuest Dissertations & Theses Global .

MIT Architecture has a list of their graduates’ dissertations and theses.

Rhode Island School of Design has a list of their graduates’ dissertations and theses.

University of South Florida has a list of their graduates’ dissertations and theses.

Harvard GSD has a list of projects, including theses and professors’ research.

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Dissertations and Theses

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Dissertations and theses as a research tool

Obtaining theses & dissertations written at other institutions, citing dissertations and theses, databases focused on dissertations and theses, sources indexing dissertations and theses, print dissertation indexes and bibliographies.

We can help locate sources, create multimedia components, manage your data, cite sources, answer questions about copyright, and more.

Theses and dissertations can be a valuable source of information for research.  They can offer the following benefits:

• Just like journal articles, conference proceedings, and other forms of literature, they present original research. Recently completed theses can provide "sneak previews" of ideas and findings that have yet to reach the public via other publication formats.
• They may be the only publicly-available work by authors who do not otherwise publish for general audiences or through commercial publishers.
• They contain extensive bibliographies.
• They provide inspiration for the formatting and presentation of ideas, graphs, charts, and other components of a document.
• They provide insight into the early work of a particular person and have value for historical and biographical purposes.

Want to borrow a thesis or dissertation written at another institution that isn't available in  full text online ? Request it via  ILLIAD , Tufts' interlibrary loan service. Choose the "Thesis" request form and provide as much descriptive information as you can. Not all theses or dissertations are available or loanable, but we'll try to find you a copy!

Some other ways you might be able to find a copy of an older dissertation:

If you can identify the author's institutional affiliation, visit that institution's webpage to see if they catalog or archive students' dissertations. 

Contact the author.  Some authors will post all or some of their dissertation on their website or have journal articles or other publications which draw heavily on this work.

Search the author's name and/or thesis title in full-text journal databases which include article references. These citations may provide clues as to how to locate the document.

Contact your  subject librarian  for assistance.

As with journal articles, books, and other sources, theses and dissertations must be properly cited in any document that references them.  Most citation styles, including APA, Chicago, and MLA, provide specific instructions for formatting these citations.  Citation Management tools, such as EndNote and Zotero, automatically format references for these sources in your selected citation style.  More information is in the Citing Sources guide.

Although requirements for citing dissertations vary according by style, they generally seek to convey the following information:  that the item is a dissertation (rather than an article or a book); the type of degree it resulted in (master's, PhD, etc); whether it was published; and which institution granted the degree.  An example of a citation for a dissertation is presented here in four major citation styles:

• APA:   Miaoulis, I. N. (1987). Experimental investigation of turbulence spectra of charge density fluctuations in the equilibrium range. Unpublished Ph.D., Tufts University, United States -- Massachusetts.
• Chicago:   Miaoulis, Ioannis Nikolaos. "Experimental Investigation of Turbulence Spectra of Charge Density Fluctuations in the Equilibrium Range." Ph.D., Tufts University, 1987.
• IEEE:   [1]    I. N. Miaoulis, "Experimental investigation of turbulence spectra of charge density fluctuations in the equilibrium range,"  United States -- Massachusetts: Tufts University, 1987, p. 98.
• MLA:   Miaoulis, Ioannis Nikolaos. "Experimental Investigation of Turbulence Spectra of Charge Density Fluctuations in the Equilibrium Range." Ph.D. Tufts University, 1987.

The following sources focus primarily or exclusively on theses and dissertations; some provide direct access to full-text.

• DART-Europe E-theses Portal "A partnership of research libraries and library consortia who are working together to improve global access to European research theses."
• Dissertations & Theses: Full Text Comprehensive collection of dissertations and theses worldwide. Of the over 2 million titles in the database, more than 930,000 are available in PDF format for free download. Those that aren't freely available can be ordered from within the database.
• DSpace@MIT Over 25,000 theses and dissertations from all MIT departments completed as far back as the mid 1800's. Note that this is NOT a complete collection of MIT theses.
• Networked Digital Library of Theses and Dissertations (NDLTD) Search engine for graduate papers completed at universities both in America and abroad.
• Open Access Theses and Dissertations (OATD) Open access (OA) theses and dissertations from institutions worldwide.
• Ethos Service from the British Library for reading and ordering theses produced by students in the United Kingdom.
• Theses Canada Theses from over 60 Canadian universities, going back to 1965.
• Shodhganga@INFLIBNET Centre Digital repository of theses and dissertations from universities in India.

In the following subject-specific databases, the Advance Search option enables filtering by dissertation as the document type.

• American Bibliography of Slavic and East European Studies Sources on East-Central Europe and the former Soviet Union.
• ARTbibliographies Modern Sources on all forms of modern and contemporary art.
• EconLit Economic literature.
• Engineering Village For literature on all engineering disciplines.
• PsycInfo Sources on psychology and related disciplines.
• Sociological Abstracts For the literature on sociology.
• SPORTDiscus with Full Text Sources on sport, physical fitness, and physical education.
• World Shakespeare Bibliography Sources on materials published since 1971 related to Shakespeare.

A number of indexes and bibliographies of dissertations have been published, primarily in print format.  These often focus on specific historical eras, geographic regions, or topics.

• Dissertation Indexes in the Tufts Catalog
• Dissertation Indexes in WorldCat
• Dissertation Indexes in Google Books
• << Previous: Resources for writing & submitting a thesis or dissertation
• Last Updated: Aug 6, 2024 4:21 PM
• URL: https://researchguides.library.tufts.edu/theses

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Open Access Theses and Dissertations (OATD)

OATD.org provides open access graduate theses and dissertations published around the world. Metadata (information about the theses) comes from over 1100 colleges, universities, and research institutions. OATD currently indexes 6,654,285 theses and dissertations.

Theses and Dissertations

Cornell theses.

Check Cornell’s library catalog , which lists the dissertations available in our library collection.

The print thesis collection in Uris Library is currently shelved on Level 3B before the Q to QA regular-sized volumes. Check with the library staff for the thesis shelving locations in other libraries (Mann, Catherwood, Fine Arts, etc.).

Non-Cornell Theses

Proquest dissertations and theses.

According to ProQuest, coverage begins with 1637. With more than 2.4 million entries,  ProQuest Dissertations and Theses Global  is the starting point for finding citations to doctoral dissertations and master’s theses. Dissertations published from 1980 forward include 350-word abstracts written by the author. Master’s theses published from 1988 forward include 150-word abstracts. UMI also offers over 1.8 million titles for purchase in microfilm or paper formats. The full text of more than 930,000 are available in PDF format for immediate free download. Use  Interlibrary Loan  for the titles not available as full text online.

Foreign Dissertations at the Center for Research Libraries

To search for titles and verify holdings of dissertations at the Center for Research Libraries (CRL), use the CRL catalog . CRL seeks to provide comprehensive access to doctoral dissertations submitted to institutions outside the U. S. and Canada (currently more than 750,000 titles). One hundred European universities maintain exchange or deposit agreements with CRL. Russian dissertation abstracts in the social sciences are obtained on microfiche from INION.  More detailed information about CRL’s dissertation holdings .

Additional Resources

Please see our resource guide on dissertations and theses for additional resources and support.

Managing the Dissertation Writing Process

Materials from workshop.

• Slides:  https://z.umn.edu/dissworkshopslides
• Revision Memo:  https://z.umn.edu/revisionmemo
• Dissertation Analysis handout (PDF)
• "How to Read like a Writer" (PDF) by Mike Bunn (in  Writing spaces : readings on writing Vol 2 )

Finding Dissertations

• Dissertations and Theses Global This link opens in a new window Collection of dissertations and theses from around the world, offering millions of works from thousands of universities. Each year hundreds of thousands of works are added. Full-text coverage spans from 1743 to the present, with citation coverage dating back to 1637.
• Google Scholar (Setup connection to get to PDFs) Use Google Scholar to find articles from academic publishers, professional societies, research institutes, and scholarly repositories from colleges and universities. If you are using from off-campus access, change the "Library Settings" to University of Minnesota Twin Cities. Look for the "FindIt@U of M Twin Cities" links in your Google Scholar search results to access full text and PDFs. View this tutorial to learn how to go from a general idea to a very precise set of results of journal articles and scholarly materials.
• University Digital Conservancy at the University of Minnesota A digital archive of M.A. and PhD theses at the University of Minnesota. The collection in this institutional repository can also be searched by keyword, date, authors and majors.

Sample of project management tools

Tool considerations:

• Devices -- “apps” vs. Laptop 
• Collaboration
• Fewer features vs. lots of features
• Learning curve
• Security/privacy 

More Options

• Open Project:  https://www.openproject.org/
• Redbooth:  https://redbooth.com/
• Notion:  https://www.notion.so/
• Freedcamp:  https://freedcamp.com/
• Smartsheet:  https://www.smartsheet.com/
• Click up:  https://clickup.com/
• Kanboard:  https://kanboard.org/

Student Writing Support from the Center for Writing

Student Writing Support (SWS) offers collaborative one-to-one writing consultations to help student writers develop confidence and effective writing strategies. SWS offers three kinds of consultations:

• walk-in consultations in 15  Nicholson Hall
• appointments in  Zoom
• appointments in  SWS.online

Our writing consultants will listen to your goals and concerns, read and respond to your written work, pose questions that help you clarify and articulate your ideas, and affirm the experiences and abilities you bring to your writing. We value your life experiences and languages, and we seek to provide a supportive space for you to share and develop your voice.

Sample of online books

• Restarting stalled research by Paul C. Rosenblatt ISBN: 9781483393551 Publication Date: 2016 Written for researchers and graduate students writing dissertations, this unique book offers detailed advice and perspective on many issues that can stall a research project and reveals what can be done to successfully resume it. Using a direct yet conversational style, author Paul C. Rosenblatt draws on his decades of experience to cover many diverse topics. The text guides readers through challenges such as clarifying the end goal of a project; resolving common and not-so-common writing problems; dealing with rejection and revision decisions; handling difficulties involving dissertation advisers and committee members; coping with issues of researcher motivation or self-esteem; and much more.

Get materials we don't own or from our print collection (Interlibrary Loan & Document Delivery)

• InterLibrary Loan & Digital Delivery Interlibrary Loan (ILL) & Digital Delivery offers access to materials needed for courses and research, including materials not currently available within the University of Minnesota Libraries, AND digital copies of articles and book chapters from our print and microform collections. Free for currently-affiliated University students, faculty, and staff.

Citation managers

What is a citation manager?

A citation manager is a software tool used to create personalized databases of citation information and notes. They allow you to:

• import and organize citation information from article indexes and other sources,
• export your citations into Word documents or other types of publications,
• format citations for your papers and bibliographies using APA and many other styles, and
• include your own notes.

Choosing a citation manager

• Guide to Citation Managers at UMN
• Wikipedia's comparison of reference management software

Browse scholarly journals available from the UMN Libraries on your tablet device, iPhone, or via the web using BrowZine .

• Read journal articles on your preferred device. 
• Create personal libraries of your favorite journals. 
• Set up alerts for new issues of journals.

For a quick overview, see this one-minute video about BrowZine. For more information, see  the full BrowZine guide.

Librarians/Admins

• EBSCOhost Collection Manager
• EBSCO Experience Manager
• EBSCO Connect
• Start your research
• EBSCO Mobile App

Clinical Decisions Users

• DynaMed Decisions
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EBSCO Open Dissertations

EBSCO Open Dissertations makes electronic theses and dissertations (ETDs) more accessible to researchers worldwide. The free portal is designed to benefit universities and their students and make ETDs more discoverable. 

Increasing Discovery & Usage of ETD Research

With EBSCO Open Dissertations, institutions are offered an innovative approach to driving additional traffic to ETDs in institutional repositories. Our goal is to help make their students’ theses and dissertations as widely visible and cited as possible.

EBSCO Open Dissertations extends the work started in 2014, when EBSCO and the H.W. Wilson Foundation created American Doctoral Dissertations which contained indexing from the H.W. Wilson print publication, Doctoral Dissertations Accepted by American Universities, 1933-1955. In 2015, the H.W. Wilson Foundation agreed to support the expansion of the scope of the American Doctoral Dissertations database to include records for dissertations and theses from 1955 to the present.

How Does EBSCO Open Dissertations Work?

Libraries can add theses and dissertations to the database, making them freely available to researchers everywhere while increasing traffic to their institutional repository.  ETD metadata is harvested via OAI and integrated into EBSCO’s platform, where pointers send traffic to the institution's IR.

EBSCO integrates this data into their current subscriber environments and makes the data available on the open web via opendissertations.org .

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Education: Full-text Dissertations

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Dissertations - National

• ProQuest Dissertations & Theses Global‎: Full Collection Citations to dissertations and some theses from 1861 to present. Most records are from the U.S. Fulltext for most dissertations added since 1997 and some coverage for older graduate works. Also includes PQDT UK & Ireland abstracted content. Some full-text PDFs for dissertations from select UK institutions are being added.

Penn Dissertations

• ProQuest Dissertations & Theses Global: University of Pennsylvania subfile A subset of the ProQuest Dissertations covering Penn dissertations only. Citations from 1899 forward and fulltext from 1997 to the present. Selected full-text available prior to 1997. Search for advisor, author, or keywords. A search of the program name may pick up some dissertations for specific programs as this information may be on the cover page.
• Publicly Accessible Dissertations from University of Pennsylvania Starting in December 2015, Penn requires dissertations to be publicly available. These are hosted on the ScholarlyCommons website.

PennGSE Dissertations

Publically Accessible GSE Dissertations in ScholarlyCommons@Penn (2010-present)

GSE Dissertations in ScholarlyCommons@Penn (2008 and before) - Only accessible on campus

• GSE Dissertation records in the Franklin Catalog - Recent dissertations are available online, with a single print copy in the library collections. Older dissertations are represented by two print copies, as well as a microfilm copy. Print dissertations may circulate outside the Library. Search by author, title, or the subject heading: Penn dissertations--Education.
• PennCLO Dissertation records in the Franklin Catalog - Dissertations have the subject heading: Penn dissertations -- Chief Learning Officer Program or Work-based Learning Leadership .  Some records will be for print, others for online. Take the author/citation information and search in ProQuest dissertations for full-text.

Requesting Dissertations - Interlibrary Loan

• Interlibrary Loan - Book request form Non-Penn dissertations that are not available in full-text in ProQuest Dissertations & Theses may be requested through the Penn Library's Interlibrary Loan service. Make requests using the online request form for a book available on the left side of the BorrowDirect+/ILL page.

Penn Dissertion Manual

Dissertation Manual for the University of Pennsylvania Instructions on policies, formatting, and submissions.

Grad Center - Thesis and Dissertation Support

Dissertation Preparation guides

Additional Electronic Theses and Dissertation (ETDs) Search Sites

Networked Digital Library of Theses and Dissertations (NDLTD)

• Global ETD Search
• Find ETDs - Listing of searchable these and dissertation sites arranged by country and region.

PQDT Open (ProQuest)

• Open Access Theses and Dissertations Records come for institutional repositories, regional or national ETD consortia, and a set of ETD catalog records provided by OCLC Worldcat. With few exceptions, records are harvested from these sites using a standard called the Open Archives Initiative Protocol for Metadata Harvesting (OAI-PMH)  
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• Last Updated: Apr 16, 2024 8:23 AM
• URL: https://guides.library.upenn.edu/education

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Dissertations and Theses: Home

• Music Dissertations and Theses
• Access/Order a Thesis or Dissertation
• Getting your thesis bound

ProQuest Dissertations and Theses

• ProQuest Dissertations and Theses - Full Text Indexes U.S. doctoral dissertations and master's theses. Includes 2.4 million dissertation and theses citations from around the world from 1861 to the present day together with 1 million full text dissertations that are available for download in PDF format.
• ProQuest Dissertations and Theses @ Big Ten Academic Alliance Institutions Big Ten Academic Alliance dissertations, including free full-text from 1997 to the present. Click on "Full-text" to download the complete dissertation.
• ProQuest Dissertations and Theses @ The University of Iowa UI dissertations, including free full text from 1997 to the present. Click on "Full-text" to download the complete dissertation.

University of Iowa electronic Dissertations and Theses: Iowa Research Online

• Iowa Research Online Iowa Research Online (IRO) is a service of the University of Iowa Libraries dedicated to preserving and providing open access to the scholarly and creative work of the University. You can find electronic theses and dissertations from the UI.

Dissertations and Theses

• Australasian Digital Theses Program This database contains 135,254 theses, of which, 9,782 are in digital form, from post-graduate research students in 28 participating Australian universities.
• DART-Europe E-Theses Portal DART-Europe is a partnership of research libraries and library consortia who are working together to improve global access to European research theses. The DART-Europe partners help to provide researchers with a single European Portal for the discovery of Electronic Theses and Dissertations (ETDs), and they participate in advocacy to influence future European e-theses developments.
• Ebsco Open Dissertations OpenDissertations.org is a collaboration between EBSCO and BiblioLabs that brings an innovative approach to increasing traffic and discoverability of ETD research.
• EThOS Electronic Theses Online Service: access to over 250,000 United Kingdom theses.
• Foreign Doctoral Dissertations CRL has more than 750,000 foreign doctoral dissertations that can be requested through the Interlibrary Loan service - http://www.lib.uiowa.edu/services/illdd.html.
• Networked Digital Library of Theses and Dissertations The Networked Digital Library of Theses and Dissertations (NDLTD) is an international organization dedicated to promoting electronic analogues to the traditional paper-based theses and dissertations.
• Open Access Theses and Dissertations (OATD) OATD aims to be the best possible resource for finding open access graduate theses and dissertations published around the world. Metadata (information about the theses) comes from over 600 colleges, universities, and research institutions. OATD currently indexes over 1.5 million theses and dissertations.
• SUDOC A French online catalog providing access to academic university libraries in France. To limit your search to theses, select the Advanced Search Screen and choose "Theses (version de soutenance)" as the publication type.
• Theses Canada Portal Electronic theses that were submitted to the Theses Canada program between 1998 and August 31, 2002.

UI Databases

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• URL: https://guides.lib.uiowa.edu/dissertations

Open Access Theses and Dissertations

Thursday, April 18, 8:20am (EDT): Searching is temporarily offline. We apologize for the inconvenience and are working to bring searching back up as quickly as possible.

Advanced research and scholarship. Theses and dissertations, free to find, free to use.

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Browse by author name (“Author name starts with…”).

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October 3, 2022. OATD is dealing with a number of misbehaved crawlers and robots, and is currently taking some steps to minimize their impact on the system. This may require you to click through some security screen. Our apologies for any inconvenience.

Recent Additions

See all of this week’s new additions.

About OATD.org

OATD.org aims to be the best possible resource for finding open access graduate theses and dissertations published around the world. Metadata (information about the theses) comes from over 1100 colleges, universities, and research institutions . OATD currently indexes 7,237,430 theses and dissertations.

About OATD (our FAQ) .

Visual OATD.org

We’re happy to present several data visualizations to give an overall sense of the OATD.org collection by county of publication, language, and field of study.

You may also want to consult these sites to search for other theses:

• Google Scholar
• NDLTD , the Networked Digital Library of Theses and Dissertations. NDLTD provides information and a search engine for electronic theses and dissertations (ETDs), whether they are open access or not.
• Proquest Theses and Dissertations (PQDT), a database of dissertations and theses, whether they were published electronically or in print, and mostly available for purchase. Access to PQDT may be limited; consult your local library for access information.

Research Guides

Submit and publish your thesis.

• The Graduate Thesis: What is it?
• Thesis Defences
• Deadlines and Fees
• Formatting in MS Word
• Formatting in LaTeX
• Making Thesis Accessible
• Thesis Embargo
• Review and Release
• Your Rights as an Author
• Re-using Third Party Materials
• Creative Commons Licenses for Theses
• Turning Thesis into an Article
• Turning Thesis into a Book
• Other Venues of Publication

Publishing from your thesis before or after graduation

"Will repository submission affect my publishing plans?"

... this is a common question for someone looking to publish from their thesis before or after graduation.

Most journals welcome submissions based on a thesis or dissertation. Some may have additional requirements, such as to:

• Let them know about the university’s requirement to make your thesis publicly available
• Submit a manuscript that is substantially different than the thesis content
• Embargo the thesis until after publication, etc.

Your steps will depend on the following scenarios:

Scenario 1 - you ARE NOT planning on publishing your thesis before or after graduation

In this case:

• You can submit your thesis without an embargo
• Your thesis will become publicly available in TSpace  and Library and Archives Canada after your convocation and will be widely indexed via search engines and indexes
• Use the TSpace-generated permanent URL to share and cite your thesis - see example of such citation below

Tajdaran, K. (2015). Enhancement of Peripheral Nerve Regeneration with Controlled Release of Glial Cell Line-derived Neurotrophic Factor (GDNF) (Master’s Thesis, University of Toronto). Retrieved from http://hdl.handle.net/1807/74747

Scenario 2 - You ARE planning on publishing your thesis AFTER graduation

Most journals are interested in “original, previously unpublished” research. Some journals consider theses as a form of “prior publications”, others do not, and the majority does not have a clear definition. It will be best to check journal policy before you submit your thesis.

Nature Research will consider submissions containing material that has previously formed part of a PhD or other academic thesis which has been published according to the requirements of the institution awarding the qualification.

►►►How to check journal policies:

• MIT Libraries' list of policy excerpts from major publishers
• Journal’s website - usually under Information for Authors or Copyright / Permissions or Editorial Policy; or in the publication agreement if available online
• If such information cannot be located online, contact the editors directly
• If the journal requires that you place an embargo on your thesis until after publication, see the SGS instructions on how to request an embargo on your thesis .

Scenario 3 - You ARE planning on publishing (or have already published) from your thesis BEFORE graduation

You may want or be expected to publish parts of your thesis before your thesis is submitted, such as with an integrated/publication-based/sandwich thesis. The most important thing to keep in mind here is copyright. You own copyright of your written materials, and a publisher may require copyright transfer of your manuscript.

You need to ensure you retain certain rights or obtain permission in order to satisfy the university’s requirement of making your thesis openly accessible via TSpace, ProQuest and Library and Archives Canada (LAC). For more details on these repositories, see the  Review and Release  section of this guide.

Check whether the journal requires prior notification about U of T’s open access requirement for theses. Some journals want to be notified of this mandate whether or not they restrict the re-use of articles in theses.

Check whether the publisher requires copyright transfer . This should be stated on their website, in the publication agreement, or you can inquire directly with the journal.

If the publisher does not require copyright transfer , i.e. author retains copyright, then you can reuse your article/chapter in your thesis; no permission needed.

If the publisher requires copyright transfer , follow these steps:

Check if the publisher has special provisions for reusing your published work in your thesis. They may permit the inclusion of a non-final version, such as your submitted or accepted manuscript. See more below on understanding different article versions for sharing .

►►►How to check journal policies:  See MIT Libraries' list of policy excerpts from major publishers or the journal/publisher website.

For example, Taylor and Francis policy allows to:

Include your article Author’s Original Manuscript (AOM) or Accepted Manuscript(AM) , depending on the embargo period in your thesis or dissertation. The Version of Record cannot be used. https://authorservices.taylorandfrancis.com/copyright-and-you/

Check if the article is distributed under a Creative Commons license. This may allow re-use.

►►►How to check journal's CC license:  See the journal/publisher website or contact the journal directly.

If the publisher requires copyright transfer, has no special provisions and does not publish under a CC license, you will need to contact them to request permission to include your article in your thesis. You can:

• Negotiate making the article available as part of the thesis in TSpace, ProQuest, and LAC Theses Portal; 
• Request an embargo [link to Lisa’ section on embargo] if the publisher only permits open sharing after some time post-publication;
• If permission is denied you may include in place of the chapter an abstract and a link to the article on the journal website.

If you have specific questions about your situation, publisher policy or author rights, contact the Scholarly Communications and Copyright Office at [email protected] for a consultation (best before you publish!)

Understanding different versions of a published article

A publisher may distinguish between the versions of an article that you may be allowed to include in your thesis:

• Submitted manuscript / pre-print - version you initially send in (often permitted)
• Accepted manuscript / post-print - version after peer review but before copyediting, layout editing, formatting, etc. (sometimes permitted; publisher may require an embargo/access restriction for a period of time)
• Version of record / final publisher’s PDF - version that appears in the journal (many publishers do not permit sharing this version)

►►►How to check article versions permitted for sharing:

• MIT Libraries’s list of policy excerpts from major publishers
• Sherpa/RoMEO database of publisher policies
• Journal’s website - usually under Information for Authors or Copyright/Permissions or Editorial Policy; or in the publication agreement if available online
• << Previous: Creative Commons Licenses for Theses
• Next: Turning Thesis into an Article >>
• Last Updated: Sep 15, 2023 3:23 PM
• URL: https://guides.library.utoronto.ca/thesis

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Revising Your Dissertation for Publication

While a dissertation’s in-depth research and analysis can provide a strong foundation for a book, the dissertation itself is not a book and will not be published by an academic press without substantial revisions. Some acquisitions editors are interested first books, especially if they bring new perspectives and fresh ideas to a field, while others do not often publish first books. If you are considering submitting your dissertation for publication, we recommend that you contact editors at university presses that publish in your subject area for guidance on revising your work. Many editors prefer to be involved in the early stages of this process so they can advise you on how to structure the book and your arguments to create a publishable book. Editors generally require changes in the length, content, tone, and style of a dissertation in order to produce a book that will appeal to buyers in the academic market. Read more about submitting a proposal in our Scholarly Publishing Guide .

Below are selected resources to help you revise your dissertation for publication as a book or journal article(s).

Advice from publishers

• Harvard University Press
• Palgrave Macmillan
• Rowman & Littlefield
• Taylor & Francis
• University of North Carolina Press
• Yale University Press
• Publisher Policies on using content in both a thesis or dissertation and an article (from MIT Libraries)
• From Dissertation to Book by William Germano (Lauinger Library, 4th Floor, PN162 .G37 2013)
• Revising Your Dissertation, Updated Edition : Advice from Leading Editors (updated edition, 2008) edited by Beth Luey (online; GU NetID and password required)
• From Dissertation to Book , Duke University (February 27, 2018)
• From Dissertation to Book ( full transcript ), Harvard University (December 17, 2010)
• How To Turn Your Dissertation into a Book , Yale University (April 6, 2016)
• From Dissertation to Book by Leonard Cassuto (Chronicle of Higher Education, May 30, 2011)
• From Dissertation to Published Book (lanugageandphilosophy.com report on an American Comparative Literature Association workshop)
• Give It a Rest by Laura Portwood-Stacer (Inside Higher Ed, August 6, 2019)
• The Stages of Revising a Dissertation into a Book by Amy Benson Brown (Journal of Scholarly Publishing, vol. 52 no. 2, 2021, p. 127-140) (GU NetID and password required)
• Turning Your Dissertation into a Book (University of Washington)
• Publishing your Dissertation (American Psychological Association)

This page has been archived and is no longer being updated regularly.

Degree In Sight

Publishing your dissertation

The process may seem daunting, but publishing your dissertation is doable if you follow some simple steps.

By Beth Azar

Although finishing your dissertation may be the final hurdle to completing your doctorate, getting it published may be an important step toward your career as a psychologist.

Indeed, academic psychologists are not the only ones expected to publish-research is increasingly a part of clinical positions, says University of Rochester Medical Center associate professor Robert Pollard Jr., PhD. And your dissertation may be the most logical place to start. Even if it's a small finding in a big field, your dissertation is probably a quality piece of work because it's been closely supervised by knowledgeable faculty, he notes. That doesn't mean it's going to be easy to winnow a traditional dissertation-averaging upward of 200 pages-to the lean 40 pages or less required by most journals.

Editing your dissertation means more than cutting out enough words to fit a journal's page-count.

"I can remember when I first thought about publishing my own dissertation," says Gary VandenBos, PhD, APA's publisher. "I was terrified. But the bottom line is, it's just work….It is not an overwhelming and impossible thing if you break it down into component pieces."

This process can be helped along if students think about publishing before they even start writing their dissertation, says Steven Yantis, PhD, director of graduate studies in Johns Hopkins University's department of psychological and brain sciences.

"I believe that the ultimate goal of publishing should be kept in mind so that the transformation from a dissertation format to a publishable piece is not a huge rewrite but a modest revision," he says.

And it's OK to pitch the idea of a short, pithy dissertation to your committee, says University of Victoria psychologist Steve Lindsay, PhD, editor of the Journal of Experimental Psychology: General .

"The dissertation is a symbol of competence to work as an independent scholar," he says, "so its form should be that used by independent scholars."

If even after going through the process of preparing your dissertation for publication, it's not accepted, consider it part of the learning process, says University of Tennessee psychologist Gordon Burghardt, PhD, editor of Comparative Psychology .

"I often have manuscripts rejected," he says. "It's a learning experience. The important thing is not to lose heart and to listen to what the editors and reviewers are telling you, so you can get it right the next time."

Of course, even if you write your dissertation with publication in mind, you will still need to make major revisions to trim content and appeal to a broader audience than your doctoral committee.

Pollard provides a step-by-step guide for preparing a dissertation for publication in The Internet Journal of Mental Health (Vol. 2, No. 2). The first thing students need to realize, he says, is that editing your dissertation means more than cutting out enough words to fit a journal's page-count.

"The entire organization and thrust of the manuscript must be reconceptualized," he says.

VandenBos agrees. "The U.S. model trains the candidate in exactly the type of writing that journals do not want," he says. "Dissertation committees take a very inclusive approach, asking students to explain everything. In contrast, scholarly articles are very exclusive, excluding everything that isn't germane to the core topic."

Some institutions are turning away from this traditional model, allowing students to write several publishable articles that they then tie together with an overarching introduction and discussion, says VandenBos. Even then, many students have a considerable amount of work to do to transform their dissertation into a journal article, notes Pollard, who suggests taking a multipronged approach:

Select a journal. Many journals have their own style and submission requirements, so picking a journal and writing to its requirements from the get-go will save time, Pollard advises.

Through suggestions of mentors and peers, develop a list of potential journals, including some that may be outside your field but related in some way to your research. Pare your list down based on recommendations from your dissertation committee, says VandenBos.

Be realistic, but optimistic when choosing what level of journal to submit to, he says. "I usually recommend that, to start, students shoot about a half-notch higher than they or their committee members think their paper warrants," says VandenBos. "You have to be a little arrogant and pumped up."

Prune and prioritize content. Create a list of bullet points of your major facts and findings and select the most important ones by asking yourself: Does the reader really need to know this? Does the reader already know this? Is this so important that the reader needs to be reminded of it?

Selecting core findings was the hardest part for Simon Fraser University psychologist Deborah Connolly, PhD, who wrote a 200-plus-page "monster" for her dissertation at the University of Victoria.

"With all the analyses and all the detail, the simple take-home message was hard for even me to find," she says. "Today I would say to a student, you have to figure out the five most important points. If you want, you can order them all from most to least important, but start by just focusing on the top five."

If you can't find just five, you may want to break your dissertation into several different articles, says Burghardt. If there's a small finding that's particularly timely, students could even pull out the essential data and methods and write up an extremely concise research brief for some publication as prestigious as Science or Nature, he says.

Use simple, direct language. Even after editing, dissertations revised for publication tend to be too long, with wordy, passive sentences, and lots of formatting errors, including flip-flopping between "I" and "we" and mistakes with references, say journal editors. Those kinds of mistakes aren't going to win you any fans, says Burghardt. Connolly learned this firsthand. Editors of Child Development rejected her revised dissertation because it read too much like a cut down dissertation, she says. "It was too dense, too complicated and too difficult to follow."

Taking reviewer comments to heart, Connolly revised her writing style keeping things simple and focusing on only the most critical findings. Editors at Applied Cognitive Psychology accepted the rewritten article with almost no revisions.

Beth Azar is a writer in Portland, Ore.

The dissertation, start to finish

This article is the sixth in a six-part gradPSYCH guide to starting, researching, writing and publishing your dissertation.

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Archived funding opportunity

Nsf 23-502: cultural anthropology program - doctoral dissertation research improvement grants (ca-ddrig), program solicitation, document information, document history.

• Posted: October 12, 2022
• Replaces: NSF 19-560
• Replaced by: NSF 24-605

Program Solicitation NSF 23-502

Full Proposal Target Date(s) :

     January 17, 2023

     January 15, Annually Thereafter

     August 15, 2023

     August 15, Annually Thereafter

Important Information And Revision Notes

• This solicitation provides instructions for preparation of proposals submitted to the Cultural Anthropology Program (CA) for Doctoral Dissertation Research Improvement Grants (DDRIG).
• This revision increases the direct cost limit for DDRIG proposals to $25,000.
• This revision eliminates the requirement that a PI Letter be included as a supplementary document attached to the proposal.
• This revision does not alter the restriction that a DDRIG proposal may only be re-submitted once without a waiver for an additional submission.
• This revision reaffirms the explanation of NSF's mission to support fundamental research, rather than applied research, or descriptive ethnographic work with primarily humanistic objectives, or non-generalizable data collection centered on describing a particular ethnographic site or sites.
• The revision includes additional guidelines related to the inclusion of a well-developed data analysis plan in the project description.
• The revision includes additional guidelines related to the inclusion of a clear and systematic sampling strategy in the research plan.
• The revision includes additional budgetary guidance.
• Additional solicitation-specific guidelines are described in the proposal preparation and submission instructions below. Failure to comply with the CA-DDRIG solicitation-specific instructions may result in a proposal being returned without review.

Innovating and migrating proposal preparation and submission capabilities from FastLane to Research.gov is part of the ongoing NSF information technology modernization efforts, as described in Important Notice No. 147 . In support of these efforts, proposals submitted in response to this program solicitation must be prepared and submitted via Research.gov or via Grants.gov and may not be prepared or submitted via FastLane.

Any proposal submitted in response to this solicitation should be submitted in accordance with the NSF Proposal & Award Policies & Procedures Guide (PAPPG) that is in effect for the relevant due date to which the proposal is being submitted. The NSF PAPPG is regularly revised and it is the responsibility of the proposer to ensure that the proposal meets the requirements specified in this solicitation and the applicable version of the PAPPG. Submitting a proposal prior to a specified deadline does not negate this requirement.

Summary Of Program Requirements

General information.

Program Title:

Cultural Anthropology Program - Doctoral Dissertation Research Improvement Grants (CA-DDRIG)

The primary objective of the Cultural Anthropology Program is to support basic scientific research on the causes, consequences and complexities of human social and cultural variability. Contemporary cultural anthropology is an arena in which diverse research traditions and methodologies are valid in investigations of human cultural variation. Recognizing the breadth of the field's contributions to science, the Cultural Anthropology Program welcomes proposals for empirically grounded, theoretically engaged and methodologically sophisticated research in all sub-fields of cultural anthropology. Because the National Science Foundation's mission is to support basic research, the NSF Cultural Anthropology Program does not fund research that takes as its primary goal improved clinical practice, humanistic understanding or applied policy. A proposal that applies anthropological methods to a social problem but does not propose how that problem provides an opportunity to make a theory-testing and/or theory-expanding contribution to anthropology will be returned without review. Program research priorities include, but are not limited to, research that increases our understanding of: Sociocultural drivers of critical anthropogenic processes such as deforestation, desertification, land cover change, urbanization and poverty. Resilience and robustness of sociocultural systems. Scientific principles underlying conflict, cooperation and altruism, as well as explanations of variation in culture, norms, behaviors and institutions. Economy, culture, migration and globalization. Variability and change in kinship and family norms and practices. General cultural and social principles underlining the drivers of health outcomes and disease transmission. Biocultural work that considers the nexus of human culture and its relationship with human biology. Social regulation, governmentality and violence. Origins of complexity in sociocultural systems. Language and culture: orality and literacy, sociolinguistics and cognition. Theoretically-informed approaches to co-production in relation to scientific understandings of human variability and environmental stewardship. Mathematical and computational models of sociocultural systems such as social network analysis, agent-based models, multi-level models, and modes that integrate agent-based simulations and geographic information systems (GIS). As part of its effort to encourage and support projects that explicitly integrate education and basic research, CA provides support to enhance and improve the conduct of doctoral dissertation projects designed and carried out by doctoral students enrolled in U.S. institutions of higher education who are conducting scientific research that enhances basic scientific knowledge.

Cognizant Program Officer(s):

Please note that the following information is current at the time of publishing. See program website for any updates to the points of contact.

• Jeffrey Mantz, Program Director, W13148, telephone: (703) 292-7783, email: [email protected]
• Jeremy Koster, Program Director, telephone: (703) 292-8740, email: [email protected]
• Tarini Bedi, Program Director, telephone: (703) 292-8740, email: [email protected]
• Angelica T. Brewer, Program Specialist, telephone: (703) 292-4636, email: [email protected]
• 47.075 --- Social Behavioral and Economic Sciences

Award Information

Anticipated Type of Award: Standard Grant

Estimated Number of Awards: 40 to 50

During a fiscal year, Cultural Anthropology expects to recommend (either on its own or jointly with one or more other NSF programs) a total of 40-50 doctoral dissertation research improvement (DDRIG) awards.

Anticipated Funding Amount: $800,000

Anticipated Funding Amount is $800,000 pending availability of funds. Project budgets should be developed at scales appropriate for the work to be conducted. The total direct costs for CA DDRIG awards may not exceed $25,000; applicable indirect costs are in addition to (that is, on top of) that amount.

The proposer may concurrently submit a doctoral dissertation proposal to other funding organizations. Please indicate this in the "Current and Pending Support" section of the NSF proposal, so that NSF may coordinate funding with the other organizations. The "Current and Pending Support" section of the NSF proposal should also list the proposal itself. The proposer may submit a DDRIG proposal to only one NSF program although they may request that the proposal be co-reviewed with one or more other NSF programs; actual co-review will be at the discretion of the relevant program officers.

Eligibility Information

Who May Submit Proposals:

Proposals may only be submitted by the following: Institutions of Higher Education (IHEs) - doctoral degree granting IHEs accredited in, and having a campus located in, the U.S., acting on behalf of their faculty members.

Who May Serve as PI:

The proposal must be submitted through regular organizational channels by the dissertation advisor(s) on behalf of the graduate student. The advisor is the principal investigator (PI); the student is the co-principal investigator (co-PI). The student must be the author of the proposal. The student must be enrolled at a U.S. institution, but need not be a U.S. citizen. To be eligible to serve as the PI, the advisor must be available during the period of submission, review, and performance of the research to relay information and communications from NSF to the student.

Limit on Number of Proposals per Organization:

There are no restrictions or limits.

Limit on Number of Proposals per PI or co-PI:

There are no limitations on the number of DDRIGs that may be submitted by an organization on behalf of a single faculty member during a specific competition or over the course of their career. But an organization may submit only two proposals (an original submission and if necessary a resubmission) for a particular student over the student's career, barring special dispensation from the Cultural Anthropology Program for an additional resubmission. Such dispensations are exclusively at the discretion of the CA Program Officer(s). A student and their advisor therefore should carefully consider at what point during the student's graduate program the student is ready to submit a DDRIG proposal, keeping in mind that proposal processing normally takes approximately six months.

Proposal Preparation and Submission Instructions

A. proposal preparation instructions.

• Letters of Intent: Not required
• Preliminary Proposal Submission: Not required
• Full Proposals submitted via Research.gov: ; NSF Proposal and Award Policies and Procedures Guide (PAPPG) guidelines apply. The complete text of the PAPPG is available electronically on the NSF website at: https://www.nsf.gov/publications/pub_summ.jsp?ods_key=pappg .
• Full Proposals submitted via Grants.gov: NSF Grants.gov Application Guide: A Guide for the Preparation and Submission of NSF Applications via Grants.gov guidelines apply (Note: The NSF Grants.gov Application Guide is available on the Grants.gov website and on the NSF website at: https://www.nsf.gov/publications/pub_summ.jsp?ods_key=grantsgovguide ).

B. Budgetary Information

Not Applicable

C. Due Dates

Proposal review information criteria.

Merit Review Criteria:

National Science Board approved criteria apply.

Award Administration Information

Award Conditions:

Standard NSF award conditions apply.

Reporting Requirements:

Standard NSF reporting requirements apply.

I. Introduction

The Cultural Anthropology Program awards Doctoral Dissertation Research Improvement Grants (DDRIGs) in all areas of cultural anthropological science supported by the program. The primary objective of the Cultural Anthropology Program is to support basic scientific research on the causes, consequences and complexities of human social and cultural variability. DDRIGs support the development of the next generation of cultural anthropologists to pursue those questions.

Contemporary cultural anthropology is an arena in which diverse research traditions and methodologies are valid in investigations of human cultural variation. Recognizing the breadth of the field's contributions to science, the Cultural Anthropology Program welcomes proposals for empirically grounded, theoretically engaged and methodologically sophisticated research in all sub-fields of cultural anthropology. Because the National Science Foundation's mission is to support basic research, the NSF Cultural Anthropology Program does not fund research that takes as its primary goal improved clinical practice, humanistic understanding or applied policy. Program research priorities include, but are not limited to, research that increases our understanding of:

• Sociocultural drivers of critical anthropogenic processes such as deforestation, desertification, land cover change, urbanization and poverty.
• Resilience and robustness of sociocultural systems.
• Scientific principles underlying conflict, cooperation and altruism, as well as explanations of variation in culture, norms, behaviors and institutions.
• Economy, culture, migration and globalization.
• Variability and change in kinship and family norms and practices.
• General cultural and social principles underlining the drivers of health outcomes and disease transmission.
• Biocultural work that considers the nexus of human culture and its relationship with human biology.
• Social regulation, governmentality and violence.
• Origins of complexity in sociocultural systems.
• Language and culture: orality and literacy, sociolinguistics and cognition.
• Theoretically informed approaches to co-production in relation to scientific understandings of human variability and environmental stewardship.
• Mathematical and computational models of sociocultural systems such as social network analysis, agent-based models, multi-level models, and modes that integrate agent-based simulations and geographic information systems (GIS).

II. Program Description

CA Doctoral Dissertation Research Improvement Grants provide funds for items not usually available from the student's U.S. academic institution. The awards are not intended to provide the full costs of a student's doctoral dissertation research. Funds may be used for valid research expenses. The funds may not be used for post-field research writing, analysis and thesis production costs. Funds may not be used for stipends, tuition or the purchase of textbooks or journals. Further details concerning allowable as well as non-allowable expenses can be found in the budgetary information section of this solicitation.

While NSF provides support for doctoral dissertation research, the student (co-PI) is solely responsible for the conduct of such research and preparation of results for publication. NSF, therefore, does not assume responsibility for such findings or their interpretation. This program does not support research with applied, disease-related goals, including research directly focused on the etiology, diagnosis or treatment of disease or dysfunction.

III. Award Information

Estimated program budget, number of awards and average award size/duration are subject to the availability of funds.

IV. Eligibility Information

V. proposal preparation and submission instructions.

Full Proposal Preparation Instructions : Proposers may opt to submit proposals in response to this Program Solicitation via Research.gov or Grants.gov.

• Full Proposals submitted via Research.gov: Proposals submitted in response to this program solicitation should be prepared and submitted in accordance with the general guidelines contained in the NSF Proposal and Award Policies and Procedures Guide (PAPPG). The complete text of the PAPPG is available electronically on the NSF website at: https://www.nsf.gov/publications/pub_summ.jsp?ods_key=pappg . Paper copies of the PAPPG may be obtained from the NSF Publications Clearinghouse, telephone (703) 292-8134 or by e-mail from [email protected] . The Prepare New Proposal setup will prompt you for the program solicitation number.
• Full proposals submitted via Grants.gov: Proposals submitted in response to this program solicitation via Grants.gov should be prepared and submitted in accordance with the NSF Grants.gov Application Guide: A Guide for the Preparation and Submission of NSF Applications via Grants.gov . The complete text of the NSF Grants.gov Application Guide is available on the Grants.gov website and on the NSF website at: ( https://www.nsf.gov/publications/pub_summ.jsp?ods_key=grantsgovguide ). To obtain copies of the Application Guide and Application Forms Package, click on the Apply tab on the Grants.gov site, then click on the Apply Step 1: Download a Grant Application Package and Application Instructions link and enter the funding opportunity number, (the program solicitation number without the NSF prefix) and press the Download Package button. Paper copies of the Grants.gov Application Guide also may be obtained from the NSF Publications Clearinghouse, telephone (703) 292-8134 or by e-mail from [email protected] .

See PAPPG Chapter II.C.2 for guidance on the required sections of a full research proposal submitted to NSF. Please note that the proposal preparation instructions provided in this program solicitation may deviate from the PAPPG instructions.

In addition to the guidelines in the PAPPG or NSF Grants.gov Application Guide, specific instructions for Cultural Anthropology (CA) Doctoral Dissertation Research Improvement Grant (DDRIG) proposals are:

Proposal Set-Up

Select "Prepare New Full Proposal" in Research.gov. Search for and select this solicitation title in Step 1 of the Full Proposal wizard. The information in Step 2, Where to Apply, will be pre-populated by the system. Select "Research" as the proposal type. In the proposal details section, select "Single proposal (with or without subawards). Separately submitted collaborative proposals will be returned without review. The project title must begin with "Doctoral Dissertation Research:". The title should be descriptive rather than clever. It should emphasize the generalizable science that the research will address, such as the main research question that the student aims to investigate.

You may select additional programs if you would like those programs to consider co-review of your proposal with Cultural Anthropology. After the proposal is created click on the 'Manage Where to Apply" link on the proposal main page. This will open the "Manage Where to Apply" page where additional programs can be selected. Note that a request for co-review should be made only when the PIs believe the proposed work makes a strong case for advancing theory and basic knowledge in multiple communities served by multiple programs and when the project description engages literature from those communities. Methods that are relevant to other programs are not sufficient to merit co-review; the contribution must be theoretical and scientific. Not all standing programs support the co-review of DDRIG proposals. You should verify that the proposed program is willing to co-review a DDRIG proposal.

Senior Personnel

List the primary dissertation advisor as the "PI" and the student as the "co-PI."

Cover Sheet

• Mark human subjects as pending, approved or exempted.

Project Description

• This section is limited to 10 single-spaced pages of text.
• If the proposal is a resubmission, the first paragraph of the project description must summarize how the proposal has responded to previous reviewer concerns.
• The "Results from Prior NSF Support" section is NOT required for DDRIG proposals.
• A statement of the research problem and its scientific importance, specific aims, questions or hypotheses. The research questions or hypotheses must be empirically driven. Arguments that are not subject to falsification via empirical discovery and data analysis will be returned without review. Projects that are motivated strictly by philosophical or humanistic questions, or that source information in service of a particular theoretical position (without putting that theoretical position at risk of falsification through data collection and analysis), will also be judged to be unsuitable for funding and returned without review.
• A section addressing intellectual merit (we recommend you clearly label it in a way that highlights the basic scientific value of the project, e.g., "intellectual merit," "scientific generalizability," or "scientific merit"). This section should describe the project's potential contribution to advancing anthropological theory beyond the site and context of the project itself. It should include a focused review of what is thought to be known about the topic of study and a clear statement of what the project's original contribution will be and why that contribution will be significant. Proposals that list areas of scholarship without reference to the specific means by which theory will be tested, queried or advanced are not sufficient. The project description must describe the project's potential contribution to advancing anthropological theory beyond the site and context of the project itself. Projects that are focused narrowly on the sociological or cultural context of a particular site that fail to frame the project in terms of a larger, generalizable set of questions will be returned without review.
• A section labeled broader impacts that discusses the broader impacts of the proposed activities and the pathways by which those broader impacts will be realized. Broader impacts are significant effects beyond basic science. They might include communicating results to policy makers, contributing to the knowledge base to solve an important social problem, engaging students of any age in the research enterprise, doing outreach to the public, producing databases that contribute to scientific infrastructure, strengthening international research collaborations, broadening the scientific participation of underrepresented communities, or strengthening research capacity in developing nations. Partisan activities explicitly related to advocacy and/or activism should not be included.
• A discussion of any preliminary studies performed by the student, the results of those studies and how they inform the project.
• An account of whether the student has the relevant technical training, language competence and other preparation necessary to make the project feasible. This must also include an explanation of how the student has obtained the relevant methodological training (at their institution or elsewhere) to conduct a scientific research project.
• A statement of steps taken to ensure objectivity given student positionality with respect to their research site(s), question(s) and hypotheses;
• A research design that includes a discussion of the research site(s) and source(s) of data, the methods by which data will be collected to answer the questions or test hypotheses posed by the proposal, and the reasons those methods are the most appropriate.
• A clear description of the systematic strategy that will be used to recruit research participants (i.e., sample design) and a justified estimate of the sample size necessary to achieve research objectives. Research sample design and estimates of sample size should be carefully described; the researcher should explain how these strategies mitigate sampling bias, omitted variables and confirmation biases.
• A well-developed data analysis plan (usually one page in length) that explains how the data will be systematically analyzed to address the specific research questions, aims or hypotheses posed within the proposal.
• A research schedule or timeline that includes the date that funds are required.

Budget and Budget Justification

• The budget justification pages should be used to detail and explain the rationale for each item requested.
• Travel expenses may include food and lodging as well as transportation while the researcher is living away from their normal place of residence. All travel expenses should be requested under "Travel - Domestic" or "Travel - Foreign."
• All other expenses should be requested under "Other Direct Costs."
• No items may be budgeted under "Consultants" or "Subawards". If casual or itinerant labor is being requested to assist in data collection activities (e.g., the hiring of local field assistants at a research site), this may be budgeted under "Other Direct Costs."
• Incentive payments to research participants to participate in the study should be budgeted under "Other Direct Costs." These should not be described as "gifts."
• Any software requested should be at academic pricing where available.
• Salaries or stipends for the graduate student or the advisor are not eligible for support. Therefore, after the PI and Co-PI(s) are entered on the cover page, their names must be manually removed from the senior personnel listing on the budget pages. This is to avoid construal as voluntary committed cost sharing, which is not permitted.

Facilities, Equipment & Other Resources

• If you have resources (such as a research awards from another sources) that will be used to supplement any NSF award, those resources should be listed here (rather than in the budget justification).

Data Management Plan

A data management plan (DMP) is required for all research proposals, and proposals that do not include one will not be able to be submitted. The DMP should address the following questions:

• What kinds of data, software and other materials will your research produce?
• How will you manage them (e.g., standards for metadata, format, organization, etc.)?
• How will you give other researchers access to your data, while preserving confidentiality, security, intellectual property and other rights and requirements?
• How will you archive data and preserve access in publicly accessible and institutionally maintained repositories in the short and the long term? (A departmental website is not adequate.)

PIs are encouraged to consult the American Anthropological Association's (AAA) Statement on Professional Ethics , Section 5: Make Your Results Accessible, and Section 6: Protect and Preserve Your Records, as well as the AAA's data management course modules . In addition to describing the AAA's practice standards, these web pages include links to other helpful resources on data management. PIs who plan to use a standard archive, such as the Inter-University Consortium for Political and Social Research (ICPSR) archive housed at the University of Michigan, Harvard University's Dataverse or the Qualitative Data Repository (QDR) at Syracuse University, are strongly advised to contact the archive before undertaking the research to ascertain any specific requirements for permissions or metadata, which would require advance planning. The AAA maintains a wiki where researchers can identify where their data are archived or deposited. We recommend use of this facility to enhance data sharing.

Individuals with disabilities who need reasonable accommodations as part of the proposal process must contact the NSF Office of Equity and Civil Rights (OECR) at least 30 days prior to the proposal target date.

Supplementary Documentation

• Up to two pages of technical illustrations, maps, or sample survey questions may be included as a supplementary document.
• If the project's success depends on access to a non-public site (such as a clinic, Native American or Indigenous territory or business), PIs are advised to obtain a letter providing that access. This should not be an endorsement of the proposal. Please use this template:

To: NSF _________(Program Title)___________ Program From: ____________________________________ (Printed name of the individual collaborator or name of the organization and name and position of the official submitting this memo)

By signing below (or transmitting electronically), we acknowledge that we are listed as providing resources, access or assistance for the project described in the proposal entitled. Barring unforeseen events, I/we agree to provide the access, resources or assistance as described in the project description of the proposal.

Signed: _______________________ Organization: ________________________________ Date: _________________________

Letters of reference or evaluation are NOT allowed. The Cultural Anthropology Program does NOT require a letter from the department assessing the student's progress to degree.

Cost Sharing:

Inclusion of voluntary committed cost sharing is prohibited.

Budget Preparation Instructions:

Proposers may request up to $25,000 in direct costs and durations of up to 24 months. There are no indirect cost limitations; proposals submitted in response to this solicitation are subject to the awardee's current federally negotiated indirect cost rate. Indirect costs are in addition to (that is, on top of) the maximum direct cost request of up to $25,000. Project budgets should be developed at scales appropriate for the work to be conducted and may only include costs directly associated with the conduct of dissertation research. Please allow 6 to 8 months after the target date for an award to be made.

DDRIG awards provide funding for research costs not normally covered by the student's university. Expenses that may be included in a DDRIG proposal budget include:

• Costs associated with travel and related expenses (budgeted under Line E) to conduct research at field sites, archives, specialized collections or facilities away from the student's campus.
• Costs for data collection activities.
• Costs for modest field equipment (e.g., laptops; photo, video or audio equipment), and materials and supplies (usually budgeted under Line G1) necessary for the conduct of the project that will be devoted to the project over the duration of the award. (Note that any equipment purchased with NSF funds becomes property of the awardee organization.) Costs should be based on appropriateness to the scientific need of the study and current market prices. Top-of-the-line equipment is generally not funded unless there is a specific and well-justified explanation as to why standard equipment will not suffice.
• NOT ALLOWABLE: donation of books to a needy school or gifts simply because it is cultural custom.
• ALLOWABLE: purchase of books needed to perform a study that will take place at a school, incentives (including pre-paid gift cards) for participation in a study that would likely not be able to be completed without incentives (e.g., a very long survey to fill out, a study that requires multiple follow-up sessions, medical testing, etc.), subject payments for survey respondents.
• Costs for casual or itinerant research assistance (budgeted under Line G6), such as the hiring of local field assistants at a research site, if essential to the execution of the study.
• Costs for other research services that are essential for the research and are not otherwise available.
• Costs for travel-specific insurance (such as for medical evacuation and repatriation of remains), if appropriately justified.
• Costs for modest (i.e., typically less than State Department per diem rates) living expenses for the Co-PI during research in locations away from the university or normal place of residence.
• Costs of obtaining a visa required for the research.
• Costs related to achieving the broader impacts of the proposed work.
• Costs for the expenses of relatives or dependents, including childcare, are allowable as specifically authorized by 2 CFR §200.475. We recommend contacting program officers in advance of proposal submission, wherever possible, to discuss allowability of specific costs.

Costs that cannot be reimbursed by DDRIG awards include the following:

• A stipend or salary for the doctoral student or advisor;
• Costs for tuition, university fees, the purchase of textbooks or journals (except publication costs), dissertation preparation, routine medical insurance, mortgage payments, personal clothing, toiletries, over-the-counter medicines or other items not directly related to the conduct of dissertation research.
• Costs for transcription services are not ordinarily allowed.
• Costs for consultants budgeted under Line G3.
• Subawards budgeted under Line G5Costs for expensive cameras and computers unless justified in terms of the research goals.
• Insurance for equipment.
• "Gifts" or "tokens" for research participants/informants that are requested because it is a cultural norm to exchange gifts.

D. Research.gov/Grants.gov Requirements

For Proposals Submitted Via Research.gov:

To prepare and submit a proposal via Research.gov, see detailed technical instructions available at: https://www.research.gov/research-portal/appmanager/base/desktop?_nfpb=true&_pageLabel=research_node_display&_nodePath=/researchGov/Service/Desktop/ProposalPreparationandSubmission.html . For Research.gov user support, call the Research.gov Help Desk at 1-800-673-6188 or e-mail [email protected] . The Research.gov Help Desk answers general technical questions related to the use of the Research.gov system. Specific questions related to this program solicitation should be referred to the NSF program staff contact(s) listed in Section VIII of this funding opportunity.

For Proposals Submitted Via Grants.gov:

Before using Grants.gov for the first time, each organization must register to create an institutional profile. Once registered, the applicant's organization can then apply for any federal grant on the Grants.gov website. Comprehensive information about using Grants.gov is available on the Grants.gov Applicant Resources webpage: https://www.grants.gov/web/grants/applicants.html . In addition, the NSF Grants.gov Application Guide (see link in Section V.A) provides instructions regarding the technical preparation of proposals via Grants.gov. For Grants.gov user support, contact the Grants.gov Contact Center at 1-800-518-4726 or by email: [email protected] . The Grants.gov Contact Center answers general technical questions related to the use of Grants.gov. Specific questions related to this program solicitation should be referred to the NSF program staff contact(s) listed in Section VIII of this solicitation. Submitting the Proposal: Once all documents have been completed, the Authorized Organizational Representative (AOR) must submit the application to Grants.gov and verify the desired funding opportunity and agency to which the application is submitted. The AOR must then sign and submit the application to Grants.gov. The completed application will be transferred to the NSF FastLane system for further processing.

Proposers that submitted via Research.gov may use Research.gov to verify the status of their submission to NSF. For proposers that submitted via Grants.gov, until an application has been received and validated by NSF, the Authorized Organizational Representative may check the status of an application on Grants.gov. After proposers have received an e-mail notification from NSF, Research.gov should be used to check the status of an application.

VI. NSF Proposal Processing And Review Procedures

Proposals received by NSF are assigned to the appropriate NSF program for acknowledgement and, if they meet NSF requirements, for review. All proposals are carefully reviewed by a scientist, engineer, or educator serving as an NSF Program Officer, and usually by three to ten other persons outside NSF either as ad hoc reviewers, panelists, or both, who are experts in the particular fields represented by the proposal. These reviewers are selected by Program Officers charged with oversight of the review process. Proposers are invited to suggest names of persons they believe are especially well qualified to review the proposal and/or persons they would prefer not review the proposal. These suggestions may serve as one source in the reviewer selection process at the Program Officer's discretion. Submission of such names, however, is optional. Care is taken to ensure that reviewers have no conflicts of interest with the proposal. In addition, Program Officers may obtain comments from site visits before recommending final action on proposals. Senior NSF staff further review recommendations for awards. A flowchart that depicts the entire NSF proposal and award process (and associated timeline) is included in PAPPG Exhibit III-1.

A comprehensive description of the Foundation's merit review process is available on the NSF website at: https://www.nsf.gov/bfa/dias/policy/merit_review/ .

Proposers should also be aware of core strategies that are essential to the fulfillment of NSF's mission, as articulated in Leading the World in Discovery and Innovation, STEM Talent Development and the Delivery of Benefits from Research - NSF Strategic Plan for Fiscal Years (FY) 2022 - 2026 . These strategies are integrated in the program planning and implementation process, of which proposal review is one part. NSF's mission is particularly well-implemented through the integration of research and education and broadening participation in NSF programs, projects, and activities.

One of the strategic objectives in support of NSF's mission is to foster integration of research and education through the programs, projects, and activities it supports at academic and research institutions. These institutions must recruit, train, and prepare a diverse STEM workforce to advance the frontiers of science and participate in the U.S. technology-based economy. NSF's contribution to the national innovation ecosystem is to provide cutting-edge research under the guidance of the Nation's most creative scientists and engineers. NSF also supports development of a strong science, technology, engineering, and mathematics (STEM) workforce by investing in building the knowledge that informs improvements in STEM teaching and learning.

NSF's mission calls for the broadening of opportunities and expanding participation of groups, institutions, and geographic regions that are underrepresented in STEM disciplines, which is essential to the health and vitality of science and engineering. NSF is committed to this principle of diversity and deems it central to the programs, projects, and activities it considers and supports.

A. Merit Review Principles and Criteria

The National Science Foundation strives to invest in a robust and diverse portfolio of projects that creates new knowledge and enables breakthroughs in understanding across all areas of science and engineering research and education. To identify which projects to support, NSF relies on a merit review process that incorporates consideration of both the technical aspects of a proposed project and its potential to contribute more broadly to advancing NSF's mission "to promote the progress of science; to advance the national health, prosperity, and welfare; to secure the national defense; and for other purposes." NSF makes every effort to conduct a fair, competitive, transparent merit review process for the selection of projects.

1. Merit Review Principles

These principles are to be given due diligence by PIs and organizations when preparing proposals and managing projects, by reviewers when reading and evaluating proposals, and by NSF program staff when determining whether or not to recommend proposals for funding and while overseeing awards. Given that NSF is the primary federal agency charged with nurturing and supporting excellence in basic research and education, the following three principles apply:

• All NSF projects should be of the highest quality and have the potential to advance, if not transform, the frontiers of knowledge.
• NSF projects, in the aggregate, should contribute more broadly to achieving societal goals. These "Broader Impacts" may be accomplished through the research itself, through activities that are directly related to specific research projects, or through activities that are supported by, but are complementary to, the project. The project activities may be based on previously established and/or innovative methods and approaches, but in either case must be well justified.
• Meaningful assessment and evaluation of NSF funded projects should be based on appropriate metrics, keeping in mind the likely correlation between the effect of broader impacts and the resources provided to implement projects. If the size of the activity is limited, evaluation of that activity in isolation is not likely to be meaningful. Thus, assessing the effectiveness of these activities may best be done at a higher, more aggregated, level than the individual project.

With respect to the third principle, even if assessment of Broader Impacts outcomes for particular projects is done at an aggregated level, PIs are expected to be accountable for carrying out the activities described in the funded project. Thus, individual projects should include clearly stated goals, specific descriptions of the activities that the PI intends to do, and a plan in place to document the outputs of those activities.

These three merit review principles provide the basis for the merit review criteria, as well as a context within which the users of the criteria can better understand their intent.

2. Merit Review Criteria

All NSF proposals are evaluated through use of the two National Science Board approved merit review criteria. In some instances, however, NSF will employ additional criteria as required to highlight the specific objectives of certain programs and activities.

The two merit review criteria are listed below. Both criteria are to be given full consideration during the review and decision-making processes; each criterion is necessary but neither, by itself, is sufficient. Therefore, proposers must fully address both criteria. (PAPPG Chapter II.C.2.d(i). contains additional information for use by proposers in development of the Project Description section of the proposal). Reviewers are strongly encouraged to review the criteria, including PAPPG Chapter II.C.2.d(i), prior to the review of a proposal.

When evaluating NSF proposals, reviewers will be asked to consider what the proposers want to do, why they want to do it, how they plan to do it, how they will know if they succeed, and what benefits could accrue if the project is successful. These issues apply both to the technical aspects of the proposal and the way in which the project may make broader contributions. To that end, reviewers will be asked to evaluate all proposals against two criteria:

• Intellectual Merit: The Intellectual Merit criterion encompasses the potential to advance knowledge; and
• Broader Impacts: The Broader Impacts criterion encompasses the potential to benefit society and contribute to the achievement of specific, desired societal outcomes.

The following elements should be considered in the review for both criteria:

• Advance knowledge and understanding within its own field or across different fields (Intellectual Merit); and
• Benefit society or advance desired societal outcomes (Broader Impacts)?
• To what extent do the proposed activities suggest and explore creative, original, or potentially transformative concepts?
• Is the plan for carrying out the proposed activities well-reasoned, well-organized, and based on a sound rationale? Does the plan incorporate a mechanism to assess success?
• How well qualified is the individual, team, or organization to conduct the proposed activities?
• Are there adequate resources available to the PI (either at the home organization or through collaborations) to carry out the proposed activities?

Broader impacts may be accomplished through the research itself, through the activities that are directly related to specific research projects, or through activities that are supported by, but are complementary to, the project. NSF values the advancement of scientific knowledge and activities that contribute to achievement of societally relevant outcomes. Such outcomes include, but are not limited to: full participation of women, persons with disabilities, and other underrepresented groups in science, technology, engineering, and mathematics (STEM); improved STEM education and educator development at any level; increased public scientific literacy and public engagement with science and technology; improved well-being of individuals in society; development of a diverse, globally competitive STEM workforce; increased partnerships between academia, industry, and others; improved national security; increased economic competitiveness of the United States; and enhanced infrastructure for research and education.

Proposers are reminded that reviewers will also be asked to review the Data Management Plan and the Postdoctoral Researcher Mentoring Plan, as appropriate.

B. Review and Selection Process

Proposals submitted in response to this program solicitation will be reviewed by Panel Review.

Reviewers will be asked to evaluate proposals using two National Science Board approved merit review criteria and, if applicable, additional program specific criteria. A summary rating and accompanying narrative will generally be completed and submitted by each reviewer and/or panel. The Program Officer assigned to manage the proposal's review will consider the advice of reviewers and will formulate a recommendation.

After scientific, technical and programmatic review and consideration of appropriate factors, the NSF Program Officer recommends to the cognizant Division Director whether the proposal should be declined or recommended for award. NSF strives to be able to tell applicants whether their proposals have been declined or recommended for funding within six months. Large or particularly complex proposals or proposals from new awardees may require additional review and processing time. The time interval begins on the deadline or target date, or receipt date, whichever is later. The interval ends when the Division Director acts upon the Program Officer's recommendation.

After programmatic approval has been obtained, the proposals recommended for funding will be forwarded to the Division of Grants and Agreements or the Division of Acquisition and Cooperative Support for review of business, financial, and policy implications. After an administrative review has occurred, Grants and Agreements Officers perform the processing and issuance of a grant or other agreement. Proposers are cautioned that only a Grants and Agreements Officer may make commitments, obligations or awards on behalf of NSF or authorize the expenditure of funds. No commitment on the part of NSF should be inferred from technical or budgetary discussions with a NSF Program Officer. A Principal Investigator or organization that makes financial or personnel commitments in the absence of a grant or cooperative agreement signed by the NSF Grants and Agreements Officer does so at their own risk.

Once an award or declination decision has been made, Principal Investigators are provided feedback about their proposals. In all cases, reviews are treated as confidential documents. Verbatim copies of reviews, excluding the names of the reviewers or any reviewer-identifying information, are sent to the Principal Investigator/Project Director by the Program Officer. In addition, the proposer will receive an explanation of the decision to award or decline funding.

VII. Award Administration Information

A. notification of the award.

Notification of the award is made to the submitting organization by an NSF Grants and Agreements Officer. Organizations whose proposals are declined will be advised as promptly as possible by the cognizant NSF Program administering the program. Verbatim copies of reviews, not including the identity of the reviewer, will be provided automatically to the Principal Investigator. (See Section VI.B. for additional information on the review process.)

B. Award Conditions

An NSF award consists of: (1) the award notice, which includes any special provisions applicable to the award and any numbered amendments thereto; (2) the budget, which indicates the amounts, by categories of expense, on which NSF has based its support (or otherwise communicates any specific approvals or disapprovals of proposed expenditures); (3) the proposal referenced in the award notice; (4) the applicable award conditions, such as Grant General Conditions (GC-1)*; or Research Terms and Conditions* and (5) any announcement or other NSF issuance that may be incorporated by reference in the award notice. Cooperative agreements also are administered in accordance with NSF Cooperative Agreement Financial and Administrative Terms and Conditions (CA-FATC) and the applicable Programmatic Terms and Conditions. NSF awards are electronically signed by an NSF Grants and Agreements Officer and transmitted electronically to the organization via e-mail.

*These documents may be accessed electronically on NSF's Website at https://www.nsf.gov/awards/managing/award_conditions.jsp?org=NSF . Paper copies may be obtained from the NSF Publications Clearinghouse, telephone (703) 292-8134 or by e-mail from [email protected] .

More comprehensive information on NSF Award Conditions and other important information on the administration of NSF awards is contained in the NSF Proposal & Award Policies & Procedures Guide (PAPPG) Chapter VII, available electronically on the NSF Website at https://www.nsf.gov/publications/pub_summ.jsp?ods_key=pappg .

Administrative and National Policy Requirements

Build America, Buy America

As expressed in Executive Order 14005, Ensuring the Future is Made in All of America by All of America's Workers (86 FR 7475), it is the policy of the executive branch to use terms and conditions of Federal financial assistance awards to maximize, consistent with law, the use of goods, products, and materials produced in, and services offered in, the United States.

Consistent with the requirements of the Build America, Buy America Act (Pub. L. 117-58, Division G, Title IX, Subtitle A, November 15, 2021), no funding made available through this funding opportunity may be obligated for an award unless all iron, steel, manufactured products, and construction materials used in the project are produced in the United States. For additional information, visit NSF's Build America, Buy America webpage.

C. Reporting Requirements

For all multi-year grants (including both standard and continuing grants), the Principal Investigator must submit an annual project report to the cognizant Program Officer no later than 90 days prior to the end of the current budget period. (Some programs or awards require submission of more frequent project reports). No later than 120 days following expiration of a grant, the PI also is required to submit a final project report, and a project outcomes report for the general public.

Failure to provide the required annual or final project reports, or the project outcomes report, will delay NSF review and processing of any future funding increments as well as any pending proposals for all identified PIs and co-PIs on a given award. PIs should examine the formats of the required reports in advance to assure availability of required data.

PIs are required to use NSF's electronic project-reporting system, available through Research.gov, for preparation and submission of annual and final project reports. Such reports provide information on accomplishments, project participants (individual and organizational), publications, and other specific products and impacts of the project. Submission of the report via Research.gov constitutes certification by the PI that the contents of the report are accurate and complete. The project outcomes report also must be prepared and submitted using Research.gov. This report serves as a brief summary, prepared specifically for the public, of the nature and outcomes of the project. This report will be posted on the NSF website exactly as it is submitted by the PI.

More comprehensive information on NSF Reporting Requirements and other important information on the administration of NSF awards is contained in the NSF Proposal & Award Policies & Procedures Guide (PAPPG) Chapter VII, available electronically on the NSF Website at https://www.nsf.gov/publications/pub_summ.jsp?ods_key=pappg .

VIII. Agency Contacts

Please note that the program contact information is current at the time of publishing. See program website for any updates to the points of contact.

General inquiries regarding this program should be made to:

For questions related to the use of FastLane or Research.gov, contact:

• FastLane and Research.gov Help Desk: 1-800-673-6188
• FastLane Help Desk e-mail: [email protected]
• Research.gov Help Desk e-mail: [email protected]

For questions relating to Grants.gov contact:

• Grants.gov Contact Center: If the Authorized Organizational Representatives (AOR) has not received a confirmation message from Grants.gov within 48 hours of submission of application, please contact via telephone: 1-800-518-4726; e-mail: [email protected] .

IX. Other Information

The NSF website provides the most comprehensive source of information on NSF Directorates (including contact information), programs and funding opportunities. Use of this website by potential proposers is strongly encouraged. In addition, "NSF Update" is an information-delivery system designed to keep potential proposers and other interested parties apprised of new NSF funding opportunities and publications, important changes in proposal and award policies and procedures, and upcoming NSF Grants Conferences . Subscribers are informed through e-mail or the user's Web browser each time new publications are issued that match their identified interests. "NSF Update" also is available on NSF's website .

Grants.gov provides an additional electronic capability to search for Federal government-wide grant opportunities. NSF funding opportunities may be accessed via this mechanism. Further information on Grants.gov may be obtained at https://www.grants.gov .

About The National Science Foundation

The National Science Foundation (NSF) is an independent Federal agency created by the National Science Foundation Act of 1950, as amended (42 USC 1861-75). The Act states the purpose of the NSF is "to promote the progress of science; [and] to advance the national health, prosperity, and welfare by supporting research and education in all fields of science and engineering."

NSF funds research and education in most fields of science and engineering. It does this through grants and cooperative agreements to more than 2,000 colleges, universities, K-12 school systems, businesses, informal science organizations and other research organizations throughout the US. The Foundation accounts for about one-fourth of Federal support to academic institutions for basic research.

NSF receives approximately 55,000 proposals each year for research, education and training projects, of which approximately 11,000 are funded. In addition, the Foundation receives several thousand applications for graduate and postdoctoral fellowships. The agency operates no laboratories itself but does support National Research Centers, user facilities, certain oceanographic vessels and Arctic and Antarctic research stations. The Foundation also supports cooperative research between universities and industry, US participation in international scientific and engineering efforts, and educational activities at every academic level.

Facilitation Awards for Scientists and Engineers with Disabilities (FASED) provide funding for special assistance or equipment to enable persons with disabilities to work on NSF-supported projects. See the NSF Proposal & Award Policies & Procedures Guide Chapter II.E.6 for instructions regarding preparation of these types of proposals.

The National Science Foundation has Telephonic Device for the Deaf (TDD) and Federal Information Relay Service (FIRS) capabilities that enable individuals with hearing impairments to communicate with the Foundation about NSF programs, employment or general information. TDD may be accessed at (703) 292-5090 and (800) 281-8749, FIRS at (800) 877-8339.

The National Science Foundation Information Center may be reached at (703) 292-5111.

The National Science Foundation promotes and advances scientific progress in the United States by competitively awarding grants and cooperative agreements for research and education in the sciences, mathematics, and engineering. To get the latest information about program deadlines, to download copies of NSF publications, and to access abstracts of awards, visit the NSF Website at 2415 Eisenhower Avenue, Alexandria, VA 22314 (NSF Information Center) (703) 292-5111 (703) 292-5090   Send an e-mail to: or telephone: (703) 292-8134 (703) 292-5111 Privacy Act And Public Burden Statements The information requested on proposal forms and project reports is solicited under the authority of the National Science Foundation Act of 1950, as amended. The information on proposal forms will be used in connection with the selection of qualified proposals; and project reports submitted by awardees will be used for program evaluation and reporting within the Executive Branch and to Congress. The information requested may be disclosed to qualified reviewers and staff assistants as part of the proposal review process; to proposer institutions/grantees to provide or obtain data regarding the proposal review process, award decisions, or the administration of awards; to government contractors, experts, volunteers and researchers and educators as necessary to complete assigned work; to other government agencies or other entities needing information regarding applicants or nominees as part of a joint application review process, or in order to coordinate programs or policy; and to another Federal agency, court, or party in a court or Federal administrative proceeding if the government is a party. Information about Principal Investigators may be added to the Reviewer file and used to select potential candidates to serve as peer reviewers or advisory committee members. See System of Record Notices , NSF-50 , "Principal Investigator/Proposal File and Associated Records," and NSF-51 , "Reviewer/Proposal File and Associated Records." Submission of the information is voluntary. Failure to provide full and complete information, however, may reduce the possibility of receiving an award. An agency may not conduct or sponsor, and a person is not required to respond to, an information collection unless it displays a valid Office of Management and Budget (OMB) control number. The OMB control number for this collection is 3145-0058. Public reporting burden for this collection of information is estimated to average 120 hours per response, including the time for reviewing instructions. Send comments regarding the burden estimate and any other aspect of this collection of information, including suggestions for reducing this burden, to: Suzanne H. 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