thesis advising guidelines

• Visit the University of Nebraska–Lincoln
• Apply to the University of Nebraska–Lincoln
• Give to the University of Nebraska–Lincoln

Search Form

Advising a thesis - best practices.

Guidelines from an Ad Hoc Committee, Spring 2017

The committee encourages departments to use this as a starting point for their own department’s guidelines.

Thesis Advisors’ Responsibilities

• Help student identify a second thesis advisor.
• Work with your student and thesis co-advisor to develop shared expectations for the project in terms of scope of topic, methods and resources to be used.
• Sign the student’s prospectus (if you agree to advise and approve of the project as described) and make sure it is approved by the student’s major department chair or director and is then delivered to the Dean’s office.
• Make sure you and your student are aware of college-level policies concerning theses and distinction, especially the following: “To determine the level of distinction, the committee uses the cumulative grade point average based on all credit hours taken at UNL prior to the beginning of the term in which the student receives his or her degree.” Details on college-level policies are available online. Please note, the college requirements are distinct from the Honors program’s requirements .
• Make sure you and your student are aware of any department-level policies, guidelines, and options concerning theses. For example, some departments allow students writing a thesis to enroll in 3-6 credit hours of independent research.
• If your student is planning to conduct research that involves human or animal subjects, you should initiate (or work with your student to initiate) the appropriate University review processes (e.g. IRB, IACUC) prior to data collection.
• Communicate with your student and thesis co-advisor about the project as it is in progress.
• Check in with the student if you haven’t heard from him or her as planned.
• Read the thesis with care prior to the thesis defense. In many departments, it is critical to give students feedback on an early draft.
• Hold a thesis defense (30 minutes to 1.5 hour) in which you and the co-advisor ask questions about the thesis (topic, question, scope of project, methods, findings, implications, etc). Schedule the defense with enough time for the student to complete revisions prior to the college deadline.
• Complete the Thesis Evaluation Form (final form on the site) and submit it to the college by the deadline.

Student’s Responsibilities

• Talk with faculty about advising your thesis before asking them to sign the prospectus form.
• Ask both thesis co-advisors to sign the prospectus form, submit it to your major department or program for the chair/director to sign and submit to the college.
• Check with your department’s major advisor to see if the department has its own guidelines for theses.
• Meet with both thesis advisors early (a year before the thesis is due) to discuss their expectations for the thesis and to make sure you submit the prospectus by the college deadline.
• Develop a timeline with your advisors in which you set deadlines for completing portions of the work and sharing it with both (if they co-advise) or one (if there is a primary advisor).

Suggestions for faculty working with the thesis co-advisor

Thesis Co-Advisors should meet to determine

• What roles will you play? Will you operate as co-advisors or as a primary advisor and reader?
• Who is responsible for keeping student apprised of deadlines and requisite forms?
• How often do you plan to meet? With one or both thesis advisors?
• What are your shared expectation for this work? (This list may be discipline-specific)
• Scope of project
• Page length / range
• Resources / sources used

Other resources students might use

The Writing Center In addition to encouraging ongoing one-on-one appointments to discuss undergraduate theses, the Writing Center has begun helping students form thesis writing groups. Email [email protected] to find out more about thesis writing groups and visit the center's website to learn more about working with a writing consultant.

Library Subject specialist librarians are available to meet with students to identify scholarly resources, to organize research articles using citation tools, and open a Delivery account to request article delivery. This will save students time in the long run. The library also created research guides for classes and subject areas that will allow students to help themselves. Visit their website for more information.

IRB/Human Subjects research The University of Nebraska requires all research personnel, including investigators, students and other project staff, who conduct research with human participants, tissue samples, or data to complete and maintain training before and during any research conducted with human subjects. Students should talk with their advisors about training and submitting proposals to IRB.

IACUC/Animal Subject Research The University of Nebraska requires review and approval by the Institutional Animal Care and Use Committee (IACUC) of all research and educational activities involving vertebrate animals (including wild mammals and birds) before projects are initiated, to assure compliance with all laws, regulations and rules governing the care and use of animals. Faculty should lead this process for undergraduates.

3.3.1 Academic Advising: Policy

Main navigation.

• 1. Responsibilities of Advisors
• 2. Co-Advisors
• 3. Advisors from Other than the Student’s Home Department
• 4. Change or Replacement of Advisor

Related Content

Last updated on: Wednesday, April 18, 2018

Provides that all graduate students are to receive appropriate advising throughout their degree programs.

Effective academic advising is a critical component of a successful graduate degree program. At Stanford, all matriculated graduate students are to be advised by a member of the faculty. The nature of academic advising may differ for different programs and at different stages in a degree program. 

By the start of their first term of graduate study, students should select or be paired by the degree program with faculty advisors who assist them in planning a program of study to meet degree requirements. The process for the selection or assignment of advisors for incoming students, sometimes referred to as program advisors, academic advisors, or first-year advisors, varies and should be explained in writing to incoming students. The timing and process by which students may change from this initial advisor to a more permanent advisor should also be explained.

The degree program should also ensure that doctoral students are informed in a timely fashion about procedures for selecting a principal dissertation advisor, reading committee members, and orals committee members. Degree programs should make every effort to assist doctoral students who are not yet admitted to candidacy in finding an appropriate principal dissertation advisor, and dissertation co-advisor if appropriate.  

Students are obliged to follow degree program procedures for identifying advisors and committee members for their dissertation reading and university oral examinations and ensure the membership of those committees is aligned with university policies (see  GAP 4.7  Doctoral Degrees, University Orals Examinations and Committees  and  GAP 4.8  Doctoral Degrees, Dissertations and Dissertation Reading Committees ). 

Authority: 

• Committee on Graduate Studies (policy)
• Degree programs (implementation)

Applicability: 

Applicable to all graduate students, faculty who advise graduate students, and degree programs.

Related Pages: 

3.3.2 Academic Advising: Implementation

1. Responsibilities of Advisors

General responsibilities of faculty advisors.

The university requires that within each degree program minimum advising expectations be set for both advisor and advisee. Such minimum expectations must differentiate between master’s and doctoral programs, and between different types of advisors (academic/program vs. research.) These degree program expectations must be distributed to faculty and graduate students on an annual basis at the start of each academic year and must be easily accessible on the web. Faculty are expected to affirm that they have received the advising expectations. Each faculty member has the prerogative to augment the degree program's advising expectations with their specific additional expectations, while remaining consistent with the degree program's advising policies. 

Faculty advisors are to: 

• serve as intellectual and professional mentors to their graduate students
• provide knowledgeable support concerning the academic and non-academic policies that pertain to graduate students
• help to prepare students to be competitive for employment
• maintain a high level of professionalism in the relationship
• establish and collaboratively maintain expectations of the advisor/advisee relationship, consistent with degree program standards.

Dissertation Advisors

The principal dissertation advisor (also called thesis advisor or research advisor), who must be a member of the Academic Council, establishes a critically important relationship with the doctoral student. The principal dissertation advisor provides guidance and direction to the doctoral student’s research, as well as evaluation of the student’s progress, often in the context of a research group. As a mentor and a role model, the dissertation advisor plays a critical role in the student’s development as an academic researcher. In many cases, the dissertation advisor is expected to provide financial support for the doctoral student, typically from research grants and contracts.

The dissertation advisor will normally serve as a member of the student’s oral examination committee, and as the chair of the student’s doctoral dissertation reading committee.  

Because of the critical importance of this role, and the potential significance of difficulties that may arise in this relationship, degree programs should designate a resource for faculty members and graduate students to call on for assistance in resolving difficulties. This role may be filled by the department chair, the faculty Director of Graduate Studies, or a specially designated resource in the degree program. Students, faculty, and staff may also consult with campus resources including VPGE, the  Graduate Life Office , the  School Dean’s Offices , and the  University Ombuds  or  School of Medicine Ombuds .

Back to top

2. Co-Advisors

At their discretion, students may identify a co-advisor in addition to the principal dissertation advisor; normally both principal advisor and co-advisor are members of the Academic Council. A former Stanford Academic Council member, emeritus professor, or non-Academic Council member may serve as co-advisor with the appointment of a principal dissertation advisor who is currently on the Academic Council (see  GAP 4.8 Doctoral Degrees, Dissertations and Dissertation Reading Committees ). Professors who have recently become emeritus and have been recalled to active duty may serve as principal dissertation advisors, though they are no longer members of the Academic Council. Requests for further exceptions to the requirement that the principal dissertation advisor be a current member of the Academic Council, for example for recently retired emeritus professors who are still actively engaged on campus, but not recalled to active duty, will be reviewed by the Office of the Vice Provost for Graduate Education.

3. Advisors from Other than the Student’s Home Department

It is expected that faculty advisors will hold an appointment in the student’s major department or program. An advisor may be appointed from outside the major department subject to the approval of the major department; a co-advisor who is a member of the department is recommended.  Departmental approval is conveyed by means of recording the name of the advisor in the PeopleSoft Student Administration record. Students enrolled in an interdisciplinary graduate program (IDP) should have a faculty advisor who is affiliated with the program. Interdisciplinary program approval of an advisor outside the department is automatic, since by definition IDPs only have affiliated faculty, not departmental faculty.

4. Change or Replacement of Advisor

Students may change advisors at different time points in their program. For example, in some degree programs it is typical to change sometime within the first two years from an assigned first-year or program advisor to a principal dissertation advisor selected by agreement of the student, faculty, and degree program. Students may change advisors for other reasons, for example, if their research interests change or if their advisor leaves Stanford. Occasionally, a student’s research may diverge from the area of competence of the advisor, or irreconcilable differences may occur between the student and the faculty advisor. In such cases, the student or the faculty advisor may request a change in assignment. The degree program should make every reasonable effort to facilitate the change and to pair the student with another suitable advisor, which may entail some modification of the student’s research project.

In the rare case where a student’s dissertation research on an approved project is in an advanced stage and the dissertation advisor is no longer available, every reasonable effort must be made to appoint a new advisor, usually from the student’s reading committee. This may also require that a new member be added to the reading committee before the draft dissertation is evaluated, to keep the reconstituted committee in compliance with the university requirements for its composition. (Advisor changes are made with the  Change of Dissertation Adviser or Reading Committee Member  form).

In the event that a student’s advisor leaves Stanford University or becomes emeritus, and has not been recalled to active duty, that advisor may continue to work with the graduate student as a co-advisor and serve on the oral and dissertation reading committees, with the appointment of a principal dissertation advisor who is currently a member of the Academic Council (see  GAP 4.8 Doctoral Degrees, Dissertations and Dissertation Reading Committees ). Professors who have recently become emeritus and have been recalled to active duty may serve as principal dissertation advisor, though they are no longer members of the Academic Council. Requests for further exceptions to the requirement that the principal dissertation advisor be a current member of the Academic Council, for example for recently retired emeritus professors who are still actively engaged on campus, will be reviewed by the Office of the Vice Provost for Graduate Education.

Related Policies

• GAP 4.7 Doctoral Degrees, University Oral Examinations and Committees
• GAP 4.8 Doctoral Degrees, Dissertations and Dissertation Reading Committees

Related Student Services Sections

Related information and forms.

• Policies & Best Practices for Advising Relationships at Stanford  (pdf)
• Guidelines for Faculty-Student Advising at Stanford  (pdf)
• Change of Dissertation Adviser or Reading Committee Member form

• Utility Menu

Psychology Undergraduate Program

• Department of Psychology
• Thesis Advising

If you're thinking of writing a thesis as part of your Psychology concentration, the first thing you'll want to do is check out the Undergraduate Office's  thesis manual . You can find it on the Honors Thesis section of this website! Then, you should contact Psychology's Thesis Tutorial Instructor.  

Statistics Consulting

Statistics and coding may seem overwhelming at first, especially if the thesis project will be your first time working with your own data. For guidance, senior thesis students should reach out to the Department's  Statistics Consultant . The Consultant holds individual meetings with students to provide input on statistical methods, writing analysis, and experimental results for thesis projects.  

Alaric Wei, Data and Statistics Consultant (2024-2025)

Alaric Wei is a third-year Ph.D. student in the Psychology - Cognition, Brain, and Behavior program, under the mentorship of Dr. Randy Buckner. His research focuses on the neurobiology of cognition and behavior in both healthy individuals and patients with neurological or neuropsychiatric disorders. He employs neuroimaging, behavioral and psychological testing, and advanced computational methods to investigate these areas. Alaric aims to uncover the central mechanisms of human cognition and the underlying pathologies of various disorders by leveraging machine learning and deep learning techniques. Outside the lab, Alaric enjoys playing a wide range of board games and is training to become a private pilot. Feel free to chat with him about flying experiences!

As the Psychology Department’s Data and Statistics Consultant, Alaric assists thesis students with selecting appropriate analyses, troubleshooting code, discussing theory and methodology, and developing the skills to confidently present their research. With extensive experience in teaching statistics and advising undergraduates, he is eager to provide support and looks forward to hearing from you.

How to Meet with the Data and Statistics Consultant : Please email Alaric ( [email protected] ) directly with the following info:

• 3 specific dates and blocks of time that work for you
• A summary of the questions you'd like to discuss 
• A copy of your most recent Data Analysis Plan (or most recent thesis proposal/prospectus (including background and proposed analyses))
• If possible, A copy of your data (or mock dataset that shows your expected data structure)
• Declaring a Concentration
• Concentration Advising
• Writing Advising
• Peer Advising
• Undergraduate Office Staff
• Scholarship Opportunities
• Study Out of Residence

Graduate School

• Make a Gift

Student and Advisor Responsibilities

Responsibility

A thesis is required for all programs leading to a Plan A master’s degree, and a dissertation is required for the doctor of philosophy degree. This manual was written by the Graduate School to help you and your committee members to prepare theses and dissertations. Its purpose is to define uniform format standards. The word “thesis” refers to both the thesis and the dissertation unless otherwise noted.

Advisor’s Responsibility

Your advisor serves as a mentor both while you are doing the thesis work and while the results of that work are prepared for the thesis. Although you have primary responsibility for the content, quality, and format of the thesis, the advisor and the Graduate Advisory Committee must be consulted frequently. They approve the final document before it is submitted to the Graduate School. Advisors are particularly asked to insure that the abstract summarizes clearly and concisely the major points of the thesis.

Student’s Responsibility

Your are responsible for making all arrangements for the preparation and submission of the thesis as well as any additional copies required by the department. you should also consider the following:

1. Consult a style manual approved by your department for correct format for quotations, footnotes, and bibliographical items. 2. Refer to the Graduate School Thesis and Dissertation Formatting Guide for guidelines regarding correct format for thesis presentation (including illustrative materials). 3. Edit draft for correct sentence structure, grammar, paragraphing, punctuation, and spelling. 4. Prepare tables in the form in which they are to be printed. 5. Furnish numbering and legends for all tables and illustrative materials. 6. Proofread final copy and check to see that corrections are made accurately. 7. Present a copy to the Graduate Advisory Committee for their review. 8. Submit the final committee approved version electronically.

Thesis Advisor Guidelines

• No. Advising a thesis is an Auxiliary Teaching activity.
• While there is no one perfect way to arrange the committee, the advisor should have final approval of the committee’s membership. The initiative for forming the committee should come from the graduate student, but the advisor and student may determine between themselves who should approach the other potential committee members.
• Committees are expected to vary in their working methods, but several overall guidelines should be followed: a) materials should be seen by the advisor before they are seen by the other committee members, b) committee members should not be seeing sections of the thesis for the first time in the defense draft, and c) in the case of disputes between committee members, the advisor has precedence as the instructor of record for ENG 6030. Should a dispute become unmanageable, the Program Director is available to mediate, with further recourse to the Department Chair if necessary.

I need to get a thesis course listed on the department schedule; I also need to get my student or students enrolled in the course. What should I do?

You need to notify the Program Director, the Department Chair, and the Registrar. Be aware, however, that there are two separate issues.

To have the thesis course listed, the registrar needs to hear from the Chair that the course should be listed in Braveweb.

Once the course is listed in Braveweb, students may require an override to get into the course. If that is the case, provide the course and section number information and Banner ID information for the student to  the Department office.

• Yes, and students should reenroll in either course if that course's primary product (bibliography or thesis) is not completed.
• ENG 6020 always receives a grade of "T." You may assign the student the grade of T for ENG 6010 or ENG 6030. As the Graduate Studies section of the UNCP Catalog explains, "A grade of 'T' indicates grade pending and is issued only for thesis research and capstone courses and for the year-long internship in school administration." If "T" is not an option on the drop-down menu, then e-mail the Registrar  directly; if you provide her with the student’s name and ID number and apprise her of the situation, she can assign the grade manually. The "T" grade does not automatically convert to an "F" after one semester as does an "I" grade. The professor must complete a Change of Grade Form for ENG 6020 following the student’s completion of thesis and thesis defense, and will also need to do so for ENG 6030 if the defense takes place after grades are due for the semester in which the student is enrolled in ENG 6030. A successfully completed thesis receives a grade of "P" for both ENG 6020 and ENG 6030

The Graduate School specifies that the student must submit to the Dean of the School of Graduate Studies a final copy of the thesis with corrections made “at least two weeks before the end of the semester in which the student expects to complete degree requirements.” Specifically when is the end of the semester?

The end of the semester refers to the last day of classes; schedule defenses accordingly.

Nota bene: Thesis binding costs $20 per copy, and students are required to submit only one final copy of the thesis with a binding offset on special paper for binding purposes. All copies (including extra copies) presented for binding should be printed on special paper with original signature pages. The graduate student must look closely over the requirements on the Graduate School webpage before printing on expensive paper.

Students are also requested to provide a copy of the thesis to the Graduate Director for our program archive, though those do not need to be printed on the special paper.

Any further questions about the Thesis advising process may be directed to the Program Director. You can also find the directions for students here (Graduate Program in English) and here (The Graduate School). Note in particular the collection of forms at the Graduate School's site.

Thesis and Dissertation Policy

POLICY ON THE ADVISEMENT OF GRADUATE STUDENT RESEARCH AND THE APPOINTMENT OF THESIS ADVISORY COMMITTEES

Doctoral Theses

There are two committees that function to advise, approve, and conduct the final doctoral oral examination of the thesis and the student's knowledge of the field in which it lies.

The first committee is called the Thesis Advisory Committee or the Thesis Reading Committee and consists of at least three people, one of whom is the Thesis Advisor. This committee approves the research topic, provides advice and guidance during the research, and is charged with approving the thesis when the research is completed and presented as the doctoral thesis. When the Thesis Advisory Committee considers the thesis to be satisfactory, a recommendation is made to the Vice Provost for Graduate and Postdoctoral Education for the appointment of the second committee, which is called the Final Doctoral Examination Committee, and it consists of at least five individuals.

The Thesis Advisory Committee consists of at least three members satisfying the following: (1) the thesis advisor shall be a member of the Graduate Thesis Faculty (which is defined below). If the thesis advisor is an Adjunct Faculty or part-time faculty member, then there must be a co-advisor who is a full-time member of the Graduate Thesis Faculty. (2) the majority of committee members shall be members of the Graduate Thesis Faculty. The Committee is approved by the Graduate Curriculum Committee or its equivalent in the academic program, recommended by the School Chair or the faculty director of graduate studies in the program, and appointed by the Vice Provost for Graduate and Postdoctoral Education.

The Final Doctoral Examination Committee consists of at least five persons including at least three members of the Graduate Thesis Faculty. This committee always contains the Thesis Advisory Committee members and others as appropriate, who are recommended by the school or college to the Vice Provost for Graduate and Postdoctoral Education for approval. The thesis advisor will serve as the chair of the Final Doctoral Examination Committee. At least one member of the Final Doctoral Examination Committee must be external to the unit in which the student is enrolled. A committee member is eligible to be the “external” member if they have a terminal degree and either 1) are a faculty member from a unit that is distinct from the unit in which the student is enrolled, or 2) are not employed by Georgia Tech and are active in research related to the topic of the dissertation.

It is recognized that some Schools and Colleges may wish to appoint a Thesis Advisory Committee that consists of five or more persons, and to recommend this committee to serve as the Final Doctoral Examination Committee. Where the constraints outlined above are met for both committees, this is permissible.

Master's Theses

For Master's Thesis advisement, the Thesis Advisory Committee consists of at least three members, the majority of whom must be members of the Graduate Thesis Faculty. The thesis advisor who serves as the Chair of the Thesis Advisory Committee must be a member of the Graduate Thesis Faculty. If the thesis advisor is an Adjunct Faculty or part-time faculty, then there must be a co-advisor who is a full-time member of the Graduate Thesis Faculty. The committee is recommended by the School Chair or the faculty director of graduate studies in the program and appointed by the Vice Provost for Graduate and Postdoctoral Education.

Graduate Thesis Faculty

The Graduate Thesis Faculty of an academic program consist of the tenure-track faculty in the program plus any additional faculty (emeritus, academic, research and adjunct) who have been approved to serve as primary thesis advisors by the Graduate Curriculum Committee or equivalent governing faculty committee of that academic program based on the following primary qualifications and any additional criteria established by that academic program faculty:

• Active in research or scholarly work
• Experience or training in teaching or mentoring graduate students
• Terminal degree

In the case of interdisciplinary programs, the governing faculty committee for that program may choose to include both the Graduate Thesis Faculty of a student’s home school and the Graduate Thesis Faculty of the academic program when determining the membership of thesis committees.

The Office of Graduate Education will maintain the list of non-tenure track faculty approved to be Graduate Thesis Faculty, as provided to them by the academic units. The Office of Faculty Affairs maintains the list of tenure-track faculty; together these two lists comprise the Graduate Thesis Faculty. This Graduate Thesis Faculty designation is meant for the purposes of this policy only and is not a faculty rank. The designation alone does not carry with it any employment implications or rights as outlined by Georgia Tech Faculty governance. 

Note On Joint Degrees and Departments

For joint (inter-institutional) departments or degree programs, committees should have at least one faculty member from each institution, and a majority should be joint program faculty. Joint program faculty will have undergone a nomination and appointment process in the joint program to qualify for the right to advise students in the joint program.

POLICY ON PUBLICATION OF THESES

A policy of the Georgia Institute of Technology is that Doctoral and Master's Theses are openly published. Extraordinary delays are not to be allowed to protect the proprietary interests of sponsors.

It is anticipated that all Ph.D. theses and a significant fraction of master's theses be published in the open, refereed literature.

In all cases, doctoral research should meet the "Guidelines for Ph.D. Dissertation Research", and in no situation should these be compromised to allow for concealing important research results because of security classification or a sponsor's proprietary interest.

Students may routinely elect to have publication of their theses withheld for a period of one year, if recommended by the student's thesis advisor. Requests for extensions beyond one year must be justified and approved by the Vice Provost for Graduate and Postdoctoral Education.

A Georgia Tech doctoral dissertation in its final form may not be used or have been used to meet the requirements for a separate degree at another institution.

GUIDELINES FOR PH.D. DISSERTATION RESEARCH

• The research should provide a useful educational experience for the student emphasizing creativity, independent action and learning, research methodology, and scholarly approach.
• The research must be relevant to the field in which the student is pursuing a degree.
• The contributions to knowledge must be original and as such, should represent a substantial addition to the fundamental knowledge of the field or a new and better interpretation of facts already known. The research must demonstrate creativity. Dissertations based on well-known principles, techniques, and models applied to situations only somewhat different from previous applications are not acceptable.
• The dissertation should contain clear statements about (a) the relevance and importance of the problem and (b) the significance, originality, and generality of the research results. The relationship of the research to the literature of the field should be described.
• The research should possess the major characteristics of the scientific method, namely objectivity and reproducibility. Assumptions should be clearly stated in both experimental and theoretical research.
• The dissertation should reflect a level of competence indicative of significant achievement beyond the master's level. Thus, the research is expected to draw directly upon advanced learning in the student's major field and demonstrate mastery of that knowledge.
• The dissertation must demonstrate understanding of the theory and methodology related to its main thrust. Further the dissertation should reflect knowledge of the application area.
• The research should result in at least one paper or creative work that is publishable through an external peer review process for the public.
• The dissertation should demonstrate a high degree of proficiency in written communication of research results. It should conform to the Institute's requirements as outlined in the Office of Graduate Studies and Research "Manual for the Preparation of Graduate Dissertations and Thesis".

This site uses cookies. Review the Privacy & Legal Notice . Email questions to [email protected]

Print Options

Send Page to Printer

Print this page.

Download Page (PDF)

The PDF will include all information unique to this page.

Theses and Dissertations

Defense and submission.

Below is an overview of the main steps in preparing, defending, and submitting your thesis or dissertation. For detailed instructions on each step, see The Graduate School's  Guide for Electronic Submission of Thesis and Dissertation (PDF) , in addition to this video recording from a workshop given on the subject. 

• Schedule your defense and apply for graduation in DukeHub ( defense and graduation deadlines ).  
• At least 30 days before your defense: Confirm or update your defense committee.  
• Give your thesis/dissertation to your advisor for inspection, and prompt your advisor to send a letter to [email protected] stating that it is complete and ready to defend. Note: For students in School of Medicine Ph.D. programs, their advisor letters are generated through T3.  
• Request your DGSA to send a departmental defense announcement to  [email protected] . Note: For students in School of Medicine Ph.D. programs, their departmental defense announcements are generated through T3.  
• At least 2 weeks before your defense: Submit your complete, correctly formatted dissertation/thesis to ProQuest (initial submission). Also provide it to each member of your committee.  
• Optional: After you receive an email through ProQuest from the Graduate School administrator who reviewed your thesis/dissertation format, you may make an appointment for a brief, virtual meeting with the administrator to discuss any questions you have about the defense process or the recommended formatting revisions.  
• A few days before your defense, The Graduate School will generate your final examination certificate and email it to the chair/co-chair(s) of your examination committee and the DGSA of your department. Note:  For students in School of Medicine Ph.D. programs, their final examination certificates are generated and released through T3.  
• Defend your dissertation. After your final examination, your committee members will vote on whether you passed or failed. Your chair and DGS will record the votes on your final examination certificate, sign it, and submit it to The Graduate School. Your committee may vote that you passed but still require minor edits or corrections before final submission.  
• As soon as possible after your defense, submit to [email protected] the Non-Exclusive Distribution License and Thesis/Dissertation Availability Agreement (“embargo agreement”) signed by yourself and your thesis/dissertation advisor.  
• Within 30 days after your successful defense, or by the established final submission deadline (whichever is first): Submit the final version of your dissertation/thesis to ProQuest.

Guide for Electronic Submission of Thesis and Dissertation (PDF)

We provide the following templates for your convenience and to help you eliminate common formatting errors. However,  all submitted theses and dissertations must meet the specifications listed in the ETD guide . The manuscript must be a completed document, formatted correctly, with no sections left blank.

• Word Template for Thesis/Dissertation (Word)
• LaTeX Template for Thesis/Dissertation (ZIP)

Notes about the LaTeX Template

• This LaTeX template is for both master's and Ph.D. students. Master's theses must also have an abstract title page.
• Neither The Graduate School nor OIT supports LaTeX beyond providing this template.

Ph.D. and master’s students are required to apply for graduation in  DukeHub  by the established application deadline for the semester in which they plan to graduate.

Review the full graduation guidelines on the  Graduation Information and Deadlines  page. 

When you submit your thesis or dissertation electronically, you will also permit Duke University to make it available online through  DukeSpace  at Duke Libraries. See the pages below for more information about ETDs:

• ETDs Overview
• ETD Availability
• ETD Copyright Information 
• ETD Technical Help 

Check out the writing support  offered by The Graduate School, such as writing spaces, consultations, and access to online writing workshops, communities, and resources.

/images/cornell/logo35pt_cornell_white.svg" alt="thesis advising guidelines"> Cornell University --> Graduate School

Required sections, guidelines, and suggestions.

Beyond those noted on the Formatting Requirements page , the Graduate School has no additional formatting requirements. The following suggestions are based on best practices and historic requirements for dissertations and theses but are not requirements for submission of the thesis or dissertation. The Graduate School recommends that each dissertation or thesis conform to the standards of leading academic journals in your field.

For both master’s and doctoral students, the same basic rules apply; however, differences exist in some limited areas, particularly in producing the abstract and filing the dissertation or thesis.

• Information in this guide that pertains specifically to doctoral candidates and dissertations is clearly marked with the term “ dissertation ” or “ doctoral candidates .”
• Information pertaining specifically to master’s candidates and theses is clearly marked with the term “ thesis ” or “ master’s candidates .”
• All other information pertains to both.

Examples of formatting suggestions for both the dissertation and thesis are available as downloadable templates .

Required? Yes.

Suggested numbering: Page included in overall document, but number not typed on page.

The following format for your title page is suggested, but not required.

• The title should be written using all capital letters, centered within the left and right margins, and spaced about 1.5 inches from the top of the page. (For an example, please see the template .)
• Carefully select words for the title of the dissertation or thesis to represent the subject content as accurately as possible. Words in the title are important access points to researchers who may use keyword searches to identify works in various subject areas.
• Use word substitutes for formulas, symbols, superscripts, Greek letters, etc.
• Below the title, at the vertical and horizontal center of the margins, place the following five lines (all centered):

Line 1: A Dissertation [or Thesis]

Line 2: Presented to the Faculty of the Graduate School

Line 3: of Cornell University

Line 4: in Partial Fulfillment of the Requirements for the Degree of

Line 5: Doctor of Philosophy [or other appropriate degree]

• Center the following three lines within the margins:

Line 2: Primary or Preferred Name [as registered with the University Registrar’s Office and displayed in Student Center]

Line 3: month and year of degree conferral [May, August, December; no comma between month and year]

Copyright Page

Suggested numbering: Page included in overall document, but number not typed on page

The following format for your copyright page is suggested, but not required.

• A notice of copyright should appear as the sole item on the page centered vertically and horizontally within the margins: © 20__ [Primary or Preferred Name [as registered with the University Registrar’s Office]. Please note that there is not usually a page heading on the copyright page.
• The copyright symbol is a lowercase “c,” which must be circled. (On Macs, the symbol is typed by pressing the “option” and “g” keys simultaneously. If the font does not have the © symbol, type the “c” and circle it by hand. On PCs, in the insert menu, choose “symbol,” and select the © symbol.)
• The date, which follows the copyright symbol, is the year of conferral of your degree.
• Your name follows the date.

Required?  Yes.

Suggested numbering: Page(s) not counted, not numbered

Abstract formats for the doctoral dissertation and master’s thesis differ greatly. The Graduate School recommends that you conform to the standards of leading academic journals in your field.

Doctoral candidates:

• TITLE OF DISSERTATION
• Student’s Primary or Preferred Name, Ph.D. [as registered with the University Registrar’s Office]
• Cornell University 20__ [year of conferral]
• Following the heading lines, begin the text of the abstract on the same page.
• The abstract states the problem, describes the methods and procedures used, and gives the main results or conclusions of the research.
• The abstract usually does not exceed 350 words in length (about one-and-one-half correctly spaced pages—but not more than two pages).

Master’s candidate:

• In a thesis, the page heading is simply the word “ABSTRACT” in all capital letters and centered within the margins at the top of the page. (The thesis abstract does not display the thesis title, author’s name, degree, university, or date of degree conferral.)
• The abstract should state the problem, describe the methods and procedures used, and give the main results or conclusions.
• The abstract usually does not exceed 600 words in length, which is approximately two-and-one-half to three pages of correctly spaced typing.
• In M.F.A. theses, an abstract is not required.

Biographical Sketch

Suggested numbering: iii (may be more than one page)

• Type number(s) on page(s).

The following content and format are suggested:

• The biographical sketch is written in third-person voice and contains your educational background. Sometimes additional biographical facts are included.
• As a page heading, use “BIOGRAPHICAL SKETCH” in all capital letters, centered on the page.
• Number this page as iii.

Required? Optional.

Suggested numbering: iv (may be more than one page)

The dedication page is not required and can contain whatever text that you would like to include. Text on this page does not need to be in English.

Acknowledgements

Suggested numbering: v (may be more than one page)

The following content and format are suggested, not required.

• The acknowledgements may be written in first-person voice. If your research has been funded by outside grants, you should check with the principal investigator of the grant regarding proper acknowledgement of the funding source. Most outside funding sources require some statement of acknowledgement of the support; some also require a disclaimer from responsibility for the results.
• As a page heading, use “ACKNOWLEDGEMENTS” in all capital letters, centered on the page.

Table of Contents

Suggested numbering: vi (may be more than one page)

The following are suggestions.

• As a page heading, use “TABLE OF CONTENTS” in all capital letters and centered on the page.
• List the sections/chapters of the body of the dissertation or thesis. Also, list preliminary sections starting with the biographical sketch. (Title page, copyright page, and abstract are not listed.)
• For theses and dissertations, the conventional format for page numbers is in a column to the right of each section/chapter title. The first page of each chapter/section is stated with a single number. Table of contents usually do not include a range of page numbers, such as 7-22.
• The table of contents is often single-spaced.

Two-Volume Theses or Dissertations

If the dissertation or thesis consists of two volumes, it is recommended, but not required, that you list “Volume II” as a section in the table of contents.

List of Figures, Illustrations, and Tables

Suggested numbering: vii (may be more than one page)

• If included, type number(s) on page(s).

As described in the formatting requirements above, figures and tables should be consecutively numbered. The Graduate School recommends that you conform to the styles set by the leading academic journals in your field. The items below are formatting suggestions based on best practices or historic precedents.

Table of contents format:

• As a page heading, use “LIST OF FIGURES,” “LIST OF ILLUSTRATIONS,” or “LIST OF TABLES” in all capital letters, centered on the page.
• There should be separate pages for “LIST OF FIGURES,” “LIST OF ILLUSTRATIONS,” or “LIST OF TABLES” even if there is only one example of each.
• The list should contain enough of the titles or descriptions so readers can locate items using the list. (It may not be necessary to include entire figure/illustration/table captions.)
• The list should contain the page number on which each figure, illustration, or table is found, as in a table of contents.
• The list of figures/illustrations/tables may be single-spaced.

Page format:

• Figures/illustrations/tables should be placed as close as possible to their first mention in the text. They may be placed on a page with no text above or below, or placed directly into the text. If a figure/illustration/table is placed directly into the text, text may appear above or below the figure/illustration/table; no text may wrap around the figure/illustration/table.
• If a figure/illustration/table appears on a page without other text, it should be centered vertically within the page margins. Figures/illustrations/tables should not be placed at the end of the chapter or at the end of the dissertation or thesis.
• Figure/illustration/table numbering should be either continuous throughout the dissertation or thesis, or by chapter (e.g. 1.1, 1.2; 2.1, 2.2, etc.). The word “Figure,” “Illustration,” or “Table” must be spelled out (not abbreviated), and the first letter must be capitalized.
• A caption for a figure/illustration should be placed at the bottom of the figure/illustration. However, a caption for a table must be placed above the table.
• If the figure/illustration/table, not including the caption, takes up the entire page, the figure/illustration/table caption should be placed alone on the preceding page and centered vertically and horizontally within the margins. (When the caption is on a separate page, the List of Figures or List of Illustrations or List of Tables can list the page number containing the caption.)
• If the figure/illustration/table, not including the caption, takes up more than two pages, it should be preceded by a page consisting of the caption only. The first page of the figure/illustration/table must include the figure/illustration/table (no caption), and the second and subsequent pages must also include, at the top of the figure/illustration/table, words that indicate its continuance—for example, “Figure 5 (Continued)”—and on these pages the caption is omitted.
• If figures/illustrations/tables are too large, they may be reduced slightly so as to render a satisfactory product or they must either be split into several pages or be redone. If a figure/illustration/table is reduced, all lettering must be clear, readable, and large enough to be legible. All lettering, including subscripts, must still be readable when reduced 25% beyond the final version. All page margin requirements must be maintained. Page numbers and headings must not be reduced.
• While there are no specific rules for the typographic format of figure/illustration/table captions, a consistent format should be used throughout the dissertation or thesis.
• The caption of a figure/illustration/table should be single-spaced, but then captions for all figures/illustrations/tables must be single-spaced.
• Horizontal figures/illustrations/tables should be positioned correctly—i.e., the top of the figure/illustration/table will be at the left margin of the vertical page of the dissertation or thesis (remember: pages are bound on the left margin). Figure/illustration/table headings/captions are placed with the same orientation as the figure/illustration/table when they are on the same page as the figure/illustration/table. When they are on a separate page, headings and captions are always placed in vertical orientation, regardless of the orientation of the figure/illustration/table. Page numbers are always placed as if the figure/illustration/table was vertical on the page.

Photographs should be treated as illustrations. To be considered archival, photographs must be black-and-white. (If actual color photographs are necessary, they should be accompanied by black-and-white photographs of the same subject.) Color photos obtained digitally do not need to be accompanied by a black-and-white photograph. Make a high-resolution digital version of each photograph and insert it into your electronic document, following the guideline suggestions for positioning and margins.

Optional Elements

List of abbreviations.

As a page heading, use “LIST OF ABBREVIATIONS” in all capital letters, centered on the page.

List of Symbols

As a page heading, use “LIST OF SYMBOLS” in all capital letters, centered on the page.

Suggested numbering: xi (may be more than one page)

As a page heading, use “PREFACE” in all capital letters, centered on the page.

Body of the Dissertation or Thesis: Text

Suggested numbering: Begin page number at 1

• Text (required)
• Appendix/Appendices (optional)
• Bibliography, References, or Works Cited (required)

Please note that smaller font size may be appropriate for footnotes or other material outside of the main text. The following suggestions are based on best practice or historic precedent, but are not required.

• Chapter headings may be included that conform to the standard of your academic field.
• Textual notes that provide supplementary information, opinions, explanations, or suggestions that are not part of the text must appear at the bottom of the page as footnotes. Lengthy footnotes may be continued on the next page. Placement of footnotes at the bottom of the page ensures they will appear as close as possible to the referenced passage.

Appendix (or Appendices)

An appendix (-ces) is not required for your thesis or dissertation. If you choose to include one, the following suggestions are based on best practice or historic precedent.

• As a page heading, use “APPENDIX” in all capital letters, centered on the page.
• Place in an appendix any material that is peripheral, but relevant, to the main text of the dissertation or thesis. Examples could include survey instruments, additional data, computer printouts, details of a procedure or analysis, a relevant paper that you wrote, etc.
• The appendix may include text that does not meet the general font and spacing requirements of the other sections of the dissertation or thesis.

Bibliography (or References or Works Cited)

A bibliography, references, or works cited is required for your thesis or dissertation. Please conform to the standards of leading academic journals in your field.

• As a page heading, use “BIBLIOGRAPHY” (or “REFERENCES” or “WORKS CITED”) in all capital letters, centered on the page. The bibliography should always begin on a new page.
• Bibliographies may be single-spaced within each entry but should include 24 points of space between entries.

Suggested numbering: Continue page numbering from body

If you choose to include a glossary, best practices and historic precedent suggest using a page heading, use “GLOSSARY” in all capital letters, centered on the page.

Suggested numbering: Continue page numbering from glossary

If you choose to include one, best practices and historic precedent suggest using a page heading, use “INDEX” in all capital letters, centered on the page.

Font Samples

Sample macintosh fonts.

• Palatino 12
• Garamond 14
• New Century School Book
• Helvetica 12 or Helvetica 14
• Times New Roman 12
• Times 14 (Times 12 is not acceptable)
• Symbol 12 is acceptable for symbols

Sample TeX and LaTeX Fonts

• CMR 12 font
• Any font that meets the above specifications

Sample PC Fonts

• Helvetica 12

FHA Appraisal Guidelines & Inspection Requirements 2024

Updated: Apr 18, 2024, 3:27am

Insured by the Federal Housing Administration (FHA), FHA loans provide financing for home buyers who may need a higher credit score or down payment to qualify for a conventional mortgage. But while FHA loan criteria may be easier to meet, these loans come with stricter appraisal requirements.

An FHA-approved appraiser assesses the current market value of the home you’d like to buy and reviews its physical condition to ensure that it’s “safe, sound and secure.” The FHA wants to make sure that the home will not only retain its value but also that it meets safety and habitability standards.

What Is an FHA Appraisal?

If you’d like to buy a home with an FHA loan , you’ll need to get the home appraised by an FHA-approved appraiser first. The appraisal fulfills two purposes: first, it assesses the market value of the home, and second, it makes sure it’s safe and livable.

Conventional appraisals simply assess a home’s fair market value to assure the lender that it’s not extending too much money to the buyer. On the other hand, FHA appraisals involve a closer inspection of a home’s physical condition, such as its roof, foundation, utilities and appliances.

By ensuring the home meets its minimum property requirements , the FHA ensures that it’s not helping people buy a property that could endanger them.

How Do FHA Appraisals Work?

Whether you’re buying an older home or a new construction, the FHA requires an appraisal to ensure the house meets its minimum property requirements and standards. The FHA appraisal timeline may span a few days or a week, involving an FHA-approved, licensed appraiser visiting the property.

This appraiser will inspect the property’s interior, exterior and surroundings and assess its value based on comparable properties and other factors. As they determine whether the house is safe, secure and sound, the appraiser will fill out the required Uniform Residential Appraisal Report .

In this report, the appraiser will provide details about the home, including the year it was built, square footage and number of rooms. They’ll also note any safety concerns or issues that don’t comply with FHA guidelines and state any needed repairs and the estimated costs to fix them.

FHA Appraisal Guidelines

An FHA appraiser looks over a long list of conditions when appraising a home, which are detailed in the Single-Family Housing Policy Handbook from the Department of Housing and Urban Development (HUD). Here’s an FHA appraisal checklist of some features that an appraiser will examine for signs of damage or contamination:

• Presence of lead paint
• Water, including access to clean, hot water, signs of water damage and sufficient drainage away from the home
• Electricity
• Heating systems
• Crawl spaces
• Pests, such as termites
• Power lines
• Driveway and sidewalks
• Soil, particularly signs of heavy metals or other contaminants

Faster, easier mortgage lending

Check your rates today with Better Mortgage.

FHA Inspection Requirements

While an FHA appraisal contains elements of a home inspection, it’s not as comprehensive as a home inspection by a licensed home inspector. Also, an appraisal is required for an FHA loan, whereas a home inspection is optional.

Getting a home inspected before buying it whenever possible is a good idea. A home inspector can give you more in-depth insight into the property’s condition than an appraiser can, helping you make an informed buying decision.

If the inspector finds any significant issues—and you have a home inspection contingency in your purchase offer—you may be able to negotiate with the seller to adjust the price or request repairs before finalizing the purchase. If you don’t have a home inspection contingency in place, you can still back out of the deal but will likely lose your deposit.

Like the FHA appraisal, you pay for the inspection, and you should expect it to cost a few hundred dollars. By getting an inspection as part of the home-buying process, you can have a comprehensive evaluation of the property’s condition and ensure you don’t have any substantial problems after moving in.

What Happens After Appraisal and Inspection

What happens after an FHA appraisal depends on whether the appraiser uncovers issues with the property. If there are no problems, you can close your FHA loan and purchase the property.

If there are problems, the lender may require repairs before approving the home loan . The seller may be responsible for making these repairs unless your purchase and sale agreement say otherwise.

In some cases, you may be able to go through with the home purchase if you agree to make the repairs at a later date. If you have to pay for renovations, you could consider an FHA 203(k) loan to finance both the home purchase and the cost of repairs.

Note that a lender can’t offer more money than the home’s appraised value. If the appraised value is lower than your offer, you’ll have to make up the difference or back out of the deal. If your offer didn’t contain an appraisal contingency , you could lose your deposit if you nix the deal.

Get Forbes Advisor’s ratings of the best mortgage lenders, advice on where to find the lowest mortgage or refinance rates, and other tips for buying and selling real estate.

Frequently Asked Questions (FAQs)

How much does an fha appraisal cost.

According to HomeGuide, an FHA appraisal typically costs between $400 and $900. This cost will vary by location, property size, and other factors. The home buyer is typically responsible for covering this cost.

Why do I need an FHA appraisal?

An FHA appraisal is a required part of obtaining an FHA loan. Not only does an FHA appraisal assess the home’s fair market value, but it also makes sure the property is safe for habitation.

How long is an FHA appraisal good for?

FHA appraisals are valid for up to 180 days. An updated appraisal is valid for 240 days to one year after the initial appraisal report.

• Best Mortgage Lenders
• Best Online Mortgage Lenders
• Best Construction Loan Lenders
• Best Reverse Mortgage Companies
• Best Mortgage Refinance Companies
• Best VA Loan Lenders
• Best Mortgage Lenders For First-Time Buyers
• Best USDA Lenders
• Current Mortgage Rates
• Current Refinance Rates
• Current ARM Rates
• VA Loan Rates
• VA Refinance Rates
• Mortgage Calculator
• Cost Of Living Calculator
• Cash-Out Refinance Calculator
• Mortgage Payoff Calculator
• Loan Prequalification Calculator
• Mortgage Refinance Calculator
• Zillow Home Loans
• Mr Cooper Mortgage
• Rocket Mortgage
• Sage Mortgage
• Veteran United Home Loans
• Movement Mortgage
• Better Mortgage
• Pay Off Mortgage Or Invest
• Things To Know Before Buying A House
• What Is Recasting A Mortgage?
• After You Pay Off Your Mortgage
• When Should You Refinance Your Mortgage?
• How To Choose A Mortgage Lender?
• Will Interest Rates Go Down In 2024?
• Cost Of Living By State
• Will Housing Market Crash In 2024?
• Best Cities To Buy A House In 2024
• Average Down Payment On a House In 2024
• Largest Mortgage Lenders In The US

Next Up In Mortgages

• Best Mortgage Lenders Of August 2024
• Best Mortgage Lenders For First-Time Homebuyers Of August 2024
• How Much House Can I Afford? Home Affordability Calculator
• Mortgage Calculator: Calculate Your Mortgage Payment
• Rocket Mortgage Review
• USAA Mortgage Review

Mortgage Rates Today: August 9, 2024—Rates Remain Fairly Steady

Mortgage Rates Today: August 8, 2024—Rates Move Down

Mortgage Rates Today: August 7, 2024—Rates Move Down

Mortgage Rates Today: August 6, 2024—Rates Move Down

Mortgage Rates Today: August 5, 2024—Rates Move Down

Mortgage Rates Today: August 2, 2024—Rates Move Down

With nearly a decade covering personal finance, Rebecca Safier simplifies loans and other complex financial topics to help people manage their money with confidence. Her work has been featured in Forbes Advisor, Buy Side from WSJ, U.S. News & World Report, Newsweek Vault and other publications. Rebecca has her student loan certification from the National Association of Certified Credit Counselors and her Master of Education in Adolescent Counseling from the Harvard Graduate School of Education.