Guidelines for the Preparation and Electronic Submission of Your Thesis or Dissertation UAA Graduate School Dr. Helena Wisniewski, Dean x Dr. David Yesner, Associate Dean x Elisa Mattison, Director x Shelley Chapman, Coordinator/Webmaster x Marilyn Bost, Administrative Aide

1.0 Introduction: About Theses & Dissertations

Thesis and Dissertation Formatting  This workshop helps ensure compliance with the UAA Thesis Formatting Handbook (October 2013 edition) found on the Graduate School website. Use the Thesis & Dissertation tab at: ex.cfm. ex.cfm  Most formatting errors can be easily avoided by carefully reviewing the UAA Thesis Formatting Handbook.  Most, but not all, formatting issues are addressed in this workshop. Direct further questions or comments to the UAA Graduate School.

Who Writes a Thesis or Dissertation?  A dissertation is required of most Doctoral candidates.  A thesis is required by many Master’s programs.  Students doing a “Project” do not need to follow thesis format guidelines. Please see your department for project formatting guidelines. “Piled Higher and Deeper” Jorge Chan/

699 vs. 698  699 (thesis) credits  Doctoral programs must have a minimum of 18 thesis credits.  Masters programs generally are required to have a minimum of 6 thesis credits.  Grades are changed from Deferred (DF) in the College or School when your thesis is approved by the Graduate School.  698 (research or project) credits  Require instructor to grade or change the grade.

2.0 Getting Started

Paper and Fonts  Paper:  Standard copier paper for hardcopies  Fonts, Font Size and Font Variations:  Consistent font and font size for all text, including page numbers.  Font size that is no less than 10 and no greater than 12 for the thesis text.

Fonts and Spacing  The Graduate School recommends SERIF fonts.  No script or handwriting fonts are allowed.  Are you using…  Underlining, bolding or italics? If so, use them sparingly and consistently.  Spacing: Is the vertical spacing of your text…  Consistently either 1.5 or 2.0?  Figures and table captions, footnotes, etc. may be single-spaced.  Generally, multi-lined captions are single-spaced.  The Reference section is single spaced within the citation and 1.5 or 2.0 spaced between citations. The spacing requirement overrides any discipline style manuals.

Margins and Misc.  New for : The inner “gutter” margins and top margin must be at least 1.5” (38 mm) and the outer and bottom margins must be 1.0 inch (26 mm). The thesis MUST conform to these margins throughout the thesis for text, figures, and tables.  “Widows and Orphans”  Avoid these by using the “Widows and Orphan Control” in Word  Insert manual page breaks, if necessary, in the final version.  Spell check AND proofread carefully. Use U.S. English spellings, unless the intended journal requires British English, e.g., “Acknowledgements” vs. “Acknowledgments”.

Page Numbering  New for :  No page numbers appear on either the Signature Page or Title Page. A blank page should be inserted after the signature page and the title page.  Assign lower case Roman numerals to all “front matter” or “preliminary pages”.  Assign Arabic numerals to the body of the thesis, including References and Appendices.  All page numbers must be placed a minimum of 1 inch from the top and right or left edge of each page, including the pages with a landscape format (e.g., figures and tables)  Blank pages in the body of the thesis should not display a page number, but are counted in the total.

Division of Text  If the text is to be divided into chapters or major sections, each must start on a new page. (For example: Introduction, Literature Review, Methodology, Results, & Discussion begin on new odd numbered pages.)  Sections and minor sections (of any level) within chapters do not start on new pages.  Formatting of chapter and section headings must follow the style guide of the discipline.

Printing  New for :  The thesis must be formatted to print on both sides of the paper.  Every major section must begin on an odd numbered (right-hand) page.

Decision on Formatting  The thesis must be formatted in either monographic or manuscript style  No mix-and-match between the requirements of monograph and manuscript.  Formatting vs. Style:  Check with the UAA Graduate School when discipline style seem to conflict with UAA formatting requirements.

3.0 Preliminary Pages

Preliminary Pages (or Front Matter)  Signature Page (i)  Page number is NOT physically on the page.  Title Page (iii)  Page number is NOT physically on the page.  Abstract (v)  First page to have a physical page number  Table of Contents (vii)  List of Figures  List of Tables  List of Appendices  Acknowledgment/Preface/Dedication

Signature Page  Title must be in CAPS and double spaced  No degree listed with your name  Exact number of lines and committee members  Name and degree must be listed with those signing the page, e.g., Sheldon Cooper, Ph.D. Dean, Graduate School  All signatures must be original, no exceptions or substitutions  Margins must be within limits  Balanced vertically and from right to left  The Graduate School must approve your Signature Page BEFORE your defense and/or obtaining any signatures!  See the template on the Graduate School website under Thesis & Dissertation

Signature Page (cont.)  The UAA Graduate School requires the names of the signers under the signature line including ALL the signers (including the deans).  Be consistent with middle initials, the position and titles.  The Signature Page must be in pristine condition when you submit it the Graduate School

Signature Page (cont.)  Numbering your Signature Page “i” is incorrect! There is no page number physically printed on either the Signature Page or the Title Page (although both pages are included in the Roman numeral counting and have page numbers listed in the Table of Contents.  Text should be centered with the page margins (e.g., 1.5 inches for top and left, 1.0 inches for right and bottom).  No blank lines allowed. All those listed must sign!  Outside Examiners (if applicable) do not sign the Signature Page.  Titles of persons signing must be correct.  Check with your college or school to confirm approving authority.  Only the Graduate School Dean dates the Signature Page.  ELECTRONIC OR FAXED SIGNATURES ARE NOT ACCEPTED!

Signature Page (cont.)  Please submit the Signature Page when you submit your thesis for final review by the Graduate School.  It must be signed by your committee and advisory chair, program, department chair, and college dean. Individual programs may be different. If in doubt, ASK!  The Signature Page should not be paper clipped, stapled, torn, folded, or damaged in any way. It must be in pristine condition.  Blue or black ink is preferred for signatures. No other color ink or pencil is allowed.

Title Page  Title should be in CAPS and double spaced.  Title should match the title on the Signature Page exactly.  Degree being received should be written out, not abbreviated.  Name should agree with name being written on the diploma.  All previous degrees may be listed, no repeats. Usually, it’s the last highest degree awarded.  Location will always be Anchorage, Alaska.  Date will always be either May, August, or December.  No comma between month and year.

Common Formatting Mistakes for the Title Page  Having a page number of ii on the Title Page. This is incorrect. There is no number physically printed on either the Signature Page or the Title Page (although both pages are included in lowercase Roman numeral counting and listed with a page number in the Table of Contents.  Text should be centered with the page margins (i.e., 1.5 inches on the left and top, 1.0 inch on the right and bottom).  Use the correct thesis title. Do NOT use abbreviations or acronyms except in very few cases where they would be universally understood.  Use the correct degree title, do not abbreviate: Master of Fine Arts, Master of Science, Doctor of Philosophy, etc.  Use the correct month/year of graduation (December 2012). Note: there is no comma between the month and year.  Text should be evenly spaced or “balanced” on the page.

Abstract Page  The Abstract page is the most read portion of your thesis.  Pagination: this is the first page that has a page number printed in lower case Roman numerals in the upper corner of the right side of the page.  The Abstract will always be page v. This is different from previous years due to two-sided publishing.  Use correct page margins.  Do NOT use keywords.  With ETD, there is no maximum length for a Master’s or doctoral abstract; however, we recommend staying within words for a thesis or 350 words for a dissertation. Overly long abstracts will be truncated by UMI.

Abstract Page (cont.)  Follow the guidelines in the Thesis Formatting Handbook for writing the Abstract, include:  The problem addressed or objective of the study and why the work was undertaken;  What was done generally, not specifically;  What were the results, general trends or the most important findings; and  What was concluded, if separate from the results.

Table of Contents  Type the word “Page” above each column of page numbers if you have more than one page in the TOC.  Use Leader dots.  Must be left & right justified.  Include all chapters and sections (at all levels).  Each title in the TOC must match the title in the text EXACTLY.  If you have only one Appendix, then list it in TOC without a title after References. If there are multiple appendices, use “List of Appendices”.  Appendixes should also be listed after “References” or “Literature Cited”.

Table of Contents (cont.)  Correct page margins and pagination.  The Table of Contents must begin on an odd numbered page.  Leader dots are required (no “dashes”) and should extend completely to the right, and consistently to the page number.  Do NOT use a table to format your TOC.  Each title in the TOC must match the title in the text exactly.  If the TOC is more than one page, subsequent pages start at the top margin.  The word “Page” needs to be above the right-hand listing of the page numbers on each page.  The Signature Page, Title Page, and Table of Contents must be listed in the TOC.

List of Figures/List of Tables  Leader dots are required (no “dashes”) and should extend completely and consistently to the page number.  Page numbers are right hand justified.  The word “Page” must be above the page numbers on the first page of the List of Figures and the List of Tables (the same as the TOC).  If the List of Figures or List of Tables are more than one page, subsequent pages must start at the top margin.  Titles in the text and in the List of Figures and List of Tables must match EXACTLY to the titles in the text.  Both the List of Figures and the List of Tables must be spaced in the same manner as the text. However, if a second line is required for the figure or table title, then it can be singled spaced.

3.0 Thesis Text

Body of Thesis Pages  The first page of the Introduction or Chapter 1 will always be page 1 for all thesis except Creative Writing and Literary Arts (CWLA) theses.  CWLA: First page of the Thesis Essay will continue with lower case Roman numerals. Arabic numerals will begin the Creative Work (novel, poems, etc.).  Consistent heading format. Capitalization, use of bold, italics, or underlining must be consistent for a particular level of heading or subheading throughout a monograph and with each chapter (consistent with journal requirements) for the manuscript format.  Consistent indentations/spacing at the beginning of paragraphs.  Figures and Tables must be numbered in order of appearance in the text.

Abbreviations, Acronyms, and Numbers  Define all abbreviations and acronyms the first time they appear in the text, except for those which are generally understood by almost everyone (such as DNA; US; and standard abbreviations for units such as g, ATM, L or m; and standard abbreviations such as AK are examples that do not need to be defined.  The numbers one to ten should be written out, unless the number is a value with associated units (e.g., 1g or 1 gram, not one gram; “one large beaker was used to collect the sample”, not “1 large beaker was used…”), or the style manual in use has a different requirement.

Block Quotes  Quotations over three lines or 40 words must be typed block style with indentation and no quotation marks or in the style appropriate to the field (APA, MLA, AAA, etc.) and must be spaced consistently with the body of the text.

References, Literature Cited, etc.  Using a heading (e.g., References, List of References, Literature Cited, Works Cited, etc.) consistent with the style manual applicable to your discipline.  Avoid splitting entries between pages. Entries must be kept together on the same page. Go to the next page if you need more room.  Keep references in either alphabetical OR numerical order.

References, Literature Cited (cont.)  References must be single-spaced within an entry; but double spaced or 1.5 spaced between entries according to the spacing that you have chosen for the text.  List the References section in the Table of Contents  DOUBLE and TRIPLE check that the references you have cited are listed in the Reference section and cited correctly.  If you use Literature Cited and we find five citation errors, your thesis will be sent back without further format checking.

Bibliographic Software  RefWorks is available for all UAA graduate students. Contact the Consortium Library. RefWorks allows you to manage your bibliographies by exporting citations from most library databases, and add them to your personal reference list(s) within RefWorks.library databases  EndNote is available for all UAF graduate students. VPN is needed to use EndNote from a non-UAF location.

Figure Example  Anything that is not a Table is considered a Figure.  Figure captions must appear BELOW the Figure.  All writing in figures should be at least 6 pt., legible, and reproducible. If possible use the same font size as in the text. Small fonts are used only when there isn’t room for a larger one.  Page numbering must be the same orientation and location on all pages including landscape oriented pages.  Figures and captions must be within the margins.  Figures must follow in the text immediately after their first reference if imbedded in the text..  Check with your particular style manual for additional specifics. Figure 1: Plot of Regional Earnings in This shows the net income in the Orange Flavored Cracker market in the year of the Great Citrus.

Table Example Table 2.1 Artifacts Collected at the Black River Site Feb , These artifacts were collected in the third week of a study by the special method of collection and a big group of people.  Table captions must appear ABOVE the table.  Table text should be at least 6pt., legible and reproducible.  Each table and figure should have 8-10 word title.  Tables and captions must be within the proper margins.  Tables must immediately follow their first reference if imbedded in the text.  Check your program’s preferred style manual for additional requirements.  Color is permitted in tables, but use only as necessary for clarity.  Multi-page tables must have  Table XX continued or cont’d

Landscape Example  Page number is 1 inch from top & 1 inch from right edge.  The page number must be in the normal position on the top right.  It appears the same as if the page was oriented in portrait view.  Landscape figures and tables must be oriented so the top is on the left-hand side of the page. Left margin remains 1 ½ inches.

Monograph vs. Manuscript: How to Choose  The Monograph format is preferred for most social studies, engineering, or creative work theses.  You may use the Monographic format for doctoral dissertations, but you may have extra work to do to prepare a publishable manuscript depending upon the journal selected.  If you intend to publish your thesis as two or more separate papers, then Manuscript format is highly recommended. It is not necessary that manuscripts be accepted or published for thesis submission.  In the Manuscript format, material that does not “fit” in one of the chapters may be included.

Monograph  Authorship  A thesis written in collaboration with others must include a statement in the Acknowledgments clearly stating who contributed to the research and writing.  Arrangement of Pages  See section 4.5 of the UAA Thesis Formatting Handbook  Abstract  One general abstract at the beginning of the thesis.  Figures, Tables, References and Appendices  Figures and Tables must be imbedded in the text immediately after their first reference (on the same page or the following page).  References and Appendices must be placed at the end of the thesis (not after each chapter).

Manuscript  Authorship  You must be first author on each manuscript included in the thesis. You must include a footnote to the chapter title indicating authors and the name of the journal to which the manuscript was submitted (looks like a citation).  Arrangement of Pages  See section 5.5 of the UAA Thesis Formatting Handbook  Abstract  Chapters can have separate abstracts in addition to the required general abstract.  Figures, Tables, References, and Appendices  Figures and Tables may be embedded but most journals require them to be located at the end of the manuscript.  References and Appendices for each manuscript appear at the end of the manuscript (chapter).

Manuscript (cont.)  General Introduction and General Conclusion may have their own or combined “general” References/Literature Cited section.  Do NOT photocopy the published paper out of the journal and include the copy in your thesis (nor can you just bind in a reprint). Rather, you must print it anew, in a font and style consistent with the rest of the thesis and continuously paginated.  Names, addresses, and keyword required for journals should NOT appear in the text of your thesis at the beginning of each chapter.

Example of Authorship for Manuscript Format  Footnote will always be 1.  Footnote will look just like a citation entry.  If the manuscript has not been yet been published, make the footnote look just like a citation except add before the journal’s name “prepared for” or “submitted to”.

Additional Information  Copyrighted Material within your Thesis:  If you are using Manuscript style, you must obtain written, “hard copy” permission from holders of copyrighted material (e.g., co-authors) if you wish to use the material in your thesis. This is mandatory!  “Hard copy” permission can come in the form of a letter, , etc., and must be included somewhere (appendix is fine) in the thesis.  Research Integrity Approval:  IRB/IACUC/Biosafety, etc. approvals must be included in the thesis.

Fold-out Pages  Theses and dissertations submitted through the ETD process cannot have oversize pages  If there are oversize figures or tables, they should be submitted as supplemental files, and refer to them as such in the text.

4.0 The Light at the End of the Tunnel

Now that you have finished writing the thesis…  Defend your thesis. Your committee chair must complete the Graduate Requirement Report for Graduates (GRR).  Your department may also complete a Report on Thesis or Dissertation Defense.  If you are a doctoral student, you must request an “Outside Examiner” at least two weeks before your defense from the UAA Graduate School. The Outside Examiner signs the Report of Dissertation Defense form. The Outside Examiner also submits a Report of the Outside Examiner to the Graduate School.  Have your thesis reviewed by your committee, Department Chair and appropriate College/School Dean (be aware of their deadlines).  Have the committee sign the approved Signature Page (original signatures, only). The Signature Page must be approved by the Graduate School before your defense.

Format Check  Please provide one copy of your thesis to the Graduate School for the format check.  The copy must be a two-sided and unbound document.  It may be also be submitted as either a word (docx.) or.pdf document if you are a distance student or otherwise unable to come to the Graduate School.  Please do not use paper clips, binder clips, or rubber bands on the hard copies.

Steps to turning in final edition: Thesis/Dissertation (all students)  Submit the following to the Graduate School by the appropriate deadline or before (see UAA Thesis Formatting Handbook or the UAA Graduate School website): 1.One copy of your thesis  On regular paper, double-sided, and unbound  CWLA and distance students will submit a PDF copy 2.One original, pristine Signature Page  On regular paper, please!

Doctoral Students also need to submit:  Survey of Earned Doctorates (SED)  50-word abstract for Commencement program and Hooding Ceremony script  Optional: A photo (hi-res headshot preferred).

What Happens Next?  After your defense, the Graduate School does a “format check” and review of your thesis. Please submit a hardcopy, word or pdf document of your thesis.  You will receive an stating the changes that need to be made: distance students will have a PDF returned with comments, local students can pick-up the marked copy of their thesis at the Graduate School office.  You have one week (5 business days) from receipt of the to make the necessary changes and to submit the corrected thesis.  The Graduate School keeps the signed Signature Page  The Graduate School checks to make sure all the required corrections are made.  The Graduate School Dean signs the Signature Page – the thesis is now officially approved.  You upload your final thesis and Signature Page into ETD.  See the Thesis Submission Flow Chart for complete submission process.

5.0 Electronic Thesis Submission (ETD)

Thesis or Dissertation Electronic Submission  Create Your Account at  Go to Students section on right hand side up page  Click on Submit  Select Institution – select United States, then University of Alaska Anchorage  Create your account with password  You will receive an from UMI ETD Administrator to “confirm your account”. (This may go to your spam account, especially if you use your student account. If you have difficulty with your account, contact UMI and they will automatically log you into your account.)  Once you click on “confirm your account” and it will automatically log you into your account.

Thesis or Dissertation Electronic Submission (cont.)  The Submission Process  Select Publishing Options and accept the ProQuest/UMI Publishing Agreement: You may select on of two options: Traditional Publishing or Open Access Publishing: o Traditional Publishing means that as owner of the intellectual property and author of the work, you contract with ProQuest to reproduce, distribute and sell copies of your work. Royalty payments are available with this option. There is NO fee for Traditional Publishing. o Open Access Publishing means freely available for viewing or downloading and open access to the full text PDF of the graduate work. Because it is Open Access, there are no royalties with this option. There is a $95 fee for Open Access Publishing. After you select the publishing option that fits your needs, you will be prompted to accept the Publishing Agreement and continue.  Contact Information: enter current information. Do NOT use your UAA address here.  Dissertation/Thesis Details: enter all necessary data.  As you complete the submission steps, they will be checked off on the left side of the screen. You do not need to complete the process in a linear order, except if the item is indented.

Thesis or Dissertation Electronic Submission (cont.)  Dissertation/Thesis Details: enter all necessary data. Title: Do not use a symbol in the title, this may inhibit searches of your thesis for other researchers. For example, if the use SR+ instead of Positive Reinforcement, then SR+ would not allow a complete search. Abstract: you may cut and paste your abstract, but if you have bolded or italics in the Abstract, then click on formatting hints for html codes.  As you complete the submission steps, they will be checked off on the left side of the screen. You do not need to complete the process in a linear order, except if the item is indented.

Thesis or Dissertation Electronic Submission (cont.)  “Marry” the PDF of the completely signed Signature Page to your thesis PDF  Upload the PDF: If you do not have a PDF version of your thesis, the ETD Administrator provides a Word to PDF conversion tool. The conversion tool will take a Microsoft Word document, or an RFT document and convert it to PDF. Is it very important to review the resulting PDF to make sure that there are no formatting errors or other issues. If you receive an error message, you can contact UMI and they will assist you in uploading your file or what is prohibiting you from doing so. If you upload the wrong version of your document, you can go back and upload the correct version. Depending upon your browser, you may see the “Browse” button or “Basic Upload Tool”. They do the same thing.  Note: you must make sure that 1.All fonts are embedded in the PDF (embed in a word document before converting to PDF). 2.The PDF security setting allow printing and modification of the document. For more information on saving your thesis to PDF, see the online PDF Help page.

Thesis or Dissertation Electronic Submission (cont.)  Uploading Supplementary Files:  If you have supplementary files, such as maps, CD’s, sound clips, spreadsheets, oversize pages, or research data not included in the thesis, you can upload them here. You may upload as many supplementary files as you need.  A thesis with several small data files should be consolidated into one zipped folder.  If the file is “zipped”, that is how the files will be distributed with the full text.  The student should select the media type of the downloaded supplemental file.  Maximum file size for entire thesis is 250 MB.

Microfilming and Delayed Publication  Microfilming  Required for all theses and dissertations at UAA.  Processed by ProQuest/UMI  Delayed Publication (Embargo)  Can delay UMI publication. Used when thesis material is of a sensitive nature; e.g., government or corporate research, intellectual property rights are involved, commercialization is in process; or thesis includes creative work. Can choose six months, one year, or two years. Embargo can be renewed after the first time period has expired. Contact UMI/ProQuest for details.  See section on Publishing Restrictions in ETD.  The full text will not be published, but the abstract will be available.

Copyrighting Your Thesis  The University retains the right to reproduce or display your thesis for educational purposes.  You must complete this page in ETD, but you do not have to request ProQuest to file for a copyright.  You can authorize ProQuest/UMI to apply for a copyright in your name. This requires an additional fee of $55.00 as noted in the ETD submission process.  Or, you can formally apply for copyright directly to the U.S. Copyright Office. To apply for your own copyright online at for a filing fee of $  The thesis must have © on the Title Page © 2014 Wil Wheaton

Thesis or Dissertation Electronic Submission (cont.)  Submission Summary:  Please make sure you review this page. If changes are needed, this is your chance to make them by clicking on the “Change” links.  Complete the submission by clicking on “Submit Dissertation/Thesis”.  If you have no services fees, you will receive a message that your thesis has been submitted to the Graduate School.  If there are service fees (personal copies, copyright, etc.) then you will receive a message to “Continue with submission”. This will take you to the Order Summary page and payment information. Include your billing address and credit card information. You complete the submission with clicking “Submit Dissertation/Thesis & Pay”. This will charge your credit card and submit your thesis to the Graduate School.

What Happens Next – Part II  You receive an notifying you that your thesis has been received in ETD.  The Graduate School reviews your thesis in ETD. If accepted, completes final submission.  All documents for graduation, such as the GRR or the Report of Thesis/Dissertation Defense must be processed for final acceptance.  Thesis is ready for publication.  Degree Services is notified that the thesis requirement has been met.  A Banner attribute is entered which populates DegreeWorks so that you can see your thesis requirement has been met.  Thesis (699) Grades are changed from DF to Pass or a letter grade depending upon your program. (The Change of Grade (COG) form is completed by your thesis advisor.) Students do NOT hand-carry Change of Grades forms to the One Stop; COG forms must sent by the department.  Degree Services completes a final degree audit to confirm that all requirements for your degree have been met.  YOU GRADUATE !

6.0 Housekeeping

Personal Copy Binding Options  With ETD, the UAA/APU Consortium Library no longer requires bound copies  If you want additional spiral bound copies, the UAA Copy & Print Services Center offers a 10% discount every first Friday of the month to current UAA students.  You may order personal bound copies through:  ProQuest/UMI: see ETD submission process. (Covers will be black with gold foil printing and printed on both sides of the page).  Online at Thesis on Demand:  Online at Thesis Printing and Binding:

Thesis/Dissertation Webpage   Graduate School submission deadlines for each semester (check the Graduate School calendar, too!)  UAA Thesis Formatting Handbook  UAA Thesis Formatting Checklist  Templates for Signature and Title Pages  Formatting and Editing Assistance (including dates for upcoming Formatting and Submission Workshops!)  Electronic Thesis Submission – How to…  And much more…

Questions?  Please complete the evaluation form before you leave. We want to know what was good; what we left out; and what we need to cover in more depth in future workshops. Thank you !

Thank you for attending! ( A grateful nod to Jorge Chan-