Forms and Petitions

Guide to Filing Theses and Dissertations

Specifications of the Document

The specifications in the following pages were adopted in consultation with Davidson Library and based on the publication standards of ProQuest. These standards assure uniformity in the degree candidates' manuscripts to be archived in the Davidson Library, as well as to ensure the widest possible dissemination of student-authored knowledge. A sample dissertation, including preliminary pages, body text with figures, references and appendix, is available on-line in downloadable PDF or Word format.

English Required in Text

The manuscript must be written in English, unless the student is a degree candidate in a foreign language department that encourages or requires theses/dissertations in the language of study. Even if the text is in another language, all information in the front matter, except the title, must be in English.

Use of Previously Published Material Authored by the Student

Offprints of previously published material (e.g., journal articles, book chapters) may not be filed in lieu of a thesis or dissertation. However, the student may incorporate previously published material of which the student is the sole author into the text of the manuscript or include the offprints as appendices, according to the directions of the committee members. The presentation of this material must conform to all other requirements that are specified in this guide. Even though the student is the sole author of this material, s/he must obtain reprint permission from the copyright owner - oftentimes copyright is assigned to the original publisher - before the document can be filed with Graduate Division. Sample reprint permission letters can be found in Appendix C of this guide.

Use of Material That is Coauthored by the Student

The permission requirements for previously published material of which the student is a coauthor are the same as the requirements for previously published material of which the student is the sole author, if the copyright is assigned to the publisher. In the case of published material when the copyright has not been assigned to the publisher, but remains with the coauthors, and in cases where the material in question is coauthored but unpublished, as may be the case with an article that has been submitted, but not accepted, for publication, the student must obtain reprint permission from the other coauthors. Sample reprint permission letters can be found in Appendix C of this guide.

Use of Unpublished Material That is Not Authored by the Student

Fair use for unpublished material may be more restrictive than for published material. Therefore, in order to incorporate unpublished material of which the student is not the author or coauthor, the student must obtain reprint permission from the copyright owner before the thesis or dissertation can be filed with Graduate Division. Sample reprint permission letters can be found in Appendix C of this guide.

Legibility and Appearance

The original manuscript must be produced using a typeface or font that is highly legible, dark enough to reproduce clearly, and large enough to be readily readable on microfilm. (Note: Dissertations are microfilmed; master's theses are not.) The document must be free of streaks, smudges, or any extraneous marks. White-out and correction tape are not acceptable because they flake off over time. Interlineations and hand corrections are not acceptable.

Paper

The manuscript must be printed on paper that will not decompose on the shelf and must be prepared such that it can be readily reproduced and will microfilm well. Students must provide to Graduate Division two copies of the complete manuscript on white, letter-sized paper (8.5 x 11 inches), 100% cotton fiber, 20- or 24-pound bond. Under certain circumstances, some large appendices may be filed on disk. See Chapter IV for information on handling oversize materials such as maps and music scores.

The student will need additional copies of the title page and abstract - one for master's theses, two for doctoral dissertations - to deliver to Graduate Division. These copies do not need to be on 100% cotton bond.

Minimum Margins

Large margins are necessary because of the binding process. The student may set larger margins but must be sure that the final text lies well within these guidelines.

TOP LINE OF TYPE = 1.25" from top of paper
BOTTOM LINE OF TYPE = 1.25" from bottom of paper
LEFT = 1.5" (this margin is wide for binding requirements and microfilming)
RIGHT = 1.25"

Except for page numbers, nothing must intrude into the margins. These minimum specifications also apply to all figures, charts, graphs, illustrations and appendices. When oversize papers are used, the same margin measurements must be maintained.

Font and Font Sizes

A font size of at least 12 must be used for the text. Standard fonts such as Arial, Century Gothic, Helvetica, or Times are recommended. A font size of at least 10 must be used for footnotes and captions.

Italics may be used for quotations, headings, labels, book titles, foreign words, in scientific names or for occasional emphasis. Fonts and font sizes used for appendices, charts, drawings, graphs, maps and tables may differ from that used for the text. Script, calligraphy, italics, and specialized art fonts are not acceptable for the main body of the text. The print should be letter quality with dark black characters that are clear and dense.

Page Numbers

Page numbers should be centered on the page .75 inches from the bottom of the edge of the page. Placement of page numbers must be consistent throughout the manuscript. Students should be careful to provide space between the text and the page numbers. Some word processing programs have a page numbering default that sets the number too close to the last line of type to meet the UCSB requirements. If this is the case, the student must properly set the Footer margin of the document; the manual for the word processing program contains instructions for this and other formatting procedures.

Pagination

Except where noted below, each page of the entire manuscript must be numbered consecutively; pages should be counted or numbered in accord with the following standards:

1. Neither the title page nor the approval (signature) page is to be numbered; the two pages are counted when numbering the following preliminary pages even though they are not numbered.
2. The preliminary pages following the title and approval pages must be numbered consecutively beginning with lower case Roman numeral "iii." All preliminary pages are to be numbered using lower case roman numerals (following the title and approval page, begin with iii, iv, v, vi, etc.). This includes the abstract, dedications, tables of contents, lists of figures, tables, symbols, illustrations, photographs, prefaces, introductions, acknowledgements, and vita (required for dissertations).
3. The main body of the text and any back matter must be numbered consecutively with Arabic numerals beginning with "1" (1, 2, 3, etc.), including text, illustrative materials, bibliography, notes, and appendices.

Correct pagination - no missing pages, blank pages, or duplicate numbers or pages - is required for the manuscript to be acceptable.

One-sided Printing Required

The manuscript must be printed on only one side of the page; two-sided printing is not allowed.

Double Spacing of Text Required

All textual materials in the main body of text should be double-spaced. Long quotations, footnotes, text that appears within figures or tables or maps, bibliographies and captions may be single-spaced. Survey instruments and other materials used by the student to conduct research that are reproduced in an appendix may be single-spaced. The vita may also be single-spaced.