phd thesis margins

Thesis and Dissertation Guide

• « Thesis & Dissertation Resources
• The Graduate School Home

• Introduction
• Copyright Page
• Dedication, Acknowledgements, Preface (optional)
• Table of Contents
• List of Tables, Figures, and Illustrations
• List of Abbreviations
• List of Symbols

Non-Traditional Formats

Font type and size, spacing and indentation, tables, figures, and illustrations, formatting previously published work.

• Internet Distribution
• Open Access
• Registering Copyright
• Using Copyrighted Materials
• Use of Your Own Previously Published Materials
• Submission Steps
• Submission Checklist
• Sample Pages

II. Formatting Guidelines

All copies of a thesis or dissertation must have the following uniform margins throughout the entire document:

• Left: 1″ (or 1 1/4" to ensure sufficient room for binding the work if desired)
• Right: 1″
• Bottom: 1″ (with allowances for page numbers; see section on Pagination )
• Top: 1″

Exceptions : The first page of each chapter (including the introduction, if any) begins 2″ from the top of the page. Also, the headings on the title page, abstract, first page of the dedication/ acknowledgements/preface (if any), and first page of the table of contents begin 2″ from the top of the page.

Non-traditional theses or dissertations such as whole works comprised of digital, artistic, video, or performance materials (i.e., no written text, chapters, or articles) are acceptable if approved by your committee and graduate program. A PDF document with a title page, copyright page, and abstract at minimum are required to be submitted along with any relevant supplemental files.

Fonts must be 10, 11, or 12 points in size. Superscripts and subscripts (e.g., formulas, or footnote or endnote numbers) should be no more than 2 points smaller than the font size used for the body of the text.

Space and indent your thesis or dissertation following these guidelines:

• The text must appear in a single column on each page and be double-spaced throughout the document. Do not arrange chapter text in multiple columns.
• New paragraphs must be indicated by a consistent tab indentation throughout the entire document.
• The document text must be left-justified, not centered or right-justified.
• For blocked quotations, indent the entire text of the quotation consistently from the left margin.
• Ensure headings are not left hanging alone on the bottom of a prior page. The text following should be moved up or the heading should be moved down. This is something to check near the end of formatting, as other adjustments to text and spacing may change where headings appear on the page.

Exceptions : Blocked quotations, notes, captions, legends, and long headings must be single-spaced throughout the document and double-spaced between items.

Paginate your thesis or dissertation following these guidelines:

• Use lower case Roman numerals (ii, iii, iv, etc.) on all pages preceding the first page of chapter one. The title page counts as page i, but the number does not appear. Therefore, the first page showing a number will be the copyright page with ii at the bottom.
• Arabic numerals (beginning with 1, 2, 3, 4, etc.) start at chapter one or the introduction, if applicable. Arabic numbers must be included on all pages of the text, illustrations, notes, and any other materials that follow. Thus, the first page of chapter one will show an Arabic numeral 1, and numbering of all subsequent pages will follow in order.
• Do not use page numbers accompanied by letters, hyphens, periods, or parentheses (e.g., 1., 1-2, -1-, (1), or 1a).
• Center all page numbers at the bottom of the page, 1/2″ from the bottom edge.
• Pages must not contain running headers or footers, aside from page numbers.
• If your document contains landscape pages (pages in which the top of the page is the long side of a sheet of paper), make sure that your page numbers still appear in the same position and direction as they do on pages with standard portrait orientation for consistency. This likely means the page number will be centered on the short side of the paper and the number will be sideways relative to the landscape page text. See these additional instructions for assistance with pagination on landscape pages in Microsoft Word .

Format footnotes for your thesis or dissertation following these guidelines:

• Footnotes must be placed at the bottom of the page separated from the text by a solid line one to two inches long.
• Begin at the left page margin, directly below the solid line.
• Single-space footnotes that are more than one line long.
• Include one double-spaced line between each note.
• Most software packages automatically space footnotes at the bottom of the page depending on their length. It is acceptable if the note breaks within a sentence and carries the remainder into the footnote area of the next page. Do not indicate the continuation of a footnote.
• Number all footnotes with Arabic numerals. You may number notes consecutively within each chapter starting over with number 1 for the first note in each chapter, or you may number notes consecutively throughout the entire document.
• Footnote numbers must precede the note and be placed slightly above the line (superscripted). Leave no space between the number and the note.
• While footnotes should be located at the bottom of the page, do not place footnotes in a running page footer, as they must remain within the page margins.

Endnotes are an acceptable alternative to footnotes. Format endnotes for your thesis or dissertation following these guidelines:

• Always begin endnotes on a separate page either immediately following the end of each chapter, or at the end of your entire document. If you place all endnotes at the end of the entire document, they must appear after the appendices and before the references.
• Include the heading “ENDNOTES” in all capital letters, and center it 1″ below the top of the first page of your endnotes section(s).
• Single-space endnotes that are more than one line long.
• Number all endnotes with Arabic numerals. You may number notes consecutively within each chapter starting over with number 1 for the first note in each chapter, or you may number notes consecutively throughout the entire document.
• Endnote numbers must precede the note and be placed slightly above the line (superscripted). Leave no space between the number and the note.

Tables, figures, and illustrations vary widely by discipline. Therefore, formatting of these components is largely at the discretion of the author.

For example, headings and captions may appear above or below each of these components.

These components may each be placed within the main text of the document or grouped together in a separate section.

Space permitting, headings and captions for the associated table, figure, or illustration must be on the same page.

The use of color is permitted as long as it is consistently applied as part of the finished component (e.g., a color-coded pie chart) and not extraneous or unprofessional (e.g., highlighting intended solely to draw a reader's attention to a key phrase). The use of color should be reserved primarily for tables, figures, illustrations, and active website or document links throughout your thesis or dissertation.

The format you choose for these components must be consistent throughout the thesis or dissertation.

Ensure each component complies with margin and pagination requirements.

Refer to the List of Tables, Figures, and Illustrations section for additional information.

If your thesis or dissertation has appendices, they must be prepared following these guidelines:

• Appendices must appear at the end of the document (before references) and not the chapter to which they pertain.
• When there is more than one appendix, assign each appendix a number or a letter heading (e.g., “APPENDIX 1” or “APPENDIX A”) and a descriptive title. You may number consecutively throughout the entire work (e.g., 1, 2 or A, B), or you may assign a two-part Arabic numeral with the first number designating the chapter in which it appears, separated by a period, followed by a second number or letter to indicate its consecutive placement (e.g., “APPENDIX 3.2” is the second appendix referred to in Chapter Three).
• Include the chosen headings in all capital letters, and center them 1″ below the top of the page.
• All appendix headings and titles must be included in the table of contents.
• Page numbering must continue throughout your appendix or appendices. Ensure each appendix complies with margin and pagination requirements.

You are required to list all the references you consulted. For specific details on formatting your references, consult and follow a style manual or professional journal that is used for formatting publications and citations in your discipline.

Your reference pages must be prepared following these guidelines:

• If you place references after each chapter, the references for the last chapter must be placed immediately following the chapter and before the appendices.
• If you place all references at the end of the thesis or dissertation, they must appear after the appendices as the final component in the document.
• Select an appropriate heading for this section based on the style manual you are using (e.g., “REFERENCES”, “BIBLIOGRAPHY”, or “WORKS CITED”).
• Include the chosen heading in all capital letters, and center it 1″ below the top of the page.
• References must be single-spaced within each entry.
• Include one double-spaced line between each reference.
• Page numbering must continue throughout your references section. Ensure references comply with margin and pagination requirements.

In some cases, students gain approval from their academic program to include in their thesis or dissertation previously published (or submitted, in press, or under review) journal articles or similar materials that they have authored. For more information about including previously published works in your thesis or dissertation, see the section on Use of Your Own Previously Published Materials and the section on Copyrighting.

If your academic program has approved inclusion of such materials, please note that these materials must match the formatting guidelines set forth in this Guide regardless of how the material was formatted for publication.

Some specific formatting guidelines to consider include:

• Fonts, margins, chapter headings, citations, and references must all match the formatting and placement used within the rest of the thesis or dissertation.
• If appropriate, published articles can be included as separate individual chapters within the thesis or dissertation.
• A separate abstract to each chapter should not be included.
• The citation for previously published work must be included as the first footnote (or endnote) on the first page of the chapter.
• Do not include typesetting notations often used when submitting manuscripts to a publisher (i.e., insert table x here).
• The date on the title page should be the year in which your committee approves the thesis or dissertation, regardless of the date of completion or publication of individual chapters.
• If you would like to include additional details about the previously published work, this information can be included in the preface for the thesis or dissertation.

Previous: Order and Components

Next: Distribution

Thesis & Dissertation: Guidelines for Masters and PhD Programs

General guidelines for formatting dissertation or thesis.

In formatting your dissertation or thesis, you must follow the guidelines for page composition presented on the following requirements. General guidelines are shown first; specific guidelines relative to each section of your dissertation or thesis follow.

Pagination for Body of Dissertation or Thesis

• Use continuous Arabic numbers (beginning with 1) inthe same size font as the text for the body of the dissertation or thesis.
• Page numbers are placed at the bottom of the page,centered between the margins. There should always be at least a 24-point space between the page number and the text.
• Chapters within the text begin on new pages.
• There are no format requirements for chapter headings. You should use a format that is standard in your field and be consistent for all chapters.
•  There should be no page breaks between sections or before tables or figures, unless they occur naturally. (Exception: If the bibliography is placed at the end of each chapter, a page break needs to be placed at the end of the text and the bibliography started on the next page. The page number stays at the bottom of the page.)
• In a dissertation or thesis with two volumes, the second must continue the numbering of the first part. Each volume must contain a title page (labelled beneath the title with the words “Volume I” or “Volume II”), and the title page of the second volume is counted as a text page but the numeral is not printed on the page.

Pagination for Preliminary Pages

• Preliminary pages are numbered consecutively, usinglowercase Roman numerals in the same size font as the text, centered between the margins, at least 0.5 inch from the bottom of the page.
• Page numbering starts with the biographical sketch,which is numbered as “iii.” (The title page and copyright page are counted but not numbered; the abstract is neither counted nor numbered.) Every preliminary page thereafter is numbered, including multiple pages within a section.

Exact margins are absolutely essential so that the dissertation or thesis can be microfilmed in its entirety for interlibrary loan. After photocopying, margins must be at least:

• Left margin: 1.5 inches or slightly larger.
• Top, bottom, right margins: 1 inch or slightly larger.

(Hint: It is recommended that you set margins at 1.6 inches for the left margin and 1.1 inches for all other margins, since photocopying may enlarge the text by as much as 2 percent.) These margins apply to all pages, including those with tables and figures.

Justification

• Left-aligned, ragged right margins are preferred.
• If you are using a computer or word processor, usejustified margins only if the computer does this well, i.e., does not separate punctuation from characters or leave large gaps in the text.

The dissertation or thesis must contain correct vertical spacing (or 24-point spacing), which is defined as three lines of type and three line spaces per vertical inch throughout the text. Microsoft Word users: go to Format/Paragraph/Indents and Spacing/Line spacing and choose “Exactly.” Set the points at 24. (To check that the font is three lines per inch, place a ruler vertically on the page and measure from the top of the first line to the top of the fourth line.) Exceptions:

• Quotations and footnotes may be single-spaced within each entry.
• Lengthy tables may be single-spaced.
• In an M.F.A. thesis, irregular spacing is permitted to accommodate poetry, some of which is written single-spaced, some triple-spaced, and some with variable spacing.

The Body of the Dissertation or Thesis

• Appendix (or Appendices) (optional)

Bibliography (or References or Works Cited)

• If using a PC, the following fonts and font sizes are acceptable:
• Times New Roman 12
• Helvetica 12
• Times 14 (Times 12 is not acceptable)
• Other fonts may be acceptable (but Courier is not).Check the font with the Thesis Advisor.
• Footnotes may be single-spaced in a 10-point size but must be in the same font as the rest of the text.

Equations, Formulas, and Sub- and Superscripts

• All equations and formulas should be typeset.
• When a computer, word processor, or typewriter cannot make the symbol, insertions by hand are acceptable.
• Equations also may be inserted from a non-matching typewriter or laser-printer font.
• All subscripts and superscripts must be large enough to be read on microfilm. (To ensure readability on microfilm, test a page with sub- or superscripts by photocopying the page using a 25 percent text reduction. If the sub- or superscripts are still readable, then they are large enough.)

Corrections

Strikeovers, correction fluid, and correction tape are not acceptable in the filed copies.

Widows and Headings Separated from Text

•  A dissertation or thesis will not be accepted if it contains “widows” (short lines ending a paragraph at the top of a page) at the end of a chapter.
•  A dissertation or thesis will not be accepted if it contains a heading or subhead at the bottom of a page that is separate from its respective text on the following page.
• In addition to the general formatting guidelines shown above, the following specific guidelines must be followed for each individual section of your dissertation or thesis.

Required Sections, Guidelines, and Suggestions

Required yes.

Typeset the title in all capital letters, centered within the left and right margins, correctly spaced, about 1.5 inches from the top of the page. • Carefully select words for the title of the dissertation or thesis to represent the subject content as accurately as possible. Words in the title are important access points to researchers who may use keyword searches to identify works in various subject areas. • Use word substitutes for formulas, symbols, superscripts, Greek letters, etc. Below the title, at the vertical and horizontal center of the margins, correctly spaced, position the following five lines (all centered): Line 1: A Dissertation [or Thesis] Line 2: Presented to the Faculty of the Weill Cornell Graduate School Line 3: of Medical Sciences Line 4: in Partial Fulfillment of the Requirements for the Degree of Line 5: Doctor of Philosophy [or other appropriate degree] • Center the following three lines within the margins, 1.5 inches from the bottom of the page: Line 1: by Line 2: [name under which you are registered in the University Registrar’s Office] Line 3: [month and year of degree conferral, not the date the dissertation or thesis is submitted; no comma between month and year]

Copyright page

A notice of copyright should appear as the sole item on the page (there is no page heading), centered vertically and horizontally within the margins: © 201_ [student’s registered name] • The copyright symbol is a lower case “c,” which must be circled. (On Macintosh computers, the symbol is typed by pressing the “option” and “g” keys simultaneously. If the font does not have the © symbol, type the “c” and circle it by hand. On PCs, go to the insert menu, choose “symbol,” and highlight the © symbol.)

Required ? Yes

Doctoral candidates.

The heading of the abstract in a dissertation is centered between the left and right margins about 1.1 inches down from the top of the page; it includes the following lines: TITLE OF DISSERTATION Student’s Name, Ph.D. Cornell University 201_ [year of conferral]

• Following the heading lines, skip one 24-point-spaced line and begin the text of the abstract on the same page.
• The abstract should state the problem, describe the methods and procedures used, and give the main results or conclusions of the research.
• The abstract must not exceed 350 words in length (generally about one-and-one-half correctly spaced pages; the abstract may not be more than two pages).

Master’s candidates

• The page heading of the abstract in a thesis is simply the word “ABSTRACT” in all capital letters, centered within the margins at the top of the page. (The thesis abstract does not display the thesis title, author’s name, degree, university, or date of degree conferral.)
•  The abstract must not exceed 600 words in length (approximately two-and-one-half to three pages of correctly spaced typing).

Biographical Sketch

The biographical sketch must be written in third-person voice and contain your educational background. It may contain additional biographical facts.

• As a page heading, use “BIOGRAPHICAL SKETCH” in all capital letters, centered on the page.
•  Number this page as iii. (This is the first numbered preliminary page.)

Dedication 

Required optional.

No title is used on the page.

• The text is centered on the page and can be shown in italic or regular type.
• Text on this page does not need to be in English

Acknowledgments

• The acknowledgments may be written in first-person voice. If your research has been funded by outside grants, you should check with the principal investigator of the grant regarding proper acknowledgment of the funding source. Most outside funding sources require some statement of acknowledgment of the support; some also require a disclaimer from responsibility for the results.
• As a page heading, use “ACKNOWLEDGMENTS” in all capital letters, centered on the page.

Table of Contents

As a page heading, use “TABLE OF CONTENTS” in all capital letters, centered on the page.

• List the sections/chapters of the body of the dissertation or thesis; also list preliminary sections starting with the biographical sketch. (The title page, copyright page, and abstract are not listed.)
• If the dissertation or thesis consists of two volumes, list “Volume II” as a section in the table of contents.
• Page numbers must be listed in a column to the right of each section or chapter title; only the first page of each chapter or section is stated (not a range of page numbers, such as 7–22).
• The table of contents may be single-spaced.

List of Figures and List of Illustrations

Required if included.

As a page heading, use “LIST OF FIGURES” or "LIST OF ILLUSTRACTIONS" in all capital letters, centered on the page.

• The list must contain enough of the titles or descriptions so that readers can locate particular items using the list. (It may not be necessary to include entire figure/illustration captions.)
• The list must contain the page number on which each figure or illustration is found, as in a table of contents.
• The list of figures/ illustrations may be single-spaced.
• Figures/ illustrations must be placed as close as possible to their first mention in the text. They may be placed on a page with no text above or below, or they may be placed directly into the text. If a figure is placed directly into the text, text may appear above or below the figure/illustration/table; no text may wrap around the figure/illustration/table.
• If a figure/illustration appears on a page without other text, it must be centered vertically within the margins on the page.
• Figures/ Illustrations may not be placed at the end of the chapter or at the end of the dissertation or thesis.
• Figure/illustration must be either continuous throughout the dissertation or thesis, or by chapter (e.g., 1.1, 1.2; 2.1, 2.2, etc.). The word “Figure,”  "Illustration" must be spelled out (not abbreviated), and the first letter must be capitalized.
• A caption for a figure/illustration must be placed at the bottom of the figure.
•  If the figure/illustration not including the caption, takes up the entire page, the figure/illustration caption must be placed alone on the preceding page and centered vertically and horizontally within the margins. (When the caption is on a separate page, the List of Figures, List of Illustrations  will list the page number containing the caption.)
• If the figure/illustration not including the caption, takes up more than two pages it must be preceded by a page consisting of the caption only. The first page of the figure/illustration must include the figure/illustration (no caption), and the second and subsequent pages of the figure/illustration/table must also include, at the top of the figure/illustration/table, words that indicate its continuance—for example, “Figure 5 (Continued)”—and on these pages the caption is omitted.
• If figures/illustrations are too large, they may be slightly reduced so as to render a satisfactory product or they must either be split into several pages or be redone. If a figure/illustration is reduced, all lettering must be clear, readable, and large enough to be legible. All lettering, including subscripts, must still be readable when reduced 25 percent beyond the final version. All page margin requirements must be maintained. Page numbers and headings must not be reduced. Figure/illustration captions must be in the same font and font size as the text, not reduced.
• The caption of a figure may be single-spaced, but then captions for all figures/illustrations/tables must be single-spaced.
• Horizontal figures/ illustrations must be positioned correctly—i.e., the top of the figure/illustration will be at the left margin of the vertical page of the dissertation or thesis (remember: pages are bound on the left margin). Figure/illustration headings/captions are placed with the same orientation as the figure/illustration when they are on the same page as the figure/illustration. When they are on a separate page, headings/captions are always placed in vertical orientation, regardless of the orientation of the figure/ illustration.
• Page numbers are always placed as if the figure/illustration was vertical on the page.

List of Tables

• As a page heading, use ““LIST OF TABLES” in all capital letters, centered on the page.
• There must be separate pages for “LIST OF TABLES” even if there is only one example of each.
• The list must contain enough of the titles or descriptions so that readers can locate particular items using the list. (It may not be necessary to include entire table captions.)
• The list must contain the page number on which each  table is found, as in a table of contents.
• The list of tables may be single-spaced.
• Tables must be placed as close as possible to their first mention in the text. They may be placed on a page with no text above or below, or they may be placed directly into the text. If a table is placed directly into the text, text may appear above or below the figure/illustration/table; no text may wrap around the figure/illustration/table.
• If a table appears on a page without other text, it must be centered vertically within the margins on the page.
• Tables may not be placed at the end of the chapter or at the end of the dissertation or thesis.
• Table numbering must be either continuous throughout the dissertation or thesis, or by chapter (e.g., 1.1, 1.2; 2.1, 2.2, etc.). The word “Table” must be spelled out (not abbreviated), and the first letter must be capitalized.
•  A caption for a table must be placed above the table.
• If the table, not including the caption, takes up the entire page, the table caption must be placed alone on the preceding page and centered vertically and horizontally within the margins. (When the caption is on a separate page, the List of Tables will list the page number containing the caption.)
• If the table, not including the caption, takes up more than two pages it must be preceded by a page consisting of the caption only. The first page of the table must include the table (no caption), and the second and subsequent pages of the table must also include, at the top of the table, words that indicate its continuance—for example, “Figure 5 (Continued)”—and on these pages the caption is omitted.
• If tables are too large, they may be slightly reduced so as to render a satisfactory product or they must either be split into several pages or be redone. If a table is reduced, all lettering must be clear, readable, and large enough to be legible. All lettering, including subscripts, must still be readable when reduced 25 percent beyond the final version. All page margin requirements must be maintained. Page numbers and headings must not be reduced.
• Table captions must be in the same font and font size as the text, not reduced.
• The caption of a figure/illustration/table may be single-spaced, but then captions for all figures/illustrations/tables must be single-spaced.
•  Horizontal tables must be positioned correctly—i.e., the top of the table will be at the left margin of the vertical page of the dissertation or thesis (remember: pages are bound on the left margin). Table headings/captions are placed with the same orientation as the table when they are on the same page as the table. When they are on a separate page, headings/captions are always placed in vertical orientation, regardless of the orientation of the table.

List of Abbreviations

•  As a page heading, use “LIST OF ABBREVIATIONS” in all capital letters, centered on the page.

List of Symbols

•  As a page heading, use “LIST OF SYMBOLS” in all capital letters, centered on the page.
• As a page heading, use “PREFACE” in all capital letters, centered on the page.

Body of the Dissertation or Thesis: Text, Appendix, Bibliography

•  Chapter headings may be included that conform to the standard of your academic field.
• Textual notes that provide supplementary information, opinions, explanations, or suggestions that are not part of the text must appear at the bottom of the page as footnotes. Lengthy footnotes may be continued on the next page. Placement of footnotes at the bottom of the page ensures that they will appear as close as possible in the microfilm to the referenced passage.
•  Footnotes may be single-spaced in a 10-point size but must be in the same font as the text.
• Footnotes should be numbered with superscripted Arabic numerals. Numbering can be continuous throughout the dissertation or thesis or may start again for each chapter or page, but the method used must be consistent throughout the document. (Once footnotes have been numbered, any footnotes that are inserted later will require the renumbering of all footnotes to accommodate the newly inserted one. Amending the existing footnote numbers by adding letters to distinguish repeated Arabic numerals—for example, 12a, 12b—is not allowed.)

Published Material.

• If the material in any chapter has already been published or accepted for publication, written permission from the publisher authorizing the student to use it in the dissertation must be submitted.
• On the first page of all published chapters, type an asterisk (*) next to the title(s). The asterisk should appear again at the bottom of the page, followed by a complete reference to the publication.

Appendix (or Appendices)

•  As a page heading, use “APPENDIX” in all capital letters, centered on the page.
•  Place in an appendix any material that is peripheral but relevant to the main text of the dissertation or thesis, such as survey instruments, additional data, computer printouts, details of a procedure or analysis, a relevant paper that you wrote, etc.
•  The appendix may include text that does not meet the general font and spacing requirements of the other sections of the dissertation or thesis.
• As a page heading, use “BIBLIOGRAPHY” (or “REFERENCES” or “WORKS CITED”) in all capital letters, centered on the page.
•  Bibliographies may be single-spaced within each entry but must be 24-point-spaced between entries.
• The Graduate School recommends that you follow the standard citation format used by a major journal in your academic field and that the style be consistent throughout the dissertation or thesis. (Also see “References for Style and Format.”)

For more information please read the Graduate Degree Requirements: Instructions for Doctoral Dissertation and Thesis Preparation:

Fair Use, Copyright, Patent, and Publishing Options

1. Is information that you plan to include from others considered “fair use” and are you acknowledging these sources correctly?

You are responsible for acknowledging any facts, ideas, or materials of others that you include in your work. You must follow the guidelines for acknowledging the work of others in the “Code of Academic Integrity and Acknowledging the Work of Others” (published in the Policy Notebook for the Cornell Community).

If you use any copyrighted material in the dissertation or thesis, it is your responsibility to give full credit to the author and publisher of work quoted. The acknowledgment should be placed in a footnote at the bottom of the first page of the paper or chapter. Additionally, you must determine whether use of the material can be classified as a “fair use” by performing an analysis of your use of each copyrighted item. Please access the Copyright sources at Weill Cornell Library here. These resources are helpful tools for performing this analysis. (See also, Copyright Law and the Doctoral Dissertation: Guidelines to Your Legal Rights and Responsibilities , published by ProQuest, or The Chicago Manual of Style, published by the University of Chicago Press.)

If your use of material is not considered a “fair use,” you must obtain written permission from the copyright owner. Two copies of each permission letter must be submitted with the dissertation or thesis. ProQuest has specific requirements for the content of the permission letter. For these guidelines, consult the ProQuest Doctoral Dissertation Agreement form (published by ProQuest).

If you have already published or had accepted for publication part of your own dissertation or thesis material in a journal, depending on the terms of your publication agreement, it may be necessary to write to that journal and obtain written authorization to use the material in your dissertation.

2. Embargo of online copies

The value of your dissertation extends well beyond your graduation requirements. It’s important that you make an informed decision about providing online access, via ProQuest and eCommons, to your work. This decision can expand the visibility and impact of your work, but it can also shape the options available to you for publishing subsequent works based on your dissertation.

ProQuest’s ProQuest Dissertations and Theses (PQDT) database indexes almost all dissertations published in the U.S. and provides subscription access online to the full text of more recent dissertations. ProQuest also sells print copies of dissertations, paying royalties to authors, when they exceed a minimum threshold. Authors retain copyright in the works they submit to ProQuest.

eCommons is a service of the Cornell University Library that provides long-term, online access to Cornell-related content of enduring value. Electronic theses and dissertations deposited in eCommons, unless subject to embargo, are freely accessible to anyone with an internet connection. When submitting to eCommons, you retain copyright in your work. Ph.D. dissertations and master’s theses submitted to ProQuest are automatically submitted to eCommons, subject to the same embargo you select for ProQuest.

Electronic copies of dissertations in PQDT or eCommons may be made accessible immediately upon submission or after an embargo period of six months, one year, or two years. You may wish to consider an embargo period which helps address publishers’ interests in being the first to publish scholarly books or articles, while also ensuring that scholarship is accessible to the general public within a reasonable period of time. Your decision should be made in consultation with your special committee.

3. Creative Commons license

Creative Commons licenses provide authors with a straightforward and standardized means of prospectively granting certain permissions to potential users of the author’s material. Authors may request proper attribution, permit copying and the creation of derivative works, request that others share derivative works under the same terms and allow or disallow commercial uses. Authors may even choose to place their works directly into the public domain. You will have the option of selecting a Creative Commons license when you upload your dissertation or thesis to ProQuest, and your choice will automatically be applied to the copy of your work in eCommons.

4. Has a patent application been filed (or will one be) on the basis of your thesis or dissertation research?

Cornell University Policy 1.5 governs inventions and related property rights and MSK’s Policy on Intellectual Property . Inventions made by faculty, staff, and students must be disclosed to the Center for Technology Licensing at Cornell University (CTL). Theses and dissertations describing patentable research should be withheld from publication, in order to avoid premature public disclosure. Use the delayed release (embargo) option if a patent application is or will be in process, noting the reason for the delay as “patent pending.” If you have any questions, please contact Cornell’s Center for Technology Licensing at 607-254-4698 or [email protected] .

5. Register for copyright?

Copyright law involves many complex issues that are relevant to you as a graduate student, both in protecting your own work and in referencing the work of others. Discussion of copyright in this publication is not meant to substitute for the legal advice of qualified attorneys. A more detailed discussion of copyright law can be found in the publication from ProQuest entitled Copyright Law and the Doctoral Dissertation: Guidelines to Your Legal Rights and Responsibilities by Kenneth D. Crews.

Copyright protection automatically exists from the time the work is created in fixed form and the copyright immediately becomes the property of the author. Registration with the United States Copyright Office is not required to secure copyright; rather it is a legal formality to place on public record the basic facts of a particular copyright. Although not a condition of copyright protection itself, registering the copyright is ordinarily necessary before any infringement suits can be filed in court.

To register a copyright for your dissertation or thesis, register online or download printable forms . You may also request forms by mail from the Information Section, U.S. Copyright Office, Library of Congress, Washington, D.C. 20559, or contact them by telephone at 202-707-3000.

Doctoral candidates: You may authorize ProQuest to file, on your behalf, an application for copyright registration. This option will be presented to you as part of the submission process.

6. Supplementary materials

If supplementary materials (audio, video, datasets, etc., up to 2GB per file) are part of your thesis or dissertation, you may submit them as supplementary files during the online submission process. For help selecting long-lived file formats, note ProQuest’s guidance in their document, “Preparing Your Manuscript for Submission (Including Supplemental Files).” File formats for which ProQuest does not guarantee migration may still have a high likelihood of preservation in Cornell’s digital repository; please see the eCommons help page for further guidance.

Do not embed media files in the PDF version of your thesis or dissertation, as this can significantly increase the size of the file and make it difficult to download and access. Include a description of each supplementary file in the abstract of your thesis or dissertation. You may include an additional supplementary file containing more detailed information about the supplementary materials as a “readme” file or other form of documentation; this is particularly advisable for data sets or code. The Research Data Management Service Group ( [email protected] ) offers assistance in preparing and documenting data sets for online distribution.

7. Make your work discoverable on search engines?

ProQuest offers authors the option of making their graduate work discoverable through major search engines including Yahoo, Google, Google Scholar, and Google Books. If you chose the Search Engine option on their dissertation “paper” publishing agreement or within ProQuest’s PROQUEST ETD Administrator (electronic submission service), you can expect to have your work appear in the major search engines.

If you change your mind and do not want your work to be made available through search engines, you can contact customer service at [email protected] or 800-521-0600 ext. 77020. In addition, if you did not initially adopt this option but now want your works made available through this service, contact the customer service group to change your selection. Please note that search engines index content in eCommons, regardless of the choice you make for ProQuest.

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Formatting requirements.

Requirements for format and final production of the dissertation and thesis, as specified below, meet UMI standards and American Library Association (ALA) suggestions for preserving archival copies of the dissertation and thesis.

1. Language

The dissertation or thesis must be written in English.

2. Page Size and Specifications

• Page size must be 8.5 x 11 inches (or 216 x 279 millimeters), also known as “letter” size in U.S. standards. (ISO standard paper sizes, such as A4, are not allowed.)
• The inclusion of oversized pages or sheets of paper larger than 8.5 x 11 inches (known as “foldouts”) is discouraged. When necessary, 11 x 17 inch pages may be used for large tables, illustrations, etc.
• Text must be embedded, 11-point or larger font.
• Smaller font size may be appropriate for footnotes or other material outside of the main text.
• Black text is recommended; although, color may be appropriate in some limited parts of the document.
• Font requirements apply to all text, including captions, footnotes, citations, etc.

Margins should be at least 1 inch with page numbers at least 3/4 inch from the edge of the page. The templates use 1.6 inches for the left margin and 1.1 inches for the right.

Document must be double-spaced with the exception of quotations as paragraphs, captions, lists, graphs, charts, footnotes/endnotes, bibliographic entries, items within tables, and lists in appendices.

Exceptions may include the following:

• Quotations and footnotes may be single-spaced within each entry.
• Lengthy tables may be single-spaced.
• Irregular spacing may be used to accommodate poetry or other creative writing.

Tables should be consecutively numbered.

Figures should be consecutively numbered.

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Formatting Requirements

Page layout, margins and numbering, workday student support.

Graduate students can find "how to" guides and support information on our Workday support page .

Your scholarly approach may call for a different presentational method. These are the requirements and recommendations for text-based theses.

For a text-based thesis, or the text portions of a thesis, the page size must be 8.5" x 11", and the text must be in a single, page-wide column. Do not use two or more columns in your thesis.

The text of the thesis is written in paragraph form.

• the first line of each paragraph should be indented, OR
• there should be a larger space between paragraphs than there is between lines.

Each chapter should generally start at the top of a new page.

Left: 1.25 inches (32 mm) is recommended if you intend to bind copies of your thesis; 1 inch minimum.

Right, top, and bottom: 1 inch recommended; 0.75 inches (19 mm) minimum

Page Numbering

Preliminary pages:.

• must be numbered in lower case Roman numerals (ii, iii, iv, etc.)
• the title page is "i" but this number must not appear on the page
• numbering begins at "ii" on the committee page
• the first page of the abstract is page iii

Body of thesis:

• must be numbered in Arabic numerals (1, 2, 3, etc.)
• the first page of the text is "1"
• subsequent pages are numbered continuously throughout, including pages with tables and figures, bibliographies, appendices, and index

Whole thesis:

• every page except the title page must have a number on it
• there must be no blank pages in the thesis.

Page numberS:

• must be placed at least .5 inches (12 mm) from the edge of the page
• may be either in the lower centre or on the top or lower right of the page, when the page is viewed in portrait view. Lower right is preferred.

Landscape Pages

Landscape pages must be orientated in your PDF so that they are readable without rotation. You do not need to change the location or orientation of the page number, but may if you wish.

Facing Pages

Facing pages are not acceptable; you must use one-sided layout and pagination. If the caption for a figure, table, etc., cannot appear on the same page as its accompanying illustration, place the illustration on a separate page after the caption.

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PhD thesis formatting

There is no official pre-made departmental or University-wide style template for PhD theses. Some argue that learning (and advancing!) the art of beautifully typesetting a thesis is a crucial part of getting a PhD.

Here are some practical recommendations, examples, and useful starting points.

Most PhD authors in the Computer Laboratory prefer LaTeX as their typesetting system (under both Linux or Windows), mainly because of its

• excellent and yet unmatched support for mathematical formulae;
• good support for managing bibliographic references;
• good support for high-quality typography;
• easy integration with software-engineering tools (make, revision control, etc.);
• very safe and robust handling of large documents;
• long-term stability;
• comprehensive free tool support.

A common approach is to use the report style, with a suitable title page added, margins changed to make good use of the A4 format, and various other changes to suit submission requirements and individual tastes (e.g., other fonts).

For preparing publication-quality diagrams, some of the most powerful and popular tools used include:

• PGF/TikZ – the probably most sophisticated drawing package for LaTeX
• matplotlib – Matlab-style function plotting in Python

Official requirements

There used to be detailed Student Registry PhD format requirements , regarding font sizes and line spacing, but most Degree Committees have dropped these, recognizing that they were mainly motivated by past typewriter conventions. The rules left are now mainly about the word count .

In particular, it is no longer necessary for dissertations to be printed single sided or in “one-and-a-half spaced type”. If you still like to increase the line spacing, for easier proofreading, you can achieve this in LaTeX by placing into the preamble the line “ \usepackage{setspace}\onehalfspacing ”.

Recommendations

One Cambridge thesis-binding company, J.S. Wilson & Son , recommend on their web page to leave 30 mm margin on the spine and 20 mm on the other three sides of the A4 pages sent to them. About a centimetre of the left margin is lost when the binder stitches the pages together.

Write your thesis title and section headings in “sentence case”, that is use the same capitalization that you would have used in normal sentences (capitalize only the first word, proper nouns and abbreviations). Avoid the US-style “title case” that some conference-proceedings publishers require.

• Sentence case is normal typographic practice in the UK (see any UK-published newspaper, magazine, journals such as Nature , etc.).
• The catalogues of both the University Library thesis collection and our departmental Technical Report series record titles this way, and you don't want the cataloguers mess with your title capitalization when your thesis finally reaches them.
• It preserves useful information about the correct capitalization of any names or technical terms used.

Page numbers

Use a single page-number sequence for all pages in your thesis, i.e. do not use a separate sequence of Roman numerals for front-matter (title page, abstract, acknowledgements, table of contents, table of figure). In LaTeX that means using the report style, not the book style.

• PDF viewers number pages continuously starting from 1, and using anything else as printed page numbers causes confusion.
• This will save you some reformatting when submitting your thesis as a techreport .

Bibliographic references

If you use purely-numeric bibliographic references, do not forget to still mention authors’ surnames, as a courtesy to both the authors and your readers. Also, try to add the exact page number on which the quoted point is found in the reference; LaTeX supports this really well. (“suggested by Crowcroft and Kuhn [42,p107]”)

Technical Report submission

After a thesis has been approved by the examiners, the author normally submits it for publication as a Computer Laboratory Technical Report .

It is a good idea to read early on the submission guidelines for technical reports , as this may reduce the need to change the formatting later.

If you want to minimize any changes needed between your submitted thesis and the corresponding technical report version, then – in addition to applying all the above advice – you can

• make page 1 the title page,
• make page 2 the required declaration of originality,
• make page 3 the summary, and
• choose a layout suitable for double-sided printing (required for techreport, since 2010 also allowed for final PhD submission).

This way, there is a very high chance that turning your thesis into a techreport could be as simple as replacing pages 1 and 2 with the standard Technical Report title page (which the techreport editor can do for you).

More information

• The Computer Laboratory house style page explains where to find the University identifier that many put on the title page of their thesis.
• Markus Kuhn’s simple PhD thesis template ( snapshot ) is just one possible starting point.
• The cam-thesis LaTeX class is a collaborative effort to maintain a Cambridge PhD thesis template for Computer Laboratory research students, initiated by Jean Martina, Rok Strniša, and Matej Urbas.
• Effective scientific electronic publishing – Markus Kuhn’s notes on putting scientific publications onto the web, especially for LaTeX/LNCS users.
• International Standard ISO 7144 Presentation of theses and similar documents (1986) contains also some general guidelines for formatting dissertations that may be of use.
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Format Requirements for Your Dissertation or Thesis

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The final dissertation or thesis manuscript must have a ready-for-publication appearance and standard features.

The Office of the University Registrar does not endorse or verify the accuracy of any dissertation or thesis formatting templates that may be available to you.

It is your student responsibility to make sure that the formatting meets these requirements. Introductory material, text, and appendices must all be clearly and consistently prepared and must meet all of the specifications outlined below.

Once you upload and submit your dissertation or thesis in Axess, and it has been approved by the university, the submission is considered final and no further changes are permitted.

The digital file of the dissertation or thesis, which is sent to Stanford Libraries for cataloging, must meet certain technical requirements to ensure that it can be easily accessed by readers now and into the future. 

Follow the specifications outlined below.

Style and Format

Word and text divisions, style guides, content and layout, special instructions for d.m.a. students, order and content, page orientation, embedded links, supplementary material and publishing, supplementary material, scholarly reference, published papers and multiple authorship, use of copyrighted material, copyrighting your dissertation, file security and file name, stanford university thesis & dissertation publication license.

Pages should be standard U.S. letter size (8.5 x 11 inches).

In order to ensure the future ability to render the document, standard fonts must be used. 

For the main text body, type size should be 10, 11, or 12 point. Smaller font sizes may be used in tables, captions, etc. 

The font color must be black. 

Font Families

Acceptable font styles include:

• Times New Roman (preferred)
• Courier, Courier Bold, Courier Oblique, Courier Bold-Oblique;
• Helvetica, Helvetica Bold, Helvetica Oblique, Helvetica Bold-Oblique;
• Times, Times Bold, Times Italic, Times Bold-Italic;
• Computer Modern (or Computer Modern Roman).

Note: Do not use script or ornamental fonts. Do not use proprietary fonts.

If you use mathematical or other scientific notation in your dissertation or thesis using a font other than Symbol, you must embed the font into the PDF that is submitted to the university. 

Inner margins (left edge if single-sided; right edge for even-numbered pages, and left edge for odd-numbered pages if double-sided) must be 1.5 inches. All other margins must be one inch.

Pagination, headers, and/or footers may be placed within the margin, but no closer than one-half inch from the edge of the page.

For double-sided copies, 1.5 inches must be maintained as the inner margin. Margin requirements should apply to the entire document, including the title page.

The main body text of the manuscript should be one-and-a-half or double-spaced lines, except where conventional usage calls for single spacing, such as footnotes, indented quotations, tables, appendices, etc.

Words should be divided correctly at the end of a line and may not be divided from one page to the next. Use a standard dictionary to determine word division. 

Avoid short lines that end a paragraph at the top of a page, and any heading or subheading at the bottom of a page that is not followed by text.

The dissertation and thesis must be in English. 

Language Exceptions for Dissertations Only

Approval for writing the dissertation in another language is normally granted only in cases where the other language or literature in that language is also the subject of the discipline. 

Exceptions are granted by the school dean upon submission of a written request from the chair of your major department. Approval is routinely granted for dissertations in the Division of Literature, Cultures, and Languages within department specifications.

Prior to submitting in Axess, you must send a copy of the approval letter (or email message chain) from the department dean to [email protected]    

Dissertations written in another language must include an extended summary in English (usually 15 to 20 pages in length). In this case, you should upload your English summary as a supplemental file, during Step 4 of the online submission process.

Select a standard style approved by your department or dissertation advisor and use it consistently. 

Some reliable style guides are:

• K.A. Turabian’s A Manual for Writers of Term Papers, 
• Theses and Dissertations (University of Chicago Press), and 
• the MLA Handbook for Writers of Research Papers, Theses, and Dissertations (Modern Language Association).

If you are a student in the Doctor of Musical Arts program, you may submit musical scores formatted at 11 x 17 inches in size. 

If you are submitting a performance as your dissertation, submit the audio file in WAV format as a supplemental file. 

Note: The maximum file size accepted for submission is 100 MB. If a performance recording exceeds the maximum file size, break the file into multiple files and submit the parts individually as supplemental files.

Your dissertation or thesis must contain the following sections. All sections must be included in a single digital file for upload.

• Title Page — The format must be followed exactly. View these title page examples for Ph.D. Dissertation and this title page sample for an Engineer Thesis . Use uppercase letters. The title of the dissertation or thesis should be a meaningful description of the content of the manuscript. Use word substitutes for formulas, symbols, superscripts, subscripts, Greek letters, etc. The month and year must be the actual month and year in which you submit your dissertation or thesis electronically to the university. (Note: A student who submits in Autumn quarter is conferred his/her degree in the following calendar year.)
• Copyright Page — The dissertation or thesis PDF uploaded in Axess should not contain a copyright page. The copyright page will be created automatically by the online submission system and inserted into the file stored by Stanford Libraries.
• Signature Page — The dissertation or thesis PDF uploaded in Axess should also not contain a signature page. The submission process has moved away from ink-signatures, so a digital facsimile of the signature page will be created automatically by the online submission system and inserted into the dissertation or thesis in its final format stored by Stanford Libraries.
• Abstract — An abstract may be included in the preliminary section of the dissertation or thesis. The abstract in the body of the dissertation or thesis follows the style used for the rest of the manuscript and should be placed following the signature page. There is no maximum permissible length for the abstract in the dissertation or thesis.    Dissertation authors must enter an abstract using the online submission form for uploading the digital dissertation or thesis file to the library. This abstract, which will be indexed for online searching, must be formatted in plain text (no HTML or special formatting). It should be a pithy and succinct version of the abstract included in the dissertation or thesis itself.
• Preface, an Acknowledgment, or a Dedication
• Table of Contents – Include page references.
• List of Tables –  Include titles and page references. This list is optional.
• List of Illustrations – Include titles and page references. This list is optional
• Introduction  
• Main body – Include suitable, consistent headings for the larger divisions and more important sub-divisions.
• Appendices.
• Bibliography or List of References.

Except for the title page, which counts as 'i' but is not physically numbered, each page of the manuscript, including all blank pages, pages between chapters, pages with text, photographs, tables, figures, maps, or computer code must be assigned a number. 

Consistent placement of pagination, at least one-half inch from the paper’s edge, should be used throughout the manuscript.

Follow these pagination instructions exactly:

• For the preliminary pages, use small Roman numerals (e.g., iv, v, vi).
• The title page is not physically numbered, but counts as page i.
• Keep in mind that a copyright page ii and augmented signature page iii (based off your student record) will automatically be inserted to your manuscript during submission.  This means you must ensure to remove pages ii and iii from your dissertation or thesis.
• Failing to remove pages ii and iii is most common formatting mistake: you must remove your copyright page ii and signature page iii from the pdf file before you submit your dissertation or thesis, and begin pagination on your abstract with page number "iv". If the document is formatted for double-sided printing with each section starting on the right page, then pagination will begin on a blank page (page"iv") and the Abstract should be numbered as page "v", and so forth.
• For the remainder of the manuscript, starting with the Introduction or Chapter 1 of the Main Body, use continuous pagination (1, 2, 3, etc) for text, illustrations, images, appendices, and the bibliography. Remember to start with Arabic numbered page 1, as this is not a continuation of the Roman numeral numbering from the preliminary pages.
• The placement of page numbers should be consistent throughout the document.

For text, illustrations, charts, graphs, etc., printed in landscape form, the orientation should be facing away from the bound edge of the paper.

Images (color, grayscale, and monochrome) included in the dissertation or thesis should be clearly discernible both on screen and when printed. The dimensions should not exceed the size of the standard letter-size page (8.5” x 11”).

Image resolution should be 150 dots per inch (dpi), though resolutions as low as 72 dpi (and no lower) are acceptable. 

The format of images embedded in the PDF should be JPEG or EPS (the format JPEG2000 is also acceptable when it is supported in future versions of the PDF format). GIF and PNG are not preferred image file formats.

Large images, including maps and charts or other graphics that require high resolution, should not be included in the main dissertation or thesis file. Instead, they can be submitted separately as supplemental files and formatted in other formats as appropriate. 

Multimedia, such as audio, video, animation, etc., must not be embedded in the body of the dissertation or thesis. These media types add size and complexity to the digital file, introducing obstacles to users of the dissertation or thesis who wish to download and read (and “play back”) the content, and making it more difficult to preserve over time.

If you wish to include multimedia with your submission, upload the media separately as a stand-alone file in an appropriate media format. See Supplementary Material section below.

It is acceptable to include “live” (i.e., clickable) web URLs that link to online resources within the dissertation or thesis file. Spell out each URL in its entirety (e.g., http://www.stanford.edu ) rather than embedding the link in text (e.g., Stanford homepage ). By spelling out the URL, you improve a reader’s ability to understand and access the link reference.

Supplementary material may be submitted electronically with the dissertation or thesis. This material includes any supporting content that is useful for understanding the dissertation or thesis, but is not essential to the argument. It also covers core content in a form that can not be adequately represented or embedded in the PDF format, such as an audio recording of a musical performance.

Supplementary materials are submitted separately than the dissertation or thesis file, and are referred to as supplemental files.

A maximum of twenty supplemental files can be submitted. There are no restrictions on the file formats. The maximum file size is 1 GB.

You are encouraged to be judicious about the volume and quality of the supplemental files, and to employ file formats that are widely used by researchers generally, if not also by scholars of the discipline.

The following table outlines recommended file formats for different content types. By following these recommendations, the author is helping to ensure ongoing access to the material.

After uploading each supplemental file, it is important to enter a short description or label (maximum 120 characters for file name and the description). This label will be displayed to readers in a list of the contents for the entire submission.

If copyrighted material is part of the supplementary material, permission to reuse and distribute the content must be obtained from the owner of the copyright. Stanford Libraries requires copies of permission letters (in PDF format) to be uploaded electronically when submitting the files, and assumes no liability for copyright violations. View this sample permission letter .

System restrictions allow for a maximum of 10 individually uploaded permission files. If you have more than 10 permission files we recommend combining all permission letters into a single PDF file for upload.

In choosing an annotation or reference system, you should be guided by the practice of your discipline and the recommendations of your departments. In addition to the general style guides listed in the Style section above, there are specific style guides for some fields. When a reference system has been selected, it should be used consistently throughout the dissertation or thesis. The placement of footnotes is at your discretion with reading committee approval.

An important aspect of modern scholarship is the proper attribution of authorship for joint or group research. If the manuscript includes joint or group research, you must clearly identify your contribution to the enterprise in an introduction.

The inclusion of published papers in a dissertation or thesis is the prerogative of the major department. Where published papers or ready-for-publication papers are included, the following criteria must be met:

• There must be an introduction that integrates the general theme of the research and the relationship between the chapters. The introduction may also include a review of the literature relevant to the dissertation or thesis topic that does not appear in the chapters.
• Multiple authorship of a published paper should be addressed by clearly designating, in an introduction, the role that the dissertation or thesis author had in the research and production of the published paper. The student must have a major contribution to the research and writing of papers included in the dissertation or thesis.
• There must be adequate referencing of where individual papers have been published.
• Written permission must be obtained for all copyrighted materials. Letters of permission must be uploaded electronically in PDF form when submitting the dissertation or thesis. 
• The published material must be reformatted to meet the university's format requirements (e.g., appropriate margins and pagination) of the dissertation. The Office of the University Registrar will approve a dissertation or thesis if there are no deviations from the normal specifications that would prevent proper dissemination and utilization of the dissertation or thesis. If the published material does not correspond to these standards, it will be necessary for you to reformat that portion of the dissertation or thesis.
• Multiple authorship has implications with respect to copyright and public release of the material. Be sure to discuss copyright clearance and embargo options with your co-authors and your advisor well in advance of preparing your thesis for submission.

If copyrighted material belonging to others is used in your dissertation or thesis or is part of your supplementary materials, you must give full credit to the author and publisher of the work in all cases, and obtain permission from the copyright owner for reuse of the material unless you have determined that your use of the work is clearly fair use under US copyright law (17 USC §107). 

The statute sets out four factors that must be considered when assessing Fair Use:

• the purpose and character of the use, including whether such use is of a commercial nature or is for nonprofit educational purpose;
• the nature of the copyrighted work;
• the amount and substantiality of the portion used in relation to the copyrighted work as a whole; and
• the effect of the use upon the potential market for or value of the copyrighted work.

The Association of American University Presses requires permission for any quotations that are reproduced as complete units (poems, letters, short stories, essays, journal articles, complete chapters or sections of books, maps, charts, graphs, tables, drawings, or other illustrative materials). You can find this guideline and other detailed information on Fair Use at http://fairuse.stanford.edu . 

If you are in doubt, it is safest to obtain permission. Permission to use copyrighted material must be obtained from the owner of the copyright. Stanford Libraries requires copies of permission letters (in PDF format) to be uploaded electronically when submitting the dissertation or thesis, and assumes no liability for copyright violations. For reference, view this sample permission letter .

Copyright protection is automatically in effect from the time the work is in fixed form. A proper copyright statement consisting of the copyright symbol, the author’s name, year of degree conferral, and the phrase “All Rights Reserved” will be added automatically to the dissertation or thesis in its final form.

Registration of copyright is not required, but it establishes a public record of your copyright claim and enables copyright owners to litigate against infringement. You need not register your copyright with the U.S. Copyright Office at the outset, although registration must be made before the copyright may be enforced by litigation in case of infringement. 

Early registration does have certain advantages: it establishes a public record of your copyright claim, and if registration has been made prior to the infringement of your work, or within three months after its publication, qualifies you to be awarded statutory damages and attorney fees in addition to the actual damages and profits available to you as the copyright owner (should you ever have to sue because of infringement).

For more information about copyright, see the Stanford Libraries' resource on Copyright Considerations .

For further information on Registration of Copyright, see https://www.copyright.gov/registration/ .

Do not require a password to make changes to your submitted PDF file, or apply other encryption or security measures. Password-protected files will be rejected.

The file name and description will be printed on a page added to your dissertation or thesis, so choose a file name accordingly.

Important note: File names may only consist of alphanumeric characters, hyphen, underscore, at sign, space, ampersand, and comma – before the ending period and file extension.  Specifically,

• A file name cannot start with a space, period (nor contain a period), underscore, or hyphen.
• Files names must be 120 characters or less.

Here is an example of a filename that is allowed, including all of the possible characters:

• A Study of Social Media with a Focus on @Twitter Accounts, Leland Student_30AUG2023.pdf

In submitting a thesis or dissertation to Stanford, the author grants The Trustees of Leland Stanford Junior University (Stanford) the non-exclusive, worldwide, perpetual, irrevocable right to reproduce, distribute, display and transmit author's thesis or dissertation, including any supplemental materials (the Work), in whole or in part in such print and electronic formats as may be in existence now or developed in the future, to sub-license others to do the same, and to preserve and protect the Work, subject to any third-party release or display restrictions specified by Author on submission of the Work to Stanford.

Author further represents and warrants that Author is the copyright holder of the Work, and has obtained all necessary rights to permit Stanford to reproduce and distribute third-party materials contained in any part of the Work, including use of third-party images, text, or music, as well as all necessary licenses relating to any non-public, third-party software necessary to access, display, and run or print the Work. Author is solely responsible and will indemnify Stanford for any third party claims related to the Work as submitted for publication.

Author warrants that the Work does not contain information protected by the Health Insurance Portability and Accountability Act (HIPAA), the Family Educational Rights and Privacy Act (FERPA), confidentiality agreements, or contain Stanford Prohibited, Restricted or Confidential data described on the University IT website , or other data of a private nature.

Stanford is under no obligation to use, display or host the work in any way and may elect not to use the work for any reason including copyright or other legal concerns, financial resources, or programmatic need.

Academics | Candidacy & Defense

Thesis format guidelines.

After reviewing these guidelines, if doubt exists as to the correct format of the thesis, the candidate is encouraged to consult with the Graduate & Postdoctoral Studies Office before the final copies are submitted.

Thesis Templates

Some of your colleagues have contributed thesis templates which you may find helpful as you begin your thesis writing. If you have developed a template that you would like to share, please let us know and we will add it to our library.

LaTeX Files Full Thesis Template

Fonts and Desktop Publishing

Features that should stand out in the thesis include the quality of the scholarship or research, the soundness of the logic, the originality of ideas, and the lucidity of the prose, but not the size of the headlines. The use of headers or chapter titles larger than 3/16" is discouraged and the use of excessive italics or bold print is discouraged.

Theses should generally be written in font 12. Possibilities include, but are not restricted to: Times New Roman, Helvetica, Arial, Calibri. The font provided through LaTeX is acceptable. However, if LaTeX is used, be careful to ensure proper margins when producing the final copy.

Use 1.5 or double spaced text. Only footnotes, long quotations, bibliography entries (double space between entries), table captions, and similar special material may be single-spaced.

The thesis should be formatted to be printed on 8.5 x 11 inch paper within your PDF. Students in the School of Architecture and the Shepherd School of Music may format their theses to a larger size.

We recommend a left margin of 1.5" and a top, bottom, and right margin of 1" if the thesis is to be bound. Page numbers do not need to meet the 1" margin requirement. If you do not follow the appropriate margin guidelines that are included here, you might lose content if your thesis is later bound. Some students may wish to extend their work beyond the margin requirement for aesthetic reasons; this is acceptable.

The title page is now signed via an AdobeSign document. This is sent to the student a couple of days before the student's thesis defense. The student may create a placeholder thesis title page for the rough draft of the thesis. A sample title page is available.

The degree must be shown as Doctor of Philosophy, Master of Arts, Master of Science, Master of Music, or Master of Architecture.

The month shown on the title page should be the month when the final copy is submitted to the Office of Graduate & Postdoctoral Studies OR the month in which the degree will be conferred (May, August or December). The month of the oral defense should not be shown unless the thesis is actually presented to the Office of Graduate & Postdoctoral Studies during that month.

The titles (i.e., faculty rank) of committee members should be typed below the signature lines with their names and departments. For example, John Smith, Associate Professor of Biology. The word chair or director should appear after the faculty title as appropriate.

All signatures on the title page are collected via AdobeSign. Please make arrangements in advance if one or more of your committee members will be unavailable to sign. You may also review specific signature requirements .

Once the committee has signed the title page, you will separate the title page from the other documents and merge it into a single document with the PDF of your thesis. To complete your thesis, please follow the directions here and ensure that you complete the online thesis submission form .

An abstract is to be included with the thesis. Particular care should be taken in preparing the abstract since it will be published in Dissertation Abstracts or Master's Abstracts and the length is limited by the publisher. The abstract may not exceed 350 words for a doctorate or 150 words for a master's. In style, the abstract should be a miniature version of the thesis. It should be a summary of the results, conclusions or main arguments presented in the thesis.

The heading of the abstract must contain the word Abstract, and must show the title of the thesis and the writer's name as indicated here.

Hyperlinks are not to be used as a substitute for complete bibliographic citations.

Assembling the Thesis

Your thesis should be assembled as a PDF. In some cases a thesis might be created as multiple documents; these must be merged into a single document. The thesis must be assembled in this order:

• Copyright Notice (if applicable; for information on copyright, see the thesis FAQ page .)
• Acknowledgments
• Table of Contents
• List of Tables, etc., if any
• Preface, if any
• Text (the first page of the text is the first Arabic-numbered page)
• Notes (unless they appear on pages of text or at end of chapters)
• Bibliography or list of references
• Appendices, if any, may follow 8, 9 or 10

Page Numbering

Page numbers should be placed in the upper right corner of the page. Only the number should appear, not "page 9" or the abbreviation "p. 9." On the first page of each chapter, the number may be placed at the center bottom, one double space below the last line of type (the conventional placement), or at the top right corner.

Page numbers should not be shown on the Title Page, the Abstract, or on the first page of the Acknowledgments, Table of Contents, List of Tables or the Preface. However, the following pages (e.g., the second and succeeding pages) of each of these sections should be numbered using Roman numerals. The count for these preliminary pages should start with the title page. For example, if the thesis has a two-page abstract, then the second page of the acknowledgments should be the first page showing a number, and it should be numbered with the Roman numeral v.

Pages of the text itself and of all items following the text (i.e. the notes and bibliography) should be numbered consecutively throughout in Arabic numbers, beginning with number 1 on the first page of the first chapter or introduction (but not preface). Please number every page to be bound, including pages on which only illustrations, drawings, tables, or captions appear. The page numbers do not need to meet the 1" margin requirements.

Please note that when a graph, map, etc. is oversized, there is a limit on how much of this can be handled by the archiving process with ProQuest/UMI. All figures should appear within the text at the point where reference to them is first made.

In presenting footnotes and bibliography, use a consistent form acceptable in your discipline, such as Kate L. Turabian, A Manual for Writers (University of Chicago Press), the MLA Style Sheet, or Campbell's Form and Style (Houghton Mifflin). Electronic Styles: A Handbook for Citing Electronic Information (Information Today, Inc.) is helpful for noting electronic information. There are style guides for almost every discipline. Check with the library for further information.

Thesis Acknowledgements

Use this space to thank the funding and folks that contributed to your success in graduate school. Some view this as an informal section of the thesis, while others still consider this a piece within a formal document. You can thank people like your advisor(s), committee members, peers, friends, family, and even a special pet if you couldn't have done all the late nights without them! Be cautious to not reveal too much sensitive personal information that could be used in identity theft. Consider checking out these sites about acknowledgements: https://www.scribbr.com/dissertation/acknowledgements/ and https://elc.polyu.edu.hk/FYP/html/ack.htm .

Extra Copies

You may also choose to bind copies of your thesis for personal use through a bindery.

Updated May 2024

Format, bind and submit your thesis: general guidance

You no longer need to submit a physical copy of your thesis. Please refer directly to the “Submit Your Thesis” section below.

This information is for research students submitting a thesis for assessment. It tells you how to:

• format your thesis
• submit your thesis
• bind your thesis 
• submit the final copy of your thesis

There are different requirements for students of fine arts, design, architecture or town planning.

Find out more about these requirements

Format your thesis

UCL theses should be submitted in a specific format, this applies to both the viva and final copies of your thesis. 

View the thesis checklist

Presentation

In the electronic version of your thesis, hyperlinks (including DOIs) should be functional and resolve to the correct webpage.

We would recommend using Arial or Helvetica fonts, at a size of no less than 12.

Find out more about the accessibility guidelines

If printed, please present your thesis in a permanent and legible format.

Illustrations should be permanently mounted on A4 size paper and bound in with the thesis; you may not use sellotape or similar materials.

A4 size paper (210 x 297 mm) should be used. Plain white paper must be used, of good quality and of sufficient opacity for normal reading. Both sides of the paper may be used.

Both sides of the paper may be used.

Margins at the binding edge must not be less than 40 mm (1.5 inches) and other margins not less than 20 mm (.75 inches). Double or one-and-a-half spacing should be used in typescripts, except for indented quotations or footnotes where single spacing may be used.

All pages must be numbered in one continuous sequence, i.e. from the title page of the first volume to the last page of type, in Arabic numerals from 1 onwards. This sequence must include everything bound in the volume, including maps, diagrams, blank pages, etc. Any material which cannot be bound in with the text must be placed in a pocket inside or attached to the back cover or in a rigid container similar in format to the bound thesis (see Illustrative material ).

The title page must bear the following:

• the officially-approved title of the thesis
• the candidates full name as registered
• the institution name 'UCL'
• the degree for which the thesis is submitted

The title page should be followed by a signed declaration that the work presented in the thesis is the candidate’s own e.g.

‘I, [full name] confirm that the work presented in this thesis is my own. Where information has been derived from other sources, I confirm that this has been indicated in the thesis.'

Please see the section below entitled ‘Inclusion of published works in doctoral theses’ for more information about how to indicate when you have re-used material that you have previously published.

The signed declaration should be followed by an abstract consisting of no more than 300 words.

Impact Statement

The abstract should be followed by an impact statement consisting of no more than 500 words. For further information on the content of the Impact Statement, please see the Impact Statement Guidance Notes for Research Students and Supervisors on the Doctoral School's website. 

Find out more about the Impact Statement

Inclusion of published works in doctoral theses

If you have included any work in your thesis that you have published (e.g. in a journal) previously, then you will need to insert a completed copy of the UCL Research Paper Declaration Form into your thesis after the Impact Statement. The form, and information about how to complete it is available on the Doctoral School’s website.

Find out more about the UCL Research Paper Declaration Form

Table of contents

In each copy of the thesis the abstract should be followed by a full table of contents (including any material not bound in) and a list of tables, photographs and any other materials. It is good practice to use bookmarking within the PDF of the thesis in electronic form to allow readers to jump to the relevant section, figure, table etc. from the table of contents.

Illustrative material

Illustrative material may be submitted on a CD-ROM. If you wish to submit material in any other form, your supervisor must contact Research Degrees well in advance of submission of the thesis.

Any material which cannot be bound in with the text must be placed either in a pocket inside or attached to the back cover or in a rigid container similar in format to the bound thesis. If it is separate from the bound volume it must be clearly labelled with the same information as on the title page. Each copy of the thesis submitted must be accompanied by a full set of this material.

Submit your thesis

Viva copies.

You must submit an electronic version of your thesis to via the UCL OneDrive . You no longer need to submit a printed copy unless your examiners ask for this. 

Find out more on how to submit via the UCL OneDrive

We will check your status and if your examiners have been appointed we will forward the thesis directly to them. They will then be able to download the copy of your thesis to prepare for your exam. 

If an external examiner requests a hard copy of the thesis you will need to arrange for this to be printed and submitted to the Student Enquiries Centre during their walk-in operational hours. We will collect your thesis and post it on to the examiners. 

If your examiners have not been appointed, your thesis will be held securely until your examiners have been formally appointed by UCL.

Covid-19 Impact Form

We have developed a form for you to submit with your thesis if you wish to declare an impact on your research.   The form is optional and your choice to complete it or not will have no bearing on the outcome of your examination. It is intended to set the context of examination and is not a plea for leniency. Your examiners will continue to apply the standard criteria as set out in UCL’s Academic Manual and the joint examiners’ form. Please see the publication from the QAA on Advice on Doctoral Standards for Research Students and Supervisors for further support.

You must submit this form as a separate Word document or PDF when you submit your thesis via the UCL Dropbox as detailed in our guidance above.   We will only accept the form if you submit it at the same time that you submit your thesis.  This will apply if you are making an initial submission or a resubmission.

Download the Covid-19 Impact Form

Find out more about the Student Enquiries Centre

Your examination entry form must be received and logged by Research Degrees before you submit your thesis.

Find out more about examination entry

Re-submission

If you need to re-submit you must:

• submit a new examination entry form to the Research Degrees office at least 4 weeks prior to the expected submission of the thesis
• you must submit an electronic version of your thesis to via the UCL OneDrive . You no longer need to submit a printed copy unless your examiners ask for this.  Find out more on how to submit via the UCL OneDrive

We will check your status and confirm that your examiners are willing to review your revised thesis. We will then forward the thesis directly to them. They will be able to download the copy of your thesis for assessment. 

If an external examiner requests a hard copy of the thesis you will need to arrange for this to be printed and submitted to the Student Enquiries Centre during their walk-in operational hours. We will collect your thesis and post it on to the examiners.

Submitting as a Non-Registered Student

If you do not submit your thesis by the end of your period of Completing Research Status, your registration as a student will end at that point. Your supervisor will then need to apply for permission for you to submit your thesis in writing to the Research Degrees section, at least 3 weeks before your expected submission date. You will be charged a submission extension fee at the point you submit your thesis.

Bind your thesis

If your examiners have request a printed copy of your thesis, please read the following guidance:

Theses have to be robust enough to withstand the examination process and be easily identified. They will need to have your name on the spine to distinguish them.

All theses (whether soft or hard-bound) must:

• be covered in medium blue cloth (e.g. water resistant material) 
• be lettered in gold up the spine with degree, year, name and initials in the same form as UCL records, with letters 16 or 18 point (.25 inch) - thesis submitted for examination in November and December should have the following year lettered on the spine
• have no lettering on front cover of thesis
• have the spine text inverted if the front cover is facing up

An example of how your thesis should be presented.

Hard-bound theses must have the pages sown in (not punched) and soft-bound theses should have the pages glued in. Theses submitted in any other form of binding, including ring binding, will not be accepted.

You are responsible for making sure that your thesis is correctly bound by the company you select.

Final copies

UCL no longer requires a printed copy of your final thesis and we will award your degree once you have met the academic conditions and the Library have confirmed receipt of your e-thesis, the Deposit Agreement form, and you have cleared any outstanding fees.

You will need to deposit an electronic copy of your final thesis (and a completed E-Thesis Deposit Agreement form) via UCL's Research Publications Service (RPS). Please ensure that you remove, or blank out, all personal identifiers such as signatures, addresses and telephone numbers from the e-thesis. Any photographs that you have taken should not show identifiable individuals without their permission and any you have taken of children should mask their faces.

If you do wish to deposit a hard copy you can do so by sending it directly to the Cataloguing & Metadata department of Library Services by post, or in person at the Main Library help desk.  You will find more information about the process on the existing webpage for e-thesis submission. 

Find out more about depositing an electronic and printed copy of your thesis

Related content

• Research degrees: examination entry
• Format, bind and submit your thesis: fine art, design, architecture and town planning
• Viva examinations: guidance

Important Information:

The UCL Student Centre has now moved.  Details of their new location can be found here.  

Formatting your Thesis and Dissertation:Tools,Tips and Troubleshooting

• I am a new Graduate Student at Florida Tech!
• Thesis and Dissertation Templates
• Learn About Zotero
• Formatting Landscape Pages
• Line Spacing
• Page Numbers
• Page Break and Section Breaks
• Table of Contents or Figures
• Figures Turning Black
• Margin issues with Tables
• Page numbers not appearing
• PDF to PDF/A
• Section Breaks
• Landscape Page Numbers
• Troubleshoot LaTeX formatting issues
• Copyright and Creative Commons Licenses Primer
• Do I need to embargo my thesis or dissertation?
• I'm ready to submit my electronic copy - now what do I do?
• What is the process for obtaining print copies of my thesis or dissertation?

Adjust Margins

On the  Page Layout  ribbon,  Page Setup  group, choose  Margins :

At  Margins , hold the cursor down on the arrow. When the Margins dialog box opens, move the cursor to the bottom to  Custom Margins  and click on it:

On the  Page Setup  dialog box, the margins should be 1.2 inches on the top, right and bottom and 1.7 inches on the left. Whole document ( Depending on department regulation ).

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• Last Updated: Apr 29, 2024 1:32 PM
• URL: https://libguides.lib.fit.edu/formattingyourthesisanddissertationtoolstipstroubleshooting

Thesis Information: Writing

• Introduction
• Reviewing Literature
• Supervisors
• Māori Postgraduates

Organising your thesis

Thesis structure support.

• Otago Guidelines
• Word Processing
• Document Management
• Data Storage
• Reference Management

Consult thesis writing guides, previous theses in your discipline, and your supervisor. There can be variations within disciplines on content and style. You must also consult the following official documents:

• PhD - Thesis Format
• Research Masters - Format of the Thesis
• Presentation of Theses Regulations - Section 14
• Guidelines for the Inclusion of Material from a Research Candidate's Publications in their Thesis
• Guidelines for a PhD including a Nominated Creative Component
• Proof-reading and Editing of Theses and Dissertation Guidelines

Email the Graduate Research School Office if you have questions about how these regulations and guidelines may affect you.

Formatting your thesis requires detailed attention so read the Library's practical guidelines in the Formatting your thesis box.

A prescribed Otago thesis writing template does not exist. Department requirements vary so consult your supervisor or recent departmental theses.

Graduate Research School provides access to an Otago thesis template based on APA Style, in your Blackboard Masters (or PhD ) >Academic Writing> section, or use the links below - adapt it for your thesis or dissertation:

• Otago numbered thesis template Mar 2024
• Otago unnumbered thesis template Sept 2020

If you want your thesis bound, single sided, use the Recto template; if double-sided, customise the gutter margin on mirror pages in Word, or set the Inside and Outside margins based on the templates below:

• Verso page template binding margins (left hand, even numbered pages)
• Recto page template binding margins (right hand, odd numbered pages)

OR, set your own margins:

The page binding margin should be at least 30mm - this means that:

• the right hand pages of your thesis (the recto pages) require a left margin of at least 30mm,
• the left hand pages (the verso pages) require a right margin of at least 30mm,

In addition, the Library recommends that you keep all other margins uniform and at least 20mm, including for any appendices, tables and figures, photographs, or other illustrations you might include in your thesis. Following these recommendations will ensure that your entire text and page numbers remain intact when your thesis is trimmed during the binding process.

Use word processing software such as Word, Open Office, or Pages. See the IT support tab for more details.

• Specific title page layout, heading and citation styles may differ within Departments.  Please consult your supervisor.
• Document set-up, formatting  aligning text - online IT training advice
• Chapters - keep as separate document files during writing, to retain formatting. Once the thesis is complete merge these files into a new document.
• Versions of files and regular back-ups of all documents - keep to avoid loss of vital work.
• LaTeX is a programme for formatting scientific and technical documents.  It is sometimes used by departments such as Computer Science, Information Science, Physical Geography, Mathematics and Physiology.

Effective management of the print and e-resources that you use and create during your research project ensures that you:

• comply with all internal and external obligations e.g. ethics, funder requirements
• store this information safely and securely, including large files in Syncplicity
• can find the information you need, when you need it
• manage your research, through the many iterations or versions of your work
• manage your files, so that they can be easily located and identified, by yourself and others.

Your large thesis files and related data will need secure storing, and sharing with your supervisor/s.

ITS offers support with these services here:

• Otago's High Capacity Central File Storage (HCS)
• HCS High Speed Data Transfer
• Otago File Transfer

Check information on this when attending a Library PG workshop on Research Data Management.

Save time and checking by collecting all the necessary data for each reference, at the time of consulting the works concerned. 

Managing your references - guide to recommended software for in-text and bibliography tasks.

Departments and supervisors vary in their preferred reference management systems - compare products :

• Papers - for Mac users

Do not store your reference management files in cloud-based services, e.g. iCloud, Syncplicity, Dropbox, etc.

Seek assistance from your Subject Librarian and ITS staff.

Endnote overview videos (PC) and Mac - from Otago IT training

IT self-guided resources include:

• Video tutorials on writing/formatting your thesis in Word (PC)  and Mac
• Long Documents  - from University of Aberdeen - steps and videos
• Microsoft 365 Training - quick access to training videos
• How to Create and Edit long documents, project reports and research papers in Word - 2020 (42mins)

Writing support

Map the connections between the themes, ideas and papers you've discovered:

• Use the Smart Group function in Endnote to tag papers with themes  
• How do I edit? [blogpost]
• Writing the Introduction [blogpost]
• Using a matrix to organise your notes
• How to write a PhD in biological sciences : a guide for the uninitiated by G. John Measey 2022 Ebook
• Your PhD survival guide : planning, writing and succeeding in your final year Katherine Firth. Robertson Library Books (Uni) LB2386 .F575 Y686 2021
• Stylish Academic Writing Helen Sword (2012) Robertson Library (Uni) LB2369 .SZ28
• Academic Writing for Graduate Students (3rd ed.) John M. Swales and Christine B. Feak (2012); Central Library PE1408 .SY86 2012; and Wellington Medical (2004)
• Writing the winning thesis or dissertation: A step-by-step guide (3rd ed.) William A. (Arthur) Rouse; Randy L. Joyner; Allan A. Glatthorn (2013) Robertson Library LB2369 .G56 2013
• Writing up your research for a dissertation or thesis Dan Remenyi and Frank Bannister (2012) Robertson Library LB 2369 .RC398
• Thesis and dissertation writing in a second language : a handbook for supervisors Brian Paltridge and Sue Starfield (2007) E-book and at Robertson Library LB2369 .P525
• Postgraduate study in Aotearoa New Zealand : Surviving and succeeding Christopher McMaster; Caterina Louise Murphy Robertson Library LB2386 .P67 2014; and at Hocken. See Pt 2 on writing and publishing.
• Research Literacies and Writing Pedagogies for Masters and Doctoral Writers Cecile Badenhorst and Cally Guerin (2015) E-book

Formatting your thesis

• Writing Style
• Style Guides
• Formatting Details
• Table of Contents
• Figures and Tables
• Maps and Illustrative materials
• Citing and Referencing

Some disciplines have specific style manuals on writing, and citing. Check their details on layout, structure, writing style and formatting. Also check with your supervisor.

University of Otago Regulations and Library guidelines are in other tabs in this box.

PhD theses are limited to 100,000 words of text, excluding appendices, footnotes and references/bibliographies; Masters theses are up to 40,000 words.

Some disciplines have specific style manuals on writing, and citing. Check the details on layout, structure, writing style and formatting. Always check with your supervisor.

• The ACS style guide to scholarly communication Used in the Sciences 2020 Ebook
• AMA Manual of Style, 11th ed. Used in Health Sciences and Sciences 2020 EBook; Health Sciences Library (Dunedin) Books WZ 345 A512 2020
• The Chicago Manual of Style (17th ed.) Used in Arts and Humanities E-book and in Central Library Z253 .CH32 2017; Robertson Library 808.0270973 CHI 2017; 16th ed. at Wellington Medical Z 253 C534 2010
• A Manual for Writers of Research Papers, Theses, and Dissertations (9th ed.) Used in Arts, Humanities and some Sciences; based on Chicago style. Robertson Library LB2369 .T8 2018
• MLA handbook for writers of research papers (7th ed.) Used in Arts and Humanities Joseph Gibaldi (2009) Central Library PN 147 .GD94 2009; Science Library LB2369 .MP14 2009; Wellington Medical PN 147 M689 2009
• New Zealand law style guide (2nd ed.) Used for writing and citing legal literature Geoff McLay (2011) E-book; Law Library K100 .NH3347 2011 and Hocken Library
• Publication Manual of the American Psychological Association (APA) (7th ed.) Central Library, Science Libraries: BF 76.7 .AG49 2020; Health Sciences Library WZ345 .P976 2020; Robertson Library 808.06615 PUB 2020; online resource: https://apastyle.apa.org/style-grammar-guidelines/references/examples
• Scientific Style and Format (8th ed.) CSE style used in some Sciences; based on Chicago Author-Date style Science Library Reserve T11 .S386 2014

Font Face, Size and Spacing

The OU Regulations state that your thesis must be in typescript - s.14.2(a) . In addition, the Library recommends* that you:

• use a 12 pt. serif font such as Palatino, Times New Roman or Cambria, for the main text,
• use a sans serif font such as Arial or Calibri for headings and subheadings, and
• leave one-and-a-half spacing between lines.

Page Numbers

The Library recommends that you consecutively number your pages, as well any additional sheets, tables, maps, and/or appendices you might include.

• Center your page numbers at the top or bottom of the page, or keep them flush with the outer text margin, making sure that you keep them within the binding margins.
• Number preliminary pages (i.e. contents, acknowledgements etc.) using lower case Roman numerals, and main text using Arabic numerals. 
• Clearly identify the location of any figures you inset in the text, e.g. facing p. 42 or between pp. 42 and 43.

The generally accepted rule is to spell out exact numbers up to ninety-nine. The following exceptions should be noted:

• Use numerals for percentages, decimals, street numbers, page numbers and dates, and in technical or statistical discussions where groups of figures are used.
• Numerals at the beginning of a sentence are spelt out.

Page Margins

See the Templates tab for details.

* Turabian, K. L. et al. (2013). A manual for writers of research papers, theses, and dissertations , 8th ed. Chicago: University of Chicago Press.

An abstract of no more than 500 words is required – see Examination and Assessment Regulations 2014 , 14.2d .

The abstract should consist of a statement of the problem, an explanation of the method and procedures, and a summary of conclusions.

The following order is usually observed:

Author Declaration Form (only in the Library copy)

All quotations should correspond exactly with the original in wording, spelling and punctuation.

Short quotations:

• Usually not more than three lines in length, are enclosed in double quotation marks and incorporated into the text. 

Longer quotations:

• Single-spaced without quotation marks
• Indented at both margins forming a block that stands out clearly from the text.

Single quotation marks are generally used for quotations within a quotation. 

Interpolated comments:

• Enclosed in square brackets, e.g. [sic], to assure the reader that some error has been noted in the original.

Omissions in quoted matter:

• Use three spaced periods . . . and take care that the original meaning is not altered.

Use of double or single quotation marks varies from style to style:

• Modern Languages Association and Chicago (Turabian) use double quotation marks around short quotations,
• Harvard style uses single quotation marks, and
• APA uses none,

so check with your supervisor in case your discipline has a preferred style.

These may include photographs, maps, graphs, charts, diagrams and musical examples. 

• Placing and numbering of figures is the same as that for tables (see below), except that the word Figure, its appropriate number and caption should appear below the figure. 
• Musical examples are the exception, placed above the example.
• Referencing styles will vary on use of Figure in text, or fig. used parenthetically in text, e.g. (see fig. 3).
• Number tables and figures consecutively throughout the text, or per chapter, and write their titles without terminal punctuation.
• Number photographs, maps and graphs in Arabic numerals. 
• Text references are made in brackets and should precede the figure unless mentioned as part of a sentence. 
• If not the author’s own work, acknowledge the source and clear copyright.

Tables should appear as near as possible to the discussion relating to them:

• Numbered consecutively using Arabic numerals. 
• The heading ‘Table’ and its number and caption title should appear above the table, leaving the remainder of the page for source citation or explanatory notes.
• If the table occupies a full page, the caption may be typed on the reverse side of the preceding page, facing the table to which it refers.

Footnotes have four main purposes:

• To cite the authority for statements in the text.
• To provide cross references.
• To acknowledge indebtedness.
• To explain or supplement material that is included in the text.

Use the Insert Footnote function in your word processing software to get consistency.

After the first footnote reference, in full, use short form for subsequent references, i.e. author, short title, page number/s. Reference management software will assist with this, or do this manually.

Ibid. (ibidem = in the same) is used for a consecutive reference to the same work, but not necessarily to the same page.  If ibid. is used without a page number, the reference is to exactly the same page as that previously cited.  Ibid. should not be used more than two pages after the original citation.

Any maps or other illustrative materials – including digital media such as CDs, DVDs or USB drives - that accompany your thesis can be deposited as separate files with your e-thesis PDF deposit;

OR if you are having a copy bound for yourself or department, these materials can be:

• bound with the thesis, or
• placed in a pocket inside the cover.

Extra large or bulky material can be bound separately as an appendix, or bound in (landscape form), folded in from the right edge,

In-text citation styles vary by discipline - check with your supervisor, and manuals of style, e.g. ACS, APA, Chicago, Harvard, Legal style, MLA, and Vancouver.

Use footnotes or one of these systems:

Author-Date system or Parenthetical system

Insert citations to the literature into the text as the reference is made, instead of using footnotes.  Author-date citations consist of the author's surname and the year of publication, enclosed in parentheses.  Depending on the sentence structure where the citation is made, parentheses may enclose either the name, or the date, or both.  Page numbers may be included.

Full citations for these in-text sources should be listed alphabetically by author, in the “Bibliography” section of the thesis .

Reference Number system

Insert a number in superscript or parentheses, in the text at the point of citation. The citations appear in a numbered list of references at the end of the work. Vancouver, often used in the Biomedical Sciences, is an example of a "numbered" style and follows rules established by the International Committee of Medical Journal Editors .  Check examples of Vancouver style .

Bibliography or References

Commerce and Humanities

For theses in the humanities it is usual to choose a heading such as “Selected Bibliography”, “Works Consulted” or “Reference List”. Include all sources which have substantially affected the form or content of your thesis.  For a “Works Cited” list only include materials referred to in-text.  For a lengthy bibliography, as in a history thesis, the references can be arranged according to type of material, e.g. primary sources (manuscripts, official publications, newspapers) and secondary sources (books, periodical articles, theses).

Sciences and Biomedical Sciences

In science theses full citations for each source mentioned in-text are listed in a bibliography usually called “References”.  If the Arranged references alphabetically by author’s surname and under each name by year of publication, in the Author-Date system.  In the Reference-Number system arrange sources by authors’ names or in the order that the references are cited in the text. 

An appendix is not always required.  It provides a place for material that is not absolutely necessary to the text, or where inclusion in the text might break the flow of argument, e.g. the full text of an Act of Parliament; a timeline of key events; a questionnaire. 

Appendices may be sub-divided according to the class of materials include, so list each appendix by capital letter and title in the Table of Contents.

There are preferred file types when depositing your thesis and supplementary files. This helps to ensure preservation and ongoing access to your research.

Academic integrity

Academic integrity - University of Otago has a strict policy surrounding original research.

Graduate Research School has set up Blackboard papers for PhD and Masters students where you can use Turnitin to check your thesis chapters and supporting documents for matching and ethical referencing of sources.

Follow the steps in this  Guide to using Turnitin , or download this PDF:

• Guide to using Turnitin for Thesis Checking

What does the examiner look for?

• Research reading

Clinton Golding, Sharon Sharmini & Ayelet Lazarovitch. (2014). What examiners do: what thesis students should know, Assessment & Evaluation in Higher Education , 39:5, 563-576. DOI: 10.1080/02602938.2013.859230

From this research reading:

(1)   be broadly consistent (2)   expect a thesis to pass (3)   judge a thesis by the end of the first or second chapter (4)   read a thesis as an academic reader and as a normal reader (5)   be irritated and distracted by presentation errors (6)   favour a coherent thesis (7)   favour a thesis that engages with the literature (8)   favour a thesis with a convincing approach (9)   favour a thesis that engages with the findings (10) require a thesis to be publishable (11) give summative and formative feedback

• << Previous: Copyright
• Next: Submitting >>
• Last Updated: May 24, 2024 2:21 PM
• URL: https://otago.libguides.com/thesisinformation

Thesis Format

Formatting restrictions.

The format of a thesis should be agreed to in the earlier states of writing by the department, supervisor and candidate. If any changes are made later on they must be agreed to once again by all three parties.

The thesis must be limited to 100,000 words of text (excluding appendices, footnotes and bibliographies). Illustrative materials (such as maps, computer disks and CD's) may be submitted with the thesis, either be bound with the thesis or placed in a pocket inside the cover. Extra large or bulky material may be bound separately as an appendix.

More information regarding writing and formatting your thesis is available on the Library website .

Candidates should try to stick to the following guidelines while writing their thesis:

• Use a 12pt serif font, such a Palatino, Times or Cambria for the main text.
• Use a sans serif font, such as Arial or Calibri, for headings and subheadings.
• Leaving 1.5 spacing between lines.

Page Numbers

• Consecutively number the pages, as well any additional sheets, tables, maps and appendices you might include.
• Center the page numbers at the top or bottom of the page, or keep them flush with the outer text margin. Make sure that you keep them within the binding margins.
• Number preliminary pages (i.e. contents, acknowledgements etc.) using lower case Roman numerals, and main text using Arabic numerals.
• Clearly identify the location of any figures you inset in the text, e.g. facing p. 42 or between pp. 42 and 43.
• Use numerals for percentages, decimals, street numbers, page number and dates, and in technical or statistical discussions where groups of figures are used.
• Numbers at the beginning of a sentence are spelled out.

See the Library templates page for information on margins.

Theses will normally be written in English and must conform to proper standards of linguistic presentation.

Other languages

Candidates intending to write their thesis in Māori should, early in candidature, contact the Graduate Research School for advice.

Candidates wishing to write their thesis in a language other than English or Maori will need to seek approval, at the time of admission, from the Graduate Research Committee. Such approval will only be given in exceptional circumstances.

Citing of References

There are three principal methods of citing references in a text:

• the author-date
• the reference-number system.

Candidates should consult their supervisor as to the method favoured in their subject area. There are particular rules for each, and it is important to be consistent in the application of the method that is used.

Footnotes may be used for purposes other than citing references, namely to provide cross-references, to acknowledge indebtedness and to explain or supplement material that is included in the text.

Bibliographic style is important, and considerable time will be saved if all the necessary data for each citation are collected at the time of consulting the works concerned. Various styles are acceptable; the important point again to remember, is that having decided on a particular style, candidates should retain this style throughout the bibliography.

The Library contains various authorities for consultation on styles of footnoting and bibliographies .

Plagiarism (including being party to someone else's plagiarism) is a form of dishonest practice. It is defined as copying or paraphrasing another's work , whether intentionally or otherwise, and presenting it as one's own .

In practice this means that plagiarism includes:

• copying or cutting and pasting text from others without using quotation marks or block quotes to identify that text, nor clearly indicating the source (this includes paper and electronic sources)
• copying visual materials, images and/or physical objects without clearly indicating the source
• using poor paraphrasing of sentences or whole passages without referencing the original work
• using another person's ideas, work or research data without acknowledgment
• copying computer files or computer code without clearly indicating their origin
• submitting another student's work in whole or in part, where this is not specifically permitted in the course outline
• submitting work that has been written by someone else on a student's behalf
• resubmitting portions of previously submitted work without indicating the source.

Thesis candidates should note that the Introduction/Literature Review in their thesis must demonstrate evidence of their own scholarly work. In a PhD thesis, the Literature Review goes beyond a mere literature 'survey' and candidates should avoid therefore the temptation of merely regurgitating the work of others or of piecing together sections of the work of others into a new whole. Research is not summarising or repeating uncritically the ideas of others.

Candidates should also be extremely cautious about depending heavily on review articles for their Literature Review. While these are often very helpful, they can also lead to undue reliance upon both the ideas and actual words of other workers. Candidates have a responsibility to be aware of acceptable academic practice in relation to the use of material prepared by others, and for taking all steps reasonably necessary to ensure that no breach of acceptable practice occurs.

Any candidate found responsible for plagiarism shall be subject to the University's Student Academic Misconduct Procedures , which may result in various penalties including, in extreme cases, exclusion from the University.

Inclusion of Material from Published Papers

The University of Otago encourages publishing during candidature for doctoral degrees, and the inclusion of published work, and/or work submitted for publication, where appropriate. Such published material must have been prepared during the candidate's enrolment in the research degree. The submission of papers for publication during the course of thesis research assists the candidate's progress, it clarifies for the candidate the objectives and discipline-specific requirements for presentation of the research, it assists the candidate in future careers, it contributes to the University's research effort, and it provides quality assurance that helps the candidate and the supervisor establish the academic integrity of the research.

If candidates are planning to include published material in a thesis, they should discuss the most appropriate format for this with their supervisors, and check the Guidelines for the Inclusion of Material from a Research Candidate's Publications in their Thesis. Two formats are commonly used for including published material in a University of Otago thesis:

• a hybrid thesis format, whereby published material is inserted either wholly or partially as chapters or sections in the thesis (usually with modification to ensure an integrated and coherent body of work); or
• a thesis with publications appended, whereby published material is not included in the body of the thesis but is appended to the thesis in an unmodified format.

For the PhD and professional doctorates, the University of Otago does not offer a formal 'thesis by publication' option, whereby the thesis is composed solely of a portfolio of publications.

Proof-Reading of Theses Guidelines

Doctoral candidates may use a third party as a proof-reader at any stage during their candidature provided that certain Proof-reading Guidelines are followed.

Guidelines for Master’s Theses and Doctoral Dissertations

A manual created by the Office of Degree Requirements

Document Type

Last updated.

Document last updated on Thursday, April 6, 2023

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Format of thesis and Binding

• Title page – including the thesis title, the student's full name and the degree for which it is submitted
• Abstract - of up to 5,000 words
• Table of contents – including any material not bound in the book, and a list of tables, photographs and any other materials

Word limits

• PhD - not to exceed 100,000 words
• MPhil - not to exceed 60,000 words
• MD(Res) - not to exceed 50,000 words
• MPhilStud - not to exceed 30,000 words
• Professional Doctorates - at least 25,000 words and not to exceed 55,000 words

Thesis word limit inclusions and exclusions The thesis word count includes everything from the start of chapter 1 up to the end of the last chapter. This means: Including all words included within:

• Footnotes/Endnotes
• Table/figure legends
• Tables of contents/of figures/of tables/ of acronyms
• Acknowledgements/dedications
• References/Bibliography
• 'Editions of texts (except where the edition or editions themselves constitute the thesis under examination)'
• Students are only required to submit an electronic thesis for their examiners, in PDF format, this should be emailed to [email protected] no later than your deadline
• If examiners have requested a printed copy  a member of the Research Degrees Examinations team will get in touch with you
• Margins - as we no longer require printed copies of the thesis, the margin edge is at the student's discretion, however bear in mind if  examiners prefer a printed copy then it may need to be spiral bound
• Spacing - Double or 1.5 spacing (except for indented quotations or footnotes which can be single spaced)
• Font size - It is recommended to use font size 12 to ensure examiners are able to read it
• Page numbering - All pages must be numbered in one continuous sequence, i.e. from the title page of the first volume to the last page of type, from 1 onwards. This sequence must include everything in the volume, including maps, diagrams, blank pages, etc.

Illustrative materials -  May include: audio recordings and photographic slides, these can be emailed to  [email protected]

• Additional material - Any material which cannot be included in the PDF thesis maybe emailed separately to the [email protected]  

Some examiners may prefer to work from a printed version of the student's thesis rather than the PDF, if this is the case:

• The Research Degrees Examinations team will in the first instance check with the examiner if they would be happy to print the thesis themselves. If the examiner is happy to do this and is able to, they can claim back the expenses following the examination
• If the examiner is unable to print the thesis, the Research Degrees Examinations team will contact the student to make arrangements for a print version to be posted directly to the examiner(s) or via a binders
• It is the students' responsibility to get their thesis printed and bound if examiners require a copy. Students may only claim back postage costs.

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Johnson & Johnson: Market Will Regret The Overreaction

• Johnson & Johnson stock prices have been consistently declining in the recent 1~2 years.
• The stock is currently undervalued, with lower P/E ratios compared to the sector median and historical averages, and a high dividend yield.
• Yet, Johnson & Johnson's profitability remains strong, and there are potential catalysts for growth, including the adoption of new products and potential acquisitions.
• The contrast of value compression and robust profitability has created a very asymmetrical return/risk ratio.
• Looking for more investing ideas like this one? Get them exclusively at Envision Early Retirement. Learn More »

JNJ stock has been under selling pressure

Johnson & Johnson ( NYSE: JNJ ) stock prices have been trending down lately due to large selling pressure. As illustrated by the chart below, after reaching an all-time high in early 2022, the stock has been making lower highs and lower lows. Currently, the stock trades near a 52-week low price and a FWD P/E of 13.65x only.

Seeking Alpha

The market certainly has its reasons for the selloff. Similar to its other peers in the sector, the company has no lack of lawsuits and patent expirations. The most recent case involves the following talc-related bankruptcy filings (with emphasis added by me):

A group of plaintiffs who claim to have become cancer victims after using Johnson & Johnson's (JNJ) talc-based baby powder has filed a lawsuit accusing the company of fraudulently resorting to bankruptcy filings to resolve thousands of similar claims. Five litigants representing over 50,000 individuals who have sued J&J (JNJ) over talc-related cancer claims filed the proposed class action lawsuit in New Jersey federal court on Wednesday.

Given the larger number of individuals involved, this case could have a large impact on JNJ. At the same, JNJ is facing a major patent expiration in 2023 for its Stelara drug, a treatment for Crohn's disease and psoriasis. Finally, I am also seeing signs of softening sales of its COVID-19 vaccines and high operating costs (especially selling and marketing costs).

Against this background, the thesis of this article, however, is to argue that the market has overreacted to these headwinds. These headwinds are ultimately temporary in my view. The current valuation compression is so extreme that it has largely neglected the positives and thus created a skewed reward/risk profile, as detailed next.

JNJ stock’s valuation discount is too large

The next chart below summarizes JNJ stock’s valuation grade relative to the sector median and its 5-year average levels. As you can see, JNJ's current P/E ratios (both trailing and forward) are lower than both the sector median and its 5-year average by a sizable margin. For instance, its trailing non-GAAP P/E of 13.89x is 28.38% lower than the sector median of 19.39x, and 18.22% lower than its 5-year average of 16.98. The forward P/E (FWD) of 13.65x is even lower, almost 30% below the sector median and 18% lower than its 5-year average.

As a quintessential dividend growth stock, I think its dividend yields serve as a more reliable metric for its valuation in the long term. And this metric suggests even more extreme valuation compression than the P/E metric discussed above. The next chart below shows JNJ's dividend yield compared to its historical average in the past 10 years. As seen, JNJ’s current dividend yield of 3.31% is not only far above its 10-year historical average of 2.66% but also near the highest levels in this period.

JNJ stock: yet profitability is superb

The above valuation compression would make sense if the headwinds mentioned above have demonstrated a material impact on JNJ’s profitability. But this is not the case at all, judging by JNJ’s profitability data. For example, sure, the table below shows JNJ's profitability metrics relative to the sector median and its 5-year average levels. As seen, JNJ's profitability is significantly higher than the sector median across almost all metrics, and also noticeably better than its own historical averages. For example, in terms of top-line metrics, JNJ's gross profit margin (TTM) of 69.34% is 21.29% higher than the sector median of 57.17% and also about 3.28% higher than its 5-year average. In terms of bottom-line metrics (such as net income margin), the comparison is even more in JNJ’s favor.

Looking ahead, I see plenty of catalysts that could help JNJ maintain its superb profitability and drive growth. First, I anticipate its Innovative Medicine continues to grow at a healthy pace, primarily driven by momentum from key brands and the adoption of new products including those that treat multiple myeloma, plaque psoriasis, prostate cancer, and depression. In Med-Tech, I expect the advancement to continue on several of its key programs, including pulsed-field ablation, Abiomed (which makes temporary external and implantable mechanical circulatory support devices), and surgical robotics.

Finally, I also expect JNJ to be active on the acquisition front and augment its growth curve by bolt-on acquisition. As a notable example, it recently acquired Ambrx to help develop targeted oncology therapeutics. At the same time, I think JNJ is also poised to acquire Shockwave Medical to strengthen its cardiovascular business.

Other risks and final thoughts

In terms of downside risks, beyond those discussed earlier, one more potential risk involves the impact of the Kenvue separation on its dividend. As aforementioned, JNJ is one of the most quintessential dividend growth stocks. Therefore, I expect the dividend payouts and growth rates to have a large impact on the market sentiment.

The payout ratios, both in terms of EPS payout ratio and cash payout, did show significant increases shortly after the spinoff as seen in the chart below. Such increased payout ratios could limit the payout growth. However, the payout ratios are nowhere near alarming levels in my view, and they are showing signs of renormalization. For example, the cash payout ratio has retreated from the peak level observed in late 2022 to the current level of 66% already.

JNJ had just declared another dividend increase from $1.19 per share (on a quarterly) to $1.24 per share. Thus, the annualized FWD payout is $4.96 per share. The consensus estimates for its FY 2024 earnings point to an EPS of $10.64. Therefore, its FWD EPS payout ratio is about 46.6%, which is actually lower than the average level before the Kenvue separation as seen.

To reiterate, the thesis of this article is that the market has overreacted to the temporary headwinds facing JNJ. The overreaction has led to severe valuation compression that is too large to ignore, especially when its profitability is considered. The company's low P/E ratio of 13.89x is at a substantial discount compared to the sector average and also its historical levels. Its dividend yield of 3.31% is among the highest levels in at least 10 years, indicating a very attractive entry point.

Certainly, the downside risks from patent expirations and legal issues should not be ignored, and their impacts could be considerable. However, I think the Johnson & Johnson positives (such as valuation, strong pipeline with promising new drugs and medical devices, strong financial strength, etc.) far outweigh these negatives.

As you can tell, our core style is to provide actionable and unambiguous ideas from our independent research. If your share this investment style, check out Envision Early Retirement. It provides at least 1x in-depth articles per week on such ideas.

We have helped our members not only to beat S&P 500 but also avoid heavy drawdowns despite the extreme volatilities in BOTH the equity AND bond market.

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This article was written by

Envision Research, aka Lucas Ma, has over 15+ years of investment experience and holds a Masters with in Quantitative Investment and a PhD in Mechanical Engineering with a focus on renewable energy, both from Stanford University. He also has 30+ years of hands-on experience in high-tech R&D and consulting, housing sector, credit sector, and actual portfolio management.

He leads the investing group Envision Early Retirement along with Sensor Unlimited where they offer proven solutions to generate both high income and high growth with isolated risks through dynamic asset allocation. Features include: two model portfolios - one for short-term survival/withdrawal and one for aggressive long-term growth, direct access via chat to discuss ideas, monthly updates on all holdings, tax discussions, and ticker critiques by request.

Analyst’s Disclosure: I/we have no stock, option or similar derivative position in any of the companies mentioned, and no plans to initiate any such positions within the next 72 hours. I wrote this article myself, and it expresses my own opinions. I am not receiving compensation for it (other than from Seeking Alpha). I have no business relationship with any company whose stock is mentioned in this article.

Seeking Alpha's Disclosure: Past performance is no guarantee of future results. No recommendation or advice is being given as to whether any investment is suitable for a particular investor. Any views or opinions expressed above may not reflect those of Seeking Alpha as a whole. Seeking Alpha is not a licensed securities dealer, broker or US investment adviser or investment bank. Our analysts are third party authors that include both professional investors and individual investors who may not be licensed or certified by any institute or regulatory body.

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