1. typos might creep in
2. this is based on the 2003/2004 rules and the rules are modified each year)

Do not depend on this web page to be accurate

Directions for Preparing Doctoral Dissertations
2003-2004

• Procedures for Submission of the Dissertation
  • Registration
  • Program Requirements
  • Holds
  • Deadlines
  • Application to Graduate
  • Publication Agreement
  • Fees
  • Survey of Earned Doctorates
  • The Abstract
  • Dissertation Copies
  • Obtaining Bound Copies for Personal Use
  • Certificate of Final Reading of Dissertation
  • The Dissertation
• Checklist for Submission of Dissertation
• Certificate of Final Reading of Dissertation
• Sample Title Page for Ph.D. Dissertation
• Sample Signature Page for Ph.D Dissertation
• Sample Abstract for Publication by Proquest
• Sample Request to use Copyrighted Material
• Submission Deadlines for Conferral

A dissertation that does not conform to the minimum University standards may have to be redesigned and resubmitted, with the possibility of delay in conferral of the degree. The Office of the University Registrar publishes these directions and is responsible for review of dissertations and theses. The staff encourages students to ask questions about dissertation format before final preparation of the manuscript and to bring a sample to the office for review prior to the reproduction of the required copies.

Stanford University is committed to the preservation and dissemination of the scholarly contributions of its students. Stanford doctoral dissertations are microfilmed by Proquest. The Committee on Graduate Studies believes that this practice is of value to library patrons, to researchers, to the learned community at large, and also to the author whose work receives wide and accessible dissemination. Some of these specified procedures are designed to ensure optimal microfilms. A submission checklist for the dissertation is found on page 8 of this handbook.

Procedures for submission of the Dissertation

Registration

Program Requirements

Holds

Deadlines

Dissertation deadlines are strictly enforced. No exceptions are made. The final dissertation with all required signatures must be submitted to the Office of the University Registrar by the deadline. The deadline is set as late in the quarter as is possible, providing the time necessary for review of the dissertation and final degree requirements by the Office of the University Registrar and the department. Students are strongly encouraged to submit their dissertations at least two weeks prior to this deadline to insure that all requirements can be met in time for the conferral of the degree.

Application to Graduate

Publication Agreement

Fees

$105.00

for microfilming, publishing of abstract, and binding of required copies of dissertation.

$45.00

copyright registration fee (optional).

$10.00

fee for each map pocket or CD pocket.

$.35

fee for each mounted photo page or fold-out page.

Survey of Earned Doctorates

The Abstract

A separate abstract is published in Dissertation Abstracts International by Proquest. This abstract should not exceed 350 words and must be carefully formatted and prepared to give a succinct account of the dissertation, including a statement of the problem, procedure and methods, results, and conclusions. See page 13 for an example of the required format. Please note that this abstract must be signed by one member of the Reading Committee.

Dissertation Copies

Obtaining Bound Copies for Personal Use

1773 Addison Way
Hayward, CA 94544-6900
Phone: ( 510) 783-9990
Fax: ( 510) 783-9994
Contact name: Theodora Bowen
Email: theodonbindery@cs.com
Web site: http://www.theodonbookbinding.com/

Certificate of Final Reading of Dissertation

The Dissertation

Paper

High-quality, long-lived, acid-free (neutral pH) bond paper must be used for the University copies of the dissertation. To confirm that the paper is acid-free, please check the packaging. Check with the manufacturer if you believe the paper is acid free, but is not indicated on the packaging. The cotton content is at the sole discretion of the student. The Proquest copy and personal copies may be on standard photocopy paper. Photographic paper may be used in lieu of acid-free paper for images. There is no extra charge, as there is with separately mounted photos.

The final copies must be photocopied or photo-offset to produce consistent print quality without gray or dark casts to the background.

All copies must be on white, 8 1/2 by 11 inch paper. Double-sided copies may be submitted, but please be sure that the margins are re-aligned on the binding edges to 1.5 inches. The copy for Proquest must be submitted singlesided.

Typeface

Type size should be 10 point or larger. Do not use script, or ornamental fonts. Print must be letter quality or near letter quality with dark black characters that are consistently clear, crisp, and easily read. Accent marks and hand annotations must be done neatly in black ink.

Margins

Margins on the binding edge (left edge if single-sided; right edge for even numbered pages, and left edge for odd numbered pages if double-sided) must be 1.5 inches; all other margins must be one inch. (Pagination, headers, and/or footers may be placed within the margin, but no closer than one-half inch from the edge of the page.) For double-sided copies, margins must be 1.5 inches on binding edge.

Spacing

One and a half or double spacing is required in the main body of the manuscript except where conventional usage calls for single spacing; e.g., footnotes, indented quotations, tables, etc.

Word and text divisions

Words must be divided correctly at the end of a line and may not be divided from one page to the next. Use a standard dictionary to determine word division. Avoid short lines that end a paragraph at the top of a page, and any heading or subheading at the bottom of a page that is not followed by text.

Language

The dissertation must be in English. Exceptions are granted by the school dean upon submission of a written request from the chair of the student's major department. Approval for writing the dissertation in another language is normally granted only in cases where the other language or literature in that language is also the subject of the discipline. Approval is routinely granted for dissertations in the Division of Literature, Cultures, and Languages within department specifications. Dissertations written in another language must include an extended summary in English (usually 15-20 pages in length). The abstract for Proquest must also be in English.

Style

Select a standard style approved by your department and use it consistently. Some reliable style guides are K.A. Turabian's A Manual for Writers of Term Papers, Theses and Dissertations (University of Chicago Press), the MLA Handbook for Writers of Research Papers, Theses, and Dissertations (Modern Language Association), and Preparation of Archival Copies of Theses and Dissertations by Jane Boyd and Don Etherington (American Library Association).

Reproducing the dissertation

Final copies of the dissertation must be clear and attractive. Review each copy for evenness and clarity of type, missing pages, and crooked text. Colored paper should separate volumes and copies.

Order and Content

1. Preliminary Pages
   1. Title Page - The format must be followed exactly; use upper case letters (see page 10 for sample). The title of the dissertation should be a meaningful description of the content of the manuscript. Use word substitutes for formulas, symbols, superscripts, subscripts, Greek letters, etc.
   2. Copyright Notice Page (Date is year of conferral) - Center on page as follows:

      
                          © Copyright by Jane Jones 2001
                                All Rights Reserved
      
      

   3. Signature Page - The readers who sign the signature page must be endorsed on the Doctoral Dissertation Reading Committee form. Any changes in the composition of the Reading Committee must be approved by the department chair and recorded online by the department administrator. All signatures on the signature page must be original. No photocopies of signature pages are allowed for the four University copies. (See page 12 for sample.)
   4. Abstract.
   5. Preface and/or Acknowledgments.
   6. Table of Contents, with page references.
   7. List of Tables, with titles and page references.
   8. List of Illustrations, with titles and page references.
2. Text
   1. Introduction.
   2. Main body, with the larger divisions and more important sub-divisions indicated by suitable, consistent headings.
3. References
   1. Appendices.
   2. Bibliography or List of References.

Pagination

Each page of the manuscript, including all blank pages, and pages with photographs, tables, figures, maps, and computer program printouts should be assigned a number. Consistent placement of pagination, at least one-half inch from the paper's edge, should be used throughout the manuscript. If previously published papers are included, the pagination for the dissertation must be distinct and it is recommended that the pagination for the published work be removed.

Important: The following pagination plan should be used:

• For the preliminary pages, use small Roman numerals (i, ii, iii, iv, etc.). The title page does not have a number but counts as page i; the following page is ii. The placement of these numbers should be consistent on each page.
• For the remainder of the manuscript use continuous pagination for text, illustrations, images, appendices, and bibliography-use Arabic numbers (1, 2, 3, etc.). Remember to start with page 1, as this is not a continuation of the Roman numeral numbering.

Landscape

For text, illustrations, charts, graphs, etc., printed in landcape form, the orientation should be facing away from the bound edge of the paper.

Photographs, maps, and charts

All photographs should be of professional quality. Mount photographs with a dry mounting process, a photo mount with spray adhesive, or double-sided contact paper used for photo mounting. Large maps and charts should be avoided. Where necessary, they must be folded to 10.5 x 7.5 inches or smaller; they will be in pockets in the bound dissertations. The fee for binding of mounted photographs is $.35 per page. The fee for map pockets is $10.00 per pocket.

Double Volumes

If the dissertation is more than three inches thick, it must be bound in two volumes. The title pages carry volume designations. Each volume must have preliminary pages except that the signature page, preface, abstract, and acknowledgments are not included in the second volume. Pagination of text pages must be continuous from one volume to the next.

Scholarly Reference

In choosing an annotation or reference system, students should be guided by the practice of their various disciplines, and the recommendations of their departments. In addition to the general style guides listed under "Style" above, there are specific style guides for some fields. When a reference system has been selected, it should be used consistently throughout the dissertation. The placement of footnotes is at the discretion of the student with reading committee approval.

An important aspect of modern scholarship is the proper attribution of authorship for joint or group research. If the manuscript includes joint or group research, the student must clearly identify his/her contribution to the enterprise in an introduction.

Published papers and multiple authorship

The inclusion of published papers in a dissertation is the prerogative of the major department. Where published papers or ready-for-publication papers are included, the following criteria must be met:

1. There must be an introductory chapter that integrates the general theme of the research and the relationship between the chapters. The introduction may also include a review of the literature relevant to the dissertation topic that does not appear in the chapters.
2. Multiple authorship of a published paper should be addressed by clearly designating, in an introduction, the role that the dissertation author had in the research and production of the published paper. The student must have a major contribution to the research and writing of papers included in the dissertation.
3. There must be adequate referencing of where individual papers have been published.
4. Written permission must be obtained for all copyrighted materials; letters must be attached to the Publication Agreement.
5. The submitted material must be in a form that is legible and reproducible as required by these specifications. The Degree Progress Office will approve a dissertation that includes published material only if all margins are adequate to allow for proper binding, if typeface is acceptable for legible reproduction by Proquest (10 point or larger, 10 to 12 characters per inch), and if there are no other deviations from the normal specifications which would prevent proper dissemination and utilization of the dissertation. If the published material does not correspond to these standards, it will be necessary for the student to reformat that portion of the dissertation.

Use of copyrighted material

If copyrighted material belonging to others is used in your dissertation, you must give full credit to the author and publisher of the work used and if the quotation exceeds "fair use," you must obtain permission from the copyright owner. According to the Association of American University Presses, permission is required for quotations that are reproduced as complete units (poems, letters, short stories, essays, journal articles, complete chapters or sections of books, maps, charts, graphs, tables, drawings, or other illustrative materials). In determining whether other excerpts from copyrighted materials exceed "fair use" criterion, the primary considerations are length and substantiality of the portion quoted, the nature of the copyrighted work quoted, the effect of the use on the market for or value of the quoted work, and the purpose and character of your use including whether it is commercial in nature or for nonprofit educational use. If you are in doubt, it is of course safest to obtain permission.

Permission to use copyrighted material is obtained from the owner of the copyright. Proquest requires copies of permission letters to be attached to the publication agreement, and assumes no liability for copyright violations.

Copyrighting your dissertation

Copyright protection is automatically in effect from the time the work is in fixed form. A proper copyright notice on all copies, including microfilm copies, will prevent the work from falling into the public domain (loss of copyright). Copyright notice should consist of the word "Copyright" and the symbol "C" in a circle (©), the year of first publication, and the name of the copyright owner (your name) in a reasonably prominent place (see page 6).

Proquest offers a copyright service to authors of doctoral dissertations. They will, on your behalf, file an application for registration of a copyright on your manuscript if you authorize them to do so on the Publication Agreement form. The $45 fee for this optional service is paid to the Stanford University cashier when you pay the publishing and binding fee.

You need not register your copyright with the U.S. Copyright Office at the outset, although registration must be made before the copyright may be enforced by litigation in case of infringement. Early registration does have certain advantages: it establishes a public record of your copyright claim, and if registration has been made prior to the infringement of your work, or within three months after its publication, qualifies you to be awarded statutory damages and attorney fees in addition to the actual damages and profits available to you as the copyright owner (should you ever have to sue because of infringement).

Checklist for Submission of Dissertation

1.  
   • Four unbound copies of dissertation with original signature pages inserted. (Only three copies are required from students in Geological and Environmental Sciences, Geophysics, Education, Art, Music, or Law.) The copy for Proquest must be single-sided.
2.  
   • "Application to Graduate" filed through Axess by the appropriate deadline.
   • A signed "Certificate of Final Reading of Dissertation" (see page 9 for form).
   • "Survey of Earned Doctorates" is filled out and ready to submit.
   • "Doctoral Dissertation Agreement Form" for Proquest is filled out and ready to submit.
   • One separate copy of the signed abstract, formatted for publication with approval signature (see p. 13 for instructions).
   • Three additional copies of the dissertation title page (plain paper).
   • Written approval for any copyrighted material that appears in the dissertation.
3.  
   • Receipt from University Cashier for payment of the following fees (see page 4).
   • $105.00 for the four University copies of the dissertation.
   • $45.00 copyright fee (optional).
   • Additional fees (if any) for maps, mounted photo pages, etc. (see page 4).
4. Final Format Check
   • Title page formatted correctly.
   • Abstract in the dissertation is formatted consistently with the rest of the manuscript.
   • Margins: 1.5 inches on binding edge and one inch on all other sides. After printing, measure margins for accuracy. Double-Sided Copies: Margins must be re-aligned on binding edge.
   • Type size 10 point or larger; characters are crisp and easily read.
   • Body of dissertation printed in 1.5 or double spacing.
   • Pagination is continuous and placement of numbers is consistent throughout the manuscript (see page 6).
   • Words and text are divided correctly.
   • The dissertation is ready-for-publication in appearance. Final copies are cleanly reproduced and all pages are in order.
5. Appointments: For appointments, go to the Office of the University Registrar information windows in the lobby of Old Union, or call (650) 723-2041.
   • Final Format Check: We recommend that you make an appointment to meet with the Office of the University Registrar to have your dissertation reviewed before you create all of the final copies.
   • Final Submission: We recommend that you make an appointment to submit your dissertation. Students without appointments are taken on a first-come, first-served basis. If you do not have an appointment, you may have to wait for someone to assist you.

Certificate of Final Reading of Dissertation

Content

All suggested changes have been taken into account and incorporated into the manuscript where appropriate. If the manuscript includes joint group research, the student's contribution is clearly explained in an introduction.

Format

Margin size of 1.5 inches on the binding edge (left edge if single-sided; right edge for even-numbered pages, and left edge for odd-numbered pages if double-sided) and one inch on all other sides; 10 point or larger type size; clearly formed characters; correct divisions of words and text; continuous pagination; 1.5 or double spaced text (main body); bibliography and footnotes are consistently formatted; all tables and illustrations are in order and appropriately annotated.

Published Materials

If previously published materials are included in the dissertation, publication sources are indicated, written permission has been obtained for copyrighted materials, and all of the dissertation format requirements have been met.

Appearance

The dissertation is ready-for-publication in appearance and ready for microfilming and binding.

To the University Committee on Graduate Studies:



I certify that I have read the dissertation of _______________________
in its final form for submission and have found it to be satisfactory.


                    __________________________________________________
                    Signature                                 Date


                    __________________________________________________
                    (Printed Name of Reader)


                    __________________________________________________
                    (Printed Name of Your Department)

Sample Title Page for Ph.D. Dissertation

Standard

		       MONEY, POWER, AND TRUTH:
	     ECONOMIC WARFARE IN THE ERA OF GLOBALIZATION


                                VOLUME I

                       (If more than one volume)







                             A DISSERTATION

                 SUBMITTED TO THE DEPARTMENT OF HISTORY

                 AND THE COMMITTEE ON GRADUATE STUDIES

                         OF STANFORD UNIVERSITY

               IN PARTIAL FULFILLMENT OF THE REQUIREMENTS

                            FOR THE DEGREE OF

                          DOCTOR OF PHILOSOPHY










                           Jane Johnson Jones

			       May 2004

       (Date should reflect month and year of submission to the
                    Office of the University Registrar.)

• Standard
• Committee or Program (No Department)
• Graduate Program in Humanities
• School of Education
• Dual-Language Department

Committee or Program (No Department)

			    A DISSERTATION

            SUBMITTED TO THE {COMMITTEE ON}
                             {PROGRAM IN}______________

		AND THE COMMITTEE ON GRADUATE STUDIES

			OF STANFORD UNIVERSITY

	      IN PARTIAL FULFILLMENT OF THE REQUIREMENTS

			  FOR THE DEGREE OF

			 DOCTOR OF PHILOSOPHY

Graduate Program in Humanities

                             A DISSERTATION

           SUBMITTED TO THE DEPARTMENT OF ___________________

                 AND THE COMMITTEE ON GRADUATE STUDIES

                        OF STANFORD UNIVERSITY

               IN PARTIAL FULFILLMENT OF THE REQUIREMENTS

                           FOR THE DEGREE OF

                         DOCTOR OF PHILOSOPHY

                                 IN

                 ___________________  AND HUMANITIES

School of Education

                             A DISSERTATION

                  SUBMITTED TO THE SCHOOL OF EDUCATION

                  AND THE COMMITTEE ON GRADUATE STUDIES

                         OF STANFORD UNIVERSITY

                IN PARTIAL FULFILLMENT OF THE REQUIREMENTS

                            FOR THE DEGREE OF

                          DOCTOR OF PHILOSOPHY

Dual-Language Department

			    A DISSERTATION

		    SUBMITTED TO THE DEPARTMENT OF
			  {ASIAN LANGUAGES}
			 {FRENCH AND ITALIAN}
		       {SPANISH AND PORTUGUESE}

		AND THE COMMITTEE ON GRADUATE STUDIES

			OF STANFORD UNIVERSITY

	      IN PARTIAL FULFILLMENT OF THE REQUIREMENTS

			  FOR THE DEGREE OF

			 DOCTOR OF PHILOSOPHY

				  IN

			 {CHINESE}{JAPANESE}
			  {FRENCH}{ITALIAN}
			      {SPANISH}

Sample Signature Page for Ph.D Dissertation

              I certify that I have read this dissertation and that,
              in my opinion, it is fully adequate in scope and quality
              as a dissertation for the degree of Doctor of Philosophy.


                                    ___________________________________
                                    (typed name) Principal Adviser





              I certify that I have read this dissertation and that, in
              my opinion, it is fully adequate in scope and quality as
              a dissertation for the degree of Doctor of Philosophy.


                                    ___________________________________
                                    (typed name)





              I certify that I have read this dissertation and that, in
              my opinion, it is fully adequate in scope and quality as
              a dissertation for the degree of Doctor of Philosophy.


                                    ___________________________________
                                    (typed name)




              Approved for the University Committee on Graduate Studies.
              


				 iii

Sample Abstract for Publication by Proquest

The abstract must be in the following format:

		     ALGORITHMS AND ARCHITECTURE:
		     COMPUTATIONAL PROTOTYPING IN
			ELECTRICAL ENGINEERING
			 (Upper-Case Letters)


                            Jane Jones, Ph.D.
                        Stanford University, 2004 (year of conferral)



                             Adviser: (name)


Text here:
The text must be typed in 1.5 or double spacing, single sided, and with
one inch margins. It may exceed one page, but should not exceed 350
words.




                                            Approved for publication:


                                            By: ________________________
                                                For (name of your department)

Sample Request to use Copyrighted Material

DATE:

TO:

FROM:


I seek permission to reprint the following material from your publication:

Author:

Title:

Material Requested:
(Copy attached for your reference)

This material is to be reprinted in the following dissertation:

Author:

Title:

Estimated publication date:


Dissertation Author's Signature:

Mailing Address:


--------------------------------------------------------------------


Permission Granted By:
                                          
Name:
                                    
Title:


Conditions:










(Signature and Date)
                                                          13

Submission Deadlines for Conferral - Academic Year 2003-2004

                          AUTUMN         WINTER        SPRING        SUMMER
                          QUARTER       QUARTER        QUARTER       QUARTER


Thesis/Dissertation        DEC 5         MAR 12          JUN 2       AUG 23
Submission Deadline

Application to Graduate    NOV 16        FEB 29         APR 11       AUG 1


Conferral Date             JAN 8         APR 1          JUN 13       SEP 30

Degree Progress
Office of the University Registrar
Old Union Building, Room 141
520 Lasuen Mall
Stanford, CA 94305-3005

Phone: (650) 723-3056
E-mail: registrar@stanford.edu