Guide

GUIDE TO PREPARING A DISSERTATION, THESIS, OR REPORT
AT MICHIGAN TECHNOLOGICAL UNIVERSITY
By
The Graduate School
MICHIGAN TECHNOLOGICAL UNIVERSITY
2023
Guide for Dissertations, Theses, and Reports – 2023 Summer Revision
Table of Contents
List of Figures .....................................................................................................................v
List of Tables .................................................................................................................... vi
1. Overview .......................................................................................................................1
2. Graduate School Online Resources ............................................................................2

2.1. Degree completion and deadlines .........................................................................2
2.2. Formatting Resources ...........................................................................................3
2.3. Writing Resources .................................................................................................3
2.3.1. Turnitin .....................................................................................................3
2.3.2. Michigan Tech Multiliteracies Center ......................................................3
3. Formatting guidelines ..................................................................................................4
3.1. Typefaces ..............................................................................................................4
3.2. Margins .................................................................................................................4
3.3. Paper size ..............................................................................................................5
3.4. Page numbers ........................................................................................................5
3.5. Double-sided printing ...........................................................................................6
3.6. Line spacing ..........................................................................................................7
3.7. Figures...................................................................................................................7
3.8. Tables ....................................................................................................................8
3.9. Oversize pages or media .......................................................................................8
3.10. Use of color ...........................................................................................................8
4. Sections and order......................................................................................................10
4.1. Title page (required for Dissertations, Theses, and Reports)..............................10
4.2. Approval page (required for Dissertations, Theses, and Reports) ......................11
4.3. Dedication (optional) ..........................................................................................13
4.4. Table of contents (required for Dissertations and Theses) .................................13
4.5. List of figures (optional) .....................................................................................13
4.6. List of tables (optional) .......................................................................................13
4.7. Author Contribution Statement (required in certain instances for Dissertations
and Theses) .........................................................................................................13
4.8. Acknowledgements (optional) ............................................................................14
4.9. Definitions (optional) ..........................................................................................14
4.10. List of abbreviations (optional)...........................................................................14
4.11. Abstract (required for Dissertations, Theses, and Reports) ................................14
4.12. Main body (required for Dissertations and Theses) ............................................14
4.12.1. Common sections in a traditional document ...........................................15
4.12.2. Collection of articles ...............................................................................16
4.13. Reference List/Bibliography (required for Dissertations and Theses) ...............17
4.14. Appendices (optional) .........................................................................................17
iii
5. Academic integrity and responsible conduct for research .....................................18

5.1. Research misconduct ..........................................................................................18
5.2. Human and animal subjects and recombinant DNA ...........................................18
5.3. Using copyrighted materials ...............................................................................19
5.3.1. Determining if permission is needed ......................................................19
5.3.2. Obtaining permission to use copyrighted materials ................................19
5.3.3. Documenting permission to use copyrighted materials ..........................20
5.4. Originality Certification ......................................................................................20
6. Electronic Document preparation and publication ................................................22
6.1. Electronic document preparation ........................................................................22
6.2. Publication ..........................................................................................................22
7. References ...................................................................................................................24
Appendix A. Sample title and approval pages ..............................................................25
iv
List of Figures
Figure 3.1. Sample page layout............................................................................................5
v
List of Tables
Table 3.1. Examples of some of the typefaces recommended for use in the main body of
dissertations or theses.. ...................................................................................4
Table 3.2. Sections for inclusion in a dissertation, thesis, or report listed in order of
appearance. .....................................................................................................6
vi
1. Overview
This edition of the Guide to Preparing a Dissertation, Thesis or Report at Michigan
Technological University (referred to as the Guide throughout the remainder of this
document) is revised from the 2015 version as presented to the Senate. Some important
changes are:
• URLs throughout have been updated to current links.
• URLs throughout have been made screen-reader friendly to ensure accessibility

for the document.
• The formatting section (Section 2.2 page 3) has been updated to reflect that the
Graduate School now has a Word template for dissertations, theses, and reports.
Students are encouraged to use the template for easier formatting of these
documents. A LaTeX template is also available.
• Minor updates for clarity based on student questions have been incorporated
throughout the document.
• In spring 2019, this document was revised to meet accessibility requirements. No

changes were made to the content.
• In spring 2021, this document was revised to reflect that schools’ names have
changed to colleges. No changes were made to the content or requirements.
• In fall 2021, this document was revised to reflect that the submission of the
Approval of a Dissertation, Thesis, or Report form is no longer used and to clarify
the required formatting for documents.
• In summer 2023, this document was revised to add recommendations from the
Library about the format of the abstract, and to clarify that permission is not
needed to reprint previously published work if the authors have retained the right
to republish. The Writing Resources were also updated. No changes were made to
the requirements.
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2. Graduate School Online Resources

2.1. Degree completion and deadlines
The Graduate School maintains a number of helpful resources for degree completion on
our web page and on MyMichiganTech. A summary of those pages is below.
Step-by-step instructions for completing a degree are found online on the Degree
Completion Timeline web pages. See our:
• Timeline to complete a doctoral degree
• Timeline to complete a master’s degree with a thesis
• Timeline to complete a master’s degree with a report
Deadlines for upcoming semesters are found online for scheduling defenses, holding
defenses, and submitting documents.
Students can log into MyMichiganTech for a detailed and personalized summary of their
degree progress to date. The Graduate School encourages students to regularly check
MyMichiganTech to ensure timely completion of degree items and to verify their student
records. Resources available on the “Current students” tab include the:
• Student checklist: a personalized list of items that are needed now (marked with
an open checkbox), informational (marked with a shaded open checkbox), or that
are overdue (marked with an exclamation mark).
• Degree completion timeline: a personalized list of every item needed to

complete each degree along with which items are complete or incomplete.
• Dissertation, Thesis, or Report status: a summary of a student’s status of these

documents
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2.2. Formatting Resources

The Graduate School maintains Word templates for dissertations, theses, and reports.
Students are encouraged to use these templates to ensure that the formatting requirements
are met and to make document preparation easier. A LaTeX template is also available, as
well as a number of step-by-step tutorials to aid in document preparation. These resources
are summarized online:
• Formatting resources for dissertations and theses
• Formatting resources for reports
The Graduate School web site also contains resources for using EndNote, a bibliographic
management software.
The Graduate School regularly schedules seminars and workshops to assist with
formatting and submission requirements. The Graduate School’s web site has videos and
handouts from previous seminars and a schedule for upcoming events.
2.3. Writing Resources

2.3.1. Turnitin
Students are encouraged to use Turnitin to evaluate their documents for plagiarism.
Instructions on how to access Turnitin can be found on the “Graduate Candidates” course
on Canvas and on the formatting pages referenced in Section 2.2 above. For more
information about academic and research integrity, refer to Section 5 on page 18.
In 2023, support for Turnitin Draft Coach was also made available to registered students.
See the knowledge base article from IT for assistance.
2.3.2. Michigan Tech Writing Center

The Michigan Tech Writing Center is also available to assist students with writing as well
as preparing oral, poster, or other presentations. Please see the Michigan Tech Writing
Center website for more information about their services.
2.3.3. Write-D
Write-D (Writing in the Discipline) provides a dedicated time and space for graduate
students to get work done and receive support on writing projects within their discipline,
such as manuscripts, research proposals, etc. so that writing skills are enhanced
progressively throughout the program. Consult the Write-D website for current
information about the availability in your program.
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3. Formatting guidelines
Graduate School formatting requirements are described in this section. The formatting
required for dissertations and theses ensures acceptance of documents by ProQuest and
allows student to professionally bind these documents if desired.
Students completing a report are not required to adhere to the requirements in this
section, although following them is encouraged.
All students are strongly encouraged to use the available templates to aid in formatting
their documents. See Section 2.2 on page 3.
3.1. Typefaces
The typefaces and sizes listed in Table 3.1 are recommended for the main body of the
text of a dissertation or thesis. Other typefaces are acceptable as long as they are legible.
Type 1, Open Type, or True Type fonts should be used for the text of a document. All
fonts are required to be embedded in the document.
Table 3.1.
Examples of some of the typefaces recommended for use in the main body of
dissertations or theses. Helvetica, Times, or Geneva fonts are also recommended for
Macintosh users.
Typeface Minimum Size Web Minimum Size Maximum Size
(Shown at the minimum size) for Body Text Font for Headings for Headings
Arial 10 pt Yes 12 pt 24 pt
Century 11 pt No 13 pt 25 pt
Garamond 12 pt No 14 pt 26 pt
Georgia 11 pt Yes 13 pt 25 pt
Lucida Bright 10 pt No 12 pt 24 pt
Microsoft Sans Serif 10 pt No 12 pt 24 pt
Tahoma 10 pt No 12 pt 24 pt
Times New Roman 12 pt Yes 14 pt 26 pt
Trebuchet MS 10 pt Yes 12 pt 24 pt
3.2. Margins
The binding edge margin of all pages is required to be between 1.5 and 1.6 inches. The
margins of the remaining sides are required to be between 1.0 and 1.25 inches. The
required margins apply to all components of the document, including page numbers,
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footnotes, and appendices. See Figure 3.1 for a

sample page that includes a page number and
footnotes.
3.3. Paper size

The main body is required to be formatted to
print on 8.5 × 11 inch paper. Oversize maps or
tables are allowed (see Section 3.9).
3.4. Page numbers

The title page, approval page, and dedication
page (if included) are included in the page
count; however, a page number must not be
placed on these pages. This means that the
table of contents will be numbered page iii (or
3) in a single-sided document that does not Figure 3.1. Sample page layout. The
have a dedication page. All other non-blank bold box shows a letter-sized page.
pages are numbered and have numbers placed Dashed lined shows the printable area
on them. Blank pages are included in the page of the page. All material must fit within
count but do not have page numbers printed on the box with the dashed line.
them.
Each page in a document should be assigned a unique and sequential number. In a

traditional document, page numbers on pages preceding the main body of the document
are printed using lower case Roman numerals (e.g., i, ii, iii, etc.). Arabic numerals (e.g.,
1, 2, 3, etc.) are used for page numbers in the main body of the document and any
subsequent materials (e.g., a reference list or appendix). It is allowable to use Arabic
numerals for page numbers throughout the document.
Page numbers must be placed either at the center of the bottom of the page or in the upper
corner of the page on the side opposite to the binding. Page numbers are required to fall
within the printable area of the page (see Figure 3.1). Page numbers are required to
appear in the same place throughout the document, even if the orientation of pages
changes. Some software packages will automatically place page numbers within a header
or footer. It is important to confirm that all page numbers fall within the document’s
printable area.
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Table 3.2.
Sections for inclusion in a dissertation, thesis, or report listed in order of appearance.
See the relevant section of the Guide to determine if the section is required for a
dissertation, thesis, or report. Page numbering examples are for single sided documents.
Section Page Number Type Page Numbering with More details
with Traditional Page Arabic page
Numbering numbering
Title Page1 None (this is page i) None (this is page 1) 4.1, page 10
Approval Page1 None (this is page ii) None (this is page 2) 4.2, page 11
Dedication4 None (this is page iii) None (this is page 3) 4.3, page 13
Table of Contents1 iii, iv, v… 3, 4, 5… 4.4, page 13
List of Figures4 iii, iv, v… 3, 4, 5… 4.5, page 13
List of Tables 4
iii, iv, v… 3, 4, 5… 4.6, page 13
Author Contribution iii, iv, v… 3, 4, 5… 4.7, page 13
Statement3
Acknowledgements4 iii, iv, v… 3, 4, 5… 4.8, page 14
Definitions4 iii, iv, v… 3, 4, 5… 4.9, page 14
List of Abbreviations4 iii, iv, v… 3, 4, 5… 4.10, page 14
Abstract 1
iii, iv, v… 3, 4, 5… 4.11, page 14
Contents (Main Body) 1 1, 2, 3… 3, 4, 5… 4.12, page 14
Reference List2 1, 2, 3… 3, 4, 5… 4.13, page 17
Appendices4 1, 2, 3… 3, 4, 5… 4.14, page 17
1. These sections are required for all dissertations, theses, and reports.
2. This section is required for dissertations and theses.
3. This section is required for some dissertations and theses. See Section 4.7, page 13 for
more information.
4. Inclusion of this section is optional for all dissertations, theses, and reports.
3.5. Double-sided printing

Double-sided documents are allowed, however, for simplicity in formatting they are not
recommended. Double-sided documents must adhere to the following requirements that
relate to margins and page numbering. Also see Section 3.9 regarding the use of oversize
pages or media in documents that are prepared for double-side printing.
• Margins: The binding edge margin is required to be 1.5 to 1.6 inches on all pages.
For portrait pages in a double-sided document, the binding edge will be on the left
hand side for odd pages, and on the right hand side for even pages. For landscape
6
pages, the binding edge will be on the top for odd pages, and at the bottom for
even pages.
• Page numbers: Page numbers placed at the bottom center of the page require no
special treatment. If numbers are placed in the upper outside corner, they will
appear in the upper right corner on odd pages, and the upper left corner on even
pages.
• Blank pages: The title page, approval page, and dedication page (if present) are
always printed as one-sided sheets. When a document is prepared for double-
sided printing, the back of each of these sheets is required to be blank. One way to
accomplish this is to insert blank “pages” that will correspond to the reverse side
of each of these one-sided sheets. These blank pages do not have numbers printed
on them, but they are included in the page count. In a double-sided document, the
table of contents is the first page with a number on it; it will be page v (or 5) if no
dedication is present, and page vii (or 7) if a dedication is present. Blank “pages”
may also be inserted as desired to ensure that major sections (such as the start of a
chapter) begin on odd-numbered pages. Blank “pages” are only allowed to occur
on even-numbered sides of sheets of paper. Two or more blank “pages” in a row
are not allowed.
3.6. Line spacing

Single-spacing, one and one-half line spacing, and double-spacing are allowed. Blank
lines may be inserted before and/or after headings in the body of a document. If the first
lines of paragraphs are not indented, blank lines should be inserted between each
paragraph.
3.7. Figures
Figures should be formatted in a consistent way and the same type(s) and size(s) of fonts
should be used in all figures if possible. Sans serif fonts such as Arial or Tahoma are
generally preferred for figures. In all cases, any text used in a figure should be legible.
All images should be clear, readable, and reproducible. Images that look good on a
computer screen may not be of sufficient resolution to print well. A minimum resolution
of 300 ppi is typically recommended for printed materials. Screenshots have a
significantly lower resolution, and should be used only when necessary.
Each figure should have a caption that identifies the figure number. Each figure should be
assigned a unique, sequential number. In a traditional dissertation or thesis, figures are
numbered using the chapter number followed by a period and the figure number (e.g.,
Figure 3.1). Figure captions should be located below each figure. The first sentence of a
caption should be an overview of the figure. Subsequent sentences should include, as
7
necessary, detailed information about the figure. Captions should be descriptive enough
that the figure can be understood by someone who has not read the body text. If a figure
contains multiple parts, each part is generally identified with a letter that is placed within
the figure. The caption for a figure with multiple parts typically contains a description of
each part, which begins with the part’s letter (usually italicized), followed by a comma.
3.8. Tables
Tables should be formatted in a consistent way. The size and font used for text in a table
will generally be the same as that used in the main body of a document. Bold text may be
used to denote headings in a table. A consistent style of borders should be used for all
tables in the document if possible.
Each table should have a caption that identifies the table number. Each table should be
assigned a unique, sequential number. In a traditional thesis or dissertation, tables are
numbered using the chapter number, followed by a period and the table number (e.g.,
Table 3.1). Table captions should be located above each table. The first sentence of a
caption should be a general description of the table. Captions should be brief. Discussion
of the significance of the data presented in a table should be included in the body of the
document.
3.9. Oversize pages or media

Students who wish to print documents with oversized materials or supplemental
electronic files in a media pocket should contact the bindery of their choice to determine
how to properly format their documents for binding. Note that there may be an extra
charge to print documents that require oversize materials or pockets.
Oversize pages measuring 11 × 17 inches can be included within the body of the
document so that the pages fold out from the binding edge. Simply incorporate these
pages in the appropriate location, adhering to the margins as described in Section 3.2 on
page 4. Page numbers must be placed so that when the page is folded out the number is at
the bottom center of the page or non-binding upper corner of the page.
Supplemental files, such as video, sound, or data, can also be included with a submission.
See Section 6.1 on page 22 for additional instructions on preparing the electronic
submission.
3.10. Use of color

Color should only be used when necessary to enhance the presentation of the document.
If you intend to have your document printed or professionally bound, color is generally
more expensive to print, it does not reproduce equally well on different printers or
computer monitors, and may be difficult for visually impaired readers to interpret. Some
8
word processors use RGB color to present black text in a PDF file. See the Graduate
School blog for instructions on to change color pages to black and white to minimize
printing costs if professional binding is required.
9
4. Sections and order

This portion of the Guide describes the required and recommended sections for a
dissertation, thesis, or report. Required sections, as noted, must be included in the order
indicated. When optional sections are included they should appear in the order
recommended in this section of the Guide.
All students are strongly encouraged to use the available templates to aid in formatting
their documents and presenting all required materials in the correct order and with the
correct formatting. See Section 2.2 on page 3 for more information.
4.1. Title page (required for Dissertations, Theses, and

Reports)
Sample title pages are shown in Appendix A. Templates are also available online; see
Section 2.2 on page 3 for more information. The typeface, style and size of text should be
the same as that used for the body text of the document. A page number must not be
placed on this page, but the page is included in the page count. A title page is required to
contain the following elements in the following order with the requirements as described:
• The title – shown in all capital letters. For example, “MY DISSERTATION”, or
“MY THESIS”, or “MY REPORT”, where My Dissertation (or My Thesis, or My
Report) is the exact title of the document.
• The word “By”- without the quotations.
• The author’s full name – shown in a mix of upper and lower case letters. For
example, “Blizzard T. Husky”, where Blizzard T. Husky is the name of the
author.
• Type of document – shown in all capital letters. This will be one of the following:
“A DISSERTATION”, “A THESIS”, or “A REPORT”.
• The following statement – written exactly as shown here but without the
quotations: “Submitted in partial fulfillment of the requirements for the degree
of”.
• Type of degree – shown in all capital letters. For example, “DOCTOR OF

PHILOSOPHY”, or “MASTER OF SCIENCE”.
• The name of the degree program –shown using upper and lower case letters. The
word “In” should precede the name of the degree program. Note that the name of
the degree program will generally not be the same as the name of a department or
10
school. A current list of all graduate degree programs is found on the Graduate
School web site.
• The University name – shown in all capital letters, as shown here but written
without the quotation marks: “MICHIGAN TECHNOLOGICAL UNIVERSITY”.
• The year of completion of the final document placed between the University name
and copyright notice. Note that this may not be the same year that the dissertation,
thesis, or report was defended.
• A copyright notice – printed using a mix of upper and lower case letters and with
the format: “©Year Owner’s Name”. For example: “©2021 Jane E. Doe”
“Copyright” or “Copr.” may be used instead of “©”. Note that copyrights may be
registered, for a fee, when documents are submitted to ProQuest.
4.2. Approval page (required for Dissertations, Theses,

and Reports)
Sample approval pages are shown in Appendix A. Templates are also available online.
See Section 2.2 on page 3 for more information. The style and size of font should be the
same as that used for the body text of the document. A page number must not be placed
on this page, but the page is included in the page count.
The following elements are required on an approval page in the following order with the
formatting requirements as noted below:
• For a dissertation, the text: “This dissertation has been approved in partial
fulfillment of the requirements for the Degree of DOCTOR OF PHILOSOPHY
(note that the name of the degree is written in all capital letters) in Degree
Program (where the appropriate name is entered and is written in a mix of upper
and lower case letters and is not italicized).” Note that the name of the degree
program will generally not be the same as the name of a department or college. A
current list of all graduate degree programs is found on the Graduate School web
site.
• For a thesis, the text: “This thesis has been approved in partial fulfillment of the
requirements for the Degree of DEGREE TYPE (where the appropriate name of
the degree, e.g., Master of Science, is inserted and is written in all capital letters)
in Degree Program” (where the appropriate name is entered and is written in a
mix of upper and lower case letters and is not italicized). Note that the name of
college. A current list of all graduate degree programs is found on the Graduate
School web site.
11
• For a report, the text: “This report has been approved in partial fulfillment of the
requirements for the Degree of DEGREE TYPE (where the appropriate name of
the degree, e.g., Master of Science, is inserted and is written in all capital letters)
in Degree Program” (where the appropriate name is entered and is written in a
mix of upper and lower case letters and is not italicized). Note that the name of
college. A current list of all graduate degree programs is found on the Graduate
School web site.
• Name of the student’s administrative home department or college in upper and

lower case letters, preceded by the text “Department of” or “College of” as
appropriate. A college name is used only when there are no departments within
the college. Note that the name of the department or college will generally not be
the same as the name of a degree program. A current listing of departments and
colleges is found on the Michigan Tech web site. This line must be right aligned
as shown on the template examples in Appendix A.
• Names of members of the Graduate Faculty who served as advisor (or co-
advisors, if applicable) and as committee members and approved the dissertation,
thesis, or report.
o The top line is for the name of the advisor. When there is a single advisor,
this line is required to be preceded by the words: “Dissertation Advisor:”
(or “Thesis Advisor:” or “Report Advisor:” as appropriate). If there are
two co-advisors, the name of the first co-advisor is given on the first line
and the name of the second co-advisor is given on the second line. When
there are two co-advisors, the name of each co-advisor is required to be
preceded with the words “Dissertation Co-Advisor:” (or “Thesis Co-
Advisor:” or “Report Co-Advisor:”).
o List each committee member on a separate line. The names are required to
be preceded by the words: “Committee Member:”. All Committee
Members are required to be listed.
o All names listed on this page are required to be italicized.
o Note the colons and left edge of the names must be aligned.
• The last line is reserved for the title and name of the department chair or college
dean of the unit which served as the student’s academic home at the time they
completed the degree. Only list the college dean when the college has no
departments. The individual’s single title (e.g., “Department Chair:”, or “College
Dean:”) must precede the name of the individual. The name of the College Dean
or Department Chair is required to be italicized.
12
4.3. Dedication (optional)

Dissertations, theses, or reports may be dedicated to an individual, several people, or a
group. The word “dedication” is usually not needed on this page. Customarily, the
dedication is short, such as, “To my parents.” This page is not numbered if included, but
is included in the page count.
4.4. Table of contents (required for Dissertations and

Theses)
Each chapter or section heading, with the exception of the table of contents, should be
listed in the table of contents. Additional subheadings may also be included. The table of
contents should be formatted so that each level of heading is clearly distinguished and
page numbers are easily found. Page numbers should align flush right and should be
preceded by a leader of periods. One way to clearly identify section headings is to
increase the indention of successively lower levels of subheadings. Formatting for a
Table of Contents is illustrated in the table of contents for this Guide.
4.5. List of figures (optional)

If a list of figures is included, it should consist of a table that lists the figure number, the
first line of the figure caption, and the page number on which the figure occurs. The
formatting of the list of figures is similar to that of a table of contents, except that there
are no subheadings.
4.6. List of tables (optional)

If a list of tables is included, it should consist of a table that lists the table number, the
first line of the table caption, and the page number on which the table occurs. The
formatting of the list of tables is similar to that of a list of figures.
4.7. Author Contribution Statement (required in certain

instances for Dissertations and Theses)
An author contribution statement must be used in two situations:
• A document includes previously published materials, or
• A document includes materials developed collaboratively.
A single author contribution statement at the beginning of the dissertation or thesis must
be present if published material, such as a journal article, is republished in its entirety as a
chapter in the document. For the purposes of this Guide, published materials include
13
those already in print, accepted for publication, in review, or planned for submission in
the near future.
An author contribution statement must also be present if part of the dissertation or thesis
was prepared collaboratively. For example, if a chapter of a dissertation was prepared
jointly by the author of the dissertation and another student (who worked together on the
research project and in the writing of the text of the chapter), the preface must clearly
describe the contributions made by each individual.
4.8. Acknowledgements (optional)

This page is used to thank individuals, groups, or organizations for their support.
4.9. Definitions (optional)

If a list of definitions is included, it should be alphabetized. A definition list may include
a key to foreign terms and phrases used in the document.
4.10. List of abbreviations (optional)

If a list of abbreviations is included, it should be alphabetized.
4.11. Abstract (required for Dissertations, Theses, and

Reports)
An abstract is a concise summary of the document. It is not an introduction. It should
clearly identify the topic and major findings of the research. The abstract in the document
will be used for the ProQuest index and institutional repository (Digital Commons).
Publication with ProQuest is required for dissertations and theses. ProQuest does not
accept reports. Dissertation abstracts should be less than 350 words and thesis and report
abstracts should be less than 150 words in order to ensure that they are not truncated by
automated search engines. It is required that an abstract be no longer than two pages
(double-spaced) or one page (single-spaced).
We recommend that the abstract not include Latin characters, equations, figures, or
tables. If those items are included, the cataloging information available for your
document may be incomplete or contain errors.
4.12. Main body (required for Dissertations and Theses)

If the student’s program has requirements for the content of a dissertation or thesis, those
requirements should be used in place of the recommendations in this section.
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A traditional document presents the research in the form of a single document (similar to
a book). Dissertations and theses can also be presented as a collection of articles, some of
which may have been published previously. Both formats are acceptable.
If material included in a dissertation, thesis, or report has been previously published, that
prior publication must be cited in the dissertation, thesis, or report. Reproduction of any
section of an article that is larger than allowed for by “fair use” policies requires
appropriate copyright permission.
4.12.1. Common sections in a traditional document

4.12.1.1. Introduction
The introduction lays the foundation for the current research and places the work in
context within the disciplinary field. It should be an analysis of the existing body of
research that has a bearing on the current project. It should both review the literature and
provide a critical analysis of it. It should outline some of the limitations of prior research
and describe areas that are in need of further exploration. This section provides context
for the goals of the current research project.
4.12.1.2. Goals and hypotheses

Following the introduction is usually a section outlining the goals or purpose of the
current work and the hypotheses being tested or problems being addressed.
4.12.1.3. Methods
The methods section describes all of the methods used in the study. Methods may include
activities such as modeling, conducting simulations, performing field work or
experiments, implementing surveys, among many other techniques. If the description of
one or more of the methods is lengthy, it is appropriate to include an overview in this
section of the document and to include more details in an appendix.
4.12.1.4. Results (data and observations)

The results section presents all of the data obtained using the methods described in the
methods section. A common mistake is to include a description of methods within the
results section. This should be avoided in nearly all circumstances. If the data are
extensive, a summary may be included in the main body of the document with additional
information located in an appendix. Appendices may also be used to present data in
different formats.
15
4.12.1.5. Discussion
In the discussion section, results are interpreted and are put in context with the current
state of research in the discipline. The discussion section should clearly explain the
meaning of the results and their implications, in particular as they relate to the
hypothesis(es) tested. It is common to use citations to refer to the primary disciplinary
literature in order to compare and contrast the results of the current project with results
obtained and reported by other researchers. Sources of discrepancies, limitations, or
errors in the current work and their implications should also be presented in the
discussion section. New data should not be presented in this section.
4.12.1.6. Future work

This section highlights additional work that could be done at a later date to build upon the
current research.
4.12.1.7. Conclusions
Conclusions summarize the main findings of the current research. This section reiterates
the main findings and limitations of the research and may highlight some of the areas for
future work.
4.12.2. Collection of articles

In this type of document each chapter is typically developed as a stand-alone section. If
any chapter contains published material (such as a journal article) or was prepared
collaboratively, an author contribution statement must be included in the dissertation or
thesis to clarify the status and origin of the material. See Section 4.7 on page 13 for
additional information. For the purposes of this Guide, published materials include those
already in print, accepted for publication, in review, or planned for submission in the near
future.
When the document consists of a collection of articles, an introductory chapter must be

included that describes the connection between all other chapters. A dissertation or thesis
is not simply a collection of articles; it is the presentation, synthesis, and analysis of an
entire research project that was conducted over a period of time. It is most helpful when
the introductory chapter states the goals and hypotheses for the overall project and
describes how each chapter relates to the overall goal.
Formatting of published items included in a thesis or dissertation must either:
• Conform to the guidelines to authors of the publishing organization, or
• Be consistent with the rest of the thesis or dissertation.
16
Photocopies or PDF versions of previously published papers will not be accepted.
A footnote must be placed on the first page of a chapter containing published material
with the following information:
• “The material contained in this chapter was previously published in OR has been
accepted for publication in OR has been submitted to the OR is in preparation for
submission to Title of Source of Publication.”
• If a source of publication has not yet been determined, edit the footnote as needed
o reflect where it might be submitted. For example: The material contained in this
chapter is in preparation for submission to a journal.
4.13. Reference List/Bibliography (required for

Dissertations and Theses)
A reference list or bibliography presents all of the sources cited in the document. It may
also include works consulted. The style used in the list of references should be consistent
with the style used in a well-respected journal in the student’s discipline. Either a single
reference list for the entire document or separate reference lists at the end of each chapter
must be included.
4.14. Appendices (optional)

Appendices are used to place lengthy and detailed material that supports the main body of
work. Appendices should be formatted in the same way as the body of the dissertation,
thesis, or report. Note that materials traditionally included in an appendix, such as code or
data tables, may be included as digital files instead of, or in addition to, the PDF file. See
Section 6 on page 22 for more information. Supplemental materials are not required to
follow the formatting requirements of the dissertation, thesis, or report PDF file.
17
5. Academic integrity and responsible conduct for

research
Dissertations, theses, and reports are expected to be completed with the highest level of
integrity and must adhere to all University policies and the accepted standards of practice
in the relevant disciplinary field.
5.1. Research misconduct

Michigan Tech addresses academic integrity and misconduct in research, scholarly, and
creative endeavors (hereafter, “misconduct”) in separate policies and procedures. The
integrity of academic assignments is addressed by the Academic Integrity Policy (Senate
Policy 109.1), while the integrity of research is addressed by the Misconduct in Research,
Scholarly, and Creative Endeavors Policy (Senate Policy 204.1). A dissertation, thesis, or
report is considered research, and allegations of misconduct are handled according to the
misconduct procedures (Senate Procedures 204.1.1). Current Senate policies and
procedures can be found online.
Misconduct includes, but is not limited to, fabrication, falsification, or plagiarism.
• Fabrication is making up data or results and recording or reporting them.
• Falsification is manipulating research materials, equipment, or processes, or

changing or omitting data or results such that the research is not accurately
represented.
• Plagiarism is the appropriation of another person’s ideas, processes, results, or

words without giving appropriate credit to the originator. Policies related to
plagiarism also cover instances of self-plagiarism.
Misconduct does not include honest errors or differences in opinion.
5.2. Human and animal subjects and recombinant DNA

All research projects that involve human subjects, animal subjects, or recombinant DNA
must be reviewed by the Office of Research Integrity and Compliance. Projects that are
approved will receive an approval number from the Office of Research Integrity and
Compliance that can be referred to in a dissertation, thesis, or report as evidence that
approval was sought and granted.
18
5.3. Using copyrighted materials

Materials obtained from another source may be covered by a copyright. This section
provides information pertaining to the use of copyrighted materials.
5.3.1. Determining if permission is needed

All material reused or obtained from another source must be properly cited. This includes
previously published material that was originally created by the author of the dissertation,
thesis, or report being submitted to Michigan Tech’s Graduate School.
Permission is needed to republish any material, including that created by the author of the
dissertation, thesis, or report being submitted to Michigan Tech’s Graduate School, with
the following exceptions:
• Material in the public domain. This includes material created by employees of the
federal government. This may also include some materials produced in other
countries or by other governments.
• Material for which the copyright has expired.
• Material that is covered under the “fair use” clause of copyright law, which allows
for the reuse of some materials without permission.
• Text or figures substantially altered from their original source.
• Published work where the student has retained the right to republish. Consult the
publishers’ policies and/or the copyright transfer agreement.
A full discussion of copyright law is beyond the scope of this Guide. Helpful copyright
resources can be found on the Graduate School web site. ProQuest also maintains
additional copyright resources on their web site. An excellent description of copyright
and fair use in academia is maintained by Stanford University.
5.3.2. Obtaining permission to use copyrighted

materials
If permission is required to use previously published materials, it must be given in
writing by the holder of the copyright (typically a publisher). Obtaining permission to use
previously published material can take a great deal of time. Sample permission letters are
available from ProQuest.
19
If permission is not granted, the previously published material must not be used in its
published form. In many cases text, figures, or tables can be substantially modified so
that they can be used as long as they are properly cited.
5.3.3. Documenting permission to use copyrighted

materials
In cases where copyrighted material is used in a dissertation, thesis, or report, it is
expected that permission to use the material will be clearly documented. Many publishers
explicitly describe the way that their permission to allow re-use of copyrighted material
should be documented. Two ways this is typically done include the following:
• Include an acknowledgement of the permission granted by the holder of the

copyright in the acknowledgement section of the dissertation, thesis, or report.
• Include a reference to the permission either in the text of the document, as a

footnote, or in the caption of a figure or table.
In addition, students must submit documentation to the Graduate School that they have
permission to use copyrighted materials in a dissertation, thesis, or report or
documentation that materials are exempt from copyright restrictions. Evidence of
permission to use material created by others or previously published can be documented
in two ways:
1. It can be included in an appendix to the dissertation, thesis, or report. This is the

preferred method because these materials will always be readily available to the
author of the document in case they need access to the written evidence at some
point in the future after they have completed their degree.
2. It can be digitally submitted to the Graduate School with the final dissertation,
thesis, or report as supplemental files.
Please do not email copyright documentation to the Graduate School.
With either method, label each piece of evidence with the corresponding figure number,
table number, or chapter so that the reader can easily match the evidence to the
corresponding material in the dissertation or thesis.
5.4. Originality Certification

The Publishing agreement includes an originality statement that students must sign to
certify they are submitting an original document. This agreement is incorporated into the
digital submission process.
20
Plagiarism-detection software (e.g., Turnitin or Turnitin Draft Coach) can be used to

assist in ensuring that a document is free of plagiarism. See Section 2.3.1 (page 3) for
more information about accessing Turnitin.
Several important facts should be kept in mind when using plagiarism-detection software.
• Plagiarism-detection software compares the text in a dissertation, thesis, or report

to other sources that are available from the internet or from materials archived by
the software provider.
• The software will alert the user to the presence of matching segments of text, even
if the matching segment consists of a commonly used phrase that does not
constitute plagiarized material.
• The software will not detect paraphrased material that is not cited or is improperly
cited.
21
6. Electronic Document preparation and publication

6.1. Electronic document preparation
Dissertations, theses, and reports will be available electronically in the J. Robert Van Pelt
and John and Ruanne Opie Library. Dissertations and theses will also be electronically
available via the ProQuest Dissertations and Theses @ Michigan Technological
University database (database access requires Michigan Tech ISO ID and password if off
campus). ProQuest does not accept report submissions.
Dissertations, theses, and reports are required to be submitted to the Graduate School as a
single .pdf file with all fonts embedded. Compression, password protection, or digital
signatures are not allowed. Supplemental files that do not lend themselves to inclusion in
a written document (such as music or video) may also be included but should be linked to
text or described within the .pdf document. Supplemental files must conform to ProQuest
specifications as detailed in their publishing agreement. Contact the Graduate School for
one-on-one assistance if these requirements cannot be met to discuss alternatives. See the
“Publishing Guides” area of ProQuest’s web site for a complete listing of allowable file
types.
The single .pdf file can be bookmarked and hyperlinked to aid navigation. It is
recommended that, at a minimum, the table of contents contains hyperlinks to each
section, and each item in the table of contents and the table of contents itself are listed as
a bookmark. Figures and tables may be linked to the table of contents or to text within the
main body of the document. See Section 2.2 on page 3 for a description of formatting
resources to assist students in preparing a dissertation, thesis, or report.
To avoid possible cross-platform problems and difficulties in future archival processes,

the names of all files should follow standard naming conventions and conform to the
requirements of the submission sites. File types should be indicated at the end of a
document’s name using a period followed by letters.
When including supplemental files, it is recommended that files are named so that a
computer will sort them in some logical manner. For example, each file name can begin
with a 1- or 2-digit number to ensure they will sort logically: “01Smith.pdf”,
“02Music.wav”, “03Movie.mov”, etc.
6.2. Publication
All dissertations, theses, and reports are normally published and available after degrees
are awarded for the semester. Students can request that their document be embargoed for
a finite period of time when they submit their document to Digital Commons. An
embargo prevents the full document from being made available for a certain period of
time. Embargoes are typically requested when students wish to publish their document as
22
a book after graduation or when they have included proprietary material in their
document. Students may also request that access to their electronic document be
restricted to the Michigan Tech community when they submit their document to Digital
Commons. Submissions to ProQuest and Digital Commons will have only the title and
abstract available during the embargo period. Contact the Graduate School via email to
request different access.
Requests for embargoes are required to include a justification for the request and are
required to be approved by the advisor. Graduate School staff will review requests for
one year or less. The dean of the Graduate School will review requests for longer than
one year. Approval for an embargo of more than one year is not automatic and is rarely
granted. A detailed rationale must be provided for these requests.
Once an embargo or restriction is in place, students may request to have their embargo or
restriction extended by emailing the Graduate School at least two weeks before the
embargo or restriction expires.
If professional binding is desired, the document should not be submitted to a bindery

until the embargo or restriction has expired.
6.3. Change requests

In the event that changes to the document, metadata, or access are required after
acceptance by the Graduate School, please review the options and types of changes
available.
23
7. References
University of Chicago Press Staff, editor. The Chicago manual of style. 16th ed. Chicago
(IL): University of Chicago Press; 2010. Call Number: Z253 .U69 2010.
Council of Science Editors, Style Manual Committee. Scientific style and format: the
CSE manual for authors, editors, and publishers. 7th ed. Reston (VA): The Council;
2006. Call Number: T11 .S386 2006.
24
Appendix A. Sample title and approval pages

See Section 4.1 for a description of the title page and Section 4.2 for a description of the
approval page. Examples are shown on the pages that follow. Templates are also
available online to aid in preparing these pages. See Section 2.2 on page 3 for more
information.
The samples included for a thesis can be modified for use with a report by substituting
the word “REPORT” for the word “THESIS”.
25
Sample Title Page for a Dissertation
INCREASING COMPUTATIONAL EFFICIENCY THROUGH NANOSCALE

COMPONENT MODIFICATIONS
By
Blizzard T. Husky
A DISSERTATION
Submitted in partial fulfillment of the requirements for the degree of
DOCTOR OF PHILOSOPHY
In Computer Engineering
2023
© 2023 Blizzard T. Husky

Sample Approval Page for a Dissertation
This dissertation has been approved in partial fulfillment of the requirements for the
Degree of DOCTOR OF PHILOSOPHY in Computer Engineering.
Department of Electrical and Computer Engineering
Dissertation Advisor: Type the name of the advisor here in italics. If there
are co-advisors, replace the word “Advisor” with
“Co-advisor”.
Dissertation Co-Advisor: If there are co-advisors, type the name of the second
co-advisor here in italics.
Committee Member: Type the name of a Committee Member here in

italics.

italics.

italics.

italics.
Department Chair/College Dean: Type the name of the Department Chair or College
Dean here in italics. Delete the title that doesn’t
apply to the named individual.
Sample Title Page for Master’s Thesis
IMPROVING PERFORMANCE OF DIESEL ENGINES UNDER LOW

TEMPERATURE CONDITIONS
By
Blizzard T. Husky
A THESIS
Submitted in partial fulfillment of the requirements for the degree of
MASTER OF SCIENCE
In Mechanical Engineering
2023
© 2023 Blizzard T. Husky

Sample Approval Page for a Thesis
This thesis has been approved in partial fulfillment of the requirements for the Degree of
MASTER OF SCIENCE in Mechanical Engineering.
Department of Mechanical Engineering – Engineering Mechanics
Thesis Advisor: Type the name of the advisor here in italics. If there
are co-advisors, replace the word “Advisor” with
“Co-advisor”.
Thesis Co-Advisor: If there are co-advisors, type the name of the second
co-advisor here in italics.

italics

italics.

italics.

italics.
Department Chair/College Dean: Type the name of the Department Chair or College
Dean here in italics. Delete the title that doesn’t
apply to the named individual.

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GUIDE TO PREPARING A DISSERTATION, THESIS, OR REPORT

AT MICHIGAN TECHNOLOGICAL UNIVERSITY

The Graduate School

MICHIGAN TECHNOLOGICAL UNIVERSITY

List of Tables .................................................................................................................... vi

2. Graduate School Online Resources ............................................................................2

5. Academic integrity and responsible conduct for research .....................................18

Appendix A. Sample title and approval pages ..............................................................25

• URLs throughout have been updated to current links.

• URLs throughout have been made screen-reader friendly to ensure accessibility

• In spring 2019, this document was revised to meet accessibility requirements. No

2. Graduate School Online Resources

• Timeline to complete a doctoral degree

• Timeline to complete a master’s degree with a thesis

• Timeline to complete a master’s degree with a report

• Degree completion timeline: a personalized list of every item needed to

• Dissertation, Thesis, or Report status: a summary of a student’s status of these

2.2. Formatting Resources

• Formatting resources for dissertations and theses

• Formatting resources for reports

2.3. Writing Resources

2.3.2. Michigan Tech Writing Center

footnotes, and appendices. See Figure 3.1 for a

3.3. Paper size

3.4. Page numbers

Each page in a document should be assigned a unique and sequential number. In a

3.5. Double-sided printing

3.6. Line spacing

3.9. Oversize pages or media

3.10. Use of color

4. Sections and order

4.1. Title page (required for Dissertations, Theses, and

• The word “By”- without the quotations.

• Type of degree – shown in all capital letters. For example, “DOCTOR OF

4.2. Approval page (required for Dissertations, Theses,

• Name of the student’s administrative home department or college in upper and

o All names listed on this page are required to be italicized.

4.3. Dedication (optional)

4.4. Table of contents (required for Dissertations and

4.5. List of figures (optional)

4.6. List of tables (optional)

4.7. Author Contribution Statement (required in certain

• A document includes previously published materials, or

• A document includes materials developed collaboratively.

4.8. Acknowledgements (optional)

4.9. Definitions (optional)

4.10. List of abbreviations (optional)

4.11. Abstract (required for Dissertations, Theses, and

4.12. Main body (required for Dissertations and Theses)

4.12.1. Common sections in a traditional document

4.12.1.2. Goals and hypotheses

4.12.1.4. Results (data and observations)

4.12.1.6. Future work

4.12.2. Collection of articles

When the document consists of a collection of articles, an introductory chapter must be

Formatting of published items included in a thesis or dissertation must either:

• Conform to the guidelines to authors of the publishing organization, or

• Be consistent with the rest of the thesis or dissertation.

Photocopies or PDF versions of previously published papers will not be accepted.

4.13. Reference List/Bibliography (required for

4.14. Appendices (optional)

5. Academic integrity and responsible conduct for

5.1. Research misconduct