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Home / Guides / Citation Guides / APA Format / How to Cite a Thesis or Dissertation in APA

How to Cite a Thesis or Dissertation in APA

In this citation guide, you will learn how to reference and cite an undergraduate thesis, master’s thesis, or doctoral dissertation. This guide will also review the differences between a thesis or dissertation that is published and one that has remained unpublished. The guidelines below come from the 7th edition of the Publication Manual of the American Psychological Association (2020a), pages 333 and 334. Please note that the association is not affiliated with this guide.

Alternatively, you can visit EasyBib.com for helpful citation tools to cite your thesis or dissertation .

Guide Overview

Citing an unpublished thesis or dissertation, citing a published dissertation or thesis from a database, citing a thesis or dissertation published online but not from a database, citing a thesis or dissertation: reference overview, what you need.

Since unpublished theses can usually only be sourced in print form from a university library, the correct citation structure includes the university name where the publisher element usually goes.

Author’s last name, F. M. (Year published). Title in sentence case [Unpublished degree type thesis or dissertation]. Name of institution.

Ames, J. H., & Doughty, L. H. (1911). The proposed plans for the Iowa State College athletic field including the design of a reinforced concrete grandstand and wall [Unpublished bachelor’s thesis]. Iowa State University.

In-text citation example:

• Parenthetical :  (Ames & Doughty, 1911)
• Narrative :  Ames & Doughty (1911)

If a thesis or dissertation has been published and is found on a database, then follow the structure below. It’s similar to the format for an unpublished dissertation/thesis, but with a few differences:

• The institution is presented in brackets after the title
• The archive or database name is included

Author’s last name, F. M. (Year published). Title in sentence case (Publication or Document No.) [Degree type thesis or dissertation, Name of institution]. Database name.

Examples 1:

Knight, K. A. (2011). Media epidemics: Viral structures in literature and new media (Accession No. 2013420395) [Doctoral dissertation, University of California, Santa Barbara]. ProQuest Dissertations Publishing.

Trotman, J.B. (2018). New insights into the biochemistry and cell biology of RNA recapping (Document No. osu1523896565730483) [Doctoral dissertation, Ohio State University]. OhioLINK Electronic Theses & Dissertations Center.

In the example given above, the dissertation is presented with a Document Number (Document No.). Sometimes called a database number or publication number, this is the identifier that is used by the database’s indexing system. If the database you are using provides you with such a number, then include it directly after the work’s title in parentheses.

If you are interested in learning more about how to handle works that were accessed via academic research databases, see Section 9.3 of the Publication Manual.

In-text citation examples :

• Parenthetical citation : (Trotman, 2018)
• Narrative citation : Trotman (2018)

Author’s last name, F. M. (Year Published). Title in sentence case [Degree type thesis or dissertation, Name of institution]. Name of archive or collection. URL

Kim, O. (2019). Soviet tableau: cinema and history under late socialism [Doctoral dissertation, University of Pittsburgh]. Institutional Repository at the University of Pittsburgh. https://d-scholarship.pitt.edu/37669/7/Olga%20Kim%20Final%20ETD.pdf

Stiles, T. W. (2001). Doing science: Teachers’ authentic experiences at the Lone Star Dinosaur Field Institute [Master’s thesis, Texas A&M University]. OAKTrust. https://hdl.handle.net/1969.1/ETD-TAMU-2001-THESIS-S745

It is important to note that not every thesis or dissertation published online will be associated with a specific archive or collection. If the work is published on a private website, provide only the URL as the source element.

In-text citation examples:

• Parenthetical citation : (Kim, 2019)
• Narrative citation : Kim (2019)
• Parenthetical citation : (Stiles, 2001)
• Narrative citation : Stiles (2001)

We hope that the information provided here will serve as an effective guide for your research. If you’re looking for even more citation info, visit EasyBib.com for a comprehensive collection of educational materials covering multiple source types.

If you’re citing a variety of different sources, consider taking the EasyBib citation generator for a spin. It can help you cite easily and offers citation forms for several different kinds of sources.

To start things off, let’s take a look at the different types of literature that are classified under Chapter 10.6 of the Publication Manual :

• Undergraduate thesis
• Master’s thesis
• Doctoral dissertation

You will need to know which type you are citing. You’ll also need to know if it is published or unpublished .

When you decide to cite a dissertation or thesis, you’ll need to look for the following information to use in your citation:

• Author’s last name, and first and middle initials
• Year published
• Title of thesis or dissertation
• If it is unpublished
• Publication or document number (if applicable; for published work)
• Degree type (bachelor’s, master’s, doctoral)
• Thesis or dissertation
• Name of institution awarding degree
• DOI (https://doi.org/xxxxx) or URL (if applicable)

Since theses and dissertations are directly linked to educational degrees, it is necessary to list the name of the associated institution; i.e., the college, university, or school that is awarding the associated degree.

To get an idea of the proper form, take a look at the examples below. There are three outlined scenarios:

• Unpublished thesis or dissertation
• Published thesis or dissertation from a database
• Thesis or dissertation published online but not from a database

American Psychological Association. (2020a). Publication manual of the American Psychological Association (7th ed.). https://doi.org/10.1037/0000165-000

American Psychological Association. (2020b). Style-Grammar-Guidelines. https://apastyle.apa.org/style-grammar-guidelines/citations/basic-principles/parenthetical-versus-narrative

Published August 10, 2012. Updated March 24, 2020.

Written and edited by Michele Kirschenbaum and Elise Barbeau. Michele Kirschenbaum is a school library media specialist and the in-house librarian at EasyBib.com. Elise Barbeau is the Citation Specialist at Chegg. She has worked in digital marketing, libraries, and publishing.

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To cite a published thesis in APA style, it is important that you know some basic information such as the author, publication year, title of the thesis, institute name, archive name, and URL (uniform resource locator). The templates for an in-text citation and reference list entry of a thesis, along with examples, are given below:

In-text citation template and example:

Use the author surname and the publication year in the in-text citation.

Author Surname (Publication Year)

Cartmel (2007)

Parenthetical:

(Author Surname, Publication Year)

(Cartmel, 2007)

Reference list entry template and example:

The title of the thesis is set in sentence case and italicized. Enclose the thesis and the institute awarding the degree inside brackets following the publication year. Then add the name of the database followed by the URL.

Author Surname, F. M. (Publication Year). Title of the thesis [Master’s thesis, Institute Name]. Name of the Database. URL

Cartmel, J. (2007). Outside school hours care and schools [Master’s thesis, Queensland University of Technology]. EPrints. http://eprints.qut.edu.au/17810/1/Jennifer_Cartmel_Thesis.pdf

To cite an unpublished dissertation in APA style, it is important that you know some basic information such as the author, year, title of the dissertation, and institute name. The templates for in-text citation and reference list entry of an online thesis, along with examples, are given below:

Author Surname (Year)

Averill (2009)

(Author Surname, Year)

(Averill, 2009)

The title of the dissertation is set in sentence case and italicized. Enclose “Unpublished doctoral dissertation” inside brackets following the year. Then add the name of the institution awarding the degree.

Author Surname, F. M. (Publication Year). Title of the dissertation [Unpublished doctoral dissertation]. Name of the Institute.

Averill, R. (2009). Teacher–student relationships in diverse New Zealand year 10 mathematics classrooms: Teacher care [Unpublished doctoral dissertation]. Victoria University of Wellington.

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Q. How do I reference a PhD dissertation or MA thesis in APA style?

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Answered By: Theresa Bell (she/her/hers) Last Updated: Nov 04, 2021     Views: 65320

APA Style (7th ed.)

Unpublished print dissertations/theses retrieved from university

Author, A. (year). Title of dissertation [Unpublished doctoral dissertation OR master's thesis]. Name of Institution.

• In-text citation: (Author, year, p. X)
• See pages 333-334 in the APA Style manual for information and examples.

Published dissertation/thesis retrieved from online database

Dissertation

Author, A. (year). Title of dissertation [Doctoral dissertation, Name of Institution Granting Award]. Database Name.

Myers, S. (2018). In British Columbia's nature programs where hearts are rooted: A multiple case study of nature education in early childhood education [Doctoral dissertation, Royal Roads University]. Proquest Dissertations and Theses Global.

• In-text citation: (Myers, 2018, p. 45)

Author, A. (year). Title of thesis [Master's thesis, Name of Institution Granting Award]. Database Name.

Dawson, N. M. (2019). ła w eyasens gayułas: Ancestral teachings to reclaim the roles of Kwakwaka'wakw women in governance and leadership [Master's thesis, Royal Roads University]. Proquest Dissertations and Theses Global.

• In-text citation: (Dawson, 2019, p. 60)

Published dissertation/thesis retrieved from university archive or personal website

Author, A. (year). Title of thesis [Master's thesis, Name of Institution Granting Award]. URL of university archive or personal website

M a nuel, R. (2017). Like semaphore in the dark: There must be a better way to communicate [Master's thesis, Royal Roads University]. VIURRSpace. https://viurrspace.ca/bitstream/handle/10613/17238/Manuel_royalroads_1313O_10623.pdf?sequence=1&isAllowed=y

• In-text citation: (Manuel, 2017, p. 39)

American Psychological Association. (2020).  Publication manual of the American Psychological Association  (7th ed.). https://doi.org/10.1037/0000165-000

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Author, A. A. (year). Title of doctoral dissertation or master’s thesis  (Publication No. #) [Doctoral dissertation or master’s thesis, Name of Institution Awarding the Degree]. Name of Database.

Davis, P. M. (2010). Access, readership, citations: A randomized controlled trial of scientific journal publishing . (Publication No.   3429815 )  [Doctoral dissertation, Cornell University].  ProQuest Dissertations and Theses Global.  

Author, A. A. (year). Title of doctoral dissertation or master’s thesis  [Doctoral dissertation or master’s thesis, Name of Institution]. Name of Website. URL

Buckman, A. (1997). MOOSE Crossing: Construction, community, and learning in a networked virtual world for kids [Doctoral dissertation, Massachusetts Institute of Technology]. DSpace@MIT.  https://dspace.mit.edu/handle/1721.1/33821

Author, A. A. (year). Title of doctoral dissertation or master’s thesis  [Unpublished doctoral dissertation or master’s thesis]. Name of Institution.

Long, R.P. (1972). A study of instructional objectives and methods for interpersonal communication. [Unpublished master’s thesis]. West Virginia University.

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Unpublished Dissertation or Thesis References

This page contains a reference example for an unpublished dissertation or thesis.

Harris, L. (2014). Instructional leadership perceptions and practices of elementary school leaders [Unpublished doctoral dissertation]. University of Virginia.

• Parenthetical citation : (Harris, 2014)
• Narrative citation : Harris (2014)
• When a dissertation or thesis is unpublished, include the description “[Unpublished doctoral dissertation]” or “[Unpublished master’s thesis]” in square brackets after the dissertation or thesis title.
• In the source element of the reference, provide the name of the institution that awarded the degree.
• The same format can be adapted for other unpublished theses, including undergraduate theses, by changing the wording of the bracketed description as appropriate.
• If you find the dissertation or thesis in a database or in a repository or archive, follow the published dissertation or thesis reference examples .

Unpublished dissertation or thesis references are covered in the seventh edition APA Style manuals in the Publication Manual Section 10.6 and the Concise Guide Section 10.5

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Citing Dissertations & Theses in APA Format

Dissertations & Theses

Dissertations and theses are formatted the same way in APA 7th edition. Theses are generally the culminating work for a master's or undergraduate degree and dissertations are often original research completed by doctoral students. Here are examples of a dissertation & a thesis, and how they would be formatted: 

Examples: 

Dissertation found in Proquest Dissertations and Theses Global: 

Reference:  

Banks, B. (2020). Addressing institutional racism in healthcare: A case study (Publication No. 28154307) [Doctoral dissertation, University of Minnesota]. Proquest Dissertations and Theses Global. 

In-Text Citation (Paraphrase):  

(Banks, 2020).

In-Text Citation (Direct Quote):

(Banks, 2020, p. 157).

Master's thesis from a University scholarship database: 

Sears, L. B. (2017). The public voice and sustainable food systems: Community engagement in food action plans [Unpublished master's thesis]. University of Kansas.  https://kuscholarworks.ku.edu/handle/1808/26899  

In-Text Citation (Paraphrase):

(Sears, 2017). 

(Sears, 2017, p. 24). 

Carrie Forbes, MLS

Pages Referenced

Citation information has been adapted from the APA Manual (7th Edition). Please refer to page 333 of the APA Manual (7th Edition) for more information.

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Dissertations and theses database.

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Author last name, first initial. (Year).  Title of dissertation/thesis  (Publication No.) [Doctoral dissertation/Master's thesis, University]. Database. URL

• Author:  List the last name, followed by the first initial (and second initial). See  Authors  for more information.
• Year:  List the year between parentheses, followed by a period.
• Title of dissertation/thesis:  In italics. Capitalize the first word of the title, subtitle, and proper nouns.
• Publication number: Can be found in Dissertations and Theses database, listed in the item record as “Dissertation/thesis number.”
• Doctoral dissertation/Master's thesis:  List whether it is a dissertation or a thesis.
• University:  List the university associated with the dissertation/thesis.
• Database:  List database the dissertation/thesis was found in, if found in a database.
• URL:  List URL if found on the free Web rather than in a database.

See specific examples below.

Dissertations:

Pecore, J. T. (2004). Sounding the spirit of Cambodia: The living tradition of Khmer music and dance-drama in a Washington, DC community  (Publication No. 3114720) [Doctoral dissertation, University of Maryland]. ProQuest Dissertations and Theses Global. 

Master's Theses:

Hollander, M. M. (2017). Resitance to authority: Methodological innovations and new lessons from the Milgram experiment   (Publication No. 10289373) [Master's thesis, University of Wisconsin - Madison]. ProQuest Dissertations and Theses Global.

APA calls for the citation to include a unique identifying number for the dissertation, labeling it “Publication No.” That number can be found in Dissertations and Theses database, listed in the item record as “Dissertation/thesis number.”

Karamanos, X. (2020). The influence of professional development models on student mathematics performance in New Jersey public elementary schools [Doctoral dissertation, Seton Hall University]. Seton Hall University Dissertations and Theses (ETDs). https://scholarship.shu.edu/dissertations/2732

Bordo, V. C. (2011). Making a case for the use of foreign language in the educational activities of nonprofit arts organizations [Master's thesis, University of Akron]. OhioLINK Electronic Theses & Dissertations Center. http://rave.ohiolink.edu/etdc/view?acc_num=akron1311135640

Caprette, C. L. (2005). Conquering the cold shudder: The origin and evolution of snake eyes  [Doctoral dissertation, Ohio State University].

Angelova, A. N. (2004). Data pruning  [Master's thesis, California Institute of Technology].

See  Publication Manual , 10.6.

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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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Dissertation or thesis available from a database service:

Author Surname, First Initial. Second Initial. (year of publication).  Title of dissertation or thesis (Doctoral dissertation or master’s thesis).  Retrieved from Name of database.  (Accession or Order No.)

For an unpublished dissertation or thesis:

Author Surname, First Initial. Second Initial. (year of creation).  Title of dissertation or thesis (Unpublished doctoral dissertation or master’s thesis).  Name of Institution, Location.

See Ch 7 pp. 207-208 APA Manual for more examples and formatting rules

Formatting:

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Cite a Thesis

Don't let plagiarism errors spoil your paper

Consider your source's credibility. ask these questions:, contributor/author.

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As a graduate student, you may need to complete a thesis or dissertation as part of your program's graduation requirements. While theses are common among master’s students and dissertations among doctoral students, this may not apply universally across all programs. We encourage you to reach out to your program adviser to determine the specific requirements for your culminating project.

Office of Theses and Dissertations

The Office of Theses and Dissertations is the unit of the Graduate School responsible for certifying that theses and dissertations have been prepared in accordance with formatting requirements established by the Graduate School, the University Libraries, and the graduate faculty of Penn State. We are here to help you navigate the review and approval process to ensure you are able to graduate on time.

The Thesis and Dissertation Handbook explains Penn State formatting requirements for all master’s theses and doctoral dissertations. It covers the submission process and approval deadlines, the responsibilities of each student, and provides page examples. We highly recommend all students doing theses or dissertations to carefully review the handbook.

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Questions about theses, dissertations, or Graduate School commencement should be directed to the Graduate School Office of Theses and Dissertations (OTD) .

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Among these resources, you can get help from the Graduate Writing Center and the Statistical Counseling Center, notify the University of your intent to graduate, and prepare for Commencement.

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• Writing Tips

How to Cite a Thesis or Dissertation in Chicago Footnote Referencing

• 2-minute read
• 6th May 2020

Have you found useful ideas or data in someone else’s dissertation or thesis to support an argument in your own work? Our guide below explains how to cite a thesis or dissertation correctly in the Chicago footnote style.

Footnote Citation for a Thesis or Dissertation

The Chicago Manual of Style ’s footnote referencing system uses superscript numbers to point to citations. For instance:

Usually at the end of a sentence, like this. 1

The footnote format for a thesis or dissertation in Chicago referencing is similar to the one used for a book . The main difference is that you should use quote marks instead of italics for the title:

n. Author name, “Title of paper” (type of paper, academic institution, year of completion), page number, URL/database name (document ID).

Of course, you only need to give a URL or database name and ID if you accessed the paper online! To cite page 42 of John Smith’s printed PhD thesis, then, your footnote would look like this:

1. John Smith, “Useful Ideas for Research” (PhD diss., University of Learning, 2006), 42.

If you’re citing only an abstract, simply add the word “abstract” after the title:

2. Tom Persson, “Great Thoughts and Stuff,” abstract, (master’s thesis, Educational Establishment of City Name Here, 2012), 81, https://CityNameUniversity.edu/1901.11/39144.

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For repeat citations, use the standard shortened footnote format .

The Bibliography Entry

The bibliography entry for a thesis or dissertation will be similar to the first footnote citation. However, there are a few differences in the format:

• You will need to use a period between each element, not a comma.
• The first author’s name should be inverted (i.e., “Surname, First Name”)
• You do not need parentheses for the additional paper information (i.e., the paper type, institution, and year of completion).
• No page number is required.

So, bibliography entries for these sources should look like this:

Author Surname, Author First Name. “Title of paper.” Type of paper, academic institution, year of completion. URL/database ID.

Thus, you would present your bibliography entries as follows:

Persson, Tom. “Great Thoughts and Stuff.” Abstract. Master’s thesis, Educational Establishment of City Name Here, 2012. https://CityNameUniversity.edu/1901.11/39144.

Smith, John. “Useful Ideas for Research.” PhD diss., University of Learning, 2006.

The points above will help you cite a dissertation or thesis in Chicago footnote referencing. Want further help checking your references and writing are error free? Our team of expert proofreaders is available 24/7.

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How do I cite my own PhD dissertation in a journal article?

I recently finished my PhD, and now I'm in the process of submitting a journal article on the work I did in the final few months of my degree. This work is an extension to some conference papers that I'd published earlier, and so I've cited them in my journal article stating how the submitted work differs from the published material. When I submitted the article to the journal, I mentioned in a cover letter that the same results/algorithms exist in my PhD dissertation.

After submission, I received a note from the journal to also cite my own PhD dissertation in the article, as there is a fair bit of similarity. The note said:

You can resubmit after you have referenced the original article, and explained in your new article how this new work builds on your previous publication(s).

Considering the work presented in the journal article is not really an extension, and is pretty much the same as in the dissertation, how do I properly reference it? In my experience, I have not seen papers where the authors cited their own dissertation in the text.

• paper-submission

• 1 Maybe a google scholar search for "my dissertation" will give an example, close to your situation, that you can follow. Include one or more general terms for your field if you want something more field-specific. –  Dave L Renfro Commented Feb 9, 2021 at 21:13
• Wording "the original article" may hint on some confusion. Are you sure you made it completely clear that the work in question is your dissertation and not a published paper? I think some clarification may be necessary –  Yuriy S Commented Feb 10, 2021 at 16:09

5 Answers 5

In my experience (Theoretical Computer Science/Mathematical Logic) this issue is typically handled by having the sentence "This article is based on Chapter X of the author's PhD thesis \cite{myThesis}." as a stand-alone paragraph at the end of the introduction section.

Having just the plain sentence is consistent with the article having been edited only minimally to turn a chapter into a stand-alone article. If there are substantial differences, these can be pointed out in addition. Eg "We refer the reader to \cite{myThesis} for a much more detailed exposition of the proof."

• 3 In my field this sentence is usually part of the acknowledgement section. Not sure exactly why that is! –  Dawn Commented Feb 9, 2021 at 23:45
• 5 In my experience, this sentence is often a footnote on the first page. It's also often slightly extended by appending "written under the supervision of [name of Ph.D adviser]." –  Andreas Blass Commented Feb 9, 2021 at 23:52
• 1 Here's an example from one of the top economics journals of using the footnote on the first page: onlinelibrary.wiley.com/doi/pdf/10.3982/ECTA6248 –  Jeff Commented Feb 10, 2021 at 18:54

If the dissertation is "published" then cite it like any other work. Otherwise cite it by name and authors and mark the citation as (doctoral dissertation, U of the Universe, unpublished).

It might only take a note or a short paragraph somewhere to explain how the present paper is related to the dissertation. "Builds" was just boilerplate. In fact, the note you sent to the editors might be enough if it is incorporated in a "prior work" paragraph or two.

"Published" is a nebulous term for dissertations. It can mean other than "by a recognized publisher". For example, some dissertations are "published" by the university and available via the Library or by ProQuest/University Microfilms.

But, failure to cite the ideas is self plagiarism. When in doubt, cite, even if you think it is over-citation.

Some dissertations are nothing more than a collection of previously published work along with a description of how it fits together as a whole. In such a case, just cite the individual papers as you would those of any researcher. Such dissertations are common in some fields and are also sometimes known as "stapled" distributions.

• I disagree with the part about citing the dissertation as a published work. My dissertation was three working papers. I certainly was not expected to cite it when I published that work. I simply had a note in the acknowledgment. –  Dawn Commented Feb 9, 2021 at 21:24
• For a "cumulative" dissertation as you describe, @Dawn, it is enough to cite the individual papers as you suggest. The dissertation isn't really a new thing, taken in itself. The OP here didn't describe it as such. And I assume you mean three "published" working papers. Edited to clarify –  Buffy Commented Feb 9, 2021 at 21:50
• No, I am suggesting the reverse. The dissertation was working papers. When publishing, the convention is to write something in the acknowledgment like: “The present research was originally conducted as part of the author’s dissertation work at The University of Research.” –  Dawn Commented Feb 9, 2021 at 23:44
• @Buffy Out of curiosity, is it common in the US that PhD theses are not published? At least in Germany (and I think in many parts of Europe), in general they must be published. Of course, traditionally this just meant handing in 30 or so copies to be deposited at some main libraries, and nowadays it means publishing it at the university library's website + 5 or so copies handed in. –  user151413 Commented Feb 10, 2021 at 20:51
• @Buffy as an example: "PhD dissertations are published or otherwise made available for distribution as proof of the candidate’s achievement, echoing a traditional European idea that the candidate for a doctorate must make a contribution to knowledge and cannot have a degree for making a discovery that is kept secret. Because of this, restricting access to dissertations or delaying the release of the work (i.e. “embargoed”) only occurs in very exceptional cases ." gsas.harvard.edu/degree-requirements/dissertations/… –  user151413 Commented Feb 10, 2021 at 20:56

When I submitted the article to the journal, I mentioned in a cover letter that the same results/algorithms exist in my PhD dissertation.

The editor made a mistake. Very probably an automated plagiarism check was performed without viewing the cover letter or examining the type of document the plagiarism check located. The editor thought your dissertation was an article, which it obviously is not.

Are you sure this is a good quality journal? How do I identify predatory and low quality journals? With Beall's List gone, how can I tell if a journal is spam?

It is perfectly normal to cite your own dissertation the same way you would cite someone else's.

Once you have cited your dissertation and determined this is a good journal, you can write in your response letter that the submission is a portion of your dissertation and it is not previously published in any journal (assuming that's true.)

• If the dissertation is published (which can mean many things - basically just that everyone can go and look it up in some library), then it should be cited. –  user151413 Commented Feb 10, 2021 at 20:52
• I agree that this is a mistake by the editor. Obviously you can use the text from your dissertation with a minor note or citation somewhere in the article. –  Dawn Commented Feb 10, 2021 at 21:33
• @Dawn But isn't that precisely the point, that it should be cited properly? –  user151413 Commented Feb 10, 2021 at 22:15
• @AnonymousPhysicist Hm, the editor might just have been sloppy or in a hurry. In the quote, it also says "build on previous publications " (not: articles). –  user151413 Commented Feb 11, 2021 at 0:55

Traditionally, PhD theses constitute a public proof of your abilities and therefore need to be published. (This is certainly true in the places in Europe I know, but a quick search revealed e.g. the same for Harvard , and I assume it is true for more US places as well).

The traditional way of this publication process would be to print a certain number of copies and hand them in at your library, which would then distribute it to some central libraries (national library etc.) which hold a copy of anything published in a country/region. There is no need to be able to order the thesis with a publisher, for it to have an ISBN number, etc.. (Semi-fun fact: When people started chasing German politician who plagiarized their PhD thesis, in some cases all copies were borrowed from those libraries and were never returned.)

These days, the publication process (at least in natural sciences) often consists in submitted an electronic version which is made available on the website of the university library. (It might be that a reduced number of printed copies still needs to be handed in.)

In either case, this constitutes a publication which can be cited. It should be cited like any other book, i.e.,

High Voltage, "On current and resistance", PhD thesis, Tesla University, Berlin, 2021,

or corresponding to the journal style. If it is published on the library website, it makes a lot of sense to add the URL or (if existent) DOI.

Of course, if the PhD thesis is not published, this is different, and it need not be cited. (In fact, one might argue it cannot be cited, as it is not a publication.) In any case, if you are unsure you should check with your university, most likely either the library or the graduation office.

• True for some US places, certainly. But there are no universal rules in the US. –  Buffy Commented Feb 10, 2021 at 21:11
• @Buffy There are no universal rules e.g. in Germany either, in the sense of centrally imposed rules. Typically, each university makes their own rules for awarding PhD, and possibly departments can modify the rules. But I'm rather sure that all of those rules say that a PhD thesis must be published. I think this is simply the traditional perspective on a PhD thesis, see also the Harvard quote - that it is a publication, publicly demonstrating your qualification. –  user151413 Commented Feb 10, 2021 at 21:46
• And, again, certainly true for Harvard. The US is not Germany. –  Buffy Commented Feb 10, 2021 at 22:01
• @Buffy No doubt about that! I guess in the US pretty much anything can call themselves a university and award degrees. –  user151413 Commented Feb 10, 2021 at 22:14
• So, chauvinism now? Please. The standards here are pretty high generally. –  Buffy Commented Feb 10, 2021 at 22:38

You could try pre-printing it and citing the preprint. Benefits are short time to `publication' (a couple of days, maximum, and only on a weekend) so very short delay to resubmission, moreover, the citation still counts for h-indices etc. I am sure that arXiv does theses as I have definitely read some there.

A proper citation could simply be a sentence like ``[type of result] [number or name if applicable] was developed in [citation], and is [restated/extended/some other word] here."

[citation] Your Name, Year, Your Dissertation Title, Dissertation from [your univ.]

This citation may be adapted if you do indeed arxiv it.

• 2 Putting the dissertation on the arXiv does not help with the OPs issue at all. –  Arno Commented Feb 10, 2021 at 19:49
• Not only was that not the sole content of my answer, but had you read more carefully, in combination with the rest of the answer it absolutely does aim to help -- here is a place to cite it from, and here is how to cite it, together following the conventions of normal self-citation practises in academic literature. –  rage_man Commented Feb 10, 2021 at 20:03

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Advice for surviving your PhD dissertation

Tips for each step of researching, writing and refining a PhD dissertation

From initial research and writing to revision, defence and award, the journey to completing a PhD is often described as a marathon. Here, academics offer their insight on each step towards producing an original work of scholarship. Starting with choosing a supervisor and establishing healthy habits, the advice goes on to cover how to structure a PhD dissertation, establish a writing routine, write an abstract, prepare for a viva and beat procrastination when motivation flags.

.css-7qmtvr{overflow:hidden;max-height:108px;text-indent:0px;} Get a head start in the first year of your PhD

Andreï V. Kostyrka

University of Luxembourg

How to start writing your PhD thesis

Strategies for writing a dissertation: write before you’re ‘ready’

Monique Dufour

Virginia Tech

How to navigate the PhD thesis

Luis R. Rojas-Solórzano

Nazarbayev University

How to write a PhD thesis: a step-by-step guide

Kelly Louise Preece

University of Exeter

One thesis, two supports, three months

Mariam Shadan

Dubai Medical College for Girls

How to tackle the PhD dissertation

Dalhousie University

Get your PhD thesis beach ready

John Sinclair

Colorado State University Global

Finding supervision and support

Top tips for choosing a PhD Supervisor

Near East University

Buddy system: creating community through writing

Lena Steveker, Laura Spadon

Individual consultations can help PhD students to complete their studies

Szabolcs Várbíró , Judit Réka Hetthéssy, Marianna Török

Semmelweis University

Transitioning to a PhD: common struggles and how to overcome them

Camille Bou

The London School of Economics and Political Science

Protect your emotional well-being for a happier writing experience

Burcu Totur Dikmen

Why getting a PhD is like building a Lego duck

The University of Edinburgh

Advice for doing a PhD by publication

Why get a PhD by publication (and other career tips)

James Derounian

University of Bolton

Publication-based doctorate: is it for me?

Northumbria University

Advice for supervising a PhD by published works

Alison Brettle

University of Salford

How to write an abstract for a research paper

Ankitha Shetty

Manipal Academy of Higher Education

Read this before you write your abstract

Michael Willis

How to find motivation, keep going and finish your thesis

Practical tips for graduate students undertaking a dissertation

William R. Huckle

Five ways to beat the procrastination monster

Glenn Fosbraey

University of Winchester

Bad news, kids (and academics): the magical motivation fairy doesn’t exist

Hugh Kearns

Flinders University

What is your academic writing temperament?

Rachael Cayley

University of Toronto

How to develop a researcher mindset as a PhD student

Shaif Uddin Ahammed

University of the West of Scotland

Evidence synthesis: what every student (and researcher) should know

Alessio Bellato

University of Southampton

Preparing for the viva or defence of your PhD

‘Augmenting’ the doctoral thesis in preparation for a viva

Edward Mills

How to answer viva questions

Jenny Scoles

Tips for writing a PhD dissertation: FAQs answered

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Thesis and Dissertation Policies and Practices

All thesis-option master’s students and doctoral students must follow the Thesis & Dissertation Policies that are outlined in the University Catalog – Policies and Procedures for Administering Graduate Student Programs .

Thesis Copyright Protection

Purdue University Policy I.A.1 , May 18, 2007, Intellectual Property , established that copyright ownership now resides with you, the author. The copyright symbol © is not required for works to be copyrighted. All candidates have the additional option of applying for registration of their copyright: This establishes a public record of theses/dissertations and confers additional legal rights, enabling individuals to file infringement suits and seek statutory damages as well as attorneys’ fees. Copyright registration can be filed here .

Specific questions regarding your rights and responsibilities under U.S. copyright law may be addressed to the Purdue University Copyright Office: 765.496.3864 or Stewart Center Room 246A.

Using Material Protected by Copyright

Purdue University promotes compliance with U.S. copyright law and understanding of the appropriate use of copyrighted works: Purdue University Policy I.A.3, January 1, 2015 Use of Copyrighted Materials for Educational and Research Purposes .

When quoting extensively from copyrighted material, the author must obtain written permission from the copyright holder. There is no precise relationship between the amount of text quoted and the requirement for written permission to use the material. The law governing copyright infringement is based on the fair use principle. Ordinarily, if you plan to quote more than 150 words of continuous text from copyrighted material, you should ask permission from the author. If the work you are quoting has significant commercial value, you should obtain permission to quote any complete or nearly complete text item or section. When your quotation of copyrighted material could have a negative impact on the existing commercial value of that material, obtain the copyright holder’s permission. Figures or other graphical material, including Web pages, should not be reprinted in your thesis without the author’s consent. Permission to use copyrighted material is usually granted on condition that acknowledgment is made. You will be responsible for any required payments.

You will be required to upload copyright permissions to HammerRR (Figshare) when depositing your thesis with the Purdue University Graduate School.

By depositing a thesis with the Purdue University Graduate School, you certify that all copyrighted material incorporated into the thesis complies with United States copyright law and that you have received written permission from the copyright owners for the use of their work, which is beyond the scope of the law. You also agree to indemnify and save harmless Purdue University from any and all claims that may be asserted or that may arise from any copyright violation.

Data subject to EAR, ITAR, DFARS Clause 252.204-7012, and other controlled data designators require increased security to establish compliancy with government regulations. Due to these increased security requirements an alternative method is required to be followed for controlled theses see Controlled Thesis Submission Process -  Guidance Document - Controlled Thesis Submission Process.

Publication of the thesis or dissertation is a required part of the deposit process. The university currently uses HammerRR to publish the thesis after which, your thesis will become an Open Access document with no additional cost to you.

All theses submitted to HammerRR are considered the final copy and are required to undergo a format review. Candidates will upload their thesis to HammerRR and Graduate School administrators will review the thesis for any format errors. In the event format changes are required, the administration will provide you a list of necessary changes that you should make and re-submit to HammerRR as soon as possible. Format reviews will continue until your format is in an acceptable condition. You may schedule a Formatting Consultation before your Final Exam (Defense) to avoid an extensive format review during the deposit process.

To further promote and preserve the intellectual contributions of its degree recipients, Purdue is also partnering with ProQuest / Clarivate to disseminate its emerging scholarship through the ProQuest Dissertation & Theses Global and Web of Science databases, which reaches thousands of institutions and millions of researchers worldwide. ProQuest also partners with major search and discipline-specific indexes for additional amplification and provides all of these services free of charge. By distributing your work with ProQuest, you will increase its visibility and impact within the global research community.  ProQuest recognizes the critical importance of embargos and will never publish a thesis until it has been released for dissemination by the university. You may withdraw your work from distribution at any time. You are eligible for a 10% royalty based upon sales and usage of the full text of the work. Please contact [email protected] with any questions and to set up your account to collect royalties.

Open Access Theses and Dissertations

Each student grants, without restriction, royalty free to Purdue University the nonexclusive right and license to reproduce, distribute, and display, in whole or in part, all theses and dissertations in any format now known or later developed for preservation and access in accordance with this agreement and will be made to the general public at no charge.

Benefits of an Open Access Thesis or Dissertation:

[1] Higher Citation Rates

The more users who can access a work, the more researchers that can cite that work.

[2] Better Global Visibility of Your Work

By making their work globally visible through open access, authors are allowing more scholars, more promising students and future scholars, less wealthy institutions, policy makers, news reporters, and the unexpected reader and citizen scholar to have access to their work who may not have otherwise had the ability or funds to access closed-access scholarship.

[3] Meeting the Land Grant Mission of the University

"Open access at Purdue can publicly showcase the scholarly output of the University and its community members, this provides greater visibility and traffic to your department, school, and ultimately the university. It can also show that scholars and researchers at Purdue think beyond their own disciplines by showcasing the interdisciplinary scholarship and research being created at Purdue. Finally, open access scholarship demonstrates accountability to the public that funds the university, while disseminating knowledge gained and created at Purdue; satisfying the public, land-grant mission of the university."

Students who wish to delay public release of their thesis must make the appropriate selection on the Electronic Thesis Acceptance Form (ETAF), provide the reasoning for the requested embargo, and make the same embargo selection in their HammerRR profile. The information that is provided to ETAF and HammerRR will be validated for consistency at the time of your thesis submission. If inconsistencies are present between the ETAF and HammerRR, the HammerRR profile will be updated by administrators to match what you have selected and what your committee chair has approved on the ETAF. Embargo periods are 6 months, 1 year, 2 years, or indefinite. During the embargo period, the deposited thesis abstract will be available for viewing; however, the main content will remain unpublished until the embargo period has expired. Students may embargo their thesis when applying for patents, have publications pending, or when proprietary rights are involved.

Confidentiality

Students who are applying for patents, are including sensitive ITAR/Export Controlled material, have a contract on file with Sponsored Program Services (SPS), or are including proprietary information may request confidentiality of their thesis. Confidentiality can be requested for one or two years and students who have contracts on file with SPS may request longer periods.

ADA Compliance and Accessible Documents

Before depositing your thesis with the Graduate School, the PDF copy of your thesis needs to be made accessible (the file will be accessible to screen readers and other assistive computer technologies) to the best of the author’s ability.

Word users: To check your thesis for accessibility it is recommended that you use Word 2013 or Word 2016 as these versions have a built-in accessibility checker. You can learn more about the accessibility checker from the Microsoft Accessibility Checker page. Once you convert your file to PDF, you should also verify that the accessible Word document has converted to an accessible PDF file.

LaTeX users: Authors using LaTeX should manually check the accessibility of their PDF document using Acrobat Pro.

Post-Facto Edits

The Graduate School expects candidates and departments to thoroughly review format and content of theses and dissertations prior to their electronic submission. The Graduate School does not generally permit post-facto revisions to ETDs once they have been accepted for deposit by the Thesis & Dissertation Office. Post acceptance changes are only permitted to correct significant textual, data, or mathematical errors affecting accuracy of content and which could be potentially embarrassing to Purdue University.

Exceptions to Graduate School policy will be considered on a case-by-case basis and may be requested by submitting a letter with justification for the exception to the Graduate School for consideration. Requests must be endorsed by the student’s major professor and the Head or Chair of the Graduate Program. The Graduate School may require additional approvals if the request may impact other offices within the University (see Section VII.I of the University Catalog).

A thesis authored at Purdue University should be structured and formatted using one of the below methods:

Traditional

A traditional thesis is a document that provides a complete and systematic account of your research. A typical traditional thesis suggests the following structure:

• Statement of Approval page
• Dedication (optional)
• Acknowledgments (optional)
• Table of Contents
• List of Tables
• List of Figures
• Introduction
• Literature Review
• Conclusions and Recommendations
• Appendix (optional)
• Vita (optional)
• List of Publications (optional)

* Thesis structure may vary by department. Please consult your committee for specific departmental requirements.

Article-based

An article-based thesis is a collection of published (or will be published) research articles consisting of an introductory and concluding chapter. A typical article-based thesis suggests the following structure:

• Published Article #1
• Published Article #2
• Published Article #3

Theses authored using this structure will need to include acknowledgement of prior publication within the respective chapter. Although each journal may have specific statement requirements, the acknowledgment should be single spaced and appear 3 single spaces under the chapter title. Consult your publisher regarding required information that should appear in this acknowledgment.

Creative work

The Graduate School is prepared to accept theses in creative formats subject to departmental and committee approval. Students wishing to submit a creative work as their thesis requirement should consult with their committee chair and contact the Thesis & Dissertation Office with their proposal.

If the primary literature on a subject matter is in a language other than English and the thesis or dissertation addresses a community of scholars who publish in a language other than English, a student may elect to write the thesis in a language that all committee members speak and read and support its use in the thesis. In this case, the thesis should contain a title page and abstract page in English.

All West Lafayette , IUPUI , and Northwest candidates are required to submit the ETAF through their Plan of Study portal. This form should be submitted on the day of Defense or no later than the date of the Final Examination Deadline each semester.

Purdue Fort Wayne candidates are required to submit paper versions of Forms 9, 32, and 15 . Copies of these forms should be submitted to the Thesis & Dissertation Office prior to submitting the thesis to HammerRR.

Effective September 1, 2014, Purdue’s Graduate School requires that all theses and dissertations be reviewed using the iThenticate software and any issues identified by the software and any issues identified by the software addressed prior to the deposit of the final thesis or dissertation with the Graduate School. Satisfaction of this requirement will be certified by both committee chair and degree candidate on the ETAF. Click here for more information.

All master’s candidates are required to pay a Thesis Deposit Fee of $90 and Ph.D. candidates are required to pay a Thesis Deposit Fee of $125. The fees will be uploaded to a student’s myPurdue account within 5-10 business days after the HammerRR submission is approved.

West Lafayette, PFW, and PNW candidates will pay the fee through their local bursar’s office. IUPUI candidates will receive an e-bill following their successful thesis deposit.

Candidates are required to meet both departmental and Graduate School deadlines each term.

Thesis-option master’s and doctoral students are required to submit their thesis for a final format check to the Graduate School no later than the close of business (5:00pm ET) the day before the semester's designated deposit deadline date. Candidates who miss the semester's deposit deadline at 5:00, but still wish to graduate, must submit a request for a deposit extension (endorsed by committee chair and department head) to the Graduate School for full consideration. If approved, the student should expect to pay a Late Graduation Deadline Fee . Contact the Thesis & Dissertation Office for questions.

Ph.D. and master’s students are required to complete the Graduate School Exit Questionnaire (GSEQ). In addition to the GSEQ, Ph.D. candidates are required to complete the Survey of Earned Doctorates. These surveys will become available to complete during the semester the student registers as a candidate for graduation.

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Contact OGSPS at [email protected] for accessibility issues with this page.

Citation guides

All you need to know about citations

How to cite a PhD thesis in Chicago

To cite a PhD thesis in a reference entry in Chicago style 17th edition include the following elements:

• Author(s) of the thesis: Give first the last name, then the name as presented in the source (e. g. Watson, John). For two authors, reverse only the first name, followed by ‘and’ and the second name in normal order (e. g. Watson, John, and John Watson). For more than seven authors, list the first seven names followed by et al.
• Title of the thesis: Give the title in quotation marks.
• Degree: Type of degree.
• University: Give the name of the institution.
• Year of publication: Give the year of publication as presented in the source.

Here is the basic format for a reference list entry of a PhD thesis in Chicago style 17th edition:

Author(s) of the thesis . " Title of the thesis ." Degree , University , Year of publication .

Take a look at our reference list examples that demonstrate the Chicago style guidelines in action:

A PhD thesis with one author

Confait, Marina Fatima . " Maximising the contributions of PHD graduates to national development: the case of the Seychelles ." PhD thesis , Edith Cowan University , 2018 .

Bowkett, David . " Investigating the ligandability of plant homeodomains ." PhD thesis , Oxford University , 2015 .

This citation style guide is based on the Chicago Manual of Style (17 th edition).

More useful guides

• Chicago Citation Quickguide
• How to Cite A Dissertation
• Citing and referencing: University theses and dissertations

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