Thesis, Plan B Paper, & Dissertation Requirements

Reminders

• A graduate student does not automatically graduate with their degree once they defend or submit their thesis, dissertation, or Plan B paper/project.
• All other program and university requirements must be successfully fulfilled (for reference, please see SGS Catalog Section 8 for Master’s Degrees or Section 10 for Doctoral Degrees).
• The deadline for completing degree requirements is the last day of the semester at 5:00pm. Students with further questions, may contact their Graduate Program Coordinator.

Publication Requirements

Before beginning work on a thesis, dissertation, or Plan B paper/project, graduate students should review the School of Graduate Studies Publication Guide and are encouraged to attend a Thesis and Dissertation Information Session, held in-person and via Zoom.

Master’s Plan A and PhD students need to have a citation style guide/formatting guide/target journal for the overall paper or for each chapter. A citation style guide/manual is contingent on academic discipline. It dictates the information necessary for a citation and how the information is ordered, as well as punctuation and formatting.

Theses, projects, or dissertations may be prepared in either monograph or multiple-paper format.

• Monograph Format: This, the ‘traditional’ format, consists of a multi-chapter document that uses the same style throughout.
• Multiple-Paper Format: A thesis or dissertation using this format consists of at least two chapters, typically written as independent papers, preceded by an introductory chapter that sets the context for the research, and followed by a summary and conclusions chapter that integrates all the studies.

The content of a thesis, project, or dissertation must be approved by the student’s supervisory committee in two (2) stages: a proposal defense and a final defense.

• A thesis/project/dissertation proposal delineates the scope of scholarly work for a thesis, project, or dissertation. Once the committee approves the proposal in the proposal defense, the document is considered a binding agreement between the student and the committee regarding expectations for the final thesis, project, or dissertation.
• A final thesis/project/dissertation defense consists of a student delivering a presentation on the substance of their final thesis, project, or dissertation document and responding to questions or concerns raised by the committee. Following a successful defense, only minor edits to the document might be expected.
• As thesis/project/dissertation proposals and final documents are developed, drafts of sections should be submitted periodically to the major professor for critique.
• Committee members should be consulted, especially on sections that involve their special expertise.
• Preparation of a Plan A thesis, Plan B paper/project, or dissertation is the culminating learning experience for a graduate student.
• The quality of the manuscript or project, which should represent the student’s own best work, is the responsibility of the student.
• Monitoring the quality of the Plan A thesis, Plan B paper/project, or dissertation and mentoring the student in writing are responsibilities of the major professor, with the assistance of the supervisory committee.
• Editing by anyone other than the major professor and the supervisory committee should be limited to mechanics, such as spelling and grammar.

Publications or manuscripts of which the student is a co-author may be included if the committee determines that the student made a substantial intellectual contribution to the work.

• Permission to include a publication or manuscript in a thesis, project, or dissertation does not depend on the order of authorship.
• Any included publication or manuscript must be a logical component of the overarching theme or themes addressed by the entire thesis, project, or dissertation, which, as a whole, must represent the student’s individual and original effort.
• When reprint permission is required, the student is responsible for obtaining said permission from the copyright holder for any published works included as part of the thesis, project, or dissertation, and the manuscript must adhere to stated attribution and citation requirements.
• A program may require manuscripts to be submitted for publication as part of its degree completion requirements. However, actual publication of a manuscript cannot be a degree requirement, and time to degree cannot be extended to accommodate publication of a manuscript.

Proposal Defense Requirements

• Any proposal defense held without following the proper procedures as listed in the catalog may be invalid.
• All committee members must attend the proposal defense at the date and time registered with the School of Graduate Studies.
• While in-person defense is preferred and recommended, members of the committee may participate remotely with both audio and video interaction.

Students should work with their committee members to arrange defense participation and details prior to submitting an Appointment for Thesis/Project/Dissertation Proposal Defense (AFP) form. The form must be submitted at least 10 workdays prior to their proposal defense.

• If the Appointment for Thesis/Project/Dissertation Proposal Defense (AFP) is not fully approved before the date of defense, the defense is not official and will need to be rescheduled.
• If necessary, an appeal can be made to the Vice Provost for Graduate Studies.
• Once an Appointment for Thesis/Project/Dissertation Proposal Defense (AFP) has been approved by the committee and the School of Graduate Studies, any changes to the date, time, and/or location require the submission and approval of a new Appointment for Thesis/Project/Dissertation Proposal Defense (AFP).
• A proposal defense must include a vote to either pass or fail a proposal. Any changes made to the scope of the proposal during the proposal defense must be recorded in writing prior to the vote of the committee. If the proposal passes, it is considered to include the written change of scope. The student and all members of the committee must retain a copy of the text documenting a change in scope.
• Proposal defenses cannot be suspended or cancelled once underway. The only possible outcomes of the proposal defense are a pass or fail decision by the committee. If the student fails the proposal defense, they may schedule a second defense in coordination with their major professor once the feedback from the supervisory committee during the first defense is addressed in a revised proposal document.
• The results of the proposal defense and any additional requirements are recorded on the Record of Thesis/Project/Dissertation Proposal Defense (ROP) form, which is submitted to the School of Graduate Studies by the student’s Graduate Program Coordinator.

All Master’s Plan A and Plan B students should submit a Thesis/Project Approval (TPA) form to confirm they have successfully defended their thesis or Plan B project or paper proposal with committee approval before the final defense.

• This form is also used to document that the student has obtained any necessary regulatory approvals (IRB, IACUC, etc.) (see SGS Catalog Section 5.1) and completed any safety trainings necessary. The form should therefore be submitted after the student’s committee approves the thesis/project research proposal, and prior to the student conducting their research.
• For updates on IRB regulations and to determine whether a student’s research requires IRB approval, view USU's IRB webpage.
• Verification of regulatory approvals must be submitted to the School of Graduate Studies before the student’s Application for Candidacy can be approved.
• The student, their major professor, Committee Members, Department Head, and IRB/IACUC (if needed) will receive an email notification from ServiceNow, to review and approve the Thesis/Project Approval form. Once all signatures are obtained electronically, all parties will receive a final email from Service Now with a completed form.
• The student’s thesis or Plan B paper/project defense is scheduled after the Thesis/Project Proposal Approval form is accepted.
• Master’s Plan A and Plan B students are encouraged to submit the Thesis/Project Approval (TPA) form during their second semester, after the Supervisory Committee Approval Form, Program of Study, a successful thesis/project proposal defense, and all regulatory approvals are in place.

Submission of the Application for Candidacy (ACCD) Form is a significant point in the doctoral student’s program because the Major Professor, Supervisory Committee, and Department Head thereby attest that the student is ready to conduct independent dissertation research—although successful completion is not guaranteed.

• This form is also used to document that the student has obtained any necessary regulatory approvals (IRB, IACUC, etc.) (see SGS Catalog Section 5.1) and completed any safety trainings necessary. The form should therefore be submitted after the student’s committee approves the dissertation research proposal, and prior to the student conducting their research.
• For updates on IRB regulations and to determine whether a student’s research requires IRB approval, view USU's IRB webpage.
• Verification of regulatory approvals must be submitted to the School of Graduate Studies before the student’s Application for Candidacy can be approved.
• Students are permitted to enroll in dissertation credits in their last semester of coursework after they have successfully passed their comprehensive exams and received final approval for their application for candidacy.
• Doctoral students are encouraged to submit this form by the end of their second year, after the Supervisory Committee Approval Form, Program of Study, as soon as their dissertation proposal is approved, all regulatory approvals are complete, and the student passes their comprehensive exams.
• The student, their Major Professor, Committee Members, Department Head, and IRB/IACUC (if needed) will receive an email notification from ServiceNow, to review and approve the Application for Candidacy form. Once all signatures are obtained electronically, all parties will receive a final email from Service Now with a completed form.
• NOTE: The Application for Candidacy (ACCD) Form should be submitted at least three months prior to the student’s final defense.

Final Defense Requirements

• Any final defense held without following the proper procedures as listed in the catalog may be invalid. Full-time students must be registered for at least 3 credits during the semester in which they defend their thesis, dissertation, or Plan B paper/project.
• Domestic students may be registered for 1 credit during their defense semester; however, they will hold part time status. Students receiving financial aid are likely to be required to maintain full time status, so it is strongly advised to check with the Office of Student Financial Support before electing to take only 1 credit.
• International students must be registered for 3 credits if they defend in Fall or Spring semesters with an approved Full-Time at 3 Credits (FT3) form. However, they may register for 1 credit if they are defending in the summer semester with an approved Reduced Course Load (RCL) form in their SEVIS record, and their program’s policy allows for it.
• NOTE: A Reduced Course Load (RCL) form can only be used one time and therefore cannot be used after the completion of a grace semester (see SGS Catalog Section 4.8.).
• If International Students have any questions about the Full-Time at 3 Credits (FT3) form or the Reduced Course Load (RCL) form, they should contact the Office of Global Engagement.
• When the final defense is scheduled during a semester break, the student must enroll for at least 3 credits the following semester.
• All defenses are public. All committee members must attend the defense at the date and time registered with the School of Graduate Studies. While in-person defense is preferred and recommended, members of the committee may participate remotely with both audio and video interaction. Students should work with their committee members to arrange defense participation and details prior to submitting an Appointment for Thesis/Project/Dissertation Defense (AFD) form.
• Students should review their official committee to make sure it is correct. Changes in the membership of a supervisory committee cannot be made during the six weeks prior to the defense without a written request from the department head and approval of the Vice Provost of Graduate Studies. For questions about Supervisory Committees, please review SGS Catalog Section 6.
• No committee member should agree to proceed with a defense until they have carefully read and agreed with the defensibility of the dissertation. The final defense should be scheduled by the student after all courses and the thesis, Plan B paper/project, or dissertation are completed.

Before the Final Defense

• Students should determine when they need to have their degree in hand. The student should work with their Major Professor, Committee, and GPC, to determine a timeline for their thesis, Plan B paper/project, or dissertation completion. The submission deadline and the degree conferral date can be reviewed on the Graduate School Deadlines page.
• In order to meet the deadlines, students should submit their documents no later than 3 weeks before the last day of the semester.
• We cannot guarantee that paperwork will be processed in time to award a degree in the current semester if all materials are not submitted in final form by the submission deadline.
• All graduate degrees will be awarded within 45 days of the degree conferral date.
• Students should submit their thesis, plan B paper/project, or dissertation to each committee member at least 4 weeks prior to their defense date for review.
• Students should meet with their GPC to review and do the following:
  • Conduct a final review of their official forms to make sure they are correct.
  • SCAF and POS forms are approved and accurate.
  • Discuss any departmental requirements.
  • Review their official degree and plan type and ensure they are correct in Banner.
  • Discuss how the defense room is reserved.
  • Reserve a room.
• Students must submit their Appointment for Thesis/Project/Dissertation Defense (AFD) form at least 10 workdays prior to their defense.
  • When students fill out the AFD form, they will need to review their official committee to make sure that it is correct.
  • Students should check on the progress of approvals for their AFD follow up with GPC and/or committee members to make sure it is approved in a timely manner.
  • If the Appointment for Thesis/Project/Dissertation Defense (AFD) is not fully approved before the date of defense, the defense is not official and will need to be rescheduled. If necessary, an appeal can be made to the Vice Provost for Graduate Studies.
  • Once an Appointment for Thesis/Project/Dissertation Defense (AFD) has been approved by the committee and the School of Graduate Studies, any changes to the date, time, and/or location require the submission and approval of a new Appointment for Thesis/Project/Dissertation Defense (AFD).

During the Final Defense

• Students must be registered for at least 3 credits the semester they first defend a thesis, Plan B paper/project, or dissertation, or take final oral examinations.
• The oral examination of the thesis, Plan B paper/project, or dissertation is a defense of a final document.
• Only minor changes, usually editorial, should be required following the defense. These changes must be completed by the end of the grace semester. Changes that take longer than the duration of the grace semester to complete will be assumed to be major and require a new defense.
• If all revisions are not complete by the end of the grace semester following a successful defense, then the major professor, with support of all members of the supervisory committee, may submit an appeal to the Vice Provost of Graduate Studies, justifying why the student should not be required to defend the thesis, Plan B paper/project, or dissertation a second time.
• If major changes are required, a defense of the revised document should be held. The student must be registered for at least 1 credit during the semester of a new defense.
• During the defense, the student defends their thesis, Plan B paper/project, or dissertation and answers questions about the research or related topics. 
• The results of the defense and any additional requirements are recorded on the Record of Thesis/Project/Dissertation Defense (ROD) form, which is submitted to the School of Graduate Studies by the student’s Graduate Program Coordinator.
• All members of the supervisory committee must approve and sign the thesis, Plan B paper/project, or dissertation. In the event of lack of unanimity, the matter is taken to the Vice Provost of Graduate Studies.

Any final examination held without following the proper procedures may be invalid.

• If all degree requirements are not complete by the end of the grace semester following a successful defense, then the major professor, with support of all members of the supervisory committee, must submit an appeal to the Vice Provost of Graduate Studies, justifying why the student should not be required to defend the thesis, Plan B paper/project, or dissertation a second time.
• Students must register for at least 1 credit the semester of their second defense.

Votes on Graduate Student Supervisory Committees

• To be considered successful, it is expected that all members of a supervisory committee will approve the Ph.D. dissertation proposal or M.S. thesis proposal during a proposal defense. Likewise, it is expected that all members of the supervisory committee will approve the final Ph.D. dissertation, M.S. thesis, or Plan B paper/project for the final defense to be considered successful. However, for the final defense of a doctoral dissertation, a defense can be successful with a vote of 4 members in favor and 1 against or abstaining.
• In all cases, the vote of each member of the committee during the defense constitutes their approval or disapproval of the proposal, thesis, Plan B paper, or dissertation. All members of the committee are required, as a condition of committee membership, to sign the forms associated with a successful defense, regardless of the member’s individual vote. Committee members’ signatures reflect concurrence that all policies and procedures of the thesis, Plan B paper/project, or dissertation proposal or final process were followed.
• Any instances of a thesis or Plan B paper/project receiving only 2 votes in favor (out of 3) or a dissertation receiving 3 votes in favor (out of 5) that cannot be resolved by discussion of the committee shall be referred to the Vice Provost of Graduate Studies for resolution.

After the Proposal or Final Defense

• The student should be informed of the defense results at the conclusion of the defense.
• The major professor or designated committee member should inform the GPC of the results of the defense as soon as possible.
• The GPC will then submit the Record of Thesis/Project/Dissertation Proposal Defense (ROP) or Record of Thesis/Project/Dissertation Defense (ROD) in ServiceNow, and the committee will verify the results of the defense.
• The student should discuss the ownership of data and authorship rights with their committee. Master's Plan A and Doctoral students should review and submit the Format & Style form and Authorship & Copyright form, and Title Page.

Grace Semester

• Doctoral and master’s students will be given until the last day of the next semester (spring, summer or fall) following a successful defense to complete remaining degree requirements. This is the “grace semester” and does not require students to be registered for credits unless needed to remain compliant with F-1 or J-1 visa criteria.
• If a student has not completed all degree requirements by the end of the grace semester, the student must register for at least one (1) credit in any semester during which degree requirements will be completed, including a second defense. International students should consult with the Office of Global Engagement regarding SEVIS regulations to determine how many credits they are required to take to remain compliant with F-1 or J-1 visa criteria.
• If all degree requirements, including the submission of a final thesis, Plan B paper/project, or dissertation to USU Libraries, are not complete by the conclusion of the grace semester, then the student must defend the thesis, Plan B paper/project, or dissertation a second time.
• See definitions of minor and major revisions and their relationship to the need to defend a second time described above in During the Final Defense.
• The major professor, with support of all members of the supervisory committee, may submit an appeal to the Vice Provost of Graduate Studies, justifying why the student should not be required to defend the thesis, Plan B paper/project, or dissertation a second time.

Thesis & Dissertation Review and Submission Process

• Following the successful final defense of a thesis or dissertation, the student is responsible for completing any necessary edits, proofreading, and having it read and approved by the department before it is submitted to the School of Graduate Studies for review or, if it is a Plan B paper/project, deposited in the institutional repository. When the student is completely done editing their thesis/dissertation, they should have their GPC or departmental reviewer submit it for review to the School of Graduate Studies.
• Once the document has been approved by the School of Graduate Studies, a final copy, including a title page that has been signed by all committee members, must be submitted online to the School of Graduate Studies for the Vice Provost’s signature.
• After the defense, the following forms should be submitted in Service Now:
  (All forms can be found on the Service Now platform)
  • Dissertation/Thesis Format and Style/ETD form
  • Authorship and Copyright form
  • Embargo Request form (optional)
  • Title Page
• The student’s paper cannot be checked into the School of Graduate Studies queue for review until all the required forms are submitted and approved, their GPC has uploaded their completed thesis/dissertation to their review file, and their GPC has emailed the Graduate School Thesis/Dissertation Reviewer indicating that everything is in their file.
• Students should also review final semester information for other deadlines and requirements.
• Emails generated through Service Now will be sent to the student/GPC indicating when the forms have been completed, when to upload the student’s paper, when the student has been added to the queue, and when the student’s paper has been processed by USU Libraries.
• All papers in the queue are processed in the order in which they are added. NOTE: Requests for expedited reviews will be reviewed on a case-by-case basis with no guaranteed approval.
• Students should allow at least three weeks for the initial review of their thesis or dissertation once it has been added to the queue (time to the initial review will vary based on the number of papers in the queue).
• If the student formatted chapters in accordance with a particular journal, please also submit to the School of Graduate Studies a sample(s) of target journal styles in PDF format.
• Once a student’s thesis, dissertation, or Plan B paper/project has been finalized by the School of Graduate Studies and/or approved for deposit in USU’s institutional repository, the School of Graduate Studies will verify that all degree requirements have been met.
• NOTE: Absolutely no changes will be accepted to the thesis or dissertation after it is accepted for deposit into USU’s institutional repository.
• Students requesting an embargo are required to deposit a physical copy of their paper with USU Libraries. The student will receive an email from USU Libraries (sent to their official USU email address) with instructions to complete this step. USU Libraries will notify the student and the School of Graduate Studies once the manuscript is accepted.
• The School of Graduate Studies will contact the student to let them know if anything on the Completion Checklist is incomplete. Theses and dissertations must be submitted at least 3 weeks before the end of the semester. Please review the School of Graduate Studies Submission Deadlines.

Plan B Project Submission Process

Plan B papers/projects must:

• Follow the same format specifications as theses and dissertations (see Section 12.1.).
• Reflect equivalent standards of scholarship, though they may be less intensive and not require the same level of originality as a Plan A thesis.
• Following the defense, some departments and programs require students to deposit Plan B papers/projects into the institutional repository. Major advisors are required to review and approve the submission, but the paper is not formally reviewed by the School of Graduate Studies or signed by the Vice Provost for Graduate Studies. See the Plan B Report/Creative Project Submission Form.
• Once a student’s Plan B paper/project has been finalized by the School of Graduate Studies and/or approved for deposit in USU’s institutional repository, the School of Graduate Studies will verify that all degree requirements have been met.
• NOTE: Absolutely no changes will be accepted to the Plan B paper/project after it is accepted for deposit into USU’s institutional repository.
• Students requesting an embargo are required to deposit a physical copy of their paper with USU Libraries. The student will receive an email from USU Libraries (sent to their official USU email address) with instructions to complete this step.
• USU Libraries will notify the student and the School of Graduate Studies once the manuscript is accepted.

Submission and Review

• Plan B papers/projects are defended but are not formally reviewed by the School of Graduate Studies, nor signed by the Vice Provost for Graduate Studies.
• Instead, they must be submitted directly to USU Libraries and uploaded to the institutional repository. See Plan B Report/Creative Project Submission Form.
• Plan B papers/projects, must be submitted at least 3 weeks before the end of the semester. Please review the School of Graduate Studies Submission Deadlines.
• Once accepted, USU Libraries personnel will notify both the student and the School of Graduate Studies.

Embargo Policy

• If a student elects to embargo their work, they must submit an embargo request form to initiate the process, and the form and all additional steps must be complete by the School of Graduate Studies degree completion deadlines. An embargo means that the student’s work will be unavailable to read online for 5 years.
• A thesis, project, or dissertation must not contain material that cannot be disclosed publicly. However, it is occasionally in the University’s best interest to delay disclosure of the contents of a thesis, project, or dissertation while patenting and/or commercial development possibilities are investigated or for a period of report review by a funding agency.
• In such cases, electronic publication of a thesis, project, or dissertation through submission to the institutional repository and to ProQuest (UMI) may be delayed without delaying awarding the student’s degree.
• Embargo of a thesis, project, or dissertation must be approved by the student’s advisor, department head, and the Vice Provost of Graduate Studies.
• In addition, a printed copy of the thesis, project, or dissertation must still be submitted to USU Libraries in accordance with the School of Graduate Studies degree completion deadlines.
• A copy of the publication delay policy and the procedure for requesting an embargo may be found on the USU Libraries website and the Merrill-Cazier Library website.
• If a student is unsure whether to embargo or not, please have them contact USU Libraries via email at digitalcommons@usu.edu.