Forms and Petitions

Guide to Filing Theses and Dissertations

Organization of the Document

Preliminary Pages or Front Matter

Except for the title page and signature or approval page, all preliminary pages are numbered with lower case roman numerals at the center bottom of the page. The page after the signature page begins with number iii. Pages to be filed are numbered in sequence, and page numbers are centered and placed .75 inches from the bottom of the edge of the page. Sample preliminary pages appear in Appendix B of this guide. Students can copy the general layout used in the sample preliminary pages found at the end of this Guide to present information, but substitute their own name, title, committee members, etc. A sample dissertation, including preliminary pages, body text with figures, references and appendix, is available on-line in downloadable PDF or Word for Windows format.

Title Page

• The name of the institution conferring the degree - University of California, Santa Barbara - should appear at the top of the title page (see sample title page in Appendix B).
• The title should be specific, unambiguous, and descriptive of the research, with easily identifiable key words that will ensure electronic retrieval.
• Scientific titles must use words, not symbols, formulas, superscripts or Greek letters in the title.
• The title should represent a summary of the research but not be overly lengthy; generally speaking, titles should not contain more than 50 words.
• Master's students should refer to their document as a thesis. Doctoral students should refer to their document as a dissertation. D.M.A. students in Music should refer to their document as a supporting document.
• The degree listed should be the degree that UCSB will actually confer; if unsure, contact the Graduate Division at 893-2277.
• Students should list their full legal name and follow this format throughout the manuscript.
• All committee members must be listed, chairperson first, using the generic title Professor. If a committee member's academic title is Lecturer, list him or her as "Doctor ____, Lecturer." If the lecturer does not hold a doctorate, list the following: Name, Highest Degree, Lecturer. Example: Jane L. Smith-Jones, M.F.A., Lecturer.
• The student must use a brief summary title when the manuscript is a compilation of two publishable papers that are referenced in the title.
• Degree date on title page: Students must use the last month and year of the quarter of degree conferral - December for a Fall degree, March for a Winter degree, June for a Spring degree, and September for a Summer degree. Students should check with Graduate Division if they have questions.
• If the manuscript is longer than 500 pages, the Library cannot bind it all in one volume. Please prepare two title pages, one labeled "Part One" and the other labeled "Part Two." For binding, the manuscript will be broken into two roughly equal parts.
• The title page is not numbered, although it is counted as page "i" in the sequential numbering of the preliminary pages. The title and approval pages are the only manuscript pages without page numbers.

Approval (or Signature) Page

Students must submit two approval pages (or signature sheets) and include original faculty signatures on both in permanent black or blue ink. Black ink is preferred for greater permanence. (No other color ink is acceptable.) The signatures must correspond to the names of committee members listed on the title page. The committee chair signs on the bottom line. For the approval (or signature) page, students should use the month and year the faculty members sign, indicating their review and acceptance of the entire document. Please note that the standard paper quality requirements - white, letter-sized paper (8.5 x 11 inches), 100% cotton fiber, 20- or 24-pound bond - apply for the approval pages (or signature sheets).

This page is not numbered (although it is counted as page ii). Page numbers from here forward in the preliminary pages of the document will vary for individual students, depending on which of the optional pages described below the student chooses to include. The numbers must be internally consistent for the document.

Copyright Notice (optional)

Students who are planning to register their copyright can, if they wish, include a separate page for the statement of copyright. The use of a copyright notice is no longer required under U.S. law, but is considered important and beneficial because it informs the public that the work is protected by copyright, identifies the copyright owner, and shows the year of first publication. Additional information on copyrighting appears in Chapter IX. Students should use the same form of their name as it appears on the title page. See the copyright notice sample in Appendix B.

Dedication and/or Acknowledgements (optional)

Students may use this section to dedicate their manuscript to someone or to acknowledge particular persons in their lives. Within the usual margin restrictions, any format is acceptable for these pages. The acknowledgements, along with any other preliminary sections or parts of the thesis or dissertation, must be reviewed and approved by the student's committee.

Vita

A biographical notice, or vita, is required only of doctoral candidates. See the sample vita in Appendix B. It should contain the following information:

• Colleges attended and degrees earned.
• Professional appointments (may include military assignments).
• Publications (may include the title of an unpublished master's thesis).
• Fields of study and names of faculty who supervised research. Group fields into related teaching or research headings where possible.

Abstract

Abstracts of no more than 350 words, double-spaced, are required for both theses and dissertations, and include the following:

• The title of the thesis or dissertation and the candidate's name in full.
• A brief statement of the problem.
• A description of the methods and procedures used to gather data or study the problem.
• A condensed summary of the findings.

Table of Contents (optional)

Very brief works need not have a table of contents. But most theses and all dissertations are easier to use with a table of contents. If plates or illustrations such as maps, diagrams, charts, and photos are scattered throughout the document, make a separate "List of Figures" or "Table of Illustrations" to follow the table of contents. Include page numbers.

The Main Body of the Manuscript (Text)

Except where specified otherwise in these requirements, the organization, presentation, and documentation of the student's thesis or dissertation should meet the standards for publishing journal articles or monographs in the field of inquiry. For general information, consult a standard style guide; The University of Chicago Manual of Style is recommended as an authoritative source. Students who have discipline-specific questions should consult style sheets from journals in the field of inquiry, as well as their committee members. The first page of the main body of text must be numbered as an Arabic "1."

Notes

Footnotes, citations, and bibliographic references will vary by discipline. Footnotes may be embedded in the text, placed at the bottom of each page, or collected at the ends of chapters or at the end of the entire work, preceding the bibliography. Students should consult the committee for the format they (or the discipline) prefer(s) and use it consistently throughout the document.

Bibliography (optional)

Some disciplines put bibliographic notes at the end of each chapter; others collect extensive bibliographies at the end of the work. Committee members and disciplinary formatting guidelines should be consulted regarding the form and organization to be used in presenting bibliographic material.

Appendices (optional)

Appendices typically contain supporting material such as data sheets, questionnaire samples, illustrations, maps, charts, etc. Students may need to photocopy some items at less than 100% in order to fit them within the margins. Other oversize items may be folded to fit within the margins, or may be put in special pockets in the back. See Chapter IV, Special Handling for Oversize, Illustrative, and Special Materials, for additional information.