In order to graduate, students must submit their dissertation or thesis to ProQuest, a global information-content and technology company that provides support for research, learning, and the publication and dissemination of scholarly works.
In order to submit to ProQuest an official formatting review with the CGL's Graduate Completion Specialist, Aura Young, is required. Aura and the CGL are always available to assist graduate students with formatting concerns. (NOTE: Fall 2017 Doctoral dissertation formatting deadline is October 6; Master's thesis formatting deadline is November 20.) Just visit here to make an appointment.
Below are the necessary instructions, links, and resources for formatting and submitting your dissertation or thesis. DO NOT forego reading this information.
A former student's thesis or dissertation will not make an acceptable substitute for the Graduate School's official formatting manual.
These examples of dissertation and thesis pages can be used as templates:
- PhD Title Page
- EdD Title Page
- MA Title Page
- MS Title Page
These Sample Pages are referenced in the Formatting Manual, but beware: when printed the measurements described do not correspond to true measurements.
You must create a ProQuest account and submit your work through the ProQuest ETD Administrator pages.
Submission Procedures for accessing Proquest and submitting your ETD (Electronic Thesis or Dissertation)
Dissertation and Thesis Submission and ETD Form, Binding and Copyright Form- which you and your chair must sign. Submit to Aura Young in Cone 268.
Final Defense Report- signed by your committee and submitted to the Graduate School.
Survey of Earned Doctorates- required for Ph.D students (Ed.D., DNP, and Master’s students are exempt). Upon completing the survey, it is important that you send the “Certificate of Completion” to Aura Young (an emailed PDF is acceptable).
Tips for Formatting a Dissertation or Thesis:
- Know your style guide! Our library has resources for a variety of fields.
- Become familiar with the Dissertation and Thesis Formatting Manual.
- Make an appointment with Ms. Aura Young, Graduate Completion Specialist, in the Center for Graduate Life (Cone 268) to perform an initial review of your dissertation or thesis BEFORE your defense. An additional review of your dissertation or thesis may also be necessary after your defense if revisions were substantial. Please email your document to firstname.lastname@example.org at least 24 hours prior to your appointment. A hard copy is optional. Appointment times are available Monday through Thursday. To make an appointment visit this site or email Aura directly.
- After all necessary revisions are complete, convert the final version of the dissertation or thesis to ".pdf" format in preparation for electronic submission. The name of the .pdf file should be in this format “lastname-firstname-year-degree.pdf”—e.g., doe-john-2007-phd.pdf, all lowercase.
After converting your file to the ".pdf" format, be sure to check the following:
- Did you name the main file in the proper format? (lastname-firstname-year-degree.pdf—e.g., doe-john-2007-phd.pdf).
- Is the ETD file name in lower case letters?
- Check that the ETD has the proper pagination format: title/signature page (no page number), copyright page, abstract page and other preliminary pages (lower case Roman numeral); main body (Arabic page numbers, beginning with 1 and numbered consecutively to the end, including any appendices - note: the first page of each chapter is counted but not numbered).
- Are all margins, spacing, page number locations, etc. as required by the 2017-2018 Manual of General Formatting Guidelines?
- Does the Table of Contents match the actual text in the main body, and do the page numbers match?
- Have you checked for missing pages, poor font translation, and other anomalies?
- Make corrections to the ETD, if needed, and re-save the corrected version under the same file name.
At UNC Charlotte, doctoral and master students are allowed to submit an Adobe Acrobat PDF version of their dissertation for Graduate School approval. Links to specific Graduate School requirements for the physical formatting of ETDs are shown below. There are also links to the ETD websites of several other groups and universities that contain many hints and specific instructions for the preparation of ETDs. We urge you to review this information carefully.
It is the student’s fundamental responsibility to –
- Prepare and submit an ETD that meets the Graduate School’s format requirements;
- Test that the printed pdf version will be clear and legible, including any figures or images; and
- Properly embed fonts.
Some requirements for all ETDs
- Compression or password protection must not be used.
- Fonts: All fonts used should be embedded in the document. If they are not, your work may not display properly when accessed and the text may not be fully searchable.
- Links in Document: internal links to multimedia files are acceptable. If such elements are used, file formats should be identified in the Abstract. Any other hyperlinks must be deactivated.
- Only selected multimedia file formats are automatically approved for inclusion (see list of approved file formats below).
- Printed Documents to Include: All doctoral and master ETDs must be accompanied by paper copies of any reprint permission letters and any required third-party software licenses. Dissertations and theses must also be accompanied by paper copies of the signed Title/Signature Page and the ETD Signature Form.
- Naming Convention: The main file name should conform to the following naming convention: last name-first initial of firstname-year-degree.pdf (e.g. doe-j-2004-phd.pdf). Use English letters, Arabic numbers, and dashes (-) only; no extra punctuation or diacritical marks or blank spaces. Associated files (for example, video or sound) should follow this same convention with the addition of an indicator of the type of file (video example = doe-j-2004-phd-video1.mov; sound example = doe-j-2004-phd-sound1.wav).
- Rotated Pages: Landscape-oriented pages must be rotated to portrait mode, but here's the catch: the header or footer must be changed to portrait mode as well. See this helpful link.
- Need help? Visit ProQuest's Frequently Asked Questions page.
- More questions? Read all about publishing and copyright here.
UMI/ProQuest set all but the requirements listed above with the exception of the naming convention which is required for the University of North Carolina at Charlotte's archives.
Graduate School PDF Format Requirements
Adobe Acrobat PDF (Portable Document Format) software essentially prepares a page-oriented electronic document. What you see on the monitor and what you print out on paper should be formatted in standard 8½ x 11" page size. Owing to this fundamental page orientation and also to keep requirements specific to ETDs as simple as possible, the student should use the physical formatting instructions exactly as stated in the current version of the Graduate School's Dissertation and Thesis Formatting Manual. (above).
Approved Multimedia Enhancement Formats
Inclusion of enhanced multimedia elements in the basic pdf document is completely optional. Owing to the large number of formats available for various multimedia enhancements, the fact that they quickly rise and fall in popularity, and the difficulty inherent in long-term archiving and migrating of these formats as software evolves and changes, only the selected multimedia listed below are approved for inclusion in EDs at the University of North Carolina at Charlotte.
A word of caution, however. There are essentially three levels of commitment the University has made in regard to the long-term archiving of ETDs. (1) A very strong commitment to migrate the body of the work in the basic pdf format, much the same as that for the paper copies that have been submitted for decades. We will do everything possible to ensure long-term availability. (2) A strong commitment to migrate the added multimedia elements in the formats that have been approved. (3) Little or no commitment to migrate any non-approved multimedia formats. These are included at the author's risk. Please note that when UMI/ProQuest prepares and sells a paper copy of your dissertation or thesis, they provide only the printable portion to a customer.
There is a long-term risk associated with the inclusion of multimedia enhancements. An ETD must therefore be carefully prepared with this in mind. The body of the ETD must therefore be written so that all the important information is contained in the body of the basic pdf document. For example, images need to be inserted into the main document, and links to higher-resolution or enhanced TIFF or JPEG versions may be included.
A student who wishes to include an optional multimedia enhancement in a non-approved format must submit to the Graduate School for approval a request in writing stating the reasons for including this format.
Approved Formats for Optional Multimedia Enhancements
- PDF (.pdf) use Type I PostScript fonts
- CompuServe GIF (.gif)
- JPEG (.jpg)
- TIF (.tif)
- (Recommend a minimum resolution of 600 dpi for images of pages with text, and suggest that imbedded images be available in several possible resolutions)
- Apple Quick Time (.mov)
- MPEG (i.e., MPEG-1, MPEG-2) (.mpg)
- Microsoft Audio Video Interleaved (.avi)
- AIF (.aif)
- CD-ROM/XA (A or B or C)
- MIDI (with timing information) (.midi)
- MPEG-2 (.mpg)
- WAV (.wav)
- SND (.snd)
- Spreadsheet - Excel (.xls)
General Hints and Instructions
Navigational Aids. To assist the reader in readily navigating your ETD document, we recommend that you build sufficient internal navigational aids into your work. This is especially desirable if your ETD will be submitted as a single long pdf document. This can be done by adding internal links to the first page of each chapter and to other major parts listed in the Table of Contents, perhaps to each figure and table from the List of Figures/Tables, etc. Use of Adobe Acrobat's "Bookmarks" feature is a particularly easy way to include navigational links. Acrobat can automatically generate Bookmarks, which will appear in a window on the left side of the screen, from the Table of Contents generated from several modern word processors, including Microsoft Word. The creator of a pdf document can create additional bookmarks in an existing pdf document to another pdf document or to a Web page.
Instructions. The UNC Charlotte ETD submission website maintains a complete set of instructions for the submission of an ETD. The website also provides a resource section for students, a discussion of UMI requirements for electronic submission, and a PDF Help Center.
UMI/ProQuest Publishing Guidelines
UMI, formerly University Microfilms International, is now a subsidiary of ProQuest Information and Learning. The University sends a copy of all doctoral dissertations and master theses to UMI/ProQuest to be "published": UMI/ProQuest prints the abstract in Dissertation and Thesis Abstracts, and sells copies of the dissertation or thesis to the public in paper, microform, and electronic format. At this time, UMI/ProQuest will accept ETDs only in Adobe pdf format.
UMI makes available information on their website concerning "Submitting Your Dissertation or Thesis to UMI." Every student should review this information very early in his or her graduate career.
Information About the University's Dissertation and Thesis Binding Services
Students can have their dissertation or thesis hard-cover bound at a highly competitive price through the University's bindery. In order to do so you must print your own manuscript and bring your printed copy (or copies) to Aura Young in 268 Cone. You should print your manuscripts on white, acid-free paper, and each copy should be separated clearly from the next. The cost is $10 per each 100 pages. We accept check or money order made payable to UNC Charlotte.