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Manual of Formatting Requirements

for Theses and Dissertations

2014

TABLE OF CONTENTS

Introduction 3

Continuous Registration 3

Review by the Graduate School 3

Part 1: Format Guidelines 4

Type Face and Font Size 4

Margins 4

Spacing and Indentation 4

Pagination 5

Organization of Parts and Formatting Requirements 5

I. Preliminary pages 5

II. Text 9

III. References/Bibliography 11

IV. Appendices 11

V. Vita 12

Inclusion of Photographs and Prints 13

Tables and Figures 13

Oversized Material 14

Footnotes and Endnotes 14

Reproducing the Thesis or Dissertation 15

Part 2: Common Mistakes 16

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previous work may be incorrect or out of date.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.

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.

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

Page

Numbering

Requirements

Formatting Requirements

I) Preliminary pages

lower-case

Roman numerals

(i, ii, iii, iv, etc)

a) Title/ Signature

Page (required)

counted as page

i, but not

numbered

The title/signature page of a thesis or dissertation

must bear the following; in the following order:

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.

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

Candidates are strongly advised to register

not the copyright is registered, a notice of

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

manual.

Full Legal Name

This information should be centered and single-

spaced 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.

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

lower-case

Roman numerals

The Dedication page, if used, pays a special

tribute to a person(s) who has given extraordinary

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

grants, contracts, or fellowships.

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.

f) Introduction

(optional)

continue with

lower-case

Roman numerals

Depending on the discipline or the requirements

of the student’s advisory committee, an

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

lower-case

Roman numerals

The Table of Contents of the thesis or dissertation

lists all sections following it, including the List of

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.

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

lower-case

Roman numerals

If there are any tables or figures appearing in the

thesis or dissertation, lists of these may be

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

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

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:

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

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;

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.

b. 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.

c. 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.

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

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. Proper usage of the word ‘effect’ versus the word ‘affect’

2. Failure to proof-read

3. Citation errors

4. Formatting of Margins

5. Accurate page numbering

6. 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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