Ph.D. candidates at Brown may file their dissertations on paper or electronically. Brown's electronic theses and dissertation (ETD) system was developed by the Graduate School and the University Library and launched in 2008. The system is designed to collect and archive the dissertations of Ph.D candidates wishing to submit an electronic (instead of paper) version of their final dissertation as a text-based PDF file. Electronic dissertations submitted through the ETD will appear in Josiah, the Library catalog, in Brown's digital repository, in the Networked Digital Library of Theses and Dissertations (NDLTD), and in the ProQuest Digital Dissertations database. The service will be extended to master’s theses in the near future.
To complete either the paper or electronic submission process, doctoral candidates must have successfully defended their dissertation and had it approved by their committee. To use the ETD system, doctoral candidates must possess a valid username and password for accessing Brown’s computer network. If you are unable to create an account in the system and wish to submit, please contact ETD@brown.edu for assistance.
THE DISSERTATION SUBMISSION PROCESS
Deadlines - Registration - Defense - After the Defense - The Manuscript -
Submission of the Final Copy - Publishing - Copyright - Diploma - Certificate of Completion
DEADLINES
The last day that a doctoral dissertation and all of the associated forms and documents related to the completion of a Ph.D. may be submitted to the Graduate School is the
first business day in May. See
Submission of the Final Copy for important clarifications regarding the final submission process.
Brown has one graduation per year; Commencement exercises and the conferral of all degrees takes place on on the Sunday before Memorial Day. However, if a doctoral student completes all of the requirements for the PhD during semester I, the enrollment fee for semester II will not be charged (even though the degree itself will not be formally conferred until the end of semester II). Students must file before the first day of classes in semester II in order to avoid being charged the enrollment fee for semester II.
THE FINAL EXAMINATION OR DEFENSE
The final examination or defense must be scheduled by the candidate at the convenience of the readers. At least two weeks prior to the final examination or defense, candidates must provide the department manager with the appropriate dissertation-defense information so the dissertation defense information form can be completed and returned to the Graduate School. At least two weeks prior to the final examination or defense, the following items must be submitted to the Graduate School by the candidate:
- The title page, bearing the notation "approval of semi-final version" (typed or handwritten somewhere on the title page) and the signature of the advisor.
- The names of the dissertation advisor and all readers (with contact information for any who are not at Brown).
- The date, time, and place of the final examination. In some departments this information will come from the manager or the director.
- A mailing address, telephone number, and email address where the student can be reached through the end of May.
- All of the candidate's previous academic degrees, with institutions and dates of conferral.
- Date of preliminary examination.
- Language requirements, including when and how they were fulfilled.
NOTE: Requests for waiving the final examination must be endorsed by the dissertation director as well as the director of graduate study or department chair.
AFTER THE DEFENSE
The formal, final approval of all dissertations is handled by the Graduate School's Academic Manager (Barbara Bennett). Candidates may submit final copies of their dissertations electronically (http://dl.lib.brown.edu/etd) or on paper. Those wishing to file paper copies of their dissertations must arrange an appointment with the Academic Manager (x3-2843; etd@brown.edu) for the submission of two copies of the final version of the dissertation.
THE MANUSCRIPT
Title Page
All Ph.D. candidates are required to submit a paper copy of their title page to the Graduate School. Samples are available online. The last item before the date on the title page should read as follows:
"Submitted in partial fulfillment of the requirements for the degree of Doctor of Philosophy in the Program in (PROGRAM NAME -- SEE http://gradschool.brown.edu/go/phdprograms FOR MOST CURRENT INFORMATION) at Brown University."
OR
"Submitted in partial fulfillment of the requirements for the degree of Doctor of Philosophy in Integrative Graduate Studies at Brown University."
The Signature Page
Whether they file electronically or on paper, all Ph.D. candidates are required to submit two paper copies of their signature page, both on archival-quality paper, to the Graduate School. Samples are available online. Both signature pages should bear the original signatures (not copies) of the dissertation director and all readers. Signatures should be in either black or blue ink. Please type the names of the director and readers under the lines which are to be signed. (Candidates who want an original signature page signed by the Dean of the Graduate School must include a third signature page.)
The Text
Every effort should be made to have the manuscript as perfect as possible in form and appearance. Paper versions containing handwritten corrections, typewritten strikeovers and unsightly erasures, misspellings, and the like will not be accepted. Printing should be on one side of the page only.
The references for editorial and stylistic details are A Manual for Writers of Term Papers, Theses and Dissertations, Section 14: Formats and Sample Layouts (Kate Turabian, University of Chicago Press), The Chicago Manual of Style (University of Chicago Press) and The MLA Style Manual, Section 7: The Preparation of Theses and Dissertations (Modern Language Association of America). The student's program should also be consulted regarding its policies or preferences in matters of format and style.
If publication of the manuscript is anticipated, the medium of publication likely to be used should be considered when preparing the manuscript. If it is known in advance that the dissertation will be published by a particular publisher or journal, the editorial practices of that publisher or journal should be followed. The form of footnotes and bibliography, in particular, may vary with different publishers and journals.
If the dissertation has already been published, two printed copies may be presented instead of the original and copy. These printed copies must have pages inserted so as to conform with the requirements for the original and copy, i.e., a title page and a page signed by the director and readers.
If the dissertation has been published under sponsorship of some member of the department or another scholar, the printed copies must also be accompanied by a statement precisely indicating the contribution made by the candidate.
Type and spacing
Standard typefaces set to print at 10-, 11-, or 12-point font are acceptable. All text should be double-spaced, except for block quotations, captions, long headings, and footnotes. All these should be single-spaced with a blank line between items. On paper submissions, all print must be black. Black ink should be used to ensure printing of uniform blackness and legibility. If using a laser printer, it should have a resolution of at least 300 dots per inch. Non-printable characters or symbols should be inserted in black indelible ink.
Margins
The following margins should be observed: the margin on the left (the binding side) should be 1.5 inches wide. The top, bottom and right-hand margins should be 1 inch wide. Any manuscript with margins which do not meet these guidelines will be returned to the candidate for correction.
Page Numbers
Each page, including blank ones, must have a number. The number should not appear on the title page or the copyright page but, these pages are assigned numbers and are included in the pagination. Preliminary pages are numbered with lower case roman numerals, centered at the foot of the page, three-fourths of an inch from the bottom edge. The title page counts as page i but the number does not appear on the page. The remainder of the dissertation is numbered with Arabic numerals beginning with 1.
On pages with major headings (e.g., the first page of a chapter), the numbers should be centered at the bottom as on the preliminary pages. On all other pages, they should be placed flush with the margin at the top right corner of the page, three-fourths of an inch below the top edge.
Format
Most dissertations consist of preliminary pages which are numbered using Roman numerals, and the dissertation proper which is numbered using Arabic numerals. The preliminary pages must appear in the following order:
- Title Page (do not number)
- Copyright Page (do not number)
- Signature Page (iii)
- Curriculum Vitae* (iv)
- Preface and Acknowledgments (v)
- Table of Contents (vi)
- List of Tables vii List of Illustrations (viii)
Should any element of the preliminary pages be longer than one page, number the pages consecutively. The preliminary pages should appear in this order but not necessarily with the page numbers shown above.
The dissertation proper (including introduction, main body of the text, illustrations, appendices, and bibliography) is numbered using arabic numerals. The numbering begins with "1" and runs consecutively to the end.
Do not place headers on each page. Use them only as appropriate to indicate major sections of the thesis (e.g., INTRODUCTION, CHAPTER 1, BIBLIOGRAPHY). They should be centered and placed two inches from the top of the paper in uppercase type.
* The curriculum vitae is a statement giving a short biography of the candidate, including date and place of birth, institutions attended, degrees and honors, titles of publications, teaching or professional experience, and other pertinent information.
Graphs, Drawings, and Photographs
Graphs may be put on cross-section pages but the margins specified above should be preserved. For paper submissions, if graphs are necessarily larger than the dissertation page size, they should be folded and pasted within the required margins. Photocopies of drawings may be used. Photographs may be pasted on the dissertation pages within the specified margins. Do not use tape or rubber cement in attaching charts, photographs, etc. Use permanent mounting glue.
Dating the Dissertation
Because degrees are conferred only once during the calendar year (at the end of the academic year), the title page and abstract of a dissertation completed at any point during the academic year must be dated the following May. For example, if you complete your dissertation in August of 2009, the date on your submission should be May 2010.
The Abstract
The dissertation must be accompanied by an abstract which will be published in Dissertation Abstracts International. The abstract should, in a concise manner, present the problem of the dissertation, discuss the materials and procedure or methods used, and state the results or conclusions. Mathematical formulas, diagrams, and other illustrative materials should be avoided. The abstract should not be part of the dissertation itself nor should it be included in the table of contents. The abstract should be presented in two unnumbered loose copies. It should be headed as follows:
Abstract of (TITLE OF DISSERTATION), by (AUTHOR'S NAME), Ph.D., Brown University, May (YEAR IN WHICH DEGREE IS TO BE AWARDED).
The abstract should be prepared carefully since it will be published without editing or revision. The abstract should be double-spaced and may not exceed 350 words (maximum 2,450 typewritten characters - including spaces and punctuation - about 70 characters per line with a maximum of 35 lines). If the 350-word limit is exceeded, University Microfilms will simply cut off the abstract at this point.
Issues specific to paper submissions:
The Original and the Copy
All candidates who choose to file a paper copy of their dissertations must present to the Graduate School, in separate boxes or manila envelopes suitable for temporary storage, an unbound original and one copy of the dissertation. The "original" is the original of a typed text or a computer printout on paper of archival quality. The "copy" need not be on paper of the same quality as that of the original. The original will be placed for preservation in the University Archives in the John Hay Library; the copy will be catalogued and placed for use in University libraries. The department may also want a copy of the thesis for its files.
Paper
For students making paper submissions, the original manuscript should be typed or printed on "permalife" paper, or on paper of equivalent archival quality (plain white bond, acid-free, 8.5 x 11 inches). "Corrosible" paper is unacceptable. The copy should be on white paper of good quality. Twenty-pound paper, used for photocopy machines, is a good minimum standard.
SUBMISSION OF THE FINAL COPY
When the dissertation is presented to the Graduate School, in print or electronically, it must be in final form. Dissertations may require revision after their original presentation if it is determined by the Graduate School that the dissertation does not conform to the standards articulated above. The need for such revisions is not grounds for a deadline extension. If a dissertation is determined to be defective after the deadline, the Graduate School may refuse to confer a student's degree. Doctoral candidates are encouraged to submit their dissertations early, and to send questions not answered by the descriptions above, to etd@brown.edu.
ALL completing doctoral candidates are required to submit paper copies of the documents listed below along with the final copy of their dissertation. The dissertation will not be accepted and the candidate's degree will not be conferred if any of these items is missing or incomplete. Contact the Graduate School's Academic Manager (Barbara Bennett, x3-2843, etd@brown.edu) for copies of the forms that are not available through the electronic submission site. Students submitting electronically may send these documents by mail or messenger service. The online submission system will send notifications when each document have been received and approved by the Graduate School. Candidates submitting paper copies of the dissertation must schedule a time to meet with the Graduate School's Academic Manager (Barbara Bennett, x3-2843, etd@brown.edu) to turn in the dissertation. These documents may be delivered during or subsequent to this meeting:
- A Cashier's Office receipt for dissertation fee ($50)
- A receipt from the Bursar indicating that all outstanding debts and fees have been paid.
- Ph.D. Exit Survey, Brown University Graduate School
- Survey of Earned Doctorates, National Research Council (see associated forms, above)
- The following forms, completed:
- ProQuests's UMI Doctoral Dissertation Agreement Form (found in the Doctoral Dissertation by UMI Dissertation Services); the Dissertation Agreement at the top of the last page must be signed.
- If a copyright is to be secured from the US Copyright Office, the Authorization to Apply for Registration on the last page of the Agreement Form must also be signed, and the Agreement Form must be accompanied by an undated certified check or money order in the amount of $65 made payable to Bell and Howell Information and Learning Company. Personal checks and cash will not be accepted.
- Three extra copies of the title page.
- Two loose and unnumbered copies of the abstract.
PUBLISHING THE DISSERTATION
It is University policy that all research done at the University under its sponsorship must be freely published without restriction. Since 1954, the Graduate School has required that dissertations be published. In 1985, the Graduate Council reaffirmed that decision and approved the following policy:
"All Ph.D. dissertations and Master's theses will be open documents. The Graduate Council will not recommend the awarding of the Ph.D. or Master's degree until the dissertation or thesis is submitted to the Graduate School and accorded unlimited distribution status."
Exceptions to this requirement will be made only if there is a letter from a publisher stating that the dissertation will be published within one year after the degree is awarded and that requests that circulation of the dissertation be withheld for twelve months after the degree is conferred. Six months will be allowed for the clearing of a patent.
THE COPYRIGHT
Any student who wishes to copyright his or her dissertation must insert a copyright notice in the original and in all copies of the dissertation, including those retained by the author, filed in the department, or given to other persons. In order to enforce a copyright, it must be registered with the United States Copyright Office. Registration can be arranged through University Microfilms International at a cost of $65. If UMI's publication is the first publication of the work, the year given in the notice is the year the degree is conferred; otherwise, it is the year in which the dissertation is first published as a technical report or the like. In some departments, dissertations are published as department technical reports before they are published by UMI. This affects copyright requirements.
Since copyright must be secured upon first publication of a work in any form, a copyright notice must be included in any publication of the dissertation as a technical report, giving the actual year of publication. If a work is published as a technical report in 2004, and degree conferral and publication by UMI will occur in 2010, the date 2009, not 2010, must be used in the copyright notice in the technical report, in the microfilm copy, and in all other copies. If the dissertation is not first published by UMI, the student may wish to register the copyright independently with the Copyright Office of the Library of Congress, Washington, D.C. 20559.
THE DIPLOMA
The name which will appear on the diploma and in the Commencement program, and under which the Library will catalog the dissertation, is the name under which the candidate is officially registered. Any request for a change of name should be addressed to the Graduate School and accompanied by legal proof (marriage certificate or court order).
CERTIFICATE OF COMPLETION
If all academic requirements for the degree and all financial obligations have been met before April 1, the Office of the Registrar will issue a certificate of completion within three weeks of the candidate's request.
If you have any questions regarding the submission of your thesis, please contact the Graduate School's Academic Manager, Barbara Bennett, x3-2843, etd@brown.edu.
