Specifications for Preparation of Master’s Theses & Doctoral Dissertations

Revised August 2018, Clarifications made 2023

Table of Contents

 I. Format Information & 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. These formatting requirements strive to make all dissertations legible, accessible, preservable, and uniform in presentation where possible. The steps you take now to format your dissertation are essential. Before you begin, be sure to read the formatting guidance below in its entirety, along with Thesis Accessibility Guidance provided by the university. We recommend that students also consult a style guide or standard handbook for more detailed specifications. A student's department can provide information on requirements in a specific field of study. 

 

II. Submission and Publication Information

Submission Process

The Graduate School accepts theses electronically, uploaded as a pdf document, through the ProQuest website. It is expected to be the final version, approved by your faculty advisor and committee.Students must also submit a thesis approval form (TAF) as a single-page supplemental file to ensure that the final copy has been accepted by the thesis committee. Upon submission, your thesis will be reviewed by the Graduate School. If revisions to the thesis format or TAF are required after submission, you will receive an email through ProQuest.  The e-mail will explain the revisions needed and provide a link for resubmission.You will receive an email through ProQuest when your thesis has been approved by the Graduate School.

This ProQuest FAQ website contains a helpful section of frequently asked questions regarding electronic submission.

Deadlines

To graduate in a given semester, the thesis with Thesis Approval Form 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, or a list of deadlines by clicking on the appropriate degree, and selecting “deadlines.” For more information, contact your academic department or the Graduate School.

Publishing Options & 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 Options

Upon submitting the thesis, you will be required to select “traditional” or “open access” publishing through UMI/ProQuest. Review the ProQuest publishing guide for additional information on the options below.

  • Traditional publishing is the default option and has no associated fee. With this option, your thesis will be available only to ProQuest subscribers or to an individual who pays a fee to download your thesis.
  • Open Access publishing is available for a fee, and with this option your thesis will be freely available to anyone through ProQuest.

If you would like your thesis to be made open access without paying a fee to ProQuest, you may alternatively select Traditional publishing and then select the option to make your work publicly available via our institutional repository CU Scholar (see below for more information about CU Scholar).

CU Institutional Repository Publishing Options (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 (a ProQuest subscriber). 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 as soon as possible or at the end of the specified embargo period (if applicable). Please contact cuscholaradmin@colorado.edu with any questions.

Copyright Registration

Upon submission to ProQuest, you can opt for ProQuest to file for copyright registration on your behalf with the U.S. Copyright office. This service is optional, and you can also choose to register your own copyright with the U.S. Copyright Office outside of the ProQuest process. 

Copyright provides protection to authors of all original creative works, including theses and dissertations. Registering your copyright may be appropriate in some circumstances, but in many cases is not necessary.  Every author already holds copyright at the moment of creation of an original work, even for work not bearing a copyright notice. Also note that as part of their process, ProQuest inserts an extra page to denote that copyright is held by the author in every published manuscript..

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. Fees are subject to change.

You will be asked to select one of the following options through ProQuest:

Additional publication options:

Delaying Release (Embargo)

At the time of submission, you may request that an embargo be placed on the publishing of your thesis of up to two years. In some cases this may be necessary due to publication concerns, patents pending, etc. This embargo will apply to publishing through ProQuest/UMI and CU Scholar.

Search Engine Discovery

When submitting your thesis, review the section related to search engine discovery. Your work on ProQuest will be discoverable and accessible through Google Scholar and other major search engines. If you have selected an embargo period, the thesis won’t be available during that time (the abstract and metadata may still be discoverable). Expand the section on search engine discovery to review the information provided by ProQuest; you can choose to opt out and make your work not discoverable if this is appropriate.

 

III. Thesis Formatting Specifications

Accessibility

It is essential that theses meet accessibility standards.  The Graduate School works closely with campus partners to ensure that students have the best resources possible to create accessible theses.  The Digital Accessibility Office has created Thesis Accessibility Guidance, to which each student must adhere in the preparation of their document.  A host of additional resources are available on their website to assist.

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; the other items are optional. Examples of formatting for these items are provided in the sample pages. Each division listed (1-8) and each chapter begins on a new page.

  1. Title Page*
  2. Abstract*
  3. Dedication
  4. Acknowledgments
  5. Table of Contents*
    1. Lists of Tables/Figures/Maps/Photos etc. - may be included as part of the full Table of Contents or created as separate pages

↑If numbering option one is used (explained below), lower case Roman Numerals used for the front matter page numbers above 

↓If numbering option one is used (explained below), Arabic Numerals for the main body page numbers below 

  1. Text*
  2. Bibliography, Selected Bibliography, References* 
    1. May be included after each chapter or in a comprehensive bibliography following text
  3. Appendix

General Thesis Formatting

Pagination

Each page is assigned a number, but showing numbers on the title page and dedication page is optional. There are two ways to number the full document. 

  • Option one: Items one to five in list above (front matter) are numbered with lower case Roman numerals. Items six through eight (main body/content) use Arabic numbers beginning with 1. Numbers should then continue straight through to the end of the thesis, including the appendix if applicable. 
  • Option 2: All items are numbered with Arabic numbers in order from the first page to the last.

Again in the main body, every page is assigned a number, even on pages where you may choose for a number to not appear (e.g. first page of a chapter). 

Type

Use a sans serif font accessible to screen readers (Times New Roman, Calibri, Aptos, etc.). Type size should typically follow a  consistent pattern throughout the thesis—in text, figure captions, and table titles. Underline should be used for links only. Any unusual type style should be approved in advance by the Graduate School.

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). Margins are important for accessibility and reproduction. If you are unable to reduce a table, figure, or graphic to fit within the margins, it may extend slightly into the margins. However, if your thesis is reproduced in the future, these may not be readable. 

Headings

A student should choose a hierarchy of headings and subheadings for a thesis and use it consistently. Headings should be programmatically applied (e.g. using the heading options available through Word) so that they are consistent and hierarchical.  Additional information regarding headings and accessibility can be found in the Thesis Accessibility Guidance.    Examples of headings are provided on the sample pages. 

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.

Elements Within Thesis

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. It also includes the names of all committee members (see sample title page).

Abstract

The abstract provides a succinct, descriptive account of the thesis, and 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 you will need to provide an abstract on the “about your submission” profile page. UMI/ProQuest publishes print indexes that include citations and abstracts of all dissertations and theses published. This version of your abstract is available publicly and indexed by search engines along with other metadata (even if an embargo is placed on publication of your thesis), and should contain information appropriate for public view.


Dedication and Acknowledgments

If desired, the dedication page precedes the acknowledgement page. The acknowledgments page typically mentions persons or groups that contributed to the thesis or provided funding.

Preface, Introduction & Glossary

Chapter 1 of a thesis is usually the introduction. However, if a separate introduction or preface precedes Chapter 1, it can be considered part of the front matter (with the appropriate lower case Roman numeral) or as the beginning of the thesis main body (with the appropriate Arabic number)., 

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).

Main Body of Text- Individual Elements

Tables, Figures, Images, and Media

Tables and figures 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.

To make these elements accessible, include descriptive alt text for all images and figures. Tables should be used for tabular data with row headers and column headers; they should not be used for visual layout, and images of tables should not be used.  Additional information regarding accessibility can be found in the Thesis Accessibility Guidance.

Captions & 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. 

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. .

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). 

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. Often 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.

Questions and Concerns

The Graduate School is here to help if you have questions regarding thesis specifications and/or submission.  Please feel free to reach out via e-mail.  If you are working on a thesis with unusual/alternative elements or sections, the Graduate School can assist in reviewing those elements in advance.

Example

Download a sample of a formatted thesis/dissertation.

 

IV.  Required Supplemental Documents

Thesis Approval Form

Students must submit a thesis approval form (TAF) to ensure that the final copy has been accepted by the thesis committee. Students will initiate the TAF process, identifying the chair and one other member of the committee. The form will be distributed to both members, and upon completion the student will save the completed TAF and upload it as a single-page supplementary file as part of the electronic thesis submission process. To have the degree awarded in any given semester, the thesis and TAF must both be submitted by the thesis/dissertation deadline. Step by step instructions are provided.

Survey of Earned Doctorates (Doctoral Students Only)

The SED must be filled out by the dissertation submission deadline, online. The survey collects information from all research doctorate graduates, and this compiled data allows the Graduate School and other policymakers to make data-driven decisions about doctoral education.

 

V. Research and Data Information

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. Students should also review the University policy on Misconduct in 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. If you have performed research involving human subjects, your IRB protocol number must appear on the Thesis Approval Form (TAF). If you have used live animals, animal tissue, or observational animal work, your IACUC protocol number must appear on the TAF 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.

Use of Third-Party Copyrighted Content

Thesis Data and Supplemental Files

If you have data or other supplemental files (video, audio, CSVs, code, etc.) you would like to make available along with your thesis or dissertation you have two options.

  • Upload your files directly to CU Scholar. CU Scholar is an open access institutional repository maintained by the University Libraries that preserves and provides perpetual public access to the research activities of members of the CU Boulder community. Data librarians will help guide you through the process of making your data available and accessible and will create a DOI (Digital Object Identifier) that will link to your data. Once your thesis or dissertation is published in CU Scholar it will be associated with your dataset.

  • Upload your files as supplemental files along with your thesis when submitting to ProQuest. You are limited to ten supplemental files (including the single page TAF) and each supplemental file can be up to 4GB. You can find more details on ProQuest’s FAQ: How can I include related files (sound clips, data sets, etc.) that are a critical part of my dissertation or thesis? If you select to have your work included in the institutional repository (CU Scholar) during the thesis submission process, any supplemental files will be associated with your thesis in CU Scholar after publication.

     

 VI. Checklist

Thesis/Dissertation Checklist for Submission to Graduate School

Formatting

  • Title page (see example)
  • Abstract (see example and abstract section above)
  • 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

  • One copy of thesis or dissertation submitted electronically by deadline
  • Thesis Approval Form, submitted along with the thesis as a supplementary file by deadline

Doctoral Students Only

  • Survey of Earned Doctorates, filled out online, by the dissertation submission deadline