Thesis, Plan B Paper/Project, & Dissertation Requirements

---

Reminders

• All 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).
• A graduate student does not automatically graduate with their degree once they defend or submit their Master’s Plan A thesis, dissertation, or Master’s Plan B paper/project. It must be approved in its final format by the School of Graduate Studies and accepted by USU Libraries before all degree requirements will be considered complete.
• The final 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.

---

Before the Proposal Defense

• Students should work with their supervisory committee to finalize a topic and a research plan for their thesis, Plan B paper/project, or dissertation.

Required Academic Forms to Be Submitted and Approved Prior to Submitting the Appointment for Proposal Defense (AFP) Form

• The following academic forms must already be submitted and approved before a student’s AFP form:
  • Supervisory Committee Form (SCAF) (after RCR CITI training is completed)
  • Program of Study (POS) (the plan is created in DegreeWorks)

---

The Proposal Defense

• All Master’s Plan A, Master’s Plan B (if conducting research), and doctoral students require a proposal defense.
• Students must finalize their thesis, Plan B paper/project, or dissertation topic and present a formal research proposal to their supervisory committee for review and approval.
• Students must schedule a proposal meeting with their committee once their topic and research plan are clearly defined.
• A proposal delineates the scope of scholarly work for a Master’s Plan A thesis, Master’s Plan B paper/project, or a doctoral 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, paper/project, or dissertation.
• The School of Graduate Studies does not specify the precise format of the proposal defense beyond the requirements provided in this catalog section.
• Any proposal defense held without following the proper procedures as listed in this catalog may be invalid.
• NOTE: Approval of the thesis, Plan B paper/project, or dissertation proposal is required before significant research or data collection begins.
• NOTE: For Plan B papers/projects that do not include empirical research, the School of Graduate Studies does not require proposal defenses or their associated forms (AFP/ROP/TPA) unless otherwise required by a specific program.

Submit the Appointment for Proposal Defense (AFP) Form

Purpose

• Students must work with their committee members to arrange proposal defense participation and details prior to submitting an Appointment for Proposal Defense (AFP) form.
• An AFP form is used to document that a student’s proposal has been scheduled with the School of Graduate Studies.
• If the AFP is not fully approved before the date of the proposal defense, then the proposal 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 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 AFP.

Submission Deadline

• Submit the AFP at least 10 working days before the scheduled proposal defense.

Approval Requirements

• Student
• Major Professor/Advisor
• All Committee Members
• School of Graduate Studies

Proposal defenses cannot be suspended or cancelled once underway (except in case of emergency). A decision of pass or fail must result from a proposal defense.

• If the proposal defense is suspended or cancelled once underway due to an emergency, it can resume as planned after the emergency is resolved.

Requirements of Supervisory Committee Members for the Proposal Defense

• All committee members must attend the proposal defense at the date and time registered with the School of Graduate Studies for the full duration of the meeting.

For further policies regarding a student’s supervisory committee, please review SGS Catalog Section 6: Supervisory Committees.

Proposal Votes on the Graduate Student Supervisory Committee

To be considered successful, it is expected that all members of a supervisory committee will approve the thesis, dissertation, or Plan B paper/project proposal during a proposal defense.

• The vote of each member of the committee during the defense constitutes their approval or disapproval of the proposal.
• All members of the committee are required, as a condition of committee membership, to sign the forms associated with a successful proposal 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 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 for Graduate Studies for resolution.

A proposal defense must include a vote to either pass or fail.

• 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 second defense must follow the same policies and procedures as the first defense, including scheduling it using the AFP form.
• 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.
• Once a proposal passes, it represents a formal agreement between the committee and the candidate regarding the scope of work for the thesis, project, or dissertation.

---

After the Proposal Defense

Submit the Record of Proposal Defense Approval

Purpose

• After the proposal defense, the results and any additional requirements (i.e., changes in scope or other details determined during the defense) for the thesis, Plan B paper/project, or dissertation are recorded within the Record of Proposal Defense (ROP) form.
• It will need to be approved after the completion of the proposal defense.

Submission Deadline

• Within five working days after the student’s proposal defense.

Approval Requirements

• Student
• Major Professor/Advisor
• Committee Members
• The School of Graduate Studies

Obtain Necessary Regulatory Approvals to Conduct the Proposed Research

NOTE: Information regarding regulatory approval for research is also found in the SGS Catalog Section 5.1.

• All University research involving human subjects, animal subjects, radiation materials, recombinant DNA, biohazardous materials, certain highly toxic chemicals, restricted foreign parties, or export-controlled items must be reviewed and approved by the appropriate University committee(s) before the research is started.
• For updates on IRB regulations and to determine whether a student’s research requires IRB approval, view USU's IRB webpage. For further information, please contact Research Integrity and Compliance.
• Graduate students are, with the assistance of their advisors, responsible for obtaining the necessary approval for their research. Verification of approval must be submitted to the School of Graduate Studies before the student’s master’s Thesis/Project Approval Form can be approved.

Required Thesis/Project Approval (TPA) Form for Master’s Plan A/Plan B Students

NOTE: Information regarding the submission of a TPA form is cited from the SGS Catalog Sections 5.1.

Purpose

• All Master’s Plan A/Plan B students must submit a Thesis/Project Approval (TPA) form to confirm they have successfully defended their thesis or Plan B paper/project proposal with committee approval before the final thesis/project defense. NOTE:  For Plan B papers/projects that do not include empirical research, the School of Graduate Studies does not require proposal defenses or their associated forms (AFP/ROP/TPA) unless otherwise required by a specific program..
• 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 research proposal, and prior to the student conducting their research.
• Verification of regulatory approval must be submitted to the School of Graduate Studies before the student’s Thesis/Project Approval 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.

Submission Deadline

Master’s Plan A and Plan B students must submit the Thesis/Project Approval (TPA) after:

• Submission and approval of the Supervisory Committee Approval Form (SCAF) (see SGS Catalog Section 6 for questions about Supervisory Committees).
• Submission and approval of the Program of Study (POS).
• Submission and approval of the Appointment for Proposal form (AFP).
• The completion and approval of a successful thesis/Plan B paper or project proposal defense.
• Approval of the Record of Proposal Defense form (ROP).
• All regulatory approval is in place.

Approvals Required

• Student
• Major Professor/Advisor
• Committee members
• Department Head
• IRB (if needed)
• Once all signatures are obtained electronically, all parties will receive a final email from Service Now with a completed form.

Students Who Use This Form

• Master’s Plan A
• Master’s Plan B (NOTE: The School of Graduate Studies does not require proposal defenses for Plan B papers/projects that do not include empirical research, unless otherwise required by a specific program).

The student’s thesis or Plan B paper/project final defense may be scheduled after the Thesis/Project Proposal Approval (TPA) form is accepted, and the student has completed all necessary research.

Required Application for Candidacy (ACDD) Form for Doctoral Students

NOTE: Information regarding the submission of a ACDD form is cited from the SGS Catalog Section 5.1.

Purpose

• For doctoral students, the submission of the Application for Candidacy (ACDD) Form is a significant point in the 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 above) 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 approval 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.

Submission Deadline

Doctoral students are encouraged to submit this form by the end of their second year, after:

• Submission and approval of the Supervisory Committee Approval Form (SCAF) (see SGS Catalog Section 6 for questions about Supervisory Committees).
• Submission and approval of the Program of Study (POS).
• Submission and approval of the Appointment for Proposal form (AFP).
• The completion and approval of a successful dissertation proposal defense.
• Approval of the Record of Proposal Defense form (ROP).
• All regulatory approval is in place.
• NOTE: The ACDD should be submitted at least three months prior to the student’s final defense.

Approvals Required

• Student
• Major Professor/Advisor
• Committee members
• Department Head
• IRB (if needed)
• Once all signatures are obtained electronically, all parties will receive a final email from Service Now with a completed form.

---

Begin Work on Thesis, Plan B Paper/Project, or Dissertation

• Preparation of a Plan A thesis, Plan B paper/project, or doctoral dissertation is the culminating learning experience for a graduate student.
• 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 then when the thesis is completed a final defense.

Before Starting

• The student must have successfully completed an approved proposal defense, and all regulatory approval for the Master’s Plan A thesis, Plan B paper/project, or doctoral dissertation research must already be obtained.
• Graduate students should review the School of Graduate Studies Publication Guide and are encouraged to attend a Thesis, Plan B Paper/Project, and Dissertation Information Review Session, held in-person and via Zoom.

Publication Requirements

• Master’s Plan A and doctoral 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, Plan B papers/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.

Thesis, Plan B Paper/Project, Dissertation Progress

• As the thesis, Plan B paper/project, or dissertation documents are developed, drafts of sections should be submitted periodically to the major professor/advisor for critique.
• Committee members should be consulted, especially on sections that involve their special expertise.
• 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 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 or faculty mentor 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.

---

The Final Defense

• Any final defense held without following the proper procedures as listed in this catalog may be invalid.
• The oral examination of the thesis, Plan B paper/project, or dissertation is a defense of a final document and consists of a student delivering a presentation on the substance of their thesis, Plan B paper/project, or dissertation document and responding to questions or concerns raised by the committee about the research or related topics.

Review the Final Defense Requirements

Students should meet with their GPC/GPD to complete a review of the following:

Program Requirements

• Students must review and understand all requirements or forms that may be required by their program.
• Students must complete all coursework prior to the final defense.

Degree and Plan Type

• Students, together with their GPC or GPD, should confirm their degree and plan type, and ensure they are correct in Banner.

Confirm the Official Supervisory Committee

• Students must review their Supervisory Committee and confirm that it is correct.
• If changes need to be made, a SCAF Revision form can be found on the Academic Forms page.
• 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 for Graduate Studies.
• For questions about Supervisory Committees, please review SGS Catalog Section 6.

Review Credit Requirements for the Semester of Defense

• Full-time students must be registered for at least 3 credits during the semester in which they defend their thesis, Plan B paper/project, or dissertation.
• 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 with an approved Full-Time at 3 Credits (FT3) form. However, they may register for 1 credit with an approved Reduced Course Load (RCL) form in their SEVIS record, and their program’s policy allows for it.
• Further information about the FT3 form and the RCL form can be found in the SGS Catalog Section 4.7. above.
• NOTE: A Reduced Course Load (RCL) form can only be used one time and therefore cannot be used after the completion of the 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.

Review Graduate School Deadlines

• Review the School of Graduate Studies deadlines.
• In order to meet the deadlines, students should submit their required documents no later than 3 weeks before the last day of the semester if they intend for the degree to be conferred in the same semester as the defense.
• The School of Graduate Studies 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 deadlines.

Reserve a Defense Room

• Students should discuss how to reserve a defense room on campus with their major professor or GPC.
• The final defense should be scheduled by the student after all courses and the thesis, Plan B paper/project, or dissertation are completed.

Review Required Forms

• Conduct a final review of their required forms to ensure that they have been correctly submitted and have been approved.

The following required academic forms and actions must have already been submitted, approved, and completed prior to the final defense:

• A completed Supervisory Committee Form (SCAF) (after RCR CITI training is completed).
• A Program of Study (POS) created in DegreeWorks.
• An Appointment for Proposal Defense form (AFP) (see Section 12.3. above).
• Complete and receive approval on a successful proposal defense.
• An approved Record of Proposal Defense.
• Thesis/Project Approval Form (TPA) — Master’s Plan A and Plan B (see Section 12.3. above).
• NOTE: For students completing Plan B papers/projects that do not involve empirical research, a proposal defense is not required, therefore, neither the Appointment for Proposal Defense (AFP), Record of Proposal Defense (ROP), nor the Thesis/Project Approval (TPA) forms are necessary, unless otherwise required by a specific program.
• Application for Candidacy (ACDD) — Doctoral (must be submitted at least 3 months prior to a doctoral student’s dissertation defense (see Section 12.3. above).
• A completed thesis, Plan B paper/project, or dissertation submitted to each of the student’s committee members at least 4 weeks prior to their final defense date for review.

The following must be submitted and approved at least 10 working days prior to the final defense:

• Appointment for Final Defense (AFD)
  • Students should check on the progress of approvals for their AFD by following up with their GPC/GPD and/or committee members to make sure it is approved in a timely manner.
  • If the (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 (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 (AFD).
  • NOTE: For students completing Plan B papers/projects that do not involve empirical research, a final defense is still required.

To view required forms by degree type, please see the Academic Forms page. NOTE: Students should not wait until their final semester to submit required forms, as doing so may delay graduation. Timely submission of all required forms is essential to ensure all degree requirements are met without complications.

Final defenses cannot be suspended or cancelled once underway (except in case of emergency). A decision of pass or fail must result from a final defense.

• If the final defense is suspended or cancelled once underway due to an emergency, it can resume as planned after the emergency is resolved.

Requirements of Supervisory Committee Members for the Final Defense

• Students must submit their thesis, Plan B paper/project, or dissertation to each committee member at least 4 weeks prior to their defense date for review.
• No committee member should agree to proceed with a defense until they have carefully read and agreed that the thesis, Plan B paper/project, or dissertation is defensible.
• Defensibility does not mean that the document will inherently pass, only that it is sufficiently developed that a meaningful defense process can occur.
• All committee members must attend the final defense at the date and time registered with the School of Graduate Studies for the full duration of the meeting, which culminates in a vote and communication of the outcome to the student.
• While in-person defense is preferred and recommended, members of the committee may participate remotely with both audio and video interaction.
• Committee participation in the final defense may not be done via email.
• For further policies regarding a student’s supervisory committee, please review SGS Catalog Section 6: Supervisory Committees.

---

After the Final Defense

Final Defense Votes on Graduate Student Supervisory Committees

• It is expected that all members of the supervisory committee will approve the final doctoral dissertation, Master’s Plan A thesis, or Master’s 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.
• The vote of each member of the committee during the defense constitutes their approval or disapproval of the final thesis, Plan B paper/project, 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 final defense 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 for Graduate Studies for resolution.

Final Defense Results

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.

Only minor changes (e.g., 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 degree requirements and 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 for 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 (e.g., reanalysis of data, substantive text revision) a defense of the revised document must be held. The student must be registered for at least 1 credit during the semester of a new defense.

Submit the Record of Final Defense (ROD) Form

Purpose

• The results of the final defense and any additional requirements are recorded on the ROD form, which is submitted to the School of Graduate Studies by the student’s Graduate Program Coordinator.
• The GPC will then submit the ROD in ServiceNow, and the student’s committee will verify the results of the defense.

Submission Deadline

• Within five working days after the student’s defense.

Approval Requirements

• Student
• Major Professor/Advisor
• Committee Members
• The School of Graduate Studies

---

The Grace Semester

Master’s and doctoral 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. It is a period of time allotted to complete degree requirements for conferral and is separate from the taking of credits. The grace semester can be completed from any geographic location.
• If an international student wishes to utilize the grace semester while remaining in the United States, they will need to remain compliant with F-1 or J-1 visa criteria. Accordingly, they may need to register for additional thesis/dissertation credits during the grace semester. NOTE: International students who have questions about F-1 or J-1 visa criteria, should contact the Office of Global Engagement.
• 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 in SGS Catalog Section 12.6.1. The major professor, with support of all members of the supervisory committee, may submit an appeal to the Vice Provost for Graduate Studies, justifying why the student should not be required to defend the thesis, Plan B paper/project, or dissertation a second time.

See also SGS Catalog Section 4.8. to reference information about the grace semester.

---

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.

Master’s Plan A/Doctoral Students

• The student should discuss the ownership of data and authorship rights with their committee so that all parties have a clear understanding; conflicts or questions can be referred to the Vice Provost for Graduate Studies but need not delay a defense or defense outcome.
• Dissertations/theses with sections redacted or incomplete will not be accepted. Concerns about dissemination of findings can be addressed through the embargo process.
• Once the thesis or dissertation 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.

Forms to Submit for the Thesis/Dissertation Review and Submission Process

• After the defense, the following forms should be submitted in Service Now as part of the thesis or dissertation submission and review process. (All required forms can be found on the Academic Forms page.)

Thesis/Dissertation Format and Style (F&S) and Electronic Publication Approval

Purpose

• The student, their major professor, and their supervisory committee must agree on the format and style of their thesis early in the writing process.
• The Thesis/Dissertation Format and Style form communicates which format and style have been chosen.
• The student is responsible for proofreading their thesis and having it read and approved by all committee members and the department reviewer before having the Graduate Program Coordinator submit an electronic version (PDF format) of the document to Box.

Electronic Thesis/Dissertation Approval

• The Electronic Thesis and Dissertation Approval grants Utah State University a non-exclusive license to archive your work and make it accessible to the public. As the author, you retain ownership rights to the copyright and the right to use it in future works.
• If you have questions about the Electronic Thesis and Dissertation Approval form, contact the USU Libraries at digitalcommons@usu.edu.

Submission Deadline

• After the student’s defense, they are ready to begin the thesis/dissertation review process with the School of Graduate Studies.
• The student’s thesis or dissertation will not be reviewed until all necessary paperwork has been fully approved.

Approvals Required

• Student
• Major professor
• Departmental format/style reviewer (check with your department to identify your format/style reviewer)

Authorship and Copyright Form (A&C)

Purpose

• The Authorship and Copyright form specifies plans for publication.
• The student must discuss their plans for publication with their chairperson and their committee to avoid misunderstanding about co-authorship or other acknowledgements as they publish parts or all of their thesis.
• The form also asks for a date by which an acceptable draft will be submitted to their major professor or other USU faculty with whom they will publish.
• Establishing this timeline is crucial as it is important to get contributions to knowledge into the literature promptly.
• If the date for submission is not met, the faculty member may prepare the first draft of a manuscript for submission and, consequently, be listed as the first author.
• The student’s signature and those of their committee members indicate that they have discussed the plans and all are in agreement.
• The rights to copyright and data are especially of concern if the student’s thesis research is carried out as part of a project with a principal investigator (PI) or in a laboratory using supplies and equipment furnished for the student.
• Under certain circumstances, data gathered for use as part of a research project are the property of a federal, state, or private agency, Utah State University, or the principal investigator(s).
• Students using such data may be required to waive the right of ownership and/or the privilege of copyrighting the thesis early in their program.
• Students should discuss the ownership and the right to the data to be utilized in their thesis with their committee chairperson and, if their thesis involves work on a project or in a lab, with the PI or lab director.

Submission Deadline

• This form should be submitted after the student’s final defense and before their thesis is submitted for review by the School of Graduate Studies.
• Their thesis will not be reviewed by the School of Graduate Studies until all required paperwork is fully approved.

Approvals Needed

• Student
• Advisor
• Committee members

Title Page

Purpose

• The purpose of the Title Page form is for the final approval of a student’s Master’s Plan A Thesis or a Doctoral Dissertation.
• By approving this form, the committee members agree that the student’s final document is ready to be put before the School of Graduate Studies and the Vice Provost for final approval.

Submission Deadline

• After the defense, before the thesis/dissertation can be submitted to the School of Graduate Studies for review.

Approvals Required

• All Committee Members
• Vice Provost for Graduate Studies

Embargo Request (optional)

Purpose

• See Section 12.9 below.

Submission Deadline

• Due with the thesis/dissertation.

Thesis & Dissertation Review and Submission Information

• Students should review final semester deadlines and requirements.
• The student’s thesis or dissertation cannot be checked into the School of Graduate Studies queue for review until all of the required forms are submitted and approved, their GPC has uploaded their completed thesis/dissertation to their review file, and the GPC has emailed the Graduate School Thesis/Dissertation Reviewer indicating that everything is in their file.
• 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 or dissertation 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.

Absolutely no changes will be accepted to the thesis or dissertation after it is accepted for deposit into USU’s institutional repository. However, students may request to include an addendum to the completed and deposited document.

• The addendum requires the support of the thesis/dissertation chair and written approval from the Vice Provost for Graduate Studies. The author must submit a written request to the School of Graduate Studies including the proposed addendum and a letter of support from the dissertation chair.
• The School of Graduate Studies will forward the addendum and approval to the Library, which will be added to the record in the institutional repository (IR).

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.

For further information, please review the final submission process for Master’s Plan A Thesis/Doctoral Dissertation to USU Libraries.

---

Plan B Paper/Project Submission Process

• The student should discuss the ownership of data and authorship rights with their committee so that all parties have a clear understanding; conflicts or questions can be referred to the Vice Provost for Graduate Studies but need not delay a defense or defense outcome.

All Plan B Papers/Projects must:

• Follow the same format specifications as theses and dissertations (see Section 12.4. above).
• Reflect equivalent standards of scholarship, though they may be less intensive and not require the same level of originality as a Plan A thesis.
• 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.
• Based on department or program requirements, they are submitted directly to USU Libraries and uploaded to the institutional repository.
• The School of Graduate Studies will verify that all degree requirements have been met.

Absolutely no changes will be accepted to the Plan B paper/project after it is accepted for deposit into USU’s institutional repository. However, students may request to include an addendum to the completed and deposited document.

• The addendum requires the support of the thesis/dissertation chair and written approval from the Vice Provost for Graduate Studies. The author must submit a written request to the School of Graduate Studies including the proposed addendum and a letter of support from the dissertation chair.
• The School of Graduate Studies will forward the addendum and approval to the Library, which will be added to the record in the institutional repository (IR).

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.

Plan B papers/projects must be submitted at least 3 weeks before the end of the semester. Please visit the School of Graduate Studies Deadlines page.

For further information, please review the final submission process for Master’s Plan B Paper/Project to USU Libraries.

Required Academic Forms for Master’s Plan B Students for Final Submission to USU Libraries

• Plan B Report/Creative Project Submission Form
• Embargo Request Form (optional) (see Section 12.9 below for further information about the embargo policy)

---

Embargo Policy

Purpose

A thesis, Plan B paper/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, an embargo may be requested to delay electronic publication of a thesis, project, or dissertation through submission to the institutional repository without delaying awarding the student’s degree.
• If a student elects to embargo their work, they must submit an embargo request form to initiate the process.
• Embargo of a thesis, project, or dissertation must be approved by the student’s advisor, department head, and the Vice Provost of Graduate Studies.
• A printed copy of the thesis, Plan B paper/project, or dissertation must be deposited to USU Libraries and a binding fee must be paid, whether or not it will be embargoed.
• All steps must be completed by 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 or on USU’s Institutional Repository page.
• If a student is unsure whether to embargo or not, please have them contact USU Libraries via email at digitalcommons@usu.edu.