Electronic Thesis and Dissertation Guide

 

This guide supersedes all previous Auburn University manuals and Guides for the preparation of theses and dissertations. Last updated: March 2021.

Sample Pages and Templates

View our Samples Page and try our easy-to-use Templates.

A Latex Template is also available for theses or dissertations containing many equations (typically for mathematics or engineering students).

Introduction

Auburn University requires a dissertation for all Ph.D. degrees and a thesis for many master’s degrees. The thesis or dissertation is a demonstration of the student’s mastery of the field of study and an example of the student’s creativity, dedication, and the ability to work independently. It should make a significant scholarly contribution.

Auburn University graduate students are also required to demonstrate competency in electronic publication and must submit their theses/dissertations through AUETD (the Auburn University Electronic Thesis and Dissertation Library). AUETD allows a student’s work to be viewed freely by anyone on the World Wide Web.

Style Guides

This Guide provides specific, but minimal, requirements and general guidelines for the preparation of theses and dissertations to ensure that the electronic document is of a consistent high quality and suitable for publication on the world wide web.

Each department is encouraged to provide more specific guidance to students by selecting or developing a style guide (or guides) that is appropriate to the academic discipline of the graduate student preparing the thesis or dissertation for publication. The choice of style guide typically reflects the standards of leading professional or scholarly journals in the academic discipline. With these guidelines in mind, the graduate student’s advisory committee has primary responsibility for judging the acceptability of both the form and content of the electronic thesis or dissertation. Once the advisory committee has reviewed and approved the ETD, the committee attests to the acceptability of the ETD by signing the “Electronic Thesis/Dissertation Final Approval Form,” which the student then submits to the Graduate School.

If there are differences between other style guides and this one, the Graduate School guidelines take precedence.

The Graduate School will also accept theses and dissertations in alternative formats provided that 1) they include the required components in the prescribed order described below in “Order and Components”; 2) they are paginated; 3) they have the approval of the student’s advisory committee; and 4) they are deemed acceptable for publication on the World Wide Web by the Dean of the Graduate School.

Order and Components

The thesis or dissertation is typically organized into three main sections: 1) the preliminary pages; 2) the body; and 3) the reference pages.

Preliminary Pages

The preliminary pages include the title page, abstract, acknowledgments (optional), table of contents, list of tables (required, if applicable), list of figures or illustrations (required, if applicable), and list of abbreviations or symbols (optional).

Preliminary page headings are of a uniform font size (12 point), consistent with the font size used throughout the document. All headings in the preliminary pages are centered, one inch from the top of the page for all pages except the Title Page. The Title page is 2 inches from the top. Headings may be in mixed case (e.g., “Table of Contents”) or in all caps (e.g., “TABLE OF CONTENTS”). Mixed case is preferred. All preliminary pages are counted in the pagination, but no page number appears on the title page. All other pages in this section are numbered using lower case Arabic numbers (e.g., 1, 2, 3, 4 etc.). Page numbers are centered, at least ½” from the bottom of the page.

Title Page (required)

The title page includes (in the following order):

  1. Title In boldface type, centered, 2″ from the top of the page, followed by one blank line
  2. By-line The word “by”, centered, followed by one blank line
  3. Author Your full name, centered, followed by four blank lines
  4. Statement The following statement, centered as illustrated. No blank space separates this statement from the name of your degree, which follows.

A dissertation [or thesis] submitted to the Graduate Faculty of

Auburn University

in partial fulfillment of the

requirements for the Degree of

  1. Degree The name of your degree, centered, for example: “Doctor of Philosophy” or “Master of Science” followed by one blank line
  2. Location The location of the university (e.g., “Auburn, Alabama”), centered
  3. Date Your graduation date, in month/day/year format (e.g., May 14, 2019), centered, followed by four blank lines
  4. Keywords (Optional) The word, “Keywords:” and up to six keywords or phrases, centered, on two lines, followed by two blank lines
  5. Copyright notice (Optional) The word “Copyright” followed by the current year, e.g., 2019, followed by the word “by” and then your full name, followed by two blank lines
  6. Approvals The words “Approved by”, centered, followed by one blank line
  7. Committee Chair The name of your advisory committee chair (or first co-chair) followed by the word “Chair” or “Co-chair”, followed by the person’s academic title (e.g., “Margaret Waters, Chair, Professor of Kinesiology”)
  8. Committee Co-chair or Member The name of your advisory committee co-chair (if any), followed by the word “Co-chair” (if applicable), followed by the person’s academic title, all centered; if no co-chair, then the name of the first advisory committee member, followed by the person’s academic title, all centered.
  9. Committee Members The name of each additional committee member, followed by the person’s title, each on a separate line, all centered

The title page is not numbered but is included in the page count of the preliminary pages.

See Sample and Template.

Abstract (required)

The heading, “Abstract”, is centered, 1″ from the top of the page, followed by two blank lines. The text of the abstract begins on the following line at the left margin (the first line is indented). The text generally should not exceed 150 words for a thesis and 350 words for a dissertation. The Abstract is the first page to include a page number (e.g., page “2”). The page number, in Arabic numbers, is centered, at least ½” from the bottom of the page.

See Sample and Template.

Acknowledgments (optional)

The heading, “Acknowledgments”, should be centered 1″ from the top of the page, followed by two blank lines. The acknowledgments begin on the following line at the left margin (the first line is indented). The page number, in Arabic numbers, is centered, at least ½” from the bottom of the page.

See Sample and Template.

Table of Contents (required)

The heading, “Table of Contents”, is centered 1″ from the top of the page, followed by two blank lines. The Table of Contents lists all parts of the document (except the title page) and the page numbers on which each part begins. The titles of all parts are worded exactly as they appear in the document. These titles are aligned (not indented) with the left margin. Titles and headings and the page numbers on which they begin are separated by a row of dot leaders. Page numbers are aligned flush with the right margin. Entries are generally double-spaced; however, titles and headings of more than one line are indented at the second line and single-spaced. The list of contents begins at the left margin on the fourth line below the heading. The page number, in Arabic numbers is centered, at least ½” from the bottom of the page.

See Sample and Template.

List of Tables (required, if applicable)

A List of Tables is required if the document includes tables. The heading, “List of Tables”, should be centered 1″ from the top of the page, followed by two blank lines. The list of tables begins at the left margin, on the fourth line below the heading. The page number, in Arabic numbers, is centered, at least ½” from the bottom of the page.

See Sample and Template.

List of Figures or Illustrations (required, if applicable)

A List of Figures or Illustrations is required if the document includes figures or illustrations. The heading, “List of Figures”, or “List of Illustrations”, is centered 1″ from the top of the page, followed by two blank lines. The list begins at the left margin, on the fourth line below the heading. The page number, in Arabic numbers, is centered, at least ½” from the bottom of the page.

See Sample and Template.

List of Abbreviations or Symbols (optional)

If a significant number of abbreviations or symbols (sometimes called “Nomenclature”) are used in the document, a list of abbreviations or symbols may be included. The heading, “List of Abbreviations”, or “List of Symbols”, is centered 1″ from the top of the page, followed by two blank lines. The list begins at the left margin, on the fourth line below the heading. The page number, in Arabic numbers, is centered, at least ½” from the bottom of the page.

See Sample and Template.

Body (required)

The body typically includes all divisions of the text, such as parts, chapters, sections, and subsections. It may also include parenthetical references, footnotes, or references to the bibliography or endnotes.

The body of the document should be formatted consistently throughout. Consult departmental guidelines for the standard format(s) in your discipline.

The body may include one (or more) paper(s) submitted (or to be submitted) to a peer reviewed scholarly journal, each as a separate chapter. Formatting (including footnotes or endnotes and the citation of references) must still be consistent throughout the document.

Reference Pages (required)

The reference pages include the list of references and any (optional) appendices.

References (required)

Consult departmental guidelines for the standard format(s) in your discipline.

Appendices (optional)

All appendices (if any) are placed at the end of the document and labeled with a heading. Consult departmental guidelines for labeling standard(s) in your discipline.

General Formatting and Requirements

Margins

The document should have uniform text margins throughout the document. Set margins of at least one inch on all sides (top, left, right, and bottom).

Exceptions:

Headings. Any pages with a major heading (e.g., most preliminary pages) should have a 1″ top margin.

Pagination. Page numbers should be set at least ½” from the bottom of the page.

Binding Note: If you plan to print and bind your document, a left margin of 1.5″ is recommended.

Font Size and Type

Size. The selected font should be 12 points in size. Subscripts and superscripts should be no more than 2 points smaller than the size of the text font.

Type. Embedded fonts, such as Post Script Type 1, are required. Embedded fonts “travel” with the document, enabling that readers see the document as it was intended to be viewed. Standard fonts such as Times New Roman are recommended. Limit the use of italicized type to non-English words and quotations.

Spacing and Indentation

Spacing and indentation should be consistent throughout the document. Consult departmental guidelines for the standard(s) in your discipline.

For conventional documents, double spacing, single spacing or 1.5 spacing is acceptable. Single spacing is recommended for the following: bibliographical entries (with double-spacing between entries), long quotations, long endnotes or footnotes, long captions, and long headings.

Pagination

Pagination should be consistent throughout the document.

All pages are numbered except for the title page.

Preliminary, body and reference pages: Use Arabic numbers (1, 2, 3, 4, etc.).

Center all page numbers within the margins at least ½” from the bottom of the page.

Footnotes and Endnotes

Consult departmental guidelines for the standard(s) in your discipline.

Tables, Illustrations, and Figures

All tables (illustrations, figures, etc.) should be numbered, labeled, and oriented consistently throughout the document. Consult departmental guidelines for the standard(s) in your discipline.

Publication Guidelines and Academic Integrity

Use of Human Subjects

The Auburn University Institutional Review Board for the Protection of Human Subjects (IRB) reviews all research activities that involve the use of human subjects, regardless of funding, for compliance with applicable regulations and ethical research principles. All Auburn University faculty, staff, and/or student Principal Investigators (PI’s) conducting human subject research must obtain approval from the IRB before the research may be conducted. All non-AU PI’s conducting research on AU premises or facilities or with AU staff, students, or faculty must also receive IRB approval. For more information about submitting a protocol for IRB review, please visit: http://www.auburn.edu/research/vpr/ohs/https://cws.auburn.edu/OVPR/pm/compliance/irb/home

Multiple Authorship

A dissertation or thesis must be the result of the student’s own research, analysis, and writing, and generally must be the work of a single author. When articles prepared for publication in a professional journal or journals are included in a dissertation or thesis, multiple authorship may be permitted if the student is the primary author. Papers that include other authors can be used provided that the efforts of the other authors represent less than half of the total effort. The primary (student) author’s effort should represent, in the judgment of the faculty supervisor and the student’s advisory committee, a majority of the total effort expended in performing the research and preparing the manuscript (51 percent or more).

Use of Copyrighted Material

The use of copyrighted materials in a thesis or dissertation requires the permission of the copyright holder. The student is responsible for securing all necessary permissions, beyond what is permitted by “fair use,” and for paying any permission fees. For a more comprehensive discussion of copyright, please refer the following links: Copyright at Auburn University & U.S. Copyright Office

Copyright Registration

If you plan to copyright some or all of your ETD, you should discuss these plans with your advisor, especially if the ETD includes shared data.

Although the U.S. Copyright Office notes that copyright is secured automatically when the work is created in a fixed form, there are advantages to registration. For information about “Copyright Basics” and “Frequently Asked Questions about Copyright,” visit the U. S. Copyright Office website at http://www.copyright.gov/.

Embargos or Restricted Access

Students have the option of restricting public access to the thesis or dissertation for a period of up to five years. An embargo is usually requested if the student anticipates that immediate publication will have an adverse effect on subsequent publication opportunities. The length of the embargo should be indicated on the ETD Final Approval Form (although the Publishing Agreement checkbox indicates a two year maximum, a maximum up to five years may be indicated).

Paper Copies

The Graduate School neither requires nor accepts paper copies of theses and dissertations; however, individual departments and/or major professors may continue to require paper copies. Students should consult with their advisor and/or department for requirements.

Binding

Students who need bound paper copies to satisfy departmental or advisory committee requirements are advised to consult with the Graduate School for available options. A 1.5″ left margin is recommended for documents to be printed and bound.

The National Library Bindery Company in Roswell, Georgia, offers binding services to students. Contact them at nlbga@mindspring.com or 770-442-5490/800-422-7908.

Approval Process

Thesis Approval

The student conducts research and prepares the thesis under the guidance of the major professor and with the advice of members of the advisory committee. The thesis is first submitted to the major professor, who may consider it satisfactory or may require corrections, additional research, or other work. When the major professor is satisfied with the thesis, a copy is circulated among the committee members, who may request additional revisions or research. The student then prepares a revision incorporating all changes and corrections.

The student should then prepare the thesis using the Graduate School’s format requirements in the Electronic Thesis and Dissertation (ETD) Guide.  Once the student is ready to defend the thesis, they should submit the “Request for Report of Master’s Thesis Final Exam.”  With this form the student provides the date, time, and location of the final exam, as well as the desired embargo options for their thesis. Completion of the form is necessary to proceed to the final examination. The final examination should be scheduled before the deadline specified on the Graduate School’s website.  Once the final examination date is reached, the committee will be emailed a link to the Report of Master’s Thesis Final Exam where they will provide the results of the final exam.  If the major professor or any committee member marks the Report of Master’s Thesis Final Exam as Unsatisfactory, it will be necessary for the student to resubmit the “Request for Report of Master’s Thesis Final Exam” with a new exam date and time.  If after the final examination the major professor and committee determine that additional work is still required, the student will need to make the necessary changes and then provide a copy of the updated thesis to the major professor and committee.

Once the “Request for Report of Master’s Thesis Final Exam” has been approved by the major professor and committee, the “Electronic Thesis and Dissertation Publishing Approval Request” workflow will begin.  The major professor and committee will automatically be sent an approval request where they will indicate that the thesis is ready for publication and appropriate embargo options have been chosen.  When all work is completed and the “Electronic Thesis and Dissertation Publishing Approval Request” has been approved by the major professor and committee, the student should submit the thesis by the Graduate School deadline, in a single PDF file, through the Auburn University Electronic Thesis and Dissertation (AUETD) system for final review and in order to graduate that semester.  A publication processing fee of $50.00 will be placed on the student’s Bursar bill.

Dissertation Approval

Following written examination(s), the student should submit the “Request for the Report on the General Oral Examination” at least one week before the day on which the examination is to be held.  Once the General Oral Examination date is reached, the committee will be emailed a link to the Report on the General Oral Exam where they will provide the results of the exam.  If the major professor / chair or any committee member marks the Report on the General Oral Exam as Unsatisfactory, it will be necessary for the student to revise their examination responses, as needed, and resubmit the “Request for the Report on the General Oral Exam” with a new exam date and time.

After passing the examination, the student conducts research and prepares the dissertation under the guidance of the major professor / chair with the advice of members of the student’s advisory committee. The dissertation is first submitted to the major professor / chair  who may consider it satisfactory or may require additional revision or research. When the major professor / chair is satisfied with the dissertation, a copy of the dissertation is circulated among the committee members, who may also suggest revisions or additional research.  The student should then prepare the dissertation using the Graduate School’s format requirements in the Electronic Thesis and Dissertation (ETD) Guide.

The student then submits the “Dissertation First Submission Approval” form.  Once the Dissertation First Submission Approval form is approved by the committee, the University Reader will be sent the Dissertation Evaluation form.  The student and major professor / chair should carefully select the University Reader as they must be Graduate Faculty (Level 0, 1, or 2) and from outside of the student’s department.  As the representative of The Graduate School, the University Reader will review the dissertation and serve on the student’s committee during the final examination.  The student then submits the approved dissertation, in a single PDF file, to the Graduate School (email to doctoral@auburn.edu) for a format check.  When the University Reader returns the completed Dissertation Evaluation form, the student will be notified electronically so that the University Reader’s comments and suggestions may be addressed, if needed.  The student will receive the “Request for the Report on the Final Oral Exam” form to identify the date, time, and location of the final examination, as well as the embargo options that they have chosen for their dissertation. This must be completed at least one week before the day of the final examination. The final examination should be scheduled before the deadline specified on the Graduate School’s website.  Once the Final Oral Examination date arrives, the major professor / chair and committee will be emailed a link to the “Report on the Final Oral Exam” where they will provide the results of the final exam.  If the major professor or any committee member marks the final oral exam as Unsatisfactory, it will be necessary for the student to resubmit the Dissertation First Submission Approval Form. Following the final oral examination, the major professor / chair and committee members may determine that additional work is still required. In that case, it will be necessary for the student make the necessary changes and provide a copy of the updated dissertation to the major professor and committee.

Once the final oral exam has been approved by the major professor and committee, the “Electronic Thesis and Dissertation Publishing Approval Request” workflow will begin.  The major professor / chair and committee will automatically be sent an approval request where they will indicate that the dissertation is ready for publication and appropriate embargo options have been chosen.  When all work is completed and the “Electronic Thesis and Dissertation Publishing Approval Request” has been approved by the major professor / chair and committee, the student should submit the dissertation by the Graduate School deadline, in a single PDF file, through the Auburn University Electronic Thesis and Dissertation (AUETD) system for final review and in order to graduate that semester.  A publication processing fee of $50.00 will be placed on the student’s Bursar bill.  At this time, the student should also complete the Survey of Earned Doctorates.

Last modified: September 13, 2023