Memorandum December 1, 2000 To: From: Subject: The Doctoral Candidate Office of the Registrar Instructions for Preparing the Doctoral Dissertation NOTE: In addition to the procedures outlined below, you are to observe any regulations approved in your discipline that are not precluded by these instructions. Direct any questions to the Dissertation Assistant, Judy Waldman, at (212) 817-7069, e-mail jwaldman@gc.cuny.edu. fax (212) 817-2982. I. Procedures for Defense Submit your dissertation in draft form (providing the number of copies required in your discipline) to your supervisory (or guidance) committee for approval. If the committee approves the draft, it will recommend that you be advanced to the Final Examination. This is an oral defense of the dissertation to be conducted by an Examining Committee designated by the Executive Officer and approved by the Provost (note that three members of the committee must be members of the GC Doctoral Faculty). If all required changes are made prior to the defense, you may bring a final copy of the dissertation to the examination. The Chair of the Examining Committee will record your performance in a Report of Final Examination to the Provost. If a dissertation requires, at most, minor revisions, it must be subsequently approved by the Chair; if major revisions are required, the dissertation must be resubmitted to the Chair and two members of the Examining Committee for approval before passage of the Final Examination can be recorded. If your performance in the Final Examination is judged unsatisfactory, you may be reexamined at the discretion of the Executive Committee in your discipline and with the approval of the Provost. II. General information and Requirements After you have successfully defended your dissertation and have an approved final version, make an appointment to deposit three unbound copies of your dissertation with the Dissertation Assistant in Room 1100.05 (first floor) in the Mina Rees Library of The Graduate School and University Center (212 817-7069). In addition, all students who were advanced to Level 3 on or after September 1, 1999, should have submitted a completed Dissertation Proposal Clearance: Human Participants Form, and had it approved by the dissertation advisor and the Chair of The Graduate Center s Committee on the Protection of Human Subjects. 1
The doctoral degree requirements are considered met on the date the dissertation is deposited in the Mina Rees Library, the Registrar clears the student s record, and all fees are paid. Students delinquent in their accounts with any division of the University will not be granted the degree. Specific instructions for the preparation and deposit of the dissertation will be found in Sections III, IV, and V. The Dissertation Assistant may refuse to receive the dissertation if it does not conform to the established standards. While the dissertation may be deposited at any time during the year, please review the following chart for enrollment requirements and deadline dates. For the degree to be awarded in: Candidates must be enrolled during: And deposit by: February Preceding Fall semester Last day in January GC is open May/June Spring semester May 1 October Preceding Spring semester September 15 The three deposit copies will be bound and distributed as follows: The first copy to the Library Archives of the Mina Rees Library; the second copy to the Reference section of the Mina Rees Library (exceptions are Engineering, Business, and Criminal Justice where the copy will go to the appropriate library at City College, Baruch College or John Jay College of Criminal Justice); and the third copy to the Executive Officer of the program. If you have received the degree as a recipient of a federal award, such as a grant from NASA, you should inquire about the necessity of providing the agency with an extra copy of your dissertation. The degree is awarded only October 1, February 1, or on the date of The Graduate School and University Center s annual commencement. Diplomas will be prepared for distribution only at the commencement. After depositing your dissertation, you will receive from the Registrar an interim certificate testifying to your completion of the degree requirements. You will receive information about commencement in March. III. Preparation of Deposit Copies Three unbound copies of the dissertation are required as deposit copies. If you have any questions that are not answered in these instructions, consult the Dissertation Assistant in Room 1100.05 (first floor) in the Mina Rees Library (212 817-7069) before having the final version of your dissertation printed or typed. THE FOLLOWING INSTRUCTIONS ARE ARRANGED ALPHABETICALLY BY TOPIC Abstract: Two copies of the abstract must be submitted at the time of deposit. A copy of the abstract may be included in the dissertation, but is not required. The format illustrated on sample page 10 must be followed. The abstract must not exceed 350 words and should 2
be double-spaced. Do not include graph, charts, tables, or illustrations in your abstract. The abstract will be printed in Dissertation Abstracts International. Approval Page: The approval page carries two required signatures, those of the Chair of the Examining Committee and of the Executive Officer. It also lists names (in type) of faculty members who supervised the writing of the dissertation (see sample page 9). The signatures must appear on the approval pages in all three copies of the dissertation, although the pages in the second and third copies may be photocopied reproductions of the signed page in the first copy. Candidates are reminded that the paper requirement (see Paper) for the deposit copies applies to the approval page. Copyrighting Your Dissertation: For a $45 fee, BELL & HOWELL INFORMATION & LEARNING COMPANY (B&H) FORMERLY KNOWN AS UMI, will act as your agent for copyright registration and deposit copies of your dissertation with the Library of Congress Copyright Office. If you choose to use B&H as your agent, you will need to sign an authorization for copyright registration when you deposit your dissertation. You will be the copyright holder. Later, if you arrange to publish your dissertation commercially, the copyright registration may be transferred to a publisher. Corrections and Insertions: Ink corrections or white correction fluid are unacceptable on final deposit copies. Insertions between lines are unacceptable on final deposit copies. Ink insertions of symbols not appearing on a standard printer or typewriter must be done in permanent black ink. Footnotes: Footnotes should be single-spaced at the bottom of the appropriate page to facilitate reading of microfilm. If your discipline prefers, notes may be arranged as notes at the end of each chapter; in that case, each note should be single-spaced with doublespacing between notes. Illustrations. Charts, Photographs: Illustrations should be in black and white for microfilming. Color illustrations tend not to reproduce well in microform and should be included only after consultation with the Dissertation Assistant. A complete set of photographs or laser photocopies of the photographs is required for the Archival copy of the dissertation. Laser photocopies or good-quality photocopies of the photographs will be acceptable for the other two deposit copies. The illustrations may be originals or laser photo reproductions. All illustrations must be on paper meeting the minimum requirement, but heavier paper is recommended for mounting illustrations. Mount illustrations with permanent adhesive, not tape or rubber cement. The margin requirements must be observed. If the illustrations are large, have them reduced if possible. If folding is necessary, this must be done to fit between the required margins. Graphs and tables must be sharp and clear with black ink used when typing is not possible. All illustrative pages must be included in the consecutive numbering of pages. Margins: Margins on top, bottom, and right of the page are 1 inch minimum; left margin must be 1½ inches minimum. 3
Music Scores: Doctoral candidates submitting music scores must consult with the Dissertation Assistant in advance for format requirements. Text of critical essays should be prepared in accordance with the requirements for manuscript format. Pagination: Preliminary pages are numbered in lowercase Roman numerals. The title page is not numbered but is counted in the preliminary pagination. The body of the text must be numbered consecutively in Arabic numbers beginning with the first page of the text (Arabic number 1) and including illustrations, appendix, and bibliography. With the exception of the title page, all pages must be numbered, and all page numbers must be typed (or printed). Pages should be numbered in the upper right-hand corner, ½ -inch minimum from the top edge of the paper and flush with the right-hand margin. Page Sequence: I. Title page 2. Copyright page (if copyrighting) 3. Approval page 4. Abstract (if included in dissertation) 5. Preface, Forward, and/or Acknowledgments 6. Table of Contents 7. List of Tables 8. List of Illustrations, Charts, Diagrams, etc. 9. Body of Text (beginning with Arabic number I) 10. Appendix 11. Bibliography 12. Autobiographical Statement (optional) Paper: White bond paper, 8½ inches x 11 inches, unlined, at least 20-pound weight and 25% rag or cotton content is required for all deposit copies. Do not punch holes. Erasable paper is unacceptable. Photographs: See Illustrations Quotations: In quoting materials copyrighted by others, the doctrine of fair use applies and the limits of fair use have not been exactly defined. Bell and Howell suggests that for a quotation or quotations totaling 150 words or more, the copyright owner s permission should be requested. If other forms of copyrighted materials (photographs, charts, tables, etc.) are included in the dissertation, permission must be obtained for their use. (If permission letters are not supplied, the copyrighted materials may not be microfilmed by Bell & Howell). The Mina Rees Library can provide further information on copyright policy. Reproduction Processes: The three deposit copies of the dissertation may be the original and two photocopies, three photocopies, or three computer printouts. Photocopies must be good-quality reproductions. Paper requirements for all deposit copies are a minimum of 20-lb weight and 25% cotton or rag. Standard photocopy paper does not meet the requirements for final deposit copies. Spacing: The text should be double-spaced. Each footnote, note, and bibliographical entry should be single-spaced with double-spacing between entries. The pages must be printed single-sided only. 4
Style and Style Manuals: The leading style manuals in your discipline should be followed for all requirements except those that conflict with regulations given in these instructions. The manual recommended for preferred style and methods of documentation is A Manual for Writers of Term Papers, Theses and Dissertations, by Kate L. Turabian (Sixth Edition, Chicago University of Chicago Press. 1996). Students in the Comparative Literature and English programs should refer to the MLA Handbook for writers of Research Papers (Fifth Edition, New York, Modern Language Association of America. 1999) Title Page: The title page must include the full thesis title, the complete name of the author, which should match the Registrar s record of your name (any official changes of the author s name must be made by submission of a legal document to the Registrar s Office), the dissertation statement, and the year of degree (see sample page 7). If the title includes formulas, symbols, superscripts, subscripts, Greek letters, or other non alphabetical symbols, you should use word substitutes. Such symbols while prohibited from being used in the title, may be used throughout the text of the dissertation. One extra copy of the title page must be submitted at the time of the deposit. Typeface: Any standard typeface such as Courier, Univers, or Times New Roman is acceptable. The typeface must be uniform throughout the work. The type size should be at least 12 point; because the manuscript will be reduced in size on microfilm. Symbols not in the standard typewriter keyboard or printer may be inserted using permanent black ink. The print must he of letter quality with dark black characters that are consistently clear and dense. IV. Instructions for Depositing Dissertation 1. An appointment should be made with the Dissertation Assistant (212) 817-7069 to deposit three final copies of the dissertation. The final copy must be free from all typographical errors and correct in every detail of style and format. These copies must be unbound, unpunched and in typing-paper boxes or in envelopes. 2. Two separate copies of the abstract prepared in the form on sample page 10 must be submitted. 3. One extra copy of the title page must be submitted with the dissertation. 4. When you deposit the dissertation, you will be asked to sign an agreement with Bell & Howell, authorizing them to reproduce your dissertation in microfilm as a form of publication. This firm will retain the negative microfilm copy and publish the abstract in Dissertation Abstracts International. Permission to withhold the dissertation from microfilming and/or public use in the Mina Rees Library for a specified period of time may be granted only by the Vice-President for Student Affairs. 5. When the dissertation is deposited, the fees stated in Section V will be assessed. If you wish to protect your dissertation by copyright, you must have the proper notice of copyright in your work (see page 8) before depositing the dissertation. Bell and Howell will assume responsibility for the copyright registration and provide copies to be deposited in the Library of Congress. 5
6. Up to three additional copies of your dissertation for your personal use may be submitted for binding at the time of deposit. The binding fees for personal copies are included in Section V. Bound or unbound paper and microform copies may be obtained from Bell & Howell. Consult the Dissertation Assistant for the current price schedule (preand post-publication prices) and order procedure. 7. Holders of a Perkins (formerly National Direct Student) Loan must arrange for an exit interview with the Office of Financial Aid. You must give the Office of Financial Aid (212 817-7460) one week s notice. V. Fees The following fees are to be paid to the Bursar of The Graduate School and University Center at the time of deposit: Diploma Fee $25.00 Microfilming and binding of 3 copies $89.75 Copyright fee (for dissertations to be covered by copyrighting $45.00 Personal copies to be bound (cost per copy) (pick up) $7.25 (mailed to domestic address) $12.50 6
VI. Sample Pages Sample Title Page GEORGE W. PERKINS AND THE PROGRESSIVE MOVEMENT by JOHN ABBOTT A dissertation submitted to the Graduate Faculty in History in partial fulfillment of the requirements for the degree of Doctor of Philosophy, The City University of New York 200_ (year degree awarded) 7
Sample Copyright Page 200_ (year the degree awarded) JOHN ALLEN WILSON All Rights Reserved 8
Sample Approval Page This manuscript has been read and accepted for the Graduate Faculty in Engineering in satisfaction of the dissertation requirement for the degree of Doctor of Philosophy. Date [required signature] Chair of Examining Committee Date [required signature] Executive Officer [typed name] [typed name] [typed name] Supervisory Committee 9
Sample of Abstract Form Abstract GRAPHS WITH MAXIMAL EVEN GIRTH by Allan Gewirtz Adviser: Professor Alan Hoffman [Text of Abstract double-spaced; it must not exceed 350 words] 10