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UWest Thesis/Dissertation Format Guidelines

I. General Information

    a. Style Requirements
    b. Required Copies of the Theses/Dissertations
    c. Required ProQuest/UMI Publishing Electronic Submission
    d. Copyright Registration
    e. Official Name Used in the Thesis/Dissertation

II. Document Setup and Format Requirements

    a. Margins
    b. Fonts
    c. Line Spacing
    d. Text Alignment e. Document Sections
    f. Sequence & Pagination

III. Contents

    a. Committee Certification of Approved Page
    b. Dissertation Abstract
    c. Table of Contents
    d. Footnotes, Citations, References, and Bibliography
    e. Appendix (Optional)
    f. Index (Optional)

IV. Printing Considerations

    a. Paper
    b. Print Quality
    c. CD-ROMs and Other Non-Print Media
    d. A Thesis Exceeding 500 Pages or 2.5 Inches in Thickness

Appendix: Sample Documents

I. General Information

The following guidelines presented by the Academic Policy and Curriculum Committee establish a university-wide standard of quality and legibility for the preparation of a thesis/dissertation.

  1. Style Requirements
  2. Thesis/dissertation must adhere to the format requirements in effect at the time of submission. The style for footnotes, bibliographies, tables, chapter headings, etc. is determined by individual departments. Students will need to consult with their advisors regarding departmental formatting requirements and thesis review procedures. It is the dissertation/thesis advisor's responsibility to see that the manuscripts are edited for spelling, grammar, organization, stylistic consistency, correct sequence of pages, and agreement between the table of contents and the contents of the manuscript.

  3. Required Copies of the Theses/Dissertations
  4. UWest students must submit two identical loose-leaf copies to the library: one for circulating/interlibrary loans and one for archival purposes. A final draft of the thesis/dissertation must be shown to the library (by appointment) for any format revisions before printing onto the final cotton paper. You will also need to submit a final PDF copy of the dissertation/thesis to ProQuest/UMI publishing, see Part C below. Then, submit all physical materials with the following form filled out:

    UWest Dissertation/Thesis Binding Application Form

    The option to bind additional copies for the the graduate's personal collection and his or her advisor is available, see the form above for details.

  5. Required ProQuest/UMI Publishing Electronic Submission
  6. Upon our WASC (Western Association of Schools and Colleges) accreditation, we are publishing dissertations and theses through the Proquest UMI service. The Proquest UMI service enables people to find and obtain access to dissertations and theses published through their service by placing abstracts and citations in major online indices. Students will be enriching the subject of their dissertation by participating in this program--other researchers can search and purchase/download your dissertation/thesis.

    There are different publishing options available; details are available in the online submission website below. We require that you minimally submit your work with the 'Traditional' publishing option--there are no charges associated with this option. You may request to publish with optional features, including the option to publish in 'Open Access' ($95), to order extra prints (varies), or to register for copyright protection ($55).

    First, please read the following submission guidelines to understand the details of the submission process: Preparing your manuscript for submission (including supplemental files), Subject categories, Open access compared to traditional publishing, Embargoes & restrictions, Copyright guide and sample permission letter (for use of previously copyrighted material).

    Students should read the above guidelines for document specifications and details before submitting their work. Deviations from the specifications required will delay the publication process.

    Students will need to create an account at the following website and submit their work electronically:

    Online Submission to ProQuest

    Your submission will be reviewed before it is sent to ProQuest for publication. You may be notified via email to revise certain areas. If you wish to add certain options that require payment, you will need to provide a credit card.

  7. Copyright Registration
    • Students who wish to officially register their copyright may do so by contacting the U.S. Copyright Office for forms and procedures. The address is Library of Congress, Copyright Office, Washington, D.C., 20599.
    • ProQuest can act as an agent in registering for copyright. It is an option available in the online submission process. Again the fee for this service is $55.00 (subject to change), which covers the cost of the copyright registration and the submission of two microfilm copies to the Library of Congress.
    • Students are strongly encouraged to include a copyright legend © in one of the first pages of their dissertation even if they do not officially register their copyright.

  8. Official Name Used in the Thesis/Dissertation
  9. Degree candidates must present their full name in the thesis/dissertation as it is officially recorded at the Registrar's Office at (first name, middle name, last name). This official name must be the same one used in all other required official graduation forms. The title of respect with a dharma name (or a clergy name) may be added and parenthesized after the official name.

II. Document Setup and Format Requirements

  1. Margins
  2. To preserve the legibility throughout the process of binding and/or photocopying, margins should be set as follows for all pages:
    • Left (binding edge): 1.5 inch
    • Top: 1 inch
    • Bottom: 1 inch
    • Right: 1 inch
    • ALL material, including figures, headers/footers, footnotes/endnotes, and full-page images should be within the margins.
    • Exception: Page numbers. Page numbers must be at least 3/4" from the edge of the page.

  3. Fonts
    • Fonts can be 12-point in size and should be roughly comparable in appearance to Times New Roman.
    • Font size should remain consistent and easily legible throughout the text.
    • Fonts for footnotes, figure captions, table data, references, and appendix can differ from the main text, as appropriate.
    • Italicized font may be used for non-English words and quotations.

  4. Line Spacing
    • The manuscript must be consistently double-spaced throughout the front matter and main text, including the abstract, the dedication, the acknowledgements, and the table of contents.
    • Single-spacing should be used for footnotes, endnotes, references, lengthy quotations, lists, figures, table captions, and appendices.

  5. Text Alignment
    • The text of the thesis/dissertation should be left-aligned. Do not fully justify or right-align text.
    • Headings may be left-aligned or centered. Do not fully justify or right-align headings.

  6. Document Sections
    • The main text must be divided into chapters, and the front and back matter must be divided into chapter equivalents. Examples of chapter equivalents include abstract, acknowledgements, table of contents, and appendices.
    • All chapters and chapter equivalents must begin on a new page.
    • Subsections within chapters or chapter equivalents should not begin on a new page.

  7. Sequence & Pagination
  8. See table below for pagination matrix.
    • Page numbers must be displayed on all pages except the title page, the signature page, and the copyright page.
    • All preliminary pages must be consecutively displayed with lower case Roman numerals (i.e., i, ii, iii, etc.), except for the title page, which is counted as page i, but not displayed.
    • All main text and back matter pages must be consecutively numbered with Arabic numerals (e.g., 1, 2, 3, etc.); back matter page numbers should continue from the main text.
    • The first page of the main text must be numbered as page 1.
    • Page numbers must appear in the same location on all pages, even in pages with full page tables or figures.
SequencePagination
Title Page Count / Do Not Display
Signature PageDo not count / Do Not Display
Copyright Page (optional) Do not count / Do Not Display
Preliminary PagesLower Case Roman Numerals
  Acknowledgements (optional) Count / Display
  Abstract Count / Display
  Preface (optional) Count / Display
  Table of Contents Count / Display
  List of Tables (if 5 or more) Count / Display
  List of Figures (if 5 or more) Count / Display
  List of Symbols and/or Abbreviations Count / Display
TextArabic Numbers
  Body of Dissertation Count / Display
  Separation Sheet Count / Display
  Bibliography Count / Display
  Separation Sheet (if an appendix follows) Count / Display
  Appendix (optional) Count / Display
  Index (optional) Count / Display

III. Contents

  1. Committee Certification of Approved Page
    • Committee members' original signatures are required on the Committee Certification of Approved Version (the signature page), regardless of whether the members attend the final defense or not.
    • All committee members must sign in black or blue ink, and the supervisor must sign on the top line.
    • Committee members' names must be typed under the signature lines.
    • Educational or professional titles (Ph.D. or Dr.) are not included on the signature lines for committee members, but the titles of the committee supervisory status ("Supervisor" or "Co-supervisor") should follow names of committee members.
    • The Committee Certification page with the original committee signatures must be submitted to individual departments.

  2. Dissertation Abstract
    • The abstract is a concise statement of the content of the dissertation, indicating its research significance. It should not exceed 350 words.

  3. Table of Contents
    • The Table of Contents is placed in the dissertation immediately before any pretext lists of tables, figures, illustrations, etc.
    • The Table of Contents must include the major sections headings and their page numbers.
    • All chapter titles and subheadings listed in the Table of Contents must exactly match the headings as presented in the text. For example, a chapter labeled "Chapter 3" in the Table of Contents should not appear as "Chapter III" within the text.
    • Major sections and chapters within the dissertation should be displayed as left-justified headings with no indents.
    • Subheadings must be indented under the appropriate major section heading.
    • The page numbers should be right-justified and proceeded by a dot leader.
    • Table of Contents items are double-spaced. However, when chapter titles and subheadings are more than one line long, they should be indented at the second line and single-spaced.

  4. Footnotes, Citations, References, and Bibliography
    • Each manuscript must include a reference or bibliography section, even when chapter end notes or references have been used.
    • This section may be called "Bibliography," "References," or "Works (or Sources) Cited."
    • The bibliography must indicate materials actually used, including the edition number (when later than the first edition) so that the accuracy of citations may be verified.
    • Any standardized form for footnotes and bibliography is acceptable if it is used consistently and has been approved by the dissertation advisor.
    • The title of the reference section should be formatted like a chapter title.
    • Items listed in the references section should be single-spaced, but should allow for a line space between each item.
    • In some scientific disciplines, the references may be placed at the end of the chapter instead of at the end of the manuscript. In this case, the heading "List of References" or "Literature Cited" is appropriate, but it should not begin on a new page because it is considered a subsection of that chapter.

  5. Appendix (Optional)
  6. The appendix is a section that is placed toward the end of the thesis and may contain materials such as tables, figures, maps, raw data, computer programs, musical examples, interviews, questionnaires, CDs, and other types of materials.
    • Headings within the appendix should be formatted in a manner consistent with headings found in the main text.
    • If there is more than one appendix, they should be labeled as A, B, C, D, and so on. Each appendix should be treated as a chapter equivalent and should start on a new page.
    • Images and figures should be reduced in size to allow for a heading that is formatted in the same way as headings of the same level elsewhere in the thesis.

  7. Index (Optional)
  8. The index is a section that is placed toward the end of the thesis after the appendix (if any).
    • The title of the index should be formatted like a chapter title.
    • If there are multiple indices, each index should be treated as a chapter equivalent and should start on a new page.
    • Items listed in the index may be single-paced.
    • Index entries and their corresponding page numbers should be in alphanumeric order.

IV. Printing Considerations

  1. Paper
  2. The two required copies of the thesis/dissertation must be on white, 8 1/2 inch, acid-free, 20-24 lb., 25% cotton paper.

  3. Print Quality
  4. Thesis/dissertation copies submitted for deposit should be printed with high quality ink. Laser printers are preferable. Color copies are acceptable and for deposit.

  5. CD-ROMs and Other Non-Print Media
  6. CD-ROMs and other non-print media containing additional material may be attached with the thesis/dissertation. However, it is recommended that the thesis/dissertation be understandable without the CD materials. Such material should be considered as a separate appendix.
    • CD-ROMs must be clearly marked with your name, degree, thesis title, department, university, and appendix title. Example:

      Shih Fang Chen, Ph.D.
      A Study of the Benefits of Practicing Mindfulness of the Buddha in Chinese Buddhist Canon
      Ph.D. Dissertation, Department of Religious Studies,
      University of the West, 2008
      Appendix A: Interview Transcriptions


    • If a CD is included, an appendix page must be included and numbered accordingly. This page needs to include information about the contents of the CD, such as "Appendix A: Interview Questions" and a brief description.

  7. A Manuscript Exceeding 500 Pages or 2.5 Inches in Thickness
  8. Manuscript over 2.5 inches thick (more than approximately 500 pages) must be separated into two volumes of approximately equal size.
    • The division of a manuscript into separate volumes should occur at the end of a chapter.
    • Pagination of the second volume should continue from the first (i.e., do not begin at page 1 in the second volume).
    • Each volume must be submitted with two title pages indicating the appropriate volume number (use Arabic numerals, i.e. Volume 1 or Volume 2). The volume should appear two spaces above the heading "DISSERTATION" or "THESIS" on the title page.

    Each volume should be submitted in a separate bundle. The first volume should have all the required front matter pages. The second volume will have only a copy of the title page added at the beginning.

Appendix: Sample Documents

Appendix A - Sample - Approval Page for Graduate Thesis or Project

Appendix B - Sample - Copyright Page

Appendix C - Sample - Title Pages

Appendix D - Sample - Acknowledgments Page

Appendix E - Sample - Abstract

Appendix F - Sample - Table of Contents

Appendix G - Sample - First Page of a Chapter

Appendix H - Sample - Appendix A