DISSERTATION/THESIS
FORMATTING & SUBMISSION
WORKSHOP
Kara Oswood
Graduate Academic Affairs
Introduction
The purpose of this workshop is to provide
information about formatting the document and
the steps involved in submission and graduation.
Graduate Academic Affairs, Graduate Division
 Kara Oswood (PhD’s), Amanda Wong (master’s), Karen
Smith & Linda Scott
 140 University Office Building
 M-F, 8am to 5pm (closed 12-1 for lunch)
 kara.oswood@ucr.edu, 951-827-3315
 http://graduate.ucr.edu
General Resources
•iLearn Course - UCR Graduate Community,
including LaTex Discussion Board
•GradSuccess including the Graduate
Writing Resource Center – gwrc.ucr.edu
•Dissertation Writing Support http://gwrc.ucr.edu/online-writingresources/dissertation-support/
•Dissertation Support Group –
counseling.ucr.edu, 951-827-5531 - Elizabeth
Mondragon
Document Style
• FIRST RULE: Style must conform to Graduate Division
Format requirements
• Style is at the discretion of your committee
• May choose to use MLA or APA or another style manual as a guide, but be
careful, these guides do not match the Graduate Division requirements
exactly.
• Journal format or scientific format
• Each chapter is a separate paper
• Must have a general introduction and conclusion
• Be consistent! Must use the same style for each chapter (including
abstract, bibliography and footnotes/endnotes)
Format - Preliminary Pages
1.
Title Page (page i, not printed)
2.
Copyright Page (page ii, not printed)
3.
Signature Approval Page (page iii, not printed)
4.
Acknowledgements (optional)
5.
Dedication (optional)
6.
Abstract (required for PhD only)
7.
Table of Contents (required)
8.
List of Figures, Tables, Abbreviations, Symbols, etc… (required, if
necessary)
9.
Preface or Forward (optional)
Format - Document Body
• Pagination – 3 separate sections (no numbers, lowercase roman
numerals, and regular numbers)
• Margins - 1.5” on left & top, 1” on right & bottom
• Widows and Orphans – remove these
• Tables, Figures and Captions - examples
• Double-spacing - general rule, some exceptions
• Type Size - 10, 11 or 12 point
• Font Style – any legible style is OK
• Use of color is acceptable
Format - Document Body
• Pagination – 3 separate sections (no numbers, lowercase roman
numerals, and regular numbers)
• Margins - 1.5” on left & top, 1” on right & bottom
• Widows and Orphans – remove these
• Tables, Figures and Captions - examples
• Double-spacing - general rule, some exceptions
• Type Size - 10, 11 or 12 point
• Font Style – any legible style is OK
• Use of color is acceptable
Figure & Caption embedded in text
Figure & Caption on own page
Landscape Table & Caption
Page number must be
portrait style
Caption and Figure on Separate Pages
Caption
Figure
Format - Document Body
• Pagination – 3 separate sections (no numbers, lowercase roman
numerals, and regular numbers)
• Margins - 1.5” on left & top, 1” on right & bottom
• Widows and Orphans – remove these
• Tables, Figures and Captions - examples
• Double-spacing - general rule, some exceptions
• Type Size - 10, 11 or 12 point
• Font Style – any legible style is OK
• Use of color is acceptable
Filing Resources for Formatting
Instructions for these items available on the Graduate Division filing resources
page. http://graduate.ucr.edu/filingresources.html
• Portrait style page numbers on a landscape page.
• Pagination
 Using section breaks
 Combining pdf files – Adobe Pro, Preview (Mac) or free online tools. Youtube videos
and other links available.
• LaTex Users
 Templates are available. Email kara.oswood@ucr.edu to request.
 Word template of the first few preliminary pages is available on the filing resources
page.
• Final Draft & Celtx Users (Screenplays)
 Margin size and page number placement requirements are the same even if you are
using this software.
 Helpful hints for Final Draft available on the filing resources page.
Format Review
• All students must complete a format review at
least one week prior to final filing date.
• The format review does not have to be the final
version. The final defense does not have to be
completed.
• The review will be completed within 24 hours.
• You will receive an email with formatting
changes attached. The email will also include
instructions regarding how to proceed and
where to find the additional required paperwork.
Electronic Filing Steps
UPLOAD TO: http://www.etdadmin.com/ucr
Step 1: Format Review – Upload document as a pdf. You must complete the
entire online process. Once all the boxes on the left side of the screen are
checked, you can “submit” via the bottom link. If you are having trouble,
review the help screens on the website. The document will not be forwarded
to the publisher at this point. You will not have the opportunity to change your
choices after this initial submission.
Step 2: Complete required additional paperwork forms available at
http://graduate.ucr.edu/filingresources/html.
Step 3: Upload the final version of the document and SUBMIT. If you are
submitting on the final day, make sure you leave yourself enough time prior to
the 5:00pm deadline in the event you experience unexpected challenges.
Step 4: Submit the original signature page, final defense form and additional
paperwork to Graduate Academic Affairs by 5:00pm on the deadline day. The
signature page in the electronic version must be blank.
ProQuest ETD Website FAQs
http://graduate.ucr.edu/ETD.html
• ETD stands for “Electronic Theses and Dissertations”
• Publishing Options – Traditional vs. Open Access, your choice
• Delayed Release – you can decide the time period, if any. If you want to request
between 3 to 5 years, put that information in the “note to administrator”. All requests
over 2 years are reviewed on a case-by-case basis.
• Additional Copyright – optional
• Ordering Bound Copies from ProQuest – optional, you can order bound copies from
anywhere. The “free library” copy listed will not be sent to you.
• SUBMIT – you must complete this step each time the pdf is updated. Submitting WILL
NOT send your document to ProQuest.
• After making your initial choices you will not be able to change publishing options and
copy orders. Changes can be made only by withdrawing the entire submission.
Where Does the Document Go?
•Available online and
for print at PQ
•Adheres to choices
made on ETD
website
ProQuest
UCR Library
•Scotty Entry
•UC Institutional
Repository
•Same delayed
release as ProQuest
eScholarship
Requirements for Filing
1.
Must be Advanced to Candidacy

Procedures different for PhD and master’s
2.
Approved Dissertation or Thesis Committee
3.
Final Defense must be completed or waived (if applicable)
4.
Must be enrolled & paid or on Filing Fee Status. Summer filing?

Filing Fee status occurs in lieu of registration

Filing Fee is NOT required

Must petition Graduate Division for approval

No enrollment in courses (consider student loan/financial aid repayment/Int’l student)

Must have a completed draft and plan to take no more than 12 hours of faculty time

Cost for 13/14 year is $162. You can opt to purchase the health insurance. Contact the Health Center
for information.

Student retains library privileges

Cannot work as a TA/GSR or receive fellowship

Can only use Filing Fee once
Graduation Deadline Dates
• Upcoming Deadline Dates:
http://graduate.ucr.edu/deadlinedates.html
Winter
2014
Spring
2014
Summer
2014
Format Review
Deadline
3/14/2014
6/6/2014
8/22/2014
Final Deadline for
graduation
3/21/2014
6/13/2014
8/29/2014
“In Between”
Deadline to avoid
fees
12/20/2013
3/25/2014
6/20/2014
Final Defense
• Required for most programs.
• All committee members are physically present. Remote
participation must be approved in advance.
• PhD Students required form:
 “Form 5” - Report of Final Defense.
• Master’s Students required form:
 Report of Final Defense.
• The final defense must be completed by the final filing
deadline.
• Signature Page for the document and Final Defense form
are two separate requirements (2 separate forms).
Graduation!!!
•A Certificate of Completion can be issued once all
requirements are complete. Students can pick up the
certificate from the Academic Affairs office or request to have
it mailed. It will state completion date and conferral date.
•The degree will be posted on your transcript, by the Registrar’s
office, 6-8 weeks after the conferral date. You must order a
transcript, it will not be sent automatically.
•The Diploma will be available approximately 5-6 months after
the conferral date. The diploma will stay in the Registrar’s
office unless you request to have it mailed and pay the postage
fee.
•You will always have access to GROWL and R’Mail.
Commencement Requirements
June 2014 commencement.ucr.edu
Summer 2013 GRADS
•
If you have not already participated in the ceremony, you can walk June 2014. Contact Kara if
you wish to participate.
Fall 2013 & Winter 2014 GRADS
•
Confirm Intent to Participate in the ceremony on the commencement website beginning late
April/early May. Actual date not set yet. No additional forms are required by Graduate Division.
ALL Spring/Summer 2014 GRADS
•
PhD: ‘Notice of Intent’ to complete a PhD – Due March 31st
•
Master’s: Application for candidacy form – Due March 31st
•
Forms will be available soon at http://graduate.ucr.edu/commencement.html
Summer 2014 GRADS
•
Master’s & PhD: ‘Commencement Ceremony Petition’ to walk unfinished. Due April 10th
Thank you for coming!!
PLEASE FILL OUT THE
SURVEY!
Commencement Information
- commencement.ucr.edu
•
EVERYONE who wants to walk must confirm their “Intent to Participate” on the commencement
website beginning May 3rd.
•
PhD students - the faculty member that is hooding you must also register on the commencement
website beginning May 3rd.
•
Order Regalia NOW (if you haven’t already). Check with the bookstore for deadlines.
•
You can order regalia through other sources (online). Sometimes retailers will offer a discount for
group orders.
•
Visit the commencement website for information about schedule, regalia, tickets, parking, etc...
Workshop Overview
• Document Style
• Final Defense
• Format Requirements • Previously Published
Materials
• Format Resources
• Binding the
• Format Review
Manuscript
• Electronic Filing of the • Graduation
Document
• Commencement
• Requirements for
Filing
Previously Published Materials
• Articles accepted for publication or previously
published at the time of filing must submit this
petition
 Petition with Grad Division and include permission from Journal
 Request permission even if the article has been rewritten or if only a
portion is being used.
• Other Copyright Issues
 Proper acknowledgement in acknowledgement section of manuscript is
required.
 Crews Guide (link also available on Grad Div website):
www.proquest.com/products_umi/dissertations/copyright/
 Things to consider asking permission for: Long quotations, unpublished
materials, poetry and music lyrics, dialogue from a play, screenplay,
broadcast or novel, music, graphic or pictorial works, computer
software, or sources located on the Internet.
Binding the Manuscript
• For the Graduate Division
 Graduate Division does not bind documents or take
orders for bound copies.
 The Library produces a printed copy of the electronic
document for their archive – not for check-out.
• For your Department, Committee, etc..
 You are responsible for making bound copies
 UCR Printing & Reprographics
 Not obligated to order bound copies through ProQuest