Specifications for Thesis Preparation 1996-97 GENERAL INFORMATION INTRODUCTION This guide has been prepared by the Director of Libraries in consultation with the Committee on Graduate School Policy to assist students and faculty in the preparation of theses. The Institute is committed to the preservation of the student's thesis because it is both a requirement for the MIT degree and a record of original research that contains information of continuing value. The requirements in this guide apply to all theses and have been specified to facilitate the care, preservation, and dissemination of the thesis. Individual academic departments may dictate more stringent requirements. Questions not answered in this guide should be referred to the appropriate department officer or to the Institute Archives and Special Collections (14N-118, 253-5136). WHAT HAPPENS TO THE THESIS? The academic department delivers the required number of copies of the thesis to the Institute Archives and Special Collections. One copy is kept as part of the permanent archival collection, and the other is sent to the appropriate divisional library (or libraries, if extra copies are required), where it is available for circulation. Microfiche copies of the thesis are made, and again, one copy remains in the Archives while the other is sent to the divisional library. The microfiche and paper copies serve different purposes, and each is a security copy for the other. The requirements in this manual assure the preservation of the archival paper copy and the production of a high quality microfiche copy. An online catalog record is prepared for all theses deposited in the MIT Libraries. This information appears in Barton, our online catalog, which is accessible to researchers at other institutions through the Internet, as well as in the OCLC (Online Computer Library Center) database. The latter is a national bibliographic system that contains nearly 30 million records and is available to libraries and individuals throughout the world. Abstracts of theses submitted for the degrees of Doctor of Philosophy and Doctor of Science appear in both the printed version and the online version of Dissertation Abstracts International, published by University Microfilms Inc. Copies of theses may be obtained through the MIT Libraries' Document Services (14-0551, 253-5668, docs@mit.edu). SUBMISSION DATE Degree candidates must submit the required copies of their theses to the appropriate office of the department or course in which they are registered on the dates specified in the Academic Calendar. The Academic Calendar may be found in the MIT Bulletin and in the student's registration packet. Additional copies of the thesis shall be delivered as required by the department. WHAT IS SUBMITTED? All theses should be turned in to the appropriate departmental office; the office will deliver the theses to the Archives within a month after the degree date. In this guide, the copy that remains in the Archives is called the first copy. Additional copies required for the divisional libraries (see following section) are referred to as the second and (possibly) third copies. The department may ask for copies in addition to those required for the Libraries. The student may, of course, keep personal copies. Bachelor's Degree Theses: Not all departments send bachelor's theses to the Archives. If your department does, only one copy is required for the Archives. Please check the requirements of your department. Undergraduate students do not pay a library processing fee. Graduate Degree Theses: Number of Copies: Normally two copies are required for the Libraries; one for the Archives and a second for the appropriate divisional library. In the following cases a third copy is required, as there are two appropriate divisional libraries: students submitting the same thesis to two Schools (e.g., Management and Engineering) students submitting a thesis to the department of Chemical Engineering, Materials Science, or Nuclear Engineering (housed in the Science Library) who are also submitting the thesis for an additional Engineering degree students submitting a thesis to the department of Economics or Political Science (housed in the Dewey Library) who are also submitting the thesis for an additional Humanities degree Cashier's receipt for payment of the processing fee. Doctoral theses only: completed UMI form (see also section below) with an additional copy of the title page and abstract stapled to it. SUBMISSION OF DOCTORAL THESIS ABSTRACT TO INTERNATIONAL DATABASE: UMI / Dissertation Abstracts International Abstracts of all doctoral theses (Ph.D. and Sc.D.) will be submitted to University Microfilms Inc. (UMI) for inclusion in their publication Dissertation Abstracts International (DAI). The fee for publishing the abstract is borne by the MIT Libraries. Subsequently, the abstract will appear in DAI's print, microform, and electronic media, which are disseminated and used by researchers throughout the world. DAI can be searched by author's name, subject terms, and all words in the title and abstract. All MIT abstracts will contain a note stating that copies of the full thesis are available from the MIT Libraries' Document Services. Abstracts should be no longer than 350 words; longer abstracts will be edited by UMI. Please complete the UMI form, staple it to a copy of your title page and abstract, and submit it with your thesis. Completing the UMI form The completed UMI form will be submitted to UMI along with a copy of your title page and abstract. Please complete this form beginning with "Personal Data." You are asked to choose the appropriate subject categories. Access to your thesis will depend on the accuracy of the information you provide and the precision with which it is transcribed by UMI. It is especially important that your name appear on this form exactly as it does on the title page and abstract of your thesis. Typing is suggested. When completed, staple the form to a copy of your title page and abstract, and submit them along with the thesis to your department. FEES Students receiving advanced degrees from MIT are required to pay a library processing fee: $46.00 for a doctoral thesis, and $27.00 for all other advanced degree theses. This fee pays for the microfilming of the thesis, which will preserve the thesis and allow it to be readily available. Payments should be made to the Cashier's Office (10-180), and the receipt of payment must accompany the thesis when it is submitted to the department. Undergraduate students do not pay a processing fee. BINDING All copies must be submitted unbound between cardboard covers; the thesis and covers should be clipped or tied together, not stapled or punched. Recycled covers and clips are available in a cabinet outside the Binding and Repair Section of the MIT Libraries (14-0513) and at the Institute Archives (14N-118). The front cover should be labeled with the following information: author's name, thesis title, course, month and year of graduation, and which copy it is (first, second, or third). The MIT Libraries pay for the binding of theses retained in their collection. Personal copies may be bound in hard or soft cover at MIT Graphic Arts or at many commercial binderies in the Boston area (check the yellow pages under "bookbinders"). COPYRIGHT The Institute's policy concerning ownership of copyrights to theses is covered in Rules and Regulations of the Faculty, regulation 2.71. The following are the relevant provisions: the Institute will hold ownership of the copyrights to theses only if 1.the thesis research is performed in whole or in part by the student with financial support in the form of wages, salary, stipend, or grant from funds administered by the Institute and/or 2.the thesis research is performed in whole or in part utilizing equipment or facilities provided to the Institute under conditions that impose copyright restrictions. In all other cases, ownership of copyright shall reside with the student. When copyright ownership is held by the student, the student must, as condition of a degree award, grant royalty-free permission to the Institute to reproduce and publicly distribute copies of the thesis, and must place the following legend on the thesis title page: "The author hereby grants to MIT permission to reproduce and to distribute publicly paper and electronic copies of this thesis document in whole or in part." When copyright is held by the Institute, any further publication of the thesis in whole or in part shall be made only with the authorization of the Intellectual Property Office, in consultation with the head of the department or course in which the student was registered when the thesis was accepted. However, the student is authorized to use the information contained in the thesis for the purpose of publishing other works. Students may request a waiver of Institute copyright by written application to the Institute's Technology Licensing Office (E32-300, 253-6966). To Determine Ownership of Copyright Students who have received the benefit of funds or facilities administered by MIT (e.g., employment, computer time, fellowships) for the development of research materials that are also expected to be contained in a thesis should consult with their department headquarters, thesis advisor, or the Intellectual Property Office to determine copyright ownership. In general, students may retain ownership of thesis copyrights when the only form of such support is from (1) teaching assistantships (the duties of which do not include research activities) and (2) NSF and NIH traineeships and fellowships (although the trainee or fellow may be required to grant certain publishing rights to NSF or NIH). Actual determination of a student's status is made by reference to the account from which the student receives support. Specific clarification on permission to copyright should be referred to the Intellectual Property Office (10-256, 253-1606 or 253-0775). Implementation: How to Copyright a Thesis Each student should place the appropriate copyright notice on the thesis. Copyright notice consists of four elements: 1.the symbol "c" with a circle around it © and/or the word "copyright," 2.the year of publication, 3.the name of the copyright owner, and 4.the words "All rights reserved." These four elements should appear together on the title page. Examples: (a) student is copyright owner: © 1996 John Doe. All rights reserved. (b) MIT is copyright owner: © 1996 Massachusetts Institute of Technology. All rights reserved. See section on prefatory materials for complete examples. A copyright notice should also appear on all material in non-paper formats included with a thesis (e.g., audiotape, videotape, floppy disks). Previously Published Material Each student is responsible for obtaining any necessary permissions for including previously published material as part of the thesis. If, for example, a student has already published part of the thesis as a journal article and, as a condition of publication, has assigned title to the journal's publisher, the student has no further rights in the article. Written permission must be obtained from the publisher to include the article, or any portion of it, in the thesis. Similarly, permission must be obtained to include papers written while the student was employed by a commercial company or non-profit organization if title belongs to the company or organization. The required form of the permission may be obtained from the Intellectual Property Office. If the student knows, prior to publication or employment, that such material will be included in a thesis, he or she may wish to retain title to the material or to reserve sufficient rights to use the material. Further information is available from the Intellectual Property Office. POLICY FOR TEMPORARY RESTRICTIONS ON THE DISTRIBUTION OF THESES Thesis research should be undertaken in light of MIT's policy of open research and the free interchange of information. Written notification of patent holds and other restrictions must reach the Institute Archives before the thesis in question is received, as under normal circumstances all theses are open and available for public inspection once they have been received by the Archives. When there is good reason for delaying the distribution of a thesis, the procedures below should be followed. Patent Claims When MIT holds the rights to any intellectual property contained in a thesis, students and their advisors must work with the MIT Technology Licensing Office to determine if a patent application is to be filed. If so, the Licensing Office will notify the Institute Archives, and the thesis will be withheld from distribution for up to one year. If an extension is required, application must be made to the Dean for Graduate Education for graduate theses or the Dean for Undergraduate Education for undergraduate theses, who will inform the Archives if an extension is approved. When a student holds the rights to any intellectual property contained in his or her thesis, application must be made to the Dean for Graduate Education for graduate theses or the Dean for Undergraduate Education for undergraduate theses for permission to withhold a thesis. If granted, the dean will inform the Archives, and the thesis will be withheld for ninety days. If an extension is required, application must again be made to the appropriate dean. Government Restrictions A student should not embark without prior approval on a thesis that requires government restrictions. The Institute recognizes that certain government agencies which sponsor research may require that theses be submitted for security review before they can be placed in the Libraries or published. For further details on the review and release procedures, see the Graduate School Manual. Privacy and Security Occasionally, on completing a thesis, a student may feel that its distribution will jeopardize the privacy or safety of the author, other individuals, or companies. If the thesis cannot be rewritten to remove the problematic material, the author and supervisor should submit the thesis to the director of the program, who will prepare a recommendation for the Dean for Graduate Education for graduate theses or the Dean for Undergraduate Education for undergraduate theses. The dean will advise the Institute Archives of the restricted period. In all cases the restricted period should be kept to a minimum. SUBSTITUTIONS OR CHANGES AFTER SUBMISSION OF THESIS If, after a thesis is submitted, pages are to be substituted or other changes made, these must also be approved. A thesis substitutions form (available in the Institute Archives), signed by the thesis advisor or department chairman, must be submitted with the replacement pages. FORMATTING PAGINATION The entire thesis (including title page, prefatory material, illustrations, and all text and appendices) must be paginated in one consecutive numbering sequence. The title page is always considered to be page 1, and every page must be included in the count regardless of whether a number is physically printed on a page. Theses should be prepared double-sided whenever possible. In a double-sided thesis, both sides of every page including the title page must be accounted for in the numbering sequence even though a number is not printed on the page. Therefore, in a double-sided thesis, odd-numbered pages are always on the right and even-numbered pages on the left. Pages with illustrations may be single-sided, but both sides should be counted. Single-sided theses should be numbered only on the front of every sheet. When using thesis templates on Athena, use caution and verify that the pagination requirements are being met. PREFATORY MATERIAL Selecting a Title Your work will be a valuable research tool for other scholars only if it can be located easily. Modern retrieval systems use the words in the title (and sometimes other descriptive words) to locate works. Therefore, be sure to select a title that is a meaningful description of the content of your manuscript; and when possible, use word substitutes for formulas, symbols, superscripts, Greek letters, etc., which do not appear on most computer keyboards and would render your title unsearchable. Examples: "The Effects of Ion Implantation and Annealing on the Properties of Titanium Silicide [not TiSi2] Films on Silicon Substrates" "Radiative Decays of the J/Psi [not J/þ] to Two Pseudoscalar Final States" Title Page The title page of the first copy must bear the original signatures of the author, supervisor, and chairman; a photocopy of the signed title page is acceptable for the second copy. The title page should contain the title, name of the author, previous degrees, the degree(s) to be awarded at MIT, the date the degree(s) will be conferred (June, September, or February only), copyright notice, and appropriate names and signatures. For candidates receiving two degrees, both degrees to be awarded should appear on the title page. For candidates receiving degrees across departments, all degrees and departments should appear on the title page and the signatures of both department heads/committee chairmen are required. Also, in the case of standing programs (Technology and Policy, Transportation, etc.), the signatures of the standing program director and the home department head/committee chairman are required. Whenever there are co-advisors, both signatures are required. See the proper title page layout. Sample Title Pages: Bachelor's degree, Student Owns Copyright Master's Degree, MIT Owns Copyright Simultaneous Degrees, Two Departments Abstract Each thesis offered for a graduate degree must include an abstract, preferably one single-spaced page, but never more than two pages (generally less than 350 words). The abstract should be thought of as a brief descriptive summary rather than a lengthy introduction to the thesis. Doctoral abstracts are submitted to University Microfilms Inc. (UMI) for publication in Dissertation Abstracts International (DAI); doctoral candidates should keep their abstracts under 350 words as longer abstracts will be edited by UMI. Databases such as DAI provide full-text searching of abstracts, so the presence of significant key words in a short abstract will facilitate access. The abstract should immediately follow the title page. See the proper abstract layout. Sample Abstract. Biographical Note Although not a requirement, it is recommended that each thesis contain a short biography of the candidate, including institutions attended and dates of attendance, degrees and honors, titles of publications, teaching and professional experience, and other matters that may be pertinent. This section may be single-spaced. FOOTNOTES Footnotes should be placed at the bottom of the appropriate page or in the body of the text, if possible. This will facilitate the use of microfiche copies, where it is preferable to have text and footnotes on one frame rather than at various places throughout the fiche. Footnotes should conform to the style appropriate to the discipline. If footnotes appear at the bottom of the page, they should be single-spaced and included within the specified margins. APPENDICES The same paper size and quality, pagination, margins, footnotes, and illustration requirements apply to appendices. They support the research in your thesis and should be as readable and reproducible as the rest of your work. Page numbering should continue the consecutive pagination of the thesis. TYPEFACE AND SIZE For the main body of the text, font size should be 10- to 12-point (or at least 10 characters per inch) and should not be script or italic. Footnotes and the text in tables, etc., should not be smaller than 8-point. Dot-matrix typefaces may be used only if the letters are dense and clear enough to photocopy satisfactorily. MARGINS AND SPACING Top, bottom, and both side margins must be at least an inch (1") to allow for binding and trimming. All information (text headings, footnotes, and illustrations), excluding page numbers, must be within the text area. Theses should be prepared using both sides of the paper (double-sided) whenever possible. The text of the thesis may be single- double- or one-and-a-half-spaced. The abstract, biography, footnotes, and bibliography should be single-spaced. If you are writing your thesis on Athena, follow the formatting and typeface instructions under the "LaTeX" or "Framemaker" olc stock answer topics by typing the command "olc_answers" on any Athena workstation. PRODUCTION USING ATHENA If you are preparing your thesis on Athena, follow the instructions under the "LaTeX" or "Framemaker" olc stock answer topics by typing the command "olc_answers." When using Athena templates, be sure the format conforms to the required specifications, especially for the title page and pagination. Final copies should be printed on the printer "Thesis" (11-115), which is stocked with acid-neutral Xerox Image Elite paper. PAPER First copy: For the first copy the paper must be chosen for its permanence and durability. Acid-neutral papers have been found to be more permanent and less expensive than 100% rag papers. The paper MUST HAVE A WATERMARK that confirms that the paper is EITHER one of the [exact] brands listed below OR that it is acid-neutral OR 100% rag content. To find the manufacturer's watermark, hold the paper up to a light. The following 20-lb. watermarked acid-neutral papers are acceptable: Xerox Image Elite or Archival Bond (available at Graphic Arts, 11-004) Permalife Hollinger Acid-Free Bond Trojan Bond Technaclear Crane's Thesis Paper Hammermill bond (not recycled!) Strathmore Bond (not recycled!) Second copy: While the acid-neutral papers are also suggested for the second copy, a bond paper containing 25% rag (cotton content) is acceptable. The following are not acceptable for either copy: recycled paper MIT bond erasable paper regular paper from photocopy machines The paper used should be sufficiently opaque so that text and illustrations on one side do not impair readability on the other. If there are any questions about the acceptability of paper, contact the Institute Archives (253-5136). If you are preparing your thesis on Athena, print the final copies on the printer "Thesis," which is stocked with Xerox Image Elite paper. The standard size for theses is 8½ by 11 inches (see section on oversize material). COPYING METHODS It is acceptable to submit computer generated, photocopied, or typewritten copies of the thesis as long as each meets all of the physical requirements described in this guide, including specifications for the quality of paper. The quality of print for all copies must be sharp all over with clarity and contrast sufficient to be easily readable on paper and microfilm and to provide for successful reproduction. The print must be properly fused to the paper and have a clean background, free from extraneous lines, blotches, stains, and scratch marks. No matter what process is used, be sure that all copies of the thesis are carefully collated and that no pages are missing. DOUBLE-SIDED OR SINGLE-SIDED PRINTING Double-sided printing is preferred. Paper should be sufficiently opaque so that text and illustrations on one side do not impair readability on the other side. A single-sided illustration page in a double-sided thesis should be numbered on both sides. When creating a double-sided copy, be sure that the page numbers are either in the center or on the outside edge. CORRECTION DEVICES Correction fluid and correcting paper may not be used. If mistakes cannot be corrected through recopying or reprinting the problem page, cross out the mistake and/or insert the new material using a typewriter. OVERSIZED PAGES Charts, graphs, tables, etc., should be reduced whenever possible to an 8½"x11" format. If material is not reducible, oversize sheets must be folded to come within the margins so the folds will not be trimmed off or bound in during the binding procedure. Acceptable 11"x17" watermarked paper can be requested at Graphic Arts (11-004). ILLUSTRATIONS Use of Color Remember that the microfilming done to preserve and reproduce theses is a black and white photographic process. For this reason, illustrative material drawn or computer generated in black will reproduce satisfactorily, while colors will appear as nearly identical shades of gray. Therefore, if color is deemed necessary, the same information should also be conveyed with black and white labels, codes, or other explanations. It is recommended, for instance, that lines on a graph be identified by labels or symbols rather than colors. Similarly, shaded areas such as countries on a map have better contrast if cross-hatching is used instead of color. The use of color is also discouraged because color processes are impermanent. Adhesives The use of tape, glue, or any kind of adhesive (scotch tape, spray adhesive, rubber cement, etc.) is not acceptable. These materials are detrimental to the preservation of any document, as they tend to become dry so that items fall off the page, or to stick the pages together. Charts, Graphs, and Tables If hand drawn originals of charts, graphs, and tables are to be submitted, they must be in black, waterproof, opaque ink so that they conform to the specifications for quality of print which call for clarity and contrast sufficient to be easily readable and to provide successful reproductions. The use of pencil is not acceptable. If computer generated charts, graphs, and tables are to be submitted, the paper must conform to the required specifications. If it does not meet the specifications and the illustrations cannot be satisfactorily photocopied onto the correct paper, use one of the procedures listed under "Photographs." All diagrams must be within the margins. Photographs Photographs should be black and white whenever possible. Pages containing photographs should be numbered as regular pages. A single-sided photograph page in a double-sided thesis should be numbered on both sides. When photographs are to be used, an acceptable process must be chosen to reproduce and mount them into the thesis. Using tape, glue, or any kind of adhesive is not acceptable. No matter what process is used, consider having the photos labeled before using one of these processes. An adhesive label attached to the final product to identify the photos is unacceptable. To include photographs in a thesis, some options are: 1.color photocopying: You do not have to have color images to use color photocopying. For black and white images, there is a black and white setting on the copier. This process produces a good quality image (much better than regular photocopying) and is one of the least expensive options. Have the image photocopied onto acid-free paper at MIT Graphic Arts (11-004) or any other copy center. 2.photoprinting: Have the image printed onto 8½-by-11-inch photographic paper (your image can be any size) so that it may be bound directly into the thesis. This can be done at MIT Graphic Arts (11-004) or any commercial photo developing shop. The photo may be printed on glossy or matte paper; matte is encouraged since large amounts of glossy paper result in binding problems. The price varies with the lab and the materials you provide to them (negatives, prints), but this process provides top quality for a medium price. 3.dry-mounting: Have the photographs dry-mounted onto acid-free paper at Graphic Arts or other places that provide graphic services (Charette, Typotech, etc.). This is an expensive option which, while acceptable, is not recommended since even the professional shops can have difficulty performing the process correctly so that the photos are permanently bonded to the paper. When actual photographs are to be used (as in processes 2 and 3), they must receive archival or optimal processing, which can be requested at any photo lab. Archival processing means that the lab will take extra time to wash the chemicals thoroughly off the photographic paper so that it will not continue developing after the process is finished. More detailed specifications on the preparation of illustrations and photographs are contained in Guidelines for Thesis in Architecture which may be obtained through the Department of Architecture (7-303). NON-PAPER FORMATS The non-print magnetic media described below may accompany the written text of the thesis; one copy should accompany each copy of the thesis submitted. Students should recognize, however, that rapid changes in technology make these formats obsolete quickly. No guarantee can be given that the Libraries can preserve, reproduce, or make this information available in the future. Therefore, when feasible, the information that is in magnetic form should also be represented in the written text of the thesis. Labels A label must be applied to all material in non-paper format. The following information must be included: 1. author's name 2. degree date 3. copyright notice The label should also include any revelant technical specifications, such as: Videotapes: 4. length of videotape (in minutes) 5. silent or sound 6. color or black and white 7. width of the tape (e.g., ¾-inch or ½-inch) 8. program segments Computer disks: 4. language 5. density 6. hardware required (if appropriate) NOTE: All disks should be write-protected. BRIEF CHECKLIST 1. Has each copy of the thesis been collated? Are any pages missing? Are all pages numbered correctly in one sequence? (See section on pagination.) 2. Is the original signed title page included in the first copy? (See section on prefatory material.) 3. Is the author's full name on the title page of the thesis? (See section on prefatory material.) 4. Are the thesis supervisor and department head/committee chairman's names on the title page of the thesis, and the supervisor's name on the abstract? (See section on prefatory material.) 5. Does the title on the thesis and the abstract agree with the title given to the registrar? (See section on prefatory material.) 6. Does the title page carry the appropriate copyright notice and, for theses where the student owns the copyright, the appropriate copyright permission statement? (See section on prefatory material.) 7. Is the cashier's receipt clipped to the cover of one of the copies of the thesis? (except bachelor's theses) (See section on "what is submitted?".) 8. Are the correct number of copies being submitted? (See section on "what is submitted?".) 9. For doctoral theses, has the form for UMI been completed, and has an extra copy of the title page and abstract been stapled to it? (See sections on "what is submitted?" and also on the UMI form.) 10. Is the thesis (including the title page) on the required paper? (See section on paper.) 11. Have all non-paper materials (videotape, floppy disks, etc.) been correctly labeled? (See section on non-paper formats.)