Forms and Petitions

Guide to Filing Theses and Dissertations

Special Handling for Oversize, Illustrative, and Special Materials

When considering the use of oversize, illustrative, and special materials, students should first seek guidance from their committee members or departments. Oversize, illustrative, and special materials described in the following paragraphs must meet UCSB margin requirements; whenever possible, they should be produced on 100% cotton bond at least 20-pound in weight. Since oversize paper is not readily available in 100% cotton bond, students preparing oversize pages for maps, charts, appendices, music compositions, etc. will normally choose alternative types of paper. Students should ask committee members' advice on choosing a type of paper that will be best suited for the type of reproduction method to be used by the student. In selecting the paper they will use, students should try to ensure legible typeface with a minimum of feathering.

Handling Oversize Materials

Computer output, tables, or other illustrative materials with wide margins may be rotated on the page to fit within required margins, but the top of the material should run along the binding (or left) edge of the paper so as not to intrude into the required 1.5 inch margin. Oversize tables, charts, graphs, etc. may be folded from the right-hand side, so long as the folded edges are all within the margins. Maps, plates, etc. may be folded to a size of 7.75 x 10 inches and placed in a pocket bound into the back cover or final page of the document. This choice should be indicated in the table of contents as "In pocket at end."

Copy that has been reduced on photocopying machines to fit within required margins for an 8.5 x 11-inch page must be legible. The easiest method is to reduce the material to the appropriate size, trim the page, and mount it on a separate page to fit within the required margins. This "pasted up" version serves as the original from which the copy is made for filing.

Some oversize material does not lend itself to reduction to standard-page margin requirements, and must be submitted on a larger-than-standard-page. Paper measuring 11 x 17 inches may be included in the manuscript by converting the page to manuscript size with pleat-like folds that meet the UCSB margin requirements. The folds of the 17-inch wide paper must be at least 1.5 inches from the edges of the page to ensure that the illustration is not cut when the edge of the page is trimmed in the binding process. When the oversize page is properly folded, the page number should appear in the position where it would normally appear on a standard-size page. When submitted, the oversize page must be one continuous sheet, with nothing glued or taped.

The student should fold oversize material larger than 11 x 17 inches to a size of 7.75 x 10 inches for insertion into a special pocket that will be supplied when the manuscript is bound. The oversize page is filmed in segments at the end of the microfilm. The student's name should be typed or neatly block-lettered within the text area (not in the margins) in the lower right-hand portion of the oversize page. Such material is to be referred to in the text, and noted in the Table of Contents or List of Figures or Tables (e.g., "Plates 1 through 7 in pocket").

Color in Maps and Illustrations

Both black-and-white and color illustrations are acceptable. However, doctoral candidates should take into account that dissertations will be microfilmed in black-and-white by ProQuest. ProQuest recommends that color not be used as the key to a graph or map. Further, labels or symbols rather than colors should identify lines on a graph. Shaded areas - such as countries on a map - will have better contrast if cross-hatching is used instead of color.

If the student chooses to use color reproductions, standard paper should be used with proper pagination and in accordance with the other formatting requirements. Doctoral candidates may wish to submit one copy of the dissertation using color images to be retained by the Library as the archival copy and a second copy with black-and-white images to be sent to ProQuest. Doctoral candidates who choose this strategy should specify which copy they wish the Library to retain and which copy they wish to be sent to ProQuest. If they are planning to submit two copies containing color images, students are encouraged to photocopy the color images to see how they look when reproduced in black-and-white.

Special Handling for Photographs

Students may submit either color or black-and-white photographs. However, for students submitting dissertations to be microfilmed, ProQuest recommends professional-quality black-and-white photographs. Color photographs can be reprinted in black-and-white by a photo lab. Most photographs will reproduce acceptably on a positive microfilm or microfiche but will lack clarity on xerographic copies made from the microfilm. Photo page-number placement follows standard requirements. Photo captions should be placed on the subject and shot on the same page as part of the original negative.

Students must use a high quality, high contrast copying machine to reproduce photographic material for submission in lieu of photographs.

Photographs should be mounted on 100% cotton bond with one of the following:

• Dry mounting tissue
• "Perma mount"
• 3M Photo Mount
• 3M 568 positional mounting tissue
• VacuGlue 300

Tape, regular glue, rubber cement, staples, pins, etc. are not acceptable. High quality reproductions of photos may be acceptable to the committee for either the first or second copy - check with the committee members. If the important part of a photograph is at the edges, the student should reduce the photo's size or crop it to guarantee that the important part is within the margins.

Reproductions of Illustrations and Other Special Materials

Reproductions of illustrations and other special materials must be legible and conform to margin and page numbering requirements. When previously published material, including material authored or co-authored by the student, is included in the master's thesis or doctoral dissertation, it is essential that the student secure permission to reproduce copyrighted material when it exceeds the fair use standard. Permission must also be secured to reproduce copyrighted material that is unpublished and of which the student is not the sole author. Even though a thesis or dissertation is primarily nonprofit and educational, there is generally no fair use if an entire work (e.g., illustration, photograph, map, musical score) is reproduced.

In some instances, the number of items and copyright owners makes securing reprint permissions unfeasible. In these cases, Graduate Division recommends one of two solutions:

1. The student creates a page with the complete caption title and information for each example of previously copyrighted material - as if the material were reproduced on the page - but omits the copyrighted material. The information provided should be specific enough (e.g., bibliographic reference, complete Web site URL) that the reader could, on his or her own initiative, locate the previously copyrighted material. This page must conform to all other requirements in this guide (e.g., margins, pagination), and could be included in a List of Figures (or other relevant list) in the preliminary pages.
2. In lieu of incorporating reproductions of previously copyrighted items into the document, the student provides a list of these items as a special section in the references or as an appendix. The information provided should be specific enough that the reader could, on his or her own initiative, locate the previously copyrighted material.

The student should secure the agreement of the committee before employing either of the above solutions. Depending on the role of the previously copyrighted material in the thesis or dissertation, the committee may require that the student obtain reprint permission and incorporate the material into the document. Sample reprint permission letters can be found in Appendix C of this guide.

Submission of Data Disks as Appendices

Data disks may be filed as appendices if the amount of information contained in the appendix is so large or of such a nature that a paper copy would be difficult or impossible to use. The student's committee must agree that the research contained in the electronic database is important and ought to be included in filing the thesis or dissertation. Students should prepare two copies of the database(s) on disk(s), each set in its own hard plastic disk case labeled with their name and manuscript title. These cases are available at most bookstores. Students must provide sufficient information to allow the user to find the proper equipment on which to run their data. These instructions may either be part of the manuscript, in the section discussing the database and how to use it, or may be on a sheet to be folded inside each disk case. Such information should include the following:

• The make and model of computer on which the file is designed to run
• Amount of memory required
• Operating system
• Software name(s), version, and requirements (including programming language if pertinent)
• Kind and characteristics of any required or recommended peripherals

Music Compositions

Students preparing music compositions should seek guidance from their faculty when considering compositions utilizing oversize pages for the composition itself. Since oversize paper is not readily available in 100% cotton bond, students preparing oversize music compositions will normally choose alternative types of paper. A clear margin of 1.5 inches should be provided on the binding margin of the composition; nothing should intrude in this space. The pages of the composition must be numbered, preferably in the bottom margin, centered in the middle of the page approximately .75 inches from the bottom edge of the page. The first page of the composition must be numbered as an Arabic "1."

Music faculty can provide advice on choosing a type of paper for the composition that will ensure legibility with a minimum of feathering. Acid-free paper for the main body of the composition is recommended when available.

The preliminary pages - i.e., the title and approval pages, abstract, vita, acknowledgments - must meet Graduate Council requirements as to page size (8.5" x 11"), paper quality (100% cotton bond in 20- or 24-pound weight), page numbering, margins, etc. outlined for all other manuscripts in Chapters I and II of this guide. The composition and preliminary pages must be legible and free of smudges, streaks, or other extraneous marks; neither interlineations nor white-out are permitted. Hand-written compositions should utilize black ink and pay attention to clarity of music notation; the larger the better.

A pre-check of a draft of the composition and preliminary pages by Graduate Division staff can help prevent problems that would otherwise be encountered at the time of filing for the degree. Once the final copy of the composition and preliminary pages have been approved by the doctoral candidate's committee, the student should bring two unbound copies to Graduate Division and complete all steps required for award of the doctorate (described elsewhere in the Guide to Filing).

One copy of the student's music score and preliminary pages is sent to ProQuest/UMI, which has an oversize camera that allows microfilming of oversize manuscripts including compositions. One copy of the composition and preliminary pages will be bound for circulation in the Davidson Library. Once the copy of the composition originally sent to ProQuest/UMI is returned to the University, it will be stored in the Special Collections Department of the Library.