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Manual of Formatting Requirements
for Theses and Dissertations
2014

2
TABLE OF CONTENTS

Introduction

Continuous Registration

Review by the Graduate School

Part 1: Format Guidelines

Type Face and Font Size

Margins

Spacing and Indentation

Pagination

Organization of Parts and Formatting Requirements

I. Preliminary pages

II. Text

III. References/Bibliography

IV. Appendices

V. Vita

Inclusion of Photographs and Prints

Tables and Figures

Oversized Material

Footnotes and Endnotes

Reproducing the Thesis or Dissertation

Part 2: Common Mistakes

3
INTRODUCTION
This guide for the preparation of theses and dissertations at The University of North Carolina at
Charlotte (UNC Charlotte) is designed to assist graduate students, major professors and other
members of graduate advisory committees in understanding the required and optional formatting
guidelines of the Graduate School for theses and dissertations. A written thesis is required for
most Master of Science degrees and a written dissertation for all Doctor of Philosophy and
Doctor of Education degrees at UNC Charlotte. While individual disciplines may have different
ways in which the research at this level may be completed and presented, consistency in certain
requirements for formatting is necessary.
In preparing a thesis or dissertation for submission for a master’s or doctorate degree, keep in
mind that neatness and correctness in form are of importance second only to the accuracy and
soundness of the research. This guide will assist you in the preparation of an acceptable thesis or
dissertation. It is not intended to be an exhaustive manual or style guide. The following
guidelines are required for all UNC Charlotte theses and dissertations. Do not use another
thesis or dissertation as a model for your work, since a particular style or example in a
previous work may be incorrect or out of date. The style and format set forth in this
manual take precedence over other style manuals and earlier editions of this guide.
Continuous Registration
Students must be enrolled during the term in which they graduate from the University.
Students in graduate degree programs are required to maintain continuous registration for the
thesis or dissertation until work is completed. The continuous registration requirement begins
with the semester in which the student first registers for thesis or dissertation credit.
Review by the Graduate School
The Graduate School has staff members who review the formatting of every thesis and
dissertation to be sure that they meet the guidelines outlined in this manual. Make an
appointment as early as possible before the initial formatting consultation deadline. All
copies of the unbound approved thesis or dissertation must be submitted to the Graduate School
by the deadline published on the Academic Calendar for fall, spring or summer semesters.
During the fall and spring semesters, the deadline for submitting the thesis differs from the
deadline for submitting the dissertation. The deadlines for the summer sessions are the same for
both theses and dissertations. It is extremely important that you schedule your defense prior
to the thesis/dissertation defense deadline as posted on the Academic Calendar. You may
not submit the final version of your thesis or dissertation to the Graduate School before
completing your defense.

4
PART 1: FORMAT GUIDELINES
The keys to success in the development of your document are: consistency and following
the guidelines in this manual. Many times it can be difficult and time consuming to correct
margins, font changes, tab settings, etc. in the middle of a document. If you set-up your
document to agree with the format guidelines listed in this Guide before you begin typing, you
will have less risk for error and save time making corrections along the way. See Sample Pages
on the Graduate School’s website for assistance.
Type Face and Font Size
The standard typeface is Times New Roman. Set the font size at 12 point.
EXTRA HELP: Do not use bold, underline or create unusual fonts for chapter titles; do
not use running headers or footers. Do not use bold, underline or italics for headings,
subheadings, etc. Changes in font style or typeface are not permitted except for inclusion
of illustrative or documentary materials such as computer printouts or if required for
mathematical expressions. If you are unsure about the acceptability of the typeface you
want to use for your final copy of the thesis or dissertation, please verify with the
thesis/dissertation reviewer in the Graduate School that it can be used.
Margins
All copies of a thesis/dissertation must have the following uniform margins:
Left-hand margin: 1 ½ inches (to ensure sufficient room for binding)
Right-hand margin: 1 inch
Bottom margin: a minimum 1 inch
Top Margin: 1 inch
Exceptions: The copyright page must have a 2 inch Bottom margin, the first page
of each chapter must have a Top margin that is 2 inches.
Spacing and Indentation


All theses and dissertations are to be typed with double spacing between lines
throughout.



Certain sections should be single-spaced, such as: long quotations; table and figure
captions, descriptions and footnotes, list of references, literature cited, bibliography, etc.
with a double space between each individual reference or computer print-out.



Tables and figures may appear on the same page with text, separated from the text, above
and below, by triple spacing.



The beginning of each new paragraph must be indented.

5
EXTRA HELP: Be sure to eliminate any extra line spacing that might occur between
paragraphs, in front or back of tables, graphs, figures, etc. There should be no triple or
quadruple spacing anywhere in your manuscript unless specifically listed in this
manual.
Pagination
All pages of the thesis/dissertation, including any appendices, should bear a number except the
title page and the first page of each chapter.
Position of Page Number



Upper right-hand corner on the margin line at the right
¾" from the top of the sheet

Organization of Parts and Formatting Requirements
Generally, a thesis or dissertation consists of three major parts, but there may be as many as five:
the preliminary pages, the text, the reference pages, an appendix, and a vita. The following table
contains a list of the required and optional parts, and the order each part should be created within
the body of the document.
The optional parts to be included with any thesis or dissertation should be determined by mutual
agreement between the student and his or her Advisory Committee. Both required and optional
components of the thesis/dissertation are described below.
Parts of a
Thesis/Dissertation
I) Preliminary pages

a) Title/ Signature
Page (required)

Page
Formatting Requirements
Numbering
Requirements
lower-case
Roman numerals
(i, ii, iii, iv, etc)
counted as page The title/signature page of a thesis or dissertation
i, but not
must bear the following; in the following order:
numbered
a. a 1" top margin
b. The title of the thesis or dissertation typed
in all capital letters and centered.
c. Skip 3 single spaced lines.
d. The word “by”
e. Skip 1 single spaced line.
f. The full legal name of the candidate.
g. Skip 4 single spaced lines.
h. The submission statement single spaced as
shown in the sample pages at the end of
this guide.
i. Skip 1 single spaced line.

6
j. The city in which the committee accepts
the work.
k. Skip 1 single spaced line.
l. The year of graduation.
m. Skip 1 single spaced line.
n. Approved signature lines as shown in the
example at the end of this guide.
o. Signatures must be in black or blue ink
only
p. This page is not numbered but is counted
The title/signature page should follow exactly the
spacing and use of capital letters as shown in the
sample pages. The title should be centered at the
top of the page and, to facilitate interlibrary
referencing, it should be pared down whenever
possible so it contains only key terms and
necessary words. Each copy of the title page
must have original signatures in either blue or
black ink.
b) Copyright Page
(required)

lower-case
Roman numeral
ii

Candidates are strongly advised to register
copyright for the thesis or dissertation. Whether or
not the copyright is registered, a notice of
copyright with the following information must be
included with each copy of the thesis or
dissertation. Putting the copyright page in your
thesis or dissertation notifies the public as to your
claim for copyright; however, the legal
registration in Washington, D.C. would facilitate
litigation if there were ever a case of
infringement. Additional information concerning
copyright procedures is provided in Part 2 of this
manual.

© 20__
Full Legal Name
ALL RIGHTS RESERVED
This information should be centered and singlespaced with the last line 2 inches from the
bottom of the page. This page is numbered with
a small Roman numeral placed ¾" from the top of
the paper and 1" from the right edge of the paper.
The year of graduation is used on this page.

7
c) Abstract
(required)

lower-case
Roman numeral
iii

The abstract page is required, but not listed in the
table of contents. The abstract is double-spaced,
consisting of the briefest possible summary of the
work and conclusions not exceeding one page in
length. The heading for the abstract is single
spaced and should be constructed as follows:
a. The word ABSTRACT is centered with a
1" top margin.
b. Skip 2 single spaced lines.
c. On the 3rd single spaced line below the
word ABSTRACT, type your full legal
name in all capitals. Type the title using
lower case only except for the first letter
of the first word. Type the name of the
professor who directed the thesis or
dissertation in parentheses and in all
capitals. See example in the sample pages
at the end of this guide
NOTE: The title shown on the abstract
page and the title on the title/signature
page must be the same.
d. Skip 2 single spaced lines.
e. On the 3rd single spaced line below the
heading, begin the text of the abstract. The
text of the abstract is double spaced. See
the example shown at the end of this
manual.
f. This page is numbered with a small
Roman numeral placed ¾” from the top of
the paper and 1" from the right edge of the
paper.

d) Dedication Page
(optional)

e) Acknowledgement
Page
(optional)

continue with
The Dedication page, if used, pays a special
lower-case
tribute to a person(s) who has given extraordinary
Roman numerals encouragement or support to one’s academic
career. The Acknowledgement page should be
brief, simple, and free of sentimentality or trivia.
It is customary to recognize the role of the
advisor, the other members of the advisory
committee, and only those organizations or
individuals who actually aided in the project.
Further, you should acknowledge any outside
source of financial assistance, such as GASP

8
grants, contracts, or fellowships.

f) Introduction
(optional)

a. The word DEDICATION or
ACKNOWLEDGEMENTS is centered
with a 1" top margin.
b. Skip 2 single spaced lines.
c. On the 3rd single spaced line below the
word DEDICATION or
ACKNOWLEDGEMENTS, begin the
text. The text of the dedication is double
spaced.
d. This page is numbered with a small
Roman numeral placed ¾” from the top of
the paper and 1" from the right edge of the
paper.
continue with
Depending on the discipline or the requirements
lower-case
of the student’s advisory committee, an
Roman numerals Introduction may be included as a preliminary
page. In this case it should be included before the
Table of Contents.
a. The word INTRODUCTION is centered
with a 1” top margin.
b. Skip 2 single spaced lines.
c. On the 3rd single spaced line below the
word INTRODUCTION, begin the text.
The text is double spaced.
d. This page is numbered with a small
Roman numeral placed ¾" from the top of
the paper and 1" from the right edge of the
paper.

g) Table of Contents
(required)

continue with
The Table of Contents of the thesis or dissertation
lower-case
lists all sections following it, including the List of
Roman numerals Tables and List of Figures, if used, and all the
headings and subheadings exactly as they appear
in the text. Nothing that precedes the Table of
Contents should be listed.
a. This page should bear the title: TABLE
OF CONTENTS centered 1" from the top
of the page.
b. Skip two single spaced lines.
c. On the third single spaced line below the
words TABLE OF CONTENTS, list the
first entry. The entries are double spaced.

9
d. This page is numbered with a small
Roman numeral placed ¾” from the top of
the paper and 1" from the right edge of the
paper.
h) List of Tables
(optional)
i) List of Figures
(optional)
j) List of Symbols/
Abbreviations
(optional)

continue with
If there are any tables or figures appearing in the
lower-case
thesis or dissertation, lists of these may be
Roman numerals included. The descriptive titles in these lists must
be identical with those in the text, but only the
titles and not the explanatory notes, should be
included. Each list appears on a separate page.
See examples at the end of this guide.
When many abbreviations or symbols are used, a
separate List of Symbols or List of Abbreviations
may be included for the sake of clarity.
a. The titles LIST OF TABLES, LIST OF
FIGURES, or LIST OF
ABBREVIATIONS are in capital letters
and centered 1" from the top of the page.
b. Skip 2 single spaced lines.
c. On the 3rd single spaced line below the
heading, list the first entry. The entries are
double spaced.
d. These pages are numbered with a small
Roman numeral placed ¾" from the top of
the paper and 1" from the right edge of the
paper.

II) Text

a) Chapter Title Page
(optional)
b) Text content
(required)

Arabic numerals
(1, 2, 3, 4, etc.)

The organization and format of the text should be
appropriate to the nature and scope of the research
reported. The text must show logical organization;
generally, the text includes an introduction or
preface, a clear statement of the objectives, an
appropriate review of previous research, a
description of the materials and methods used in
the research, a record of the results obtained,
interpretive discussion of results in light of other
research, and a summary of the significant
findings of the study. Recommendations for future
lines of study should also be included.
For theses and dissertations of great complexity
involving extensive cross-referencing and
multiple subheadings, a decimal type of
organization is suggested. If the decimal system is

10
used for major and minor divisions of the thesis, it
must be used throughout the entire thesis or
dissertation, including the appendices. It must also
be used for numbering equations, tables and
figures. Once a suitable system of subdivision is
selected, it should be followed consistently
throughout the document; combinations of the
decimal and the conventional or non-decimal
systems are not acceptable. (See example in Table
of Contents sample.)
NOTE: Organizing the thesis or dissertation into
chapters is not a Graduate School requirement;
however, if you do separate the text into chapters,
there is a specific format for the title (heading) of
each chapter. See sample pages for examples.
Either format is acceptable but be certain to
apply one or the other consistently throughout
your document.
Format for chapter headings:
a. The first page of each chapter must have a
heading that is capitalized and centered
with a 2" top margin. The first page of
each chapter is counted but the page
number is omitted.
b. Skip two single spaced lines.
c. On the third single spaced line below the
chapter heading, begin the text. The text is
double spaced throughout. The only
exceptions are noted within this manual.
d. Subsequent pages of the chapter have 1”
top margins; page numbers in the text
should be placed ¾” from the top of the
paper and 1" from the right edge of the
paper.
If chapters are not used but the text is still
separated into sections (e.g., Introduction,
Materials and Methods, Results, Discussion), each
new section must have a heading using the format
below:
Format for non-chapter headings:
a. Non-chapter headings should be

11
capitalized and centered with a 1" top
margin. The page is counted AND
numbered.
b. Page numbers should be placed ¾" from
the top of the paper and 1" from the right
edge of the paper.
c. Skip 2 single spaced lines.
d. On the 3rd single spaced line below the
heading, begin the text. The text is double
spaced.
III) References/
Bibliography (required)

Arabic numerals

The thesis or dissertation must include a separate
REFERENCES or BIBLIOGRAPHY section. The
format of this section must adhere to the
following:
a. The heading of REFERENCES or
BIBLIOGRAPHY should be capitalized
and centered with a 1" top margin.
b. Skip 2 single spaced lines.
c. On the 3rd single spaced line below the
heading, type the first entry.
d. All entries are to be single spaced with a
double space between entries.
e. Pages are numbered with Arabic numerals
placed ¾” from the top of the paper and 1"
from the right edge of the paper.
NOTE: The term Bibliography or References
should be used consistently throughout the thesis
or dissertation. That is, do not list it in the table of
contents as Bibliography and then title it in the
body of the text as References.
The form used for literature citation within the
REFERENCES or BIBLIOGRAPHY section of
the thesis or dissertation should be determined by
the style manual selected by the discipline for
which the research is written or by your advisory
committee.

IV) Appendices
(optional)

Arabic numerals

The appendices should be used for whatever
material you or your advisory committee believes
should be included, but would not be appropriate
in the text of the thesis or dissertation. Such
materials can include:

12
a. the original data obtained in the thesis or
dissertation research, including computer
programs and printouts, surveys, or
correspondence;
b. detailed descriptions of procedures, which
go beyond the general outline of methods
and approaches presented in the text;
c. a particularly extensive review of the
literature and other information that may
be useful to future scholars who may wish
to delve more deeply into the research
topic.
If there is more than one appendix, appendices
should be defined both by letters and titles,
(Example: APPENDIX A: CONSENT FORM).
a. Appendices must be listed in the table of
contents and numbered consecutively
following the bibliography/reference
pages.
b. The title should be capitalized and
centered with a 1" top margin.
c. Skip two single spaced lines.
d. On the third single spaced line below the
heading, type the first entry.
e. Pages are numbered with Arabic numerals
placed ¾” from the top of the paper and 1"
from the right edge of the paper.
V) Vita
(optional)

Arabic numerals

The thesis or dissertation may conclude with a
biographical sketch of the author. The sketch
should be written in the third person and should
indicate birth date and birthplace, where the
author earned the bachelor’s degree and if
applicable the master’s degree, professional
societies to which the authors belongs, and other
professional activities.
a. The word VITA is capitalized and
centered with a 1" top margin.
b. Skip two single spaced lines.
c. On the third single spaced line below the
heading, begin the text.
d. Pages are numbered with Arabic numerals

13
placed ¾” from the top of the paper and 1"
from the right edge of the paper.
Inclusion of Photographs and Prints
Any photographs used in the thesis or dissertation should be of very high quality. Color
illustrations are acceptable, but any color photographs, maps and charts included should be as
high contrast as possible. Photographs can be photocopied onto rag content-cotton paper if a
high-quality copy is obtainable. Color photocopying is also available.
Photographs may be developed on photographic paper cut to 8½ by 11 inches with the correct
margins as required throughout the rest of the thesis or dissertation.
Although the above methods for the inclusion of photographs are preferred, you have the option
to mount photographs and prints, black and white and/or color, on the same type of paper as that
used for other portions of the text. Permanent photo mount spray adhesive, good quality rubber
cement or drymounting tissue may be used for mounting. Photo mount corners, transparent tape
or staples are not acceptable.
You may discuss these various options with the thesis/dissertation reviewer at the Graduate
School during your appointment to review the first version of your thesis or dissertation.
Tables and Figures
Many theses and dissertations include tables and figures either in the text or in the appendices or
both. Since the specific purpose and organization of tables and figures may vary widely among
the various disciplines, the student should consult the style manual recommended by the advisory
committee or the scholarly journals and books in his or her field for guidance in design and
organization.
Each table and figure must bear an identifying number and a caption. The caption may consist of
a descriptive title or a descriptive title plus explanatory notes; captions may be single spaced.
The term table is used to designate tabulated data; this includes computer printout sheets. The
number and caption for the table must be placed above the top line of the table. If any table
continues to a following page, the line above the table on the subsequent page should read
“Table # (continued)” without repeating the caption.
The term figure is used to designate photographs, half-tone prints, charts, maps, graphs, plates,
drawings, diagrams and other mainly nonverbal material. The number and caption for each
figure must be placed below the last line or bottom of the figure.
The placement of tables and figures in a thesis or dissertation may be handled in one of the
following ways:
a. Each table or figure may be inserted in the text as near as practicable following the first
reference to it in the text;
b. Tables and figures may be grouped at the end of each chapter;

14
c. Tables and figures may be grouped at the end of the thesis or dissertation.
Tables and figures may appear on the same page with text, separated from the text, above and
below, by triple spacing. Two or more tables and/or figures may be grouped together on a single
page, provided that they fall within the required margins. Tables and figures printed sideways
(landscape printing) rather than in the normal upright position (portrait printing) should be
oriented such that the top of the table or figure is located at the left or binding side of the paper,
and the number and caption should be located at the top of the table or beneath the figure. The
page number, however, will remain in the same upright location. In other words, all pages that
are numbered would read in order when fanned, with all page numbers being in the same
location on each sheet. [Note: Table pages must maintain the 1½” left margin.]
Oversized Material
If you have trouble fitting large tables or figures within the margins of a page, consider the
following options:
a.

You may place the table or figure sideways (landscape) on the page, rotating it 90°
counterclockwise from its normal position. Place the illustration number and legend
sideways also so that all parts can be conveniently read together. Place the page number
in the same location as for the other pages, in the upper right corner of the sheet in its
unrotated position.
You may place the number and legend on a facing page preceding the table or figure.
Type them so that they will be read in the same direction as the illustration (rotated 90° if
necessary). Place the page number on the reverse side so that it reads in order with all the
other pages. In other words, all pages that are numbered would read in order when
fanned, with all page numbers being in the same location on each sheet.
You may photo-reduce the body of the illustration to meet margin requirements. Do not
reduce the figure number, legend, or page number.

Footnotes/Endnotes
The student should check with his or her department to determine whether or not the use of
footnotes is appropriate form or style for that discipline. If footnotes are used, they should be
employed consistently throughout the thesis or dissertation.
It is established practice in some disciplines to place footnotes at the end of each chapter. These
are called endnotes and their use is acceptable; however, footnotes are preferred for doctoral
dissertations since this allows the paper to be read continuously from beginning to end on
microfilm.
For footnotes only, not endnotes, 10 point font is acceptable.

15
Reproducing the Thesis or Dissertation
Copies or reproductions must be printed single sided on 8½ x 11 white 100% cotton paper. Any
duplicating process that is used must produce a permanent, sharp, high-contrast black image
suitable for microfilming. Caution should be used in selecting the duplicating process to be sure
that the copy produced is completely free of spots, lines, smudges or other blemishes. The
Graduate School will refuse any copies, which do not meet the requirements for paper type or are
not suitable for binding or microfilming. It is strongly recommended that you select a typist
carefully. Students who use more than one typist for the thesis or dissertation run a great risk of
various irregularities. You may expect to get a neater copy if you engage a typist who has had
experience in preparing theses or dissertations than if you undertake to type your own or entrust
your theses to typists with little experience in this area. In any case, an understanding about
corrections in the finished thesis or dissertation should be arrived at in advance. The typist
should be furnished a copy of these guidelines and informed of the necessity for strict adherence
to the regulations herein. The typist also should be furnished a copy of any other published or
departmental (or college) rules of style required to be used. The Graduate School will not accept
a thesis or dissertation that is incorrect in matters of style and form.
Thesis and dissertation copies are sent for binding at the end of the graduation term.
See Thesis Submission Procedures and Dissertation Submission Procedures for Further
Instructions

16
PART 2: COMMON MISTAKES
To help you in the final submission of your thesis or dissertation, sample pages of various parts
of the document have been included in the following pages of this formatting guide.
Common Mistakes
1.
2.
3.
4.
5.
6.

Proper usage of the word ‘effect’ versus the word ‘affect’
Failure to proof-read
Citation errors
Formatting of Margins
Accurate page numbering
Accurate placement of the page number on a landscaped page.
EXTRA HELP:
 Find out what style manual you should be using to cite your references and give credit
where credit is due.
 Know the difference between the word effect and affect.
 Proof read your document, and have others proof read your document.
 Follow this formatting guide.
 Check the “How To” pages of the Graduate School website for help with margins and
page numbering.

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