Guidelines for the Preparation and Electronic Submission of Your Thesis or Dissertation UAA Graduate School Dr. Helena Wisniewski, Dean x4833 Dr. David Yesner, Associate Dean x1098 Elisa Mattison, Director x1096 Shelley Chapman, Coordinator/Webmaster x1443 Marilyn Bost, Administrative Aide x1095

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:  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.  Double-Sided: All theses/dissertations will now be printed double-sided.  This changes margins and location of page numbers. They should be on the top left odd page numbers and top right of even page numbers.

Font Variations 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.  Signature and Title page titles are always double-spaced.

Margins and Misc.  Consistency is the key: Margins must be a minimum of 1.5 inches on the binding side (center margins, or gutter), 1.5 inches on the top, 1 inch far right and left (opposite the binding), and 1 inch on the bottom. 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.

Page Numbering  Things to watch for:  Number every page (except for “Signature”, Title, and any blank pages (those pages do not display a number but are still counted.  Assign lower case Roman numerals to all “preliminary pages” (starting with Abstract as page “v”).  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 outside edge of each page, including the pages with a landscape format (e.g., figures and tables)

Division of Text  If the text is to be divided into chapters or major sections, each must start on a new odd numbered 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.

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  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  Acknowledgments/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  All signatures must be original, no exceptions or substitutions  Margins must be within limits  Balanced vertically  The Graduate School must approve your Signature Page BEFORE your defense and/or obtaining any signatures!

Signature Page (cont.)  The UAA Graduate School requires the names of the signers with their degree under the signature lines..  Be consistent with middle initials, position, and titles.  The Signature Page must be in pristine condition when you submit it the Graduate School  Blue or black ink is preferred.

Common Formatting Mistakes on the Signature Page  Numbering your Signature Page “i”. This 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 within the page margins (e.g., 1.5 inches for top and gutter, 1.0 inches for outside and bottom).  You should have the EXACT number of signature lines for your committee chair and committee members. No blank lines allowed. All those listed must sign!  The Outside Examiners (if applicable) does not sign the Signature Page.  The original Signature Page must have all original signatures, except for the Graduate Dean, before turning it is submitted to the Graduate School.  Degrees 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!

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.  The words “of”, “in” and “for” are not capitalized.

Common Formatting Mistakes on the Title Page  Having a page number of iii 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 within the page margins (e.g., 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 (May 2014). 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.  Follow the guidelines in the Thesis Formatting Handbook in 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.

Common Formatting Errors on the Abstract Page  Pagination: This is the first page that has a printed page number (Roman numeral “v”).  Incorrect page margins.  No keywords or citations should be used in the abstract.  With electronic submission process, there is no longer a limit on the number of words for the abstract. We recommend that you limit it to 350 words or two pages or less. Overly long abstracts will be truncated by UMI.

Table of Contents  Type the word “Page” above each column of page numbers.  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”.  Appendices should also be listed after “References” or “Literature Cited”.

Common Formatting Mistakes on the Table of Contents  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” should be repeated above right-hand listing of the page numbers of each page.  The Signature Page, Title Page, and Table of Contents must be listed in the TOC.

Common Formatting Mistakes for the 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 each 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

Common Formatting Mistakes on the Thesis Text  Text of thesis:  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. Embedded Figures and Tables should be placed within the page of their first mention (e.g., on the same page or on the following page).

Common Formatting Mistakes (cont’d)  Text of thesis (cont’d)  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.  Spell check AND proofread carefully. Use U.S. English spellings, unless the intended journal requires British English, e.g., “Acknowledgements” vs. “Acknowledgments”. MS Word will NOT check words that are in CAPS (e.g., your thesis title).  Data is plural and datum is singular; criteria is plural, criterion is singular. Affect is a verb, effect is a noun.

Common Formatting Mistakes (cont’d)  Quotes:  Quotations over three lines 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.

Common Formatting Mistakes (cont’d)  References:  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 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.

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 1.5 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”.

Reference Formatting  We STRONGLY recommend that you use a bibliography program to store, track, and format your references.  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.  Several other bibliography programs are available (many for free), such as: nt_software

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

General 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.

General Information (cont’d)  Copyright and your thesis:  Copyright privileges vest immediately upon creating your work, without the requirement of notice or registration, provided that you have not signed away your copyright to a journal or publisher.  UAA retains the right to store, preserve, and reproduce or display your thesis for educational purposes.  You can, if you desire, formally register your copyright directly with the U.S. Copyright Office, or you can authorize ProQuest to register your copyright in your name. This requires an additional $55.00 fee, paid when you submit your work through the Electronic Thesis and Dissertation (ETD) webpage.  The thesis must have © on the Title Page  © 2014 Wil Wheaton

General Information (cont’d)  Microfilming/Digitalizing  Is required for all theses and dissertations. The ETD process eliminates the fee for Traditional Publishing. Open Access Publishing it optional and has a fee of $  Delayed Publication (Embargo)  Can delay the publishing of the thesis or dissertation for 6 months up to two years. Embargo is required for all Creative Writing theses.  The request is made during the ETD process.  Fold-out Pages  Fold-out pages can no longer be bound. If your figure or table is too large for a landscape page, you will have to submit it as a supplemental file.  Oversized Figures or Tables  Should be submitted as supplemental files, and refer to them as such in the text.

4.0 The Home Stretch…

Now that you have the thesis written…  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. Two Signature Pages are recommended – because coffee happens.

Format Check  Please provide one copy of your thesis to the Graduate School for the format check.  This can be done before your defense (recommended) or when you submit the final thesis draft.  The copy must be two-sided and unbound.  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.

The Final Edition  Submit the following to the Graduate School by the appropriate deadline or before (see UAA Thesis Formatting Handbook or the UAA Graduate School website):  One copy of your thesis  On regular paper, double-sided, and unbound  CWLA and distance students will submit a PDF copy  One (or two) original, pristine Signature Pages with all signatures through the College or School Dean.  On regular copy paper, please!

Doctoral Students  Additional Documents:  Survey of Earned Doctorates (SED)  50-word abstract for Commencement program and Hooding Ceremony script  Optional: A photo (hi-resolution headshot please).

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 Pages.  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 submit your final thesis and Signature Page into ETD.  See the Thesis Submission Flow Chart for complete submission process.

5.0 Electronic Thesis Submission (ETD) A Brief “How-to”

Getting Started:  Make sure you have your full thesis or dissertation, including appendices, the Abstract, and any supplementary files readily available.  Have the names of all your committee members  Your file preferably should be already in portable document format (.pdf). If not, the ETD Administrator site has tools you can use to convert your file(s). Please do NOT submit it as a PDF/A.

Thesis or Dissertation Electronic Submission Process  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.

Submission Process  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.

Submission Process (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.

Submission Process (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  All fonts are embedded in the PDF (embed in a word document before converting to PDF).  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.

Submission Process(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.

Submission Process (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.

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:

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

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-