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Electronic Thesis Preparation Instructions
Electronic Thesis Preparation Instructions
The Graduate School formatting requirements
for an electronic thesis are provided below.
- File Format The textual portion of the ETD
must be submitted in PDF (Portable Document Format) format.
The Adobe Acrobat software required to create a PDF document is
available on PCs located in the computer laboratories on campus.
Alternatively, Adobe Acrobat can be purchased from the UK Computer
- Software for creating PDF documents is available in the Student Computing Services labs on campus. Full Adobe Acrobat (not the free reader) is required to create PDFs.
- Having technical trouble converting your document to PDF? Drop-in help for document conversion and other technical questions about creating your PDF file is available at the IT Help Desk at the Hub or in the Student Computing Services labs or Campus Libraries. The Information System's Customer Service Center Help Desk can also provide technical support as you create your ETD. Call, email or visit the IS CSC Help Desk in 111 McVey Hall (phone: 859-257-1300, email firstname.lastname@example.org). If you feel you might need extensive assistance on a specific technical issue, it is best to call ahead and make an appointment with one of the technical-support personnel.
- Answers to common questions about creating a PDF ETD are available in our Technical FAQ [PDF]. Topics include how to set up different page number formats in MS Word 2007, creating landscape pages with portrait page number orientation, and generating PDF bookmarks automatically.
- Bookmarking The following items must be
bookmarked: Title Page; Abstract; Table of Contents (TOC); Tables;
Figures; Preface; Introductions; Each Chapter; Each Sub-Section;
Appendix; Bibliography; Index. Additional subsections may also be
bookmarked. Set your document to open with bookmarks visible.
This substantially improves navigation of your document. It
allows readers to jump between sections of your document by
clicking on bookmark links. The utility of this feature can be
appreciated in this sample
ETD from the UK Libraries' ETD collection. 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.
(Bookmarks are generated automatically only if your Word document
is structured appropriately to use an automatic table of contents.
BYU provides an excellent video clip to show you how to create bookmarks in MS Word 2007). To set your document to open with
- In Acrobat, click on the "File" menu, then "Document
- Choose "Initial View" from the left on the dialog box.
- Choose "Bookmarks Panel and Page" from the "Show" options.
- Fonts All fonts used in the document must be
Embedding fonts simply means that all of the font information
used to make your document look the way it does is stored in the
PDF file. So no matter what fonts someone else has on their
computer, they'll be able to see the file as you intended it to be
seen. If you don't embed fonts, Acrobat will use fonts available on
the reader's computer. Substitution can result in significant
differences between your intended output and what the reader
observes (particularly with symbol fonts), so it is best to have
the fonts embedded. Fonts can be embedded when you convert from
Word to PDF:
- In Word, choose "Print" from the File menu.
- Choose "Adobe PDF" as the printer.
- Use the "Properties" button to set various options, including
- Choose "Adobe PDF Settings" tab
- In the "Adobe PDF Conversion Settings" area, choose the "edit"
button next to the "Default Settings" drop box.
- Choose the "Font" tab and check the "Embed all fonts" box
- Proceed with printing to the PDF file.
- File Names Use ONLY English letters,
underscore lines and Arabic numbers. No spaces in the file name.
Strict file-naming requirements insure that hyperlinks will work.
Specifically, using spaces in the file name will cause a problem
with hyperlinking, possibly making your document inaccessible to
some readers. Re-name any files that don't comply before submitting
your ETD to the Graduate School . (e.g., thesis.pdf is correct; my
thesis.pdf is incorrect).
- File Links File names included in the "List of
Files" must be linked to the actual files.
Linking file names to the actual files in the List of
Files section makes it easier for users to preview the
multimedia enhancements you have taken time to include in your
document. It also makes it easier for the Graduate School to make
sure your multimedia files are working correctly. If you include
multimedia files, or if your document is too large to be useful as
a single PDF and must be broken into sections, be sure that all
components are linked appropriately. With multimedia files, be sure
that links exist within the document to access these files. If you
create multiple PDFs, be sure you provide a way to move between the
sections. Many people recommend submitting the full text of an ETD
as a single PDF file. For longer ETDs, one very large file can
become cumbersome to work with. If you do submit your ETD as a set
of PDF files, however, you must include (and test) sufficient
navigational links so that the reader can readily move from one
file to another without having to close out one file in Acrobat and
then open up the next PDF file. This is true also for any external
files submitted with the document (e.g., video files). Links to
these files must be included within the document and as linked file
names within the "List of Files" page. In Acrobat:
- Be sure that all files (your PDF and all multimedia files) are
in the same folder on your computer.
- Use the "Link" tool to draw a box around the text you want to
- In the dialog box, choose the "open a file" option and enter
the full name of the file in the space. Click OK.
Highlight links consistently. Links to additional files in the
document should be visible. You should change the color of linked
text within your document, create a box around linked text, or
otherwise make sure that links are obvious. To change text color in
Acrobat: Highlight text using the "Touch-Up Text" tool. Right click
and choose the "Properties" option. Choose "Fill" color to change
- Security Restrictions Do NOT incorporate
restrictions such as prohibiting copy/paste, compression or
These are not allowed for several reasons; for example it allows
ETD processors to copy your abstract and other information for
inclusion in the database; it facilitates future migration of the
document and it provides a more functional document for your
readers. (so people can copy/paste citations, etc.). Additionally,
it allows UMI to add their "archival information" page to
dissertations. In Acrobat, the default is to have no security
restrictions, so you should not have to do anything.
- External Links Links to files not submitted
with the ETD itself (e.g., URLs) are restricted to the References
or Bibliography section ONLY. These are not permitted because w e
cannot control the future availability of external files. All files
necessary for your document must be submitted with the document. If
you do include references to online works, be sure to follow
current guidelines for
citing Web resources.
- File Size: There is no specific size limit for
There is no specific size limit for UK ETDs, but you should
consider breaking up large files into multiple PDF's to facilitate
- Multimedia Formats: The following multimedia
formats must be used:
- TIFF (.tif) - RECOMMENDED
- PDF (.pdf) use Type I PostScript fonts
- JPEG (.jpg)
- GIF (.gif)
- MPEG (i.e., MPEG-1, MPEG-2) (.mpg)
- WAV (.wav) - RECOMMENDED
We will make every attempt to migrate the listed file formats
indefinitely. Files submitted in the RECOMMENDED formats will have
the best chance of future migration.
Formatting and Font
- Margins: A 1-inch margin is required on the
top, bottom and right sides of all pages of the thesis; a 1.5" inch
margin is required on the left side of all pages to allow for
- Line Spacing: Either single, one and one-half
or double spacing should be used in the body of the thesis.
Footnotes, bibliographic entries, long quoted passages, etc.,
should be single-spaced.
- No bold on Preliminary Pages.
- Justification: Either left justification or
full justification is acceptable for the body of the text.
"Orphans" (headings or sub-headings located at the bottom of a page
that are not followed by text) and " widows" (short lines ending a
paragraph at the top of a page) should be avoided.
- Pagination: Roman numerals must be used for
the acknowledgment page and all pages following until the first
page of the text. Begin with numeral " iii ". Arabic numerals must
be used for the main text, illustrative material, appendices,
references, and vita. Begin with page 1 and number consecutively.
Numbers must be positioned 0.5 inches from the bottom of the page.
They must be centered and must be consistent throughout the
- Font: A standard 11 or 12 point font is
required and should be consistent throughout the thesis. This
includes all preliminary pages, table of contents, list pages,
table/figure headings and page numbers. The text must be
The thesis consists of three major sections,
the preliminary pages, the main text and the appendix/reference
materials. The specific order of the pages is as follows:
- Title Page for
- Abstract: The
abstract must not exceed 200 words and must be single-spaced. Do
not include graphs, charts, tables or other illustrations in the
abstract. If the abstract is not in English, provide an English
translation. Include exactly 5 keywords or key phrases at the end
of the abstract for indexing and cataloging purposes. If multimedia
elements are used in the document, add this listing to the Abstract
immediately after the keywords. For example - Multimedia Elements
Used: JPEG (.jpg); Apple Quick Time (.mov); WAV (.wav).
- Dedication Page
(Optional): The information should be centered on this page; this
page is not paginated.
- Table of Contents:
This Table of Contents must provide the page location of the
Acknowledgments, List of Tables (if included), List of Figures (if
included), each chapter or section and sub-sections, as well as
Appendices, Bibliography/References, and Vita.
- List of Tables
(Required only if tables are presented in the text): This page must
include the table number, exact title, and table page number. Do
not include the table legend.
- List of Figures
(Required only if figures are presented in the text): This page
must include the figure number, exact title, and figure page
number. Do not include the figure legend.
- List of Files (Required only if files are presented in the
text) : This page must include the name, the type (.pdf, .gif,
etc.) and the size of each file, and is required even for just one
- Text: This section must be divided into chapters or sections.
Musical Arts Projects must include (I) Extended monograph of
Lecture Recital and (II) Program notes.
- Appendices: Appendices include materials that are independent
of but relevant to the thesis, for example surveys, additional
data, computer printouts, symbols, abbreviations, definitions, etc.
The appendices must conform to the rules for margins, but the print
may be reduced in size.
- Bibliography and/or References: A bibliography is a
comprehensive list of all sources used in the preparation of a
thesis, whether those sources are cited or not. References are
those works cited in the text, including traditional footnotes and
parenthetical citations. Either option is acceptable to The
Graduate School. Bibliographies must be alphabetized even within
sub-headings if used. References may be listed either
alphabetically or numerically (in order of citation). References
for a Musical Arts Project must follow each of the two individual
parts of the project. The Bibliography (presented at the end)
covers both parts. References/Bibliography must be collected at the
end of the work, not at the end of each chapter.
- Vita: The vita can be compiled in a list or paragraph format
and should be restricted to the following information:
- Date and place of birth (preferred, but optional--for Library cataloging purposes)
- Educational institutions attended and degrees already
- Professional positions held (do not include job
- Scholastic and professional honors
- Professional publications
- Typed name of student on final copy
- Table/Figure Placement: There are three
options for table and figure placement within the thesis. Use one
consistent method throughout the thesis. Tables/figures may not be
grouped at the end of the thesis.
- Place the table/figure on the page along with
the body of the text (do not wrap the text around the
- Place the table/figure on a separate page
immediately following the page in which it is first cited in the
- Group tables/figures at the end of the
chapter in which they are first cited in the text (note that when
grouping, tables precede figures).
- Table/Figure Numbering : The recommended
method is to identify each Table or Figure according to the chapter
in which it appears (Table/Figure 2.1, 2.2, 3.1, 3.2, etc.)
- Table/Figure Headings:
- Table headings must be positioned above the
table using the same font style and size as used in the main body
of the thesis. Use a continuation notation for tables that exceed
one page in length. For example, Table 3.1 (continued).
- Figure headings may be placed either above or
below the figure, depending on the convention used in the
discipline. For larger figures that fill the area of the page, it
is acceptable to place the corresponding heading on a separate page
that immediately follows the figure in the thesis. Both the figure
page and the heading page should be numbered in the usual
consecutive manner. Do not abbreviate the word "figure."
- For landscaped tables/figures, headings
placed on the same page must be oriented to read from bottom to
NO signatures are to be reproduced in
electronic theses because they will be available on the Web. TYPE
the Author's name (and date) on the Abstract Page. TYPE the names
of the Director (Co-Directors) of the thesis and of the Director of
Graduate Studies on the Signature Page.
In any work, copyright implicitly devolves to
the author of that work whether or not you so state. Copyright
arises automatically when a work is first fixed in a tangible
medium such as a book or manuscript or in an electronic medium such
as a computer file or e-mail. To make your ownership of the work
clearer, The Graduate School now requires a copyright notice be
placed centered at the bottom of the thesis title page: For
example, Copyright © John J. Smith 2001. Because of the high
visibility of an ETD we recommend that you place this copyright
statement at several unobtrusive places in the body of the thesis.
The bottom line on the last page of each chapter is a possibility
for such placement.
By submitting a thesis to the University of
Kentucky Graduate School, the student attests 1) that all material
contained therein is the original work of the student 2) that
proper scholarly attribution has been given to all outside sources
and 3) that all necessary copyright permissions have been obtained
for any third-party-copyrighted material included in the thesis.
Students must obtain written permission from the author and/or
copyright owner if using copyrighted materials beyond the "fair
In submitting the thesis, the student will be
granting to the University of Kentucky and its agents the
non-exclusive license to archive and make accessible the thesis in
whole or in part in all forms of media, now or hereafter known.
However, the student retains all other ownership rights to the
copyright of the work, including the right to use it in future
works (such as articles or books) all or part of the work. Further,
the student is free to register the copyright to the thesis.
- Pre-published Materials: Students should be first authors on
any publications based on their thesis work. This reflects the
primary creative role students should play in the organization,
development, and execution of their research with guidance from the
advisory committee. If a student is not first author on a
manuscript presenting the thesis research, then written approval
must be obtained from the Director of Graduate Studies for the work
to be included in the thesis. Written verification of DGS approval
must be presented to The Graduate School with the Thesis Approval
Sheet. Any of the student's work that has been previously published
must be appropriately referenced within the thesis. It is the
student's responsibility to contact journal editors regarding an
individual journal's copyright regulations prior to publication
with that journal. The journal may hold the copyright to the
material, and a request for release should be made prior to
reproducing that material in the thesis.
- Proprietary Content: In certain circumstances, the thesis may
contain information of a proprietary nature. The Graduate School
will honor requests to hold a thesis for six months and with possible renewal for another six months prior to releasing it for publication and archiving
in the UK Libraries. A written request must be presented to the
Dean of The Graduate School that specifies substantive reasons why
the thesis should be held; this request should be endorsed by the
Major Professor and the Director of Graduate Studies.
WARNING : While the Graduate School will check
the thesis for proper format and pagination at the time of
submission, it cannot assume any responsibility for editing or
correcting the thesis. Therefore, each author should take care to
proof for spelling and format, as well as the inclusion of all
components, before bringing the thesis to the Graduate School for
final submission. Note that the Graduate School cannot accept
replacement copies or other changes once the final thesis has been
Direct questions to the Degree Certification
Officer for your program.