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Education, Internet Use, and Confidence in the Police: Testing the “Informed Citizen” Thesis in the Philippines

• Published: 30 June 2020
• Volume 16 , pages 165–182, ( 2021 )

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• Tony Huiquan Zhang   ORCID: orcid.org/0000-0002-3587-5910 1 ,
• Jinlu Sun 2 &
• Liqun Cao   ORCID: orcid.org/0000-0002-8011-5793 3  

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We applied the “informed citizen” thesis to public confidence in the police in the Philippines—a topic that has surprisingly received little research attention. We analyzed four waves of survey data from the Asian Barometer Survey (ABS), and we applied propensity score matching (PSM) method and regression models to the data. We operationalized education, interest in politics, and Internet usage as indicators of an informed citizen. We tested whether they are predictive of confidence in the police. Confidence in the Philippine police has gradually improved from 2002 to 2014. Regression analysis found that citizens with more education and more Internet usage displayed lower levels of confidence in the Philippine police. We also found that an interaction effect between education and political interests, with education having a stronger connection to confidence in the police among those with greater political interests. Our findings support the informed citizen thesis and shed new light on the study of confidence in the Philippine police.

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Education and political participation: the impact of educational environments

Educational Attainment and Social Norms of Voting

The impact of police strength and arrest productivity on fear of crime and subjective assessments of the police.

In other countries, the ABS surveys were conducted in slightly different years within the same wave. The first wave of surveys was carried out in 2001–2003, the second wave in 2005–2008, the third and the fourth in 2010–2012 and 2014–2016, respectively.

The variable “self-reported income status” was excluded in our later data analysis because of its high missing rate and non-significance. To ensure robustness, we fitted the models both with and without income levels, and the main findings did not differ in either condition. Data and codes are available upon request.

R package “Amelia II” employs EMB (expectation maximization with bootstrapping) methods. We reported the descriptive and regression results based on the pooled, complete data with 72,118 observations for the entire ABS data and 4800 observations from the Philippines; this means all the original data were retained in the analysis.

From the very few cases who reported “do not understand the question,” most of them are from less-educated groups (less than elementary school) or the elder cohorts. Therefore, we assume they choose this item because they sincerely do not understand and it implies, they do not use the Internet. This step is taken for ensuring higher valid response rate; and we tried both with and without these respondents, which does not change our main findings at all.

In preliminary analyses, we fitted the models with age and age’s quadric term; the results of an ANOVA showed age was sufficient.

The respondent could give the following responses as well: “Do not understand the question,” “Cannot choose,” and “Decline to answer.” These responses would be considered missing information.

Codes and results of ordered probit models are available from the authors upon request.

Codes and results are available from the authors upon request.

The variables of marital status and religious affiliation were used in the propensity score matching steps, so we included them in the descriptive analysis; they were excluded from the final regression models because of lack of significance.

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Acknowledgments

The authors thank the editor Professor Jianhong Liu and the anonymous reviewers for their helpful comments. Dr. Tony Huiquan Zhang’s contribution to this paper is supported by a research grant (Grant Number: SRG2019-00171-FSS) provided by the Faculty of Social Sciences at the University of Macau.

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Zhang, T.H., Sun, J. & Cao, L. Education, Internet Use, and Confidence in the Police: Testing the “Informed Citizen” Thesis in the Philippines. Asian J Criminol 16 , 165–182 (2021). https://doi.org/10.1007/s11417-020-09323-2

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Received : 19 September 2019

Accepted : 15 June 2020

Published : 30 June 2020

Issue Date : June 2021

DOI : https://doi.org/10.1007/s11417-020-09323-2

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Prevalence of Limited Health Literacy in the Philippines: First National Survey

Background:.

Health literacy (HL) is the ability to access, understand, appraise, and apply health information across the three domains of the health continuum: health care, disease prevention, and health promotion. It is needed for people to effectively manage their health. Information on population HL level is useful for crafting appropriate and targeted interventions to improve HL.

The aim of this study was to describe the HL level of Filipino people at the national and subnational levels.

A cross-sectional survey was conducted between 2018 and 2019 with 2,303 randomly selected Filipino people age 15 to 70 years, using an adapted Asia version of the European Health Literacy Survey Questionnaire-47. Prevalence estimates for limited HL and the corresponding 95% confidence interval (CI) were computed at the national and subnational levels.

Key Results:

The nationwide prevalence of limited HL was 51.5% (95% CI, [49.5%, 53.6%]), while sub-national prevalence estimates ranged from 48.2% to 65.4%. The prevalence varied across HL dimensions, with difficulty in access to information having the highest level. Similarly, prevalence across domains was variable; health care-related HL had the highest prevalence of limited HL. The HL levels for different dimensions and domains also varied across subnational groups.

Conclusion:

Many Filipino people had limited HL, and prevalence estimates varied across HL dimensions, HL domains, subnational groupings, and sociodemographic characteristics. The results highlight the need for targeted interventions focusing on subgroups with limited HL and on dimensions and domains where Filipino people have limited HL. [ HLRP: Health Literacy Research and Practice . 2022;6(2):e104–e112.]

Plain Language Summary:

The National Health Literacy Survey is the first nationwide survey on the prevalence of HL in the Philippines, involving 2,303 randomly selected Filipino residents age 15 to 70 years. Many Filipino people have limited HL, and the prevalence of HL varies across the components of HL, subnational groupings, and sociodemographic characteristics, highlighting the need for targeted interventions.

Health literacy (HL) refers to the ability to access, understand, appraise, and apply health information when making judgments and decisions concerning health care, disease prevention, and health promotion ( Sørensen et al., 2012 ). HL has been identified as a determinant of reduced morbidity, mortality, disability, and equity in health ( Nutbeam, 2017 ). The United Nations Economic and Social Council ( 2009 ) has called for the “development of appropriate action plans to promote health literacy” (p. 6). The World Health Organization (WHO) has similarly called for action to address HL. In 2015, WHO published the Health Literacy Toolkit, which provides guidance on empowering communities and strengthening health systems ( Dodson et al., 2015 ).

There is no existing national HL policy or program in the Philippines as of writing ( Department of Health, n.d. ; Senate of the Philippines, 2013 ). This gap may be due to lack of data on population HL, which may be provided by a national HL survey. Measuring population HL can inform the drafting of these policies and programs and facilitate the crafting of appropriate interventions, such as policy, modification of health education programs, and training of health providers to become more aware of the concept of HL ( Rondia et al., 2019 ). Thus, the aim of this study was to describe the HL level of Filipino people age 15 to 70 years at the national and sub-national levels.

Study Design and Sampling

A cross-sectional study design was employed. The study population consisted of Filipino residents age 15 to 70 years. Older adults with cognitive impairment, such as problems with memory, language, and thinking, based on the Mini-Cog test for people age 60 years and older ( Mini-Cog, n.d. ) and those unable to consent were excluded. Multi-stage sampling was used for respondent selection. The stratification variable was the subnational grouping: Luzon, Visayas, or Mindanao. The National Capital Region (NCR), which is part of Luzon, was peculiar in that it is 100% urban with easy access to resources; thus, NCR was segregated from Luzon and was made the fourth category for the stratification variable. Within each subnational grouping, sample provinces, cities/municipalities, barangays, and households were selected by systematic sampling with probabilities proportional to size. Only one individual, age 15 to 70 years, was selected in each sample household to minimize the effect of intra-cluster homogeneity.

A total of 2,303 respondents participated in the survey. This was the minimum required sample to achieve a 95% confidence level, 50% anticipated value of the various proportions to be estimated from the survey, and margin of error with values varying from ±2% to ±7% for the national and subnational estimates. The sample size was adjusted to account for 1.5% design effect and 10% non-response. If the respondent was unavailable during the first visit, a callback was made. Of the 276 respondents requiring callbacks, 29% ( n = 81) were subsequently replaced after three failed attempts to interview them. This represented 3.5% of the total sample size.

Measurement

The adapted Asia version of the 47-item European Health Literacy Survey Questionnaire measured the components of HL, including its dimensions (ability to access, understand, appraise, and apply health information) and domains (health care, disease prevention, health promotion). Selected sociodemographic characteristics were also collected.

The questionnaire has been concluded to be valid and reliable in a study across six Asian countries ( Duong et al., 2017 ). The HL classifications have been reported to be associated with known determinants (older age and lower educational attainment) and health-related outcomes of HL (not having health insurance and not visiting a doctor in the past 12 months) in the Philippine setting ( Agosto et al., 2018 ).

The questionnaire included 47 items, each answered using a 4-point Likert-type scale. The index scores (index = (mean−1) × (50/3)) ([ Duong et al., 2017 ]) were computed for the overall health literacy (47 items) and the dimension-specific and domain-specific health literacy (11–16 items each) ( Sørensen et al., 2012 ). Based on the index score, a respondent was classified into one of three HL categories: limited (0–33), sufficient (>33–42), or excellent (>42–50) ( Table ​ TableA A ). These cut-offs were set by the developers according to correlation patterns between HL levels and identified covariates ( Sørensen et al., 2015 ). They indicate gradations in ability to carry out health-related tasks (accessing, understanding, appraising, and applying) successfully as determined by an expert panel, with the limited category indicating more difficulties in performing these tasks. Several national surveys have used these cut-offs ( Espanha & Ávila, 2016 ; Nakayama et al., 2015 ; Palumbo et al., 2016 ; Schaeffer et al., 2017 ; Sørensen et al., 2012 ). These cut-offs and classifications have been used to make cross-country comparisons of HL distributions ( Duong et al., 2015 ) and have also been used in a local study among adults ( Agosto et al., 2018 ).

Classification of health literacy levels

The survey was administered in multiple languages. The questionnaire underwent localization, consisting of translation, back-translation, translation analysis, and cultural adaptation corresponding to the nine major Philippine languages ( AHLA Philippines, 2019 ). The translation analysis involved an iterative process ( Hall et al., 2018 ) to ensure that the original concepts were preserved in translation; the cultural adaptation was carried out through focus group discussions. The localized versions were pre-tested among 59 respondents.

Data Collection

Trained interviewers conducted face-to-face interviews using the Computer Assisted Personal Interviewing (CAPI) method from 2018 to 2019. Interviewers were locals who spoke the local language. Informed consent was obtained from each respondent.

The study was granted ethics clearance by the National Ethics Committee (NEC Code:2018-013 Tolabing-Literacy).

Data Analysis

STATA 12 was used for data processing and analysis. Proportions and their corresponding 95% confidence intervals were computed.

Respondent Profile

The mean age of the respondents was 40.6 ± 14.7 years, and the majority were women (73.8%), urban residents (69.9%), married (54.6%), Catholic (79.2%), and not gainfully employed (52%). About 42% attained high school, and 30.4% reported an annual income of $2,063 to $5,157 (Table ​ (TableB B ) .

Distribution of respondents according to socio-demographic and health care characteristics, 2018–2019, Philippines, (n=2,303)

Health Literacy

The nationwide prevalence of limited HL was 51.5% (95% confidence interval [CI], [49.5%, 53.6%]). NCR and Luzon had the highest (65.4%) and the lowest (48.2%) prevalence, respectively ( Table ​ Table1 1 and Table ​ TableC C ) .

Prevalence of Limited Health Literacy Across Subnational Levels and Selected Sociodemographic Characteristics Between 2018 and 2019 in the Philippines

Note. CI = confidence interval; NCR = National Capital Region.

Distribution of respondents according to health literacy level, 2018–2019, Philippines

As shown in Table ​ Table2 2 , the nationwide prevalence of limited HL varied across the four dimensions, with the prevalence higher for accessing (45.9%) and appraising (43.8%), compared to understanding (35.8%) and applying (35.7%). This pattern was also true in Luzon and Visayas. In NCR, the dimension with the highest prevalence of limited HL was appraising health information, while in Mindanao it was applying health information ( Figure ​ Figure1 1 ).

Prevalence of Limited Health Literacy Across Health Literacy Dimensions and Domains at the National and Subnational Levels Between 2018 and 2019 in the Philippines

Note. NCR = National Capital Region.

Distribution of respondents according to health literacy level by dimensions of health literacy and subnational levels between 2018 and 2019 in the Philippines.

The nationwide prevalence of limited HL differed across domains, with the health care domain having the highest prevalence at 50.9% ( Table ​ Table2 2 ). The finding is consistent across the subnational levels. It is noteworthy that NCR has the highest prevalence of limited HL in all three domains ( Figure ​ Figure2 2 ).

Distribution of respondents according to health literacy level by domains of health literacy and subnational levels between 2018 and 2019 in the Philippines.

The prevalence of limited HL varied across sociodemographic characteristics. The following variables did not show great absolute differences (≥10%) in limited HL to be considered of public health significance in terms of targeted interventions ( Table ​ Table3 3 ): sex, civil status, and place of residence. The proportion of limited HL increased with age, whereas it decreased with increasing educational attainment. Moreover, respondents without health insurance had the highest proportion of limited HL. In addition, those without a relative with a medical background had a higher proportion of limited HL than those with relative(s) with medical background.

Distribution of Respondents with Limited Health Literacy Across Sociodemographic and Health Care-Related Characteristics Between 2018 and 2019 in the Philippines

Note. Ref = reference.

About one-half (51.5%) of the study participants had limited HL, with the access dimension and the health care domain having the highest prevalence of limited HL; variations in HL levels were observed across sub-national levels.

In the Philippines, 19.7% of Filipino people age 5 years and older have a college education, and the basic literacy level is high (96.5%) ( Philippine Statistics Authority, 2019 ). Despite this, the study found a high prevalence of limited HL. While literacy is an important factor in HL, it does not guarantee a high level of HL ( Nutbeam, 2000 ). The Health Literacy Universal Precautions Handbook was conceptualized because it is difficult to tell one's HL level based on educational attainment; thus, health systems “should assume that all patients and caregivers may have difficulty comprehending health information and should communicate in ways that anyone can understand” ( Brega et al., 2015 , p. 1).

High prevalence of limited HL can be attributed to various factors, including low competencies of the population for engaging with health information, high expectations of the health system, or a combination of both ( European Health Literacy Project Consortium, 2014 ; Nakayama et al., 2015 ). A community-based survey revealed that only 5.7% of the residents in an urban community in the Philippines had access to a Department of Health Cholera leaflet; understanding of the eleven concepts in the Cholera leaflet was also variable ( Abis et al., 2015 ). Likewise, the high demands of the health system are also apparent in the Philippines. The Philippine Health System Review 2018 reported that health care system access is impeded by several factors: (1) limited number of practitioners and facilities, as well as poor geographic distribution of doctors and nurses; (2) high out-of-pocket cost for patients; and (3) barriers to health service access ( Dayrit et al., 2018 ).

The burden of limited HL varied across subnational levels in the Philippines. Compared to the national level, the prevalence of limited HL in NCR (65.4%) was substantially higher, whereas the estimates in Luzon (48.2%) and Mindanao (49.2%) were lower. This implies differences in health promotion activities and their effectiveness and in health system demands ( European Health Literacy Project Consortium, 2014 ; Nakayama et al., 2015 ; Nutbeam, 2017 ). There are reported variations in the quality of health services in different local government units in the Philippines at least partly due to the devolved health system ( Dayrit et al., 2018 ; Solon and Herrin, 2017 ). The Department of Health has recognized the need to train health professionals on health promotion via field training facilities, to ensure the standard delivery of health promotion services (Department of Health, 2018).

Health information access had the highest prevalence of limited HL (45.9%) ( Table ​ Table2 2 ). This is noteworthy considering that the process of engaging with sources of health information begins with accessing health information. This will trigger the rest of the steps, namely, understanding, appraising, and then applying the health information. As pointed out by Sørensen et al. ( 2012 ), this process generates the knowledge, skill, and motivation needed for an individual to navigate the health care system. Factors contributing to difficulties in access include the inadequate and poorly distributed health care professionals across and within regions, low utilization of health services, and a “mixed-health” system with increasing private health care services, without an effective regulatory mechanism for private for-profit health services ( Dayrit et al., 2018 ). In this study, we found that in the last 12 months, 67.57% had not visited a health facility (Table ​ (TableB B ) , although these facilities are a major source of health information derived from printed health materials ( Abis et al., 2015 ) and possibly also from provider-client interaction and televised health information. Lack of interaction with primary care physicians was also a cited reason for problems accessing health information in Japan ( Nakayama et al., 2015 ).

Among the three domains, the highest prevalence of limited HL was in health care (50.9%). This implies that engaging with information about health care is more difficult than is the case with disease prevention or health promotion. Moreover, verbal health information from health providers on health care may be less understood than that of other domains. The reasons may include limited time available for health provider-patient interaction or communication skills of the health provider. This is in contrast with population HL levels, where the domain with the highest proportion of limited HL was disease prevention for Japan ( Nakayama et al., 2015 ) and health promotion for other countries ( Espanha & Ávila, 2016 ; Sørensen et al., 2012 ). It has been posited that personal experiences in the health care setting may enhance the HL skills of patients ( Rolová et al., 2018 ). In this study, 67.6% of the respondents did not avail themselves of services at any health facility in the last 12 months, and 17.1% of the respondents had never consulted a health professional since age 13 years (Table ​ (TableB B ) . This may have contributed to the higher proportion of limited HL in the health care domain precisely because the lack of experiences as a patient may result in low knowledge on medical information and unfamiliarity with how to navigate the health care system.

The variables that showed absolute differences less than 10% (i.e., sex, civil status, place of residence) were inconsistently described in previous studies in terms of HL level across their respective categories. Some studies reported no significant difference, while in others, one category is higher than the other(s) ( Haghdoost et al., 2019 ; Kayupova et al. 2017 ; Mahmoodi et al., 2019 ; Rasu et al., 2015 ; Schaeffer et al., 2017 ; Tiller et al., 2015 ; van der Heide, 2013 ).

Consistent with previous studies in other countries, there were noticeable differences in HL between age groups in this study ( Abacigil et al., 2019 ; Schaeffer et al., 2017 ). The elderly showed the highest proportion of limited HL, which may be explained by physical impairment and cognitive decline related to advancing age ( Chesser et al., 2016 ; Duong et al., 2015 ). Vision changes and hearing loss may impede information processing, while decreased motor function may inhibit adoption of necessary health behaviors. The elderly may also experience trouble in higher-order thinking skills, such as comprehension, comparison and contrast, and reasoning ( Speros, 2009 ). In addition, age-cohort differences in health education during formal schooling contribute to disparities between age groups ( Ashida et al., 2011 ; Xie et al., 2019 ). It is worth mentioning that the actual proportion of elderly individuals with limited HL may even be higher, because older adults with cognitive impairment were purposely excluded from the study.

The proportion of limited HL increased with decreasing level of educational attainment, with 100% having limited HL among those who have not entered school. Similar to prior studies ( Duong et al., 2017 ; Jovanić et al., 2018 ; Tiller et al., 2015 ), these findings reflected the influence of formal education on HL by imparting health-related knowledge and forming skills essential for engaging with sources of information ( Murray et al., 2008 ).

The prevalence of limited HL was higher among those without insurance coverage, which is consistent with previous studies ( Briones, 2017 ; Sentell, 2012 ). This may denote that the complexity of insurance information and enrolment procedures may hinder those with limited HL to obtain health insurance ( Sentell, 2012 ). Additionally, those without insurance have less use of health services due to higher out-of-pocket medical expenses ( Foutz et al., 2017 ). This lack of experience with the health care system may lead to limited engagement with health information and consequently limited HL.

Those with public insurance had a higher proportion of limited HL compared to those with private insurance (absolute difference: 16.33). Studies comparing the HL levels of those with public or private insurance are limited. In a 2003 national survey in the United States, most uninsured participants, Medicaid beneficiaries (60%), and Medicare beneficiaries (57%) had below basic or basic HL, whereas only about 37% of the privately insured had the same level of HL ( U.S. Department of Health and Human Services, 2009 ). This implies that insurance coverage alone cannot guarantee a meaningfully high HL ( Vernon et al., 2007 ). Difference in personal health situation may play a role in one's ability to engage with sources of health information. In addition, those who have private insurance might be more likely to avail themselves of services from private facilities where the volume of clients and availability of health service providers and services is not a problem, unlike in government facilities. The quality of provider-client interaction may also play a role in effective communication, which is an important aspect of HL.

Finally, respondents who did not have a relative with a medical background had higher proportions of limited HL than those who did have a relative with a medical background. This was supported by the study of Pan et al. ( 2010 ), which observed higher HL among respondents with a family member working as a health professional. A health professional in the extended family may readily share health-related knowledge and persistently remind one of healthy behaviors ( Chen et al., 2019 ). The nuanced spillover of health expertise may consequently lead to higher HL in their family members.

Study Strengths and Limitations

Measures to minimize systematic error were put into place, from the design of the questionnaire to fieldwork supervision to data processing. They included the following: (1) localization, pre-testing, and validation of the HL questionnaire; (2) training of fieldwork teams on the various survey protocols; (3) data collectors carrying a brochure during data collection that served as a handy reference for the various survey protocols; (4) spot-checking of interviews by supervisors; and (5) using the CAPI method, which eliminated possible encoding errors encountered with the usual paper-and-pen interview and incorporated GPS for monitoring of interviewers to deter fabrication of interviews.

The study has some limitations. First, although the adapted questionnaires underwent localization, including an iterative process of translation analysis ( Hall et al., 2018 ), it is still possible that there were changes in meaning. Second, while the National Health Literacy Survey result was based on a national sample of individuals, the Muslim religion of the Philippines was under-represented due to the exclusion of an entire Muslim region because of the poor peace and order situation during the data collection period. This limits the generalizability of the results. Also, the distribution of religion, employment, sex, and education do not adequately reflect the nationwide distribution based on the 2015 nationwide census. However, the adjusted estimates, ranging from 50.2% to 52.9%, are only slightly different from the unadjusted estimate of 51.5% (Table ​ (TableD D ) . Third, the random selection of one respondent per household would have inevitably resulted in unequal probability of selection per respondent, due to variation in household sizes. This could in principle have been corrected through the application of sampling weights; however, incomplete data on the weights made it impossible to compute for weighted estimates.

Adjusted and unadjusted estimates of the national prevalence of limited health literacy, 2018–2019, Philippines

The majority of Filipino people nationwide have limited HL, and the prevalence estimates varied across HL dimensions, HL domains, subnational groupings, and sociodemographic characteristics. The results highlight the need for targeted interventions focusing on specific population subgroups with limited HL and on improvements in the information access dimension and in the health care domain of population HL. Further research can explore why some Filipino people perceive it to be difficult to perform various HL tasks and how the reported determinants of HL apply to the local setting.

Acknowledgments

The authors thank the following: the Asia Health Literacy Association for the permission to use the Asia version of the European Health Literacy Survey Questionnaire-47; the Philippine-Komisyon sa Wikang Filipino, Dr. Paul Pinlac and Dr. Amiel Bermudez for the translation of the instrument; The Department of Health - Health Promotion and Communication Service of the Department of Health, the academic institutions (Catanduanes State University, Davao Oriental State Colleges of Science and Technology, Eastern Samar State University, Northeastern Luzon Adventist School, Southern Capital Colleges, Tarlac State University, University of the Philippines, and University of St. la Salle) and their language and research methods experts who participated in the consultations and who were instrumental in the localization of the instrument; and Dr. Eleanor Castillo and Dr. Jaifred Lopez for facilitating the focus group discussion and the data collection in Isabela and Misamis Occidental, respectively. Lastly, gratitude is given to Dr. Kristine Sørensen for the materials provided in the interpretation of the health literacy index score.

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Thesis and dissertation filing guidelines

Students who have enrolled in dissertation or thesis credits will prepare a manuscript to publish through ProQuest/UMI Dissertation Publishing. You own and retain the copyright to your manuscript. The Graduate School collects the manuscript via electronic submissions only. All manuscripts are made available through ProQuest Dissertations and Theses database (PQDT), in ProQuest/UMI’s Dissertation Abstracts International, and through the University’s institutional repository, ScholarWorks.

Getting started with campus resources:

• Office of Human Research Protection
• Campus computer Help Desk @One : (775) 682-5000
• ProQuest Help Line: (877) 408-5027 (8 a.m. - 5 p.m. ET, or 5 a.m. - 2 p.m. PT)
• For specific questions, call the Graduate School Graduation staff at (775) 784-6869

Jump to a section

• Important dates and milestones for graduating students
• Electronic manuscript submission
• Checklist to complete your electronic submission
• Instructions for completing thesis/dissertation committee approval page
• Formatting your dissertation or thesis
• Templates, samples and forms for filing

1. Important dates and milestones for graduating students

• Contact your advisor to discuss department considerations and potential dates for your defense.
• Contact the Graduate School to ensure your progression paperwork has been approved.
• View important dates and purchase a graduation application through MyNevada for your graduation semester.
• Doctoral students must submit their dissertation title for the commencement program.
• Schedule defense date with the entire advisory committee in accordance with graduation deadlines.
• Submit all forms and final manuscripts to the Graduate School by established deadlines.

2. Electronic Manuscript submission

ProQuest electronic submission site

Set up an account with ProQuest and wait for a password sent via email. ProQuest offers email and phone support,   1-877-408-5027 , frequently asked questions, etc. Visit the site early to familiarize yourself with the submission process.

3. Checklist to complete your electronic submission

• Master's  Notice of Completion and Doctoral Notice of Completion Form  - This form includes all committee signatures AND the Graduate Program Director’s signature.
• Master's Final Review Approval and Doctoral Final Review Approval   Form - This form serves as the final approval from your advisor. The Graduate School will accept the dissertation/thesis after the date listed on the form. The approval date on the form indicates the student’s submission can be accepted.
• Committee Approval Page   - Use the online Word document template (NO SIGNATURES and no page number). This page will be merged into your manuscript to acknowledge committee members.
• Filing for Copyright Registration   (optional) - Students have the opportunity to register a copyright of their graduate work with the U.S. Copyright Office. It is strictly optional, and there is a $75.00 fee associated with the service, which is paid online with student submission.
• Processing fee  - $85 thesis / $95 dissertation.  Log into your Student Center in MyNEVADA . Under the Finances section, click on the link “Purchase Miscellaneous Items.” Select the applicable processing fee to pay (Dissertation or Thesis) and complete the transaction. You will receive a receipt that generates overnight.  Please keep this item as proof of payment for your records. Our office will automatically check for payment posted.
• NSF Survey of Earned Doctorates  – For  doctoral students only.

4. Instructions for completing thesis/dissertation committee approval page

• The Committee Approval Page (see forms links at bottom of page ): This interactive template has established borders.
• Use the accompanying template on page two of this handout to complete the Committee Approval form. Check spelling carefully and make sure that case (upper-case/capital and lower-case letters) and font style (regular or bold) follow the template. Spacing between lines will depend on how long your thesis/dissertation title is and how many committee members you have.
• Type the words as they appear on the template, i.e., on the first line “We recommend that the thesis/dissertation”, followed by the second line “prepared under our supervision by.”
• At brackets [1] enter your full name in ALL CAPITAL LETTERS and BOLD-FACED.
• Type the word “entitled” all in lowercase letters.
• At brackets [2] enter the complete title of your thesis/dissertation. The title should be in both CAPITAL and lower-case letters and must be Bold-Faced. If the title is long, use two or more lines, breaking the lines at appropriate words in the title. Do not hyphenate between lines.
• Type the words “be accepted in partial fulfillment of the,” and then, on the next line, “requirements for the degree of.”
• At brackets [3] enter the name of the degree being awarded, e.g., for Ph.D. enter “Doctor of Philosophy,” for Ed.D. enter “Doctor of Education”. The degree should be in all CAPITAL LETTERS and Bold-Faced. DO NOT enter the name of the graduate program, such as anthropology or economics.
• At brackets [4] type the full name of your thesis/dissertation advisor followed by his/her degree, followed by the word “Advisor”. For example, “Sonia A. Skakich, Ph.D., Advisor”. Use both capital and lowercase letters.
• Enter the subsequent committee members and type the full names of the rest of your committee members followed by their degrees and their roles in the committee (Committee Member or Graduate School Rep.) under each one. Use one line for each member. The Graduate School Representative should be the last committee member listed. Use both capital and lowercase letters.
• The last entry is reserved for the Dean of the Graduate School (which is already entered on the form).
• At brackets [5] enter the month and year of official graduation. The month must be May, August, or December. Enter the appropriate four-digit designation of the year (e.g., 2018).

5. Formatting your dissertation or thesis

The Graduate School requires standardized formatting for the dissertation and thesis documents. Students will follow a style guide (APA, MLA, etc.) to prepare their document; however, the document must comply with University formatting requirements listed below.

Margins and spacing

• Left margin: 1.5” from the left edge of the page.
• Right margin: 1.0” from the right edge of the page.
• Top margin: 1.0” from the top edge of the page.
• Bottom margin: 1.25” from the bottom edge of the page.
• All text should be double-spaced with the exception of captions, footnotes, long quotations, bibliographic entries of more than one line, and materials in tables and appendices.

Recommended fonts

Fonts should be easy to read. Times New Roman, Arial, or a similarly clear font is preferred; type size must be 10, 11, or 12 points. Script and italic typefaces are not acceptable except where absolutely necessary i.e. in Latin designations of species, etc.

In preparing your dissertation or thesis for electronic submission, you must embed all fonts. In Microsoft Word 2013, this is done by accessing the FILE menu; selecting OPTIONS, select SAVE. From the SAVE menu check the box labeled, ”Embed fonts in the file.” If the file size is a concern, check the box next to “Do NOT embed common system fonts."

Large tables, charts, etc., may be reduced to conform to page size, but the print must remain clear enough to be readable. You can also attach a PDF for electronic submissions.

Page numbering

Every page, with the exception of the title page, the copyright page, and the committee approval page is numbered in the upper right-hand corner, one-half inch from the top of the page and one inch from the right edge of the page. Do not underline or place a period after the number. Do not use a running header.

• The prefatory materials (abstract, acknowledgments, table of contents, etc.) are numbered in lower case Roman numerals (i, ii, iii, iv…). Insert a section break after the Roman numerals to create different page numbering styles.
• The first page of the main text and all subsequent pages are continuously numbered in Arabic numerals beginning with one until the final page number (1, 2, 3, 4…)
• Do NOT number appendices or pages of additional material with numbers such as 4a or A-1.

Tables and appendices

Tables and appendices are part of the document and must conform to the same margin and page numbering requirements.

Format and sequence of pages

Assemble pages in the following order:

• Title page *no page number* (create according to the example provided)
• Copyright Notice *no page number* (optional - see example)
• Committee Approval Page *no page number* (use the online template available on our   forms page – NO SIGNATURES on this page)
• Abstract (begins lowercase Roman numerals i, ii, iii…)
• Dedication (optional)
• Acknowledgments (optional)
• Table of Contents
• List of Tables
• List of Figures
• Body of Manuscript (begins Arabic numbering 1, 2, 3…)
• Back Matter (appendices, notes, bibliography, etc.)
• Do not number the title page
• Center each line of type
• Use BOLD text type for the manuscript title
• The date listed is the month and year in which you will graduate. The only acceptable months are May, August, and December (graduation cycles).

Copyright page

No page number on this page. Although not required, we strongly recommend you insert a copyright notice in your manuscript following the title page. Essential components of the copyright notice include the copyright symbol, full legal name of the author, and year of first publication. Follow the format of the sample provided below.

Committee approval page

• No page number on this page
• Use the electronic PDF template provided below. This page will list the advisory committee members and graduate dean but will NOT include committee signatures.   Combine the PDF into your manuscript to form a single PDF file.  To do this in Adobe Pro, select "Organize pages," "Insert," and "From file."   
• A window will open and you can drag your separate PDF files into this window to combine them into a single file.
• Choose the PDF documents in order of page sequencing (title page, committee page, main manuscript) and then combine files into a single PDF.

(Lower case Roman numeral “i” page number)

Abstracts are required for all theses and dissertations. ProQuest no longer has a word limit on the abstract, “as this constrains your ability to describe your research in a section that is accessible to search engines, and therefore would constrain potential exposure of your work.” ProQuest does publish print indices that include citations and abstracts of all dissertations and theses published by ProQuest/UMI. These print indices require word limits of 350 words for doctoral dissertations and 150 words for master’s theses (only text will be included in the abstract). You may wish to limit the length of your abstract if this concerns you. The abstracts as you submit them will NOT be altered in your published manuscript.

Processing note

Each copy of your thesis or dissertation will be checked for margins, clarity of copy, and pagination. The Graduate School will run the manuscript through the Turn It In plagiarism tool.

Electronically submitted theses/dissertations are available in electronic format only; no hard copies will be produced. Students are responsible for binding any copies for personal use or for distribution to their advisor, department, or committee members.

Dissertation & Thesis Processing Fee

Mandatory processing fees are required for all theses ($85.00) and all dissertations ($95.00). Log into your Student Center in MyNEVADA. Under the Finances section, click on the link “Purchase Miscellaneous Items.” Select the applicable processing fee to pay (Dissertation or Thesis) and complete the transaction. You will receive a receipt that generates overnight.  Please keep this item as proof of payment for your records. Our office will automatically check for payment posted.

Using copyrighted materials

You must certify in ProQuest that any copyrighted material used in your work, beyond brief excerpts, is with the written permission of the copyright owner. Attach copies of permission letters to the agreement form.

Copyright registration (optional)

Students have the opportunity to register a copyright on their graduate work with the U.S. Copyright Office. It is strictly optional, and there is a $75.00 fee associated with the service. Students submitting electronically pay online. Paying for the claim to copyright is a voluntary action, which allows a court of law to award monetary damages if the copyright is infringed. You may file a Registration of Copyright yourself by sending a properly completed application form, a nonrefundable filing fee of $45.00 and a nonreturnable copy of your thesis or dissertation to the United States Copyright Office. Application materials and instructions are available from:

Register of Copyrights Copyright Office Library of Congress Washington, D.C. 20559-6000 Information is also available at the Copyright Office’s website:   lcweb.loc.gov/copyright

ScholarWorks repository

ScholarWorks - the University's institutional repository - assists in collecting, preserving, and distributing the university's intellectual output accessible to end-users on local and global levels with few if any barriers. The repository will provide long-term access to the items deposited and can accept works from all the University faculty/staff/students. A wide variety of items including Articles, Datasets, Presentations, Technical Reports, Thesis and Dissertations, Posters, Conference Papers, etc. in all file formats can be deposited into the repository. The repository supports creative commons licensing and open-access publishing without any cost.

The discovery services and search engine optimizations ensure that major search engines easily discover the uploaded content. This increases the visibility, citations, and overall impact of the research. All items deposited in the repository receive a persistent URL that can be used for citations. Various statistics are collected with the built-in statistics module and Google Analytics modules. Information on monthly/yearly views, number of downloads, demographic information, etc. is available for each deposited item upon request.

All the ETDs uploaded into ProQuest are automatically deposited into the University's ScholarWorks repository. The embargo period set in ProQuest during deposit is carried over to the ScholarWorks repository. Any changes to the embargo period after deposit can be made by contacting ProQuest at 1-800-521-0600 as well as the ScholarWorks administrator at [email protected] .

Scholarworks FAQ

Do I need to upload my ETD into the ScholarWorks repository?

• No, ProQuest will automatically upload the ETD into ScholarWorks on approval from the Graduate School.

Can I extend the embargo period on my Thesis/Dissertation after uploading it to ProQuest?

• Yes, to change or extend the embargo period of your ETD you need to contact ProQuest at 1-800-521-0600 and the ScholarWorks administrator at [email protected] .

Can I make my ETD open access in the ScholarWorks repository?

• Yes, ScholarWorks supports open access with creative commons licensing. It is available as a free service to all the faculty/staff/students.

Alternative formatting for thesis or dissertation

These guidelines apply to those theses or dissertations which consist of a number of papers either previously published or being published concurrently with the submission of the thesis or dissertation. Acceptance and publication of the articles are not criteria for this alternative. Each of the papers should constitute a separate chapter of the overall work. Preceding the papers should be an introductory section. This section may be one or more chapters but should include:

• an overall introduction to the thesis/dissertation,
• a review of the appropriate literature, and
• a description of the methodology used in the study.

The student’s advisory committee should determine the format and specific content of this introductory section.

The number of individual papers constituting chapters of the thesis/dissertation is determined by the student’s advisory committee. These chapters may be formatted in the same style required by the journals to which they are to be submitted. However, the margins must conform to those of the overall thesis, i.e. left margin = 1.5"; right margin = 1"; top margin = 1"; bottom margin = 1.25". In addition, each page must be numbered consistent with the rest of the thesis/dissertation, that is, the first page of text is numbered 1 with each subsequent page numbered consecutively until the end, to include all appendices, indexes, etc.

Following the chapters consisting of individual papers, there must follow a summary, conclusions and recommendations section. This section may be formatted as one or more chapters.

Work reported in the articles should represent a major contribution by the student that is the review of the literature, the conceptual framework and/or research design for the reported work. The statistical analyses, summaries, conclusions, and recommendations should represent the student’s own work.

For publication purposes, other researchers may be named as additional authors. This would be especially appropriate when publication is dependent upon extensive revision of the initial manuscript submitted and the faculty involved assumes responsibility for the revisions, or when the student is using an existing database.

When a student chooses this option, the articles will be submitted to the journals agreed upon by the concerned academic unit. Responsibility for follow-up, revisions, etc., should be identified in a written document and agreed upon by the student and faculty member(s) involved.

6. Templates, samples and forms

Please be sure to read the above instructions before proceeding with documents.

Forms for filing a master's thesis   Forms for filing a doctoral dissertation

Thesis filing templates and samples

• Committee Approval page for 3-member committee (TEMPLATE)
• Committee Approval page for 3-member committee with co-advisor (TEMPLATE)
• Committee Approval page for 4-member committee (TEMPLATE)
• Committee Approval page for 4-member committee with co-advisor (TEMPLATE)

Sample pages

• Thesis Title page (SAMPLE)
• Thesis Copyright page (SAMPLE)
• Thesis Committee approval page (SAMPLE)

Dissertation filing templates, samples and Survey of Earned Doctorates

• Committee Approval page  for 5-member committee (TEMPLATE)
• Committee Approval page  for  5-member committee with co-advisor (TEMPLATE)
• Committee Approval page  for 6-member committee (TEMPLATE)
• Committee Approval page  for 6 -member committee with co-advisor (TEMPLATE)
• Dissertation Title page (SAMPLE)
• Dissertation Copyright page (SAMPLE)
• Dissertation Committee approval page (SAMPLE)

Survey of Earned Doctorates

• Survey of Earned Doctorates  - The Survey of Earned Doctorates (SED) is an annual census conducted since 1957 of all individuals receiving a research doctorate from an accredited U.S. institution in a given academic year. The SED is sponsored by the National Center for Science and Engineering Statistics (NCSES) within the National Science Foundation (NSF) and by three other federal agencies: the National Institutes of Health, Department of Education, and National Endowment for the Humanities. The SED collects information on the doctoral recipient's educational history, demographic characteristics, and postgraduation plans. Results are used to assess characteristics of the doctoral population and trends in doctoral education and degrees. Read more about the purpose and methods of the SED .

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