Guide to the Preparation of Theses & Dissertations

Published by:              The Graduate School, Stony Brook University

 

The criteria set forth in this guide have been established and must be followed in order that each manuscript accepted for official deposit in the University at Stony Brook Library, and for publication by the University Microfilms International (UMI), is a uniform document. Before presenting your thesis or dissertation to the Graduate School be certain that you have followed these guidelines correctly.

The submission of a thesis or dissertation is the last step in the program leading to the award of your degree. Your manuscript is a scholarly statement of the results of a long period of research and related preparation. The final copies become official and permanent records available to all for close scrutiny and study. Doctoral dissertations are published in microfilm form, and the abstracts are published in Dissertation Abstracts International. Microfilming techniques and interlibrary loan services have made theses and dissertations more accessible than ever before. Thus, theses and dissertations are visible reflections of the quality of work produced by students, advisors, departments, and the Graduate School. It is important therefore, that your work not be marred by careless errors in form.

This guide describes the acceptable form for master's theses and doctoral dissertations at the Stony Brook University. All questions regarding the quality of the research and writing of a thesis or dissertation should, of course, be directed to your advisor or dissertation director and the supervising committee. If, after reading these guidelines carefully, you still have questions about acceptable format or important deadlines, direct these questions to the Graduate School at (631) 632-4723 before the final draft is typed.

The following guidelines were designed to cover only doctoral dissertations and those master's theses that are filed with the Graduate School. Consult with your departmental graduate advisor if there are any questions about using this guide for internship reports, special reports, practica, or theses that are filed only in your department, as is required in certain degree programs.

 

The Graduate School
June, 2006

 

Before Submitting the Thesis/Dissertation

Graduate students are urged to complete their theses/dissertations and defenses as early as possible during their final semester. Please note that all fees listed below are subject to change without notification

DEADLINES

Deadlines for all graduate degree candidates:
NOTE: For the exact deadline dates consult the current academic calendar and your department's posting.

Deadlines for departments responsible for graduate degree candidates:

 

PROCEDURES AND REQUIREMENTS

 

 

Specifications for the Thesis/Dissertation

GENERAL FORMAT

The Complete Manuscript

The thesis or dissertation consists of three parts: the preliminary pages, the text and the reference material.

The internal arrangement of the text and reference material, which also includes the bibliography, appendix and index, will be decided in consultation with you thesis/dissertation advisor. You may include the reference material after each chapter of your text or at the end of your manuscript. Whichever form of organization you decide to adopt, be sure to follow it consistently throughout the thesis or dissertation.

The preliminary pages must be in the order indicated below, and unless otherwise indicated are numbered in lower-case Roman numerals centered at the bottom of the page within the margin limit. The text and reference material are continuously numbered in Arabic numerals.

Overall Appearance

A thesis or dissertation reflects the quality of work produced by the author, the advisor, the department, and the Graduate School. Therefore, it is important that the final manuscript is properly collated and not marred by careless errors.

The text of the thesis or dissertation must be clear and grammatically correct or it will not be accepted. Interlineations, crossed out letters or words, strikeovers, pencil markings, and visible or extensive erasures or corrections will not be accepted in the final copies submitted for deposit. No material may be secured in your manuscript by paper clips or staples.

Paper

Typefaces

Margins

Spacing and Indentations

Quotations

Pagination

Hyphenation

Corrections

 

ORGANIZATION OF PAGES AND SECTIONS

Title Page: unnumbered but counted. See Appendix A for sample page.

Copyright Page (optional): unnumbered and not counted. See Appendix A for sample page.

Thesis/Dissertation Committee Approval Page: page ii of your manuscript and counted. See Appendix A for sample page.

Committee members must sign in permanent black ink. A signature in India ink is preferred, but ballpoint pens are acceptable. Felt-tip pens are not acceptable.

Abstract Page(s): page iii + of your manuscript and counted. See Appendix A for sample page.

Note:  See Appendix C for a full explanation and official reference list of degrees, degree programs, graduate studies and concentrations.

Dedication Page (optional): unnumbered but counted.

Frontispiece (optional): unnumbered but not counted.

Table of Contents: numbered and counted. See Appendix A for sample page.

Your table of contents should list all the main divisions of your manuscript following the table of contents as well as subdivisions within the body, references, appendices, and addenda.

List of Illustrations: numbered and counted. Include three lists for 1.) symbols and figures; 2.) tables; and 3.) illustrations. Follow the format as for Table of Contents. See Appendix A for sample page.

Preface (optional): unnumbered but counted. May include the acknowledgments. No part of the thesis or dissertation essential to an understanding of the main body of the text should be included in the preface.

Acknowledgments (optional): unnumbered but counted.

Vita, Publications, and Fields of Study (optional): numbered and counted - doctoral dissertations only.

Text:

Footnotes/Endnotes

If the nature of your footnotes allows, they should be placed at the bottom of the page. This form is especially convenient for students and scholars who consult microfilm copies of the thesis or dissertation.

If your footnotes contain extensive commentary (as opposed to simple references), they may be placed at the end of the chapters or at the end of the manuscript.

Footnotes:

Endnotes:

Bibliography: numbered and counted.

Reference Material: numbered and counted.

If appropriate, a glossary or a list of abbreviations devised specifically for use in the thesis or dissertation should be included. "List of References", or some similar phrase, should be used to head a list of publications that have been cited in the text. Prepare your reference material using the form of citation that is standard in your field or the form prescribed in any standard manual of style.

Index (optional): numbered and counted.

Appendix (optional): numbered and counted.

Last section of the manuscript. The text in appendices may be single or double-spaced. Single spacing is recommended, but if the text of the appendix is extensive, double spacing may prove to be more readable.

 

INCLUSION OF OTHER PUBLISHED MEDIA

Captions

Drawings

Figures and Tables

Graphs

You may use any graph paper as long as the official copies are reproduced on regulation paper and within the required margins. If you wish the grid to reproduce, use redlined graph paper.

Maps

You should consult with your advisor concerning the appropriateness of maps being included in your thesis or dissertation. Maps should be folded according to the instruction for page 10 (below), Oversized Material.

Non-Typed Materials

Oversized Material

Photographs

Published Material

If approved by your advisor and thesis/dissertation committee, reports of research undertaken during graduate study that have been published in appropriate media may be accepted in their printed form as part of your manuscript.

The pages from the published material themselves must be reproduced by one of the acceptable printing methods, as outlined on page 14, Printing Methods. All other procedures and formatting specifications must also be followed.

Units

For scientific work, SI units must be used except where there is good reason not to do so, for example, where it is the accepted practice of workers in the field to use other units.

 

PERMISSION TO USE COPYRIGHTED MATERIAL

The filing of a thesis or dissertation in a library is generally presumed to constitute publication in a legal sense. The reproduction of a dissertation by University Microfilms International (UMI) is similarly regarded as a form of publication. Consequently, you are expected to conform to the provisions of the copyright law with regard to quoting from copyrighted material. For this reason, University Microfilms requires that you subscribe to the following statement, which appears on the agreement form:


The author hereby certifies that the use of any copyrighted material in the manuscript beyond brief excerpts is with the permission of the copyright owner, and will save and hold harmless University Microfilms from any damage that may arise from such copyright violations.


Subscription to this section does not mean that you must ask permission from the copyright owners for every quotation of a prose passage of approximately 150 words, nor does the quotation of a few lines of verse in a work of scholarship or criticism call for permission; however, these general considerations do not absolve you from your responsibility in the matter of copyrighted materials.

If you own the copyright of the published material, you must supply a copyright page showing the following information for each publication:

Copyright by (name of author/copyright owner): ________________
Copyright Registration Number: ____________________________ (obtain this number from copyright certificate)
Year copyright was obtained: ________________

 

Submitting the Thesis/Dissertation

MICROFILMING AND COPYRIGHTING

Microfilming

Microfilm Agreement

When you file your dissertation you will be required to sign an agreement form with UMI, at which time you may take the option to copyright your dissertation. This form is part of the doctoral Exit Questionnaire packet, available in advance from the Graduate School.

Copyrighting the Doctoral Dissertation

Since your doctoral dissertation will be published in microfilm form by University Microfilms, it is important to decide whether you want the protection of a copyright. The danger of fraudulent reproduction or improper use of a dissertation is not likely to be very great. Whether or not your dissertation should be copyrighted depends on the nature of the materials and your plans for its future publication or revision. In deciding the matter, the following considerations are pertinent. See Appendix A for sample page.

Copyrighting the Master's Thesis

Copyrighting your master's thesis is optional. However, you may copyright your manuscript independently by contacting:


Copyright Office
Library of Congress
Washington, DC 20559
General Information: (202) 707-3000
For Copyright Forms: (202) 707-9100


If you decide to copyright your manuscript, a copyright page should be placed in your thesis following the title page. Consult Appendix A for sample page.

 

PRINTING METHODS

An original and the required number of copies of the approved thesis or dissertation must be submitted unbound to the Graduate School before the deadline. The Graduate School will arrange for binding the copies and for microfilming doctoral dissertations. The binding process usually takes about six months.

You are forewarned that shaded background, lack of sharp contrast between the print and the background, streaking, or spotting will be cause for rejection of your manuscript. If you have doubts about the visual clarity of your manuscript, you should obtain a sample of the copy produced by the equipment you intend to use and bring it to the Graduate School to confirm that it will be accepted.

The following are the approved printing methods for preparation of the manuscript and its required copies:

Choose one of these Three Duplication Procedures:

 

ASSEMBLY AND DEPOSIT OF THE THESIS/DISSERTATION

Please note that the prices listed below are subject to change without notification.

Thesis/Dissertation Submission Requirements

  1. Number of copies required:
  2. Submitting the Thesis/Dissertation: For both Master's Theses and Doctoral Dissertations:
  3. Additional Requirements for Doctoral Candidates:

Assembly

DEPOSIT and APPROVAL