Specifications for Preparation of Master’s Theses and Doctoral Dissertations

Revised July 2017

http://www.etdadmin.com/colorado


Contents

Format Information and Guidance

This document provides the campus-wide specifications for theses and dissertations presented for graduate degrees at the Graduate School of the University of Colorado at Boulder.  Student services staff in the Graduate School are available to answer format questions, and the Graduate School strongly recommends that students e-mail a copy of the document for pre-check of the format to gradinfo@colorado.edu before submitting it electronically.  We recommend that students consult a style guide or standard handbook for more detailed specifications.  A student's department will provide information on requirements in a specific field of study.



    Research Integrity

    Every thesis or dissertation must comply with all requirements regarding research integrity.  Plagiarism, fabrication, falsification, and other forms of research misconduct will be investigated by the Standing Committee on Research Misconduct.  For further information, please see information posted by the Office of Research Integrity at http://www.colorado.edu/vcr/rcr/research-misconduct. Students should also review the University policy on Misconduct in Research, Scholarship, and Creative Activities, available at https://www.cu.edu/ope/policy/aps-1007-misconduct-research-scholarship-and-creative-activities.

    Research with Human Subjects or Animals

    Per federal law and University policy, student research that involves human subjects or animals requires some level of review and approval by the Institutional Review Board and/or the Institutional Animal Care and Use Committee prior to the research being initiated. Failure to abide by this policy can result in a delay of graduation and/or fulfillment of degree requirements. More information on human and animal research is available at http://www.colorado.edu/vcr/ori. If you have performed research involving human subjects, your IRB protocol number must appear on the signature page.  If you have used live animals, animal tissue, or observational animal work, your IACUC protocol number must appear on the signature page if you were required to obtain one.

    Involvement of Students in Restricted Research

    Students must be free to pursue knowledge in an open environment.  Any petition for student involvement in research projects that imposes either explicit or potential restrictions that could affect students’ academic research and publications must be vetted by the Standing Committee on Restricted, Proprietary, and Classified Research and approved by Chancellor or Chancellor’s designee.  Concurrence by the department chair or graduate advisor must also be provided to the student(s).  Students may not engage in classified research as part of their formal academic work.  This information is available at http://www.colorado.edu/vcr/restricted-proprietary-and-classified-research.


    Submission

    The Graduate School accepts theses electronically only, uploaded as a pdf document, through the ProQuest website: http://www.etdadmin.com/colorado. This site contains information on converting word documents to pdf documents, and has a helpful section of frequently asked questions.  In addition to the complete copy submitted electronically, a hard copy of the signature page with original or electronically obtained signatures must be submitted to the Graduate School.  This signature page is created as the second page of the document, and the hard copy must contain the signatures of at least two committee members, the chair of the committee and one other member.  Further information can be found in the signature page section of this document.


    Deadlines

    To graduate in a given semester, the thesis and signature page must be submitted by a specific deadline. To determine the deadline for the semester in which you plan to graduate, please see the graduate school calendar on our homepage at http://www.colorado.edu/GraduateSchool/, or a list of deadlines at http://www.colorado.edu/GraduateSchool/academics/, selecting “Graduation Requirements,” clicking on the appropriate degree, and selecting “deadline sheet.” For more information, contact your academic department or the Graduate School.


    Publishing Options and Fee Information

    At the time of submission, you will need to make publishing selections both for ProQuest and for the University of Colorado Boulder Libraries. 

    ProQuest Publishing/Fees

    The following fees are paid at the time the thesis is submitted as a pdf document.  They are paid online directly to ProQuest.  Upon submitting the thesis, you will be required to select “traditional” or “open access” publishing.  Traditional publishing is required for submission and there is no fee.  Selecting “open access” publishing is entirely optional and will result in a publishing fee, but will allow your thesis to be publicly available.

    Please consult the ProQuest website for information on these options: http://media2.proquest.com/documents/open_access_overview.pdf.  Fees are subject to change.

    ProQuest Publishing fees: 

                            traditional publishing                                                                                           free

                            open access publishing (optional in place of traditional)                                $95.00

                            copyright registration (optional)                                                                      $55.00

    At the time of submission, you may request that an embargo be placed on the publishing of your thesis of up to two years. 

    CU Institutional Repository Publishing (CU Scholar)

    All theses are made available to university community members through access to the ProQuest Dissertations and Theses database provided by the University of Colorado Boulder Libraries. The University of Colorado Boulder Libraries also host an Institutional Repository, CU Scholar.  When submitting your thesis, you will have the option to include your work in this open access repository.  If you agree to inclusion, your thesis will be publicly available via the CU Scholar website (http://scholar.colorado.edu) as soon as possible or at the end of the specified embargo period (if applicable.)  Please contact CUscholaradmin@colorado.edu with any questions. 

     


    Thesis Organization

    The final copy of the thesis submitted to the Graduate School is organized in the following order.  The starred items (*) are required in every thesis; lists of tables, figures or maps are required if they appear in the thesis; the other items are optional.  Examples of formatting for these items are provided in the sample pages.  Each division listed (1-11) and each chapter begins on a new page.

                   *1.    Title Page

                   *2.    Signature Page

                   *3.    Abstract

                     4.    Dedication

                     5.    Acknowledgments

                    *6.    Contents

                     7.    List of Tables

                     8.    List of Figures (or List of Maps)                      ↑lower case Roman Numerals used for the content page numbers above

    ………………………………………………………………………………………………..

                    *9.   Text                                                                   ↓Arabic Numerals for the content page numbers below

                   *10.   Bibliography, Selected Bibliography, References

                    11.    Appendix


    Thesis Formatting

    Pagination:

    Each page is assigned a number, but showing numbers on the title page, signature page and dedication page is optional.  Items 1-8 in list are numbered with lower case Roman numerals.  Items 9-11 use Arabic numbers beginning with 1.  Numbers should then continue straight through to end of thesis, including appendix if applicable. Page numbering can be done in two ways. [1] Page numbers appear on all pages.  [2] The page number can be left off the first page of a major division or a chapter with more than one page.  Pages generally are numbered in the upper right hand corner; usual placement is at least 3/4 inch from the top and 1 inch from the right edge.  Centered numbers at the top or bottom of the page are also acceptable.

    Type:

    Type size for the thesis should be between 10pt and 12pt and should be consistent throughout the thesis--in text, figure captions, and table titles.  Any unusual type style should be approved in advance by the Graduate School; script type may not be used.  Equations, formulas and words within figures must also be typed.

    Margins:

    Thesis margins should be 1 inch from all edges. The right edge of the text may be either justified (all lines the same length) or ragged (lines varying in length).

    Spacing and indents:

    The body of the text of the thesis is double spaced with about six single spaces per vertical inch.  With 1 inch top and bottom margins; page lengths usually vary from 24 to 27 lines.

    Table titles, figure captions, and chapter headings are single-spaced. Footnotes and entries in the Contents and Bibliography are also single-spaced, with double spaces between entries. Quotations of four or more lines may be single spaced or double spaced depending upon the formatting or style guide used.

    The first line of paragraphs or footnotes is indented uniformly in the thesis.  The number of spaces for this indent depends on the style.  A standard indent is eight spaces (1/2 in); a five space indent is also frequently used.  Single-spaced quotations are indented in their entirety four spaces from the left margin (1/4 in).

    Headings:

    A student should choose a hierarchy of headings and subheadings for a thesis and use it consistently.  The spacing above and below headings should be uniform throughout.  Examples of headings are provided on the sample pages.  The student may choose another style.


    Style

    The student may consult the thesis advisor in his/her department about a style guide, which will describe formatting details above and beyond those of the Graduate School.  The style guide may be from a specialized field/association or may be a thesis manual.  Examples include the Modern Language Association Handbook for Writers of Research Papers, the Publication Manual of the American Psychological Association, and Turabian, A Manual for Writers of Research Papers, Theses and Dissertations.


    Title Page

    The title page contains the thesis title; candidate's name; candidate's degrees, granting institutions, and dates received; statement shown on sample page ("A thesis submitted to ..."); name of department or school granting degree; and year the thesis is submitted (see sample title page).


    Signature Page

    The signature page is included as page ii (between title page and abstract) and contains lines for at least two signatures, the chair and one other member. The statement at the bottom of the page, as shown in the sample, must be included.  The page is included in the uploaded pdf version with blank lines, and contains no actual signatures.  Signatures (either original or electronic) must then be obtained on a separate version of this page, and a printed hard copy of this single page must be submitted to the Graduate School by the applicable thesis submission deadline.  Your thesis is not considered to be complete until this page is received. The page must be signed by the chair of the student’s committee and one other member, and other members of the committee may sign as desired/appropriate. (See sample signature page).


    Abstract

    The abstract provides a succinct, descriptive account of the thesis.  It is limited to 350 words and should include specific details for indexing.  The abstract must include your name, the initials of your degree, your department, thesis title, and faculty advisor - as shown in the sample abstract page.

    Please note that master’s students are limited to 150 words on the abstract which goes on the “about your submission” profile page.  The abstract within the actual pdf document may still be 350 words, but you will need to prepare a shortened version to place on the profile page.


    Acknowledgments, Preface, Introduction, and Glossary

    The acknowledgment mentions persons or groups that contributed to the thesis or provided funding.

    Prefaces are seldom used in theses.  A style manual provides guidelines on content.

    Chapter 1 of a thesis is usually the introduction.  However, if a separate introduction precedes Chapter 1, it is still regarded as part of the thesis rather than as preliminary material and its pages are numbered in Arabic numerals rather than Roman numerals.

    A glossary of terms may be included as a separate page as the final page in the introductory material (with the appropriate lower case Roman numeral) or as an appendix (with the appropriate Arabic number).


    Tables

    Tables are placed immediately after their first mention in the text, either on a text page or on a separate sheet.  They may be numbered consecutively within each chapter or throughout the thesis.  Tables that will not fit within the required margins may be typed in smaller type or may be reduced; they also may be printed broadside with the top toward the left margin.  On pages with broadside (landscaped) tables, page numbers should appear in the same position on the page as all other pages.  For example, if the page number is at the bottom center of each page, on pages with landscaped items the number should be in the bottom center of the page as it would appear in a bound book.  Students should refer to a style manual for formatting tables.

    Titles and footnotes:

    Table titles and footnotes may appear above or below the table, but should be consistent throughout the document.  Table footnotes have no relation to text footnotes.

    Figures:

    Figures are placed immediately after their first mention.  They may appear on the text page or on a separate page.  They should fit within the standard thesis margins.

    Captions and footnotes:

    Figure captions may appear above or below the figure, but should be consistent throughout the document.  Captions should fit within the standard margins and are not reduced if the figures are reduced.  Figures may be printed broadside, with the top toward the left margin; the caption then appears beneath the figure and is typed from bottom to top of the page within the standard margins.  Footnotes to a figure are typed immediately below the figure, above the caption.  On pages with broadsided (landscaped) figures, page numbers should appear in the same position on the page as all other pages. For example, if the page number is at the bottom center of each page, on pages with landscaped items the number should be in the bottom center of the page as it would appear in a bound book. 


    References within thesis

    References in a thesis may be cited by footnotes, author-year citations, or numbered bibliography.

    Footnotes:

    Footnotes are indicated by superscript numbers in the text.  They may be placed at the foot of each page or at the end of each chapter.  Footnotes at the bottom of the page may be numbered either beginning with 1 on each page or consecutively throughout a chapter.  When footnotes are used, the bibliography includes all references cited in the notes (and additional sources) and is arranged alphabetically.  Footnotes may be typed in a smaller size than the text or in the same size; they are usually single-spaced with a double space between notes.

    Author-year citations:

    References within the text may be cited by using the author's (or authors') last name(s) and the year of publication (and a page number for direct quotations).  These references refer to works cited in an alphabetically arranged bibliography.


    Bibliography

    The bibliography lists books, articles or other works consulted in preparing the thesis.  It is included even if end notes or footnotes are used.  The arrangement of the bibliography and the information in each entry are determined by the chosen style.  Usually the entries in the bibliography are single-spaced with a double space between entries.

    Appendix: Tables, figures, equations, photographs, or any other supplemental material placed in an appendix must have appropriate page numbering and fit within stated margins.


    Copyright Guidelines

    • Copyright is a form of protection provided to authors of “original works in authorship,” including literary, musical, artistic and other intellectual works.
    • Copyright is secured automatically upon creation--even for works not bearing a copyright notice.
    • Copyright registration (which is not required but which establishes a public record of the copyright claim and is necessary prior to filing an infringement suit) must be handled through the Copyright Office at the Library of Congress.
    • Standard forms of copyright notice: (You do not need to include this page. It will be inserted for you before it is bound)

          Copyright 2010 Jane Doe                  

          © 2010 Jane Doe

          Copyright © 2010 Jane Doe

    • CU faculty and students may copyright their personal, original work.

    Some Copyright Information Sources

    U.S. Copyright Office:  www.copyright.gov

    Fair Use Information:  www.copyright.gov/fls/fl102.html 

    ProQuest/UMI: http://www.ncsu.edu/grad/etd/docs/guide5.pdf

    Gaining permission to use copyright material:  Ask the copyright holder in writing for permission.  Be sure to quote exactly what you plan to use and in what context.  For a fee, the Library of Congress can conduct a search for the copyright holder.  See: http://www.copyright.gov/records/.  


    Survey of Earned Doctorates (Doctoral students only)

    The Survey collects information from all research doctorate graduates, and this compiled data is extremely important information used by policymakers and used in evaluating the nation’s work force. This form can be filled out online at https://sed-ncses.org.


    Example

    Click this link to download a sample of a formatted thesis/dissertation. 


    Thesis/Dissertation Checklist for Submission to Graduate School

    Formatting:

    ______   Title page (see example)

    ______   Signature page (see example)

    ______   Abstract (350 words maximum)

    ______   Specified order and arrangement of sections

    ______   Required type size and style; required margins

    ______   Specified page numbering

    ______   Correct spacing of text, bibliography, quotes

    ______   Consistent headings style

    ______   Consistent reference style

    Submission via website: http://www.etdadmin.com/colorado

    ______One copy of thesis or dissertation submitted electronically by deadline

    ­­­______ Appropriate fees paid electronically

    ______ One hard copy of signature page with signatures submitted to Grad School by deadline

    Doctoral Students only:

    ______ Survey of Earned Doctorates, filled out online at https://sed-ncses.org