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Guidelines 3 Page
Each dissertation or thesis must contain an abstract immediately following the title page. It should present a succinct account of the work. The abstract should contain (1) a statement of the problem or theory, (2) procedure or methods, (3) results and (4) conclusions. However, the student's department or program may require additional contents.
The abstract must be double-spaced and should not be more than 350 words. UMI editors for Dissertation Abstracts International will edit any abstract over this limit. Illustrations, graphs, charts or tables are not permitted in the abstract because they are not permitted by UMI for publication in Dissertation Abstracts International.
The abstract must provide the name of the readers/advisors at the bottom and conform to all requirements for the printing of the dissertation.
All abstracts must be in English, even if permission has been granted for a dissertation to be written in a language other than English.
If the student desires to make acknowledgments, these should be printed on a separate page. The final page of the dissertation should contain a brief biographical sketch. This "scholarly life" or "curriculum vita" should record the date and location of the author's birth and the salient facts of his or her academic training and experience in teaching and research.
1. Front Matter
a. Title page
c. Preface, including acknowledgments
d. Table of Contents, with titles and page references
e. List of Tables, with titles and page references
f. List of Figures, titles and page references
g. List of Plates, with titles and page references
b. Main body, with the larger divisions and more important minor division indicated by suitable, consistent headings
b. Bibliography (if appendices are bound as a separate part, the bibliography should be bound with the text in the first part)
4. Curriculum Vit
If any material copyrighted by others is used in a dissertation/thesis (beyond fair use as legally defined below), the author must obtain written permission for such use from the copyright holders and must include permission letters when submitting the dissertation or thesis to the Milton S. Eisenhower Library. The author should retain original permission letters and two copies on acid-free paper must be submitted, one will be bound in the back of the dissertation/thesis, the other will be forwarded to UMI. Please refer to section on previously published/co-authored work. Quotations from the works of others must abide by fair use standards. The following statement is from Section 107 of the Copyright Act of 1976. Limitations on exclusive rights: Fair use:
Notwithstanding the provisions of sections 106 and 106A [17 USCS Sects. 106, 106A], the fair use of a copyrighted work, including such use by reproduction in copies or phonorecords or by any other means specified by that section, for purposes such as criticism, comment, news reporting, teaching (including multiple copies for classroom use), scholarship, or research, is not an infringement of copyright. In determining whether the use made of a work in any particular case is a fair use, the factors to be considered shall include--
(1) the purpose and character of the use, including whether such use is of a commercial nature or is for nonprofit educational purposes;
(2) the nature of the copyrighted work;
(3) the amount and substantiality of the portion used in relation to the copyrighted work as a whole; and
(4) the effect of the use upon the potential market for or value of the copyrighted work.
The fact that a work is unpublished shall not itself bar a finding of fair use if such finding is made upon consideration of all the above factors.
Previously Published or Coauthored Material
Students in the sciences and engineering, and sometimes other fields, may wish to use work they have previously published or coauthored in the dissertation or thesis when the majority of the work and its conceptualization are the student's. In approving the dissertation, the first reader/advisor certifies that the student has made a significant contribution of original research to the field as part of the course of study at Hopkins. Request to use work accomplished prior to graduate enrollment at Johns Hopkins will be denied.
Previously published material must be incorporated into a larger argument that unites the whole work. A common thread linking the various parts must be identified and made explicit as the papers are joined into a coherent unit. Introductory, transitional, and concluding sections, as well as a bibliography must be included. Proper credit must be given to co-authors and to the publisher. Written evidence that permission has been granted by the publisher must accompany the dissertation.
The dissertation /thesis is the intellectual property of the student. Copyright is automatic, but registration with the Copyright Office establishes a public record of the copyright claim. Please see below how to register your copyright with the Copyright Office under “Doctoral Dissertations” and “Master’s Thesis.” Appropriate copyright notice should be printed on the title page. It should include 1) the symbol © or the letter c in a circle, or the word “Copyright,” or the abbreviation “Copr.” 2) year of first publication of the work 3) the name of the owner of the copyright. An example is shown below.
© 1998 John Doe
Embargos and Restrictions
A student may embargo the publication of their dissertation at Proquest/UMI for 6 months, 1 or 2 years and/or restrict the publication by selecting one or more of the restriction options when filling out the PrQuest/UMI Publishing Agreement form. If the author selects an embargo for the publication of the dissertation at ProQuest/UMI, the Library will honor this request by placing the same embargo time on the Library’s copy. The embargo will prevent the work from being viewed by anyone, even in the Hopkins Community, without the author’s written permission until the specified time period has elapsed. Or, the author may release the embargo at any time with a written notice to ProQuest/UMI and the Library.
A student may extend an embargo, if there is a legitimate need, by adjusting the ProQuest/UMI Publishing Agreement form to reflect the period of time needed. Again the Library will also honor this request with the same stipulations regarding written permission for viewing and release.
While copyright registration is not generally required for protection, the copyright law provides advantages to copyright owners who do register. Among these advantages are the following:
Registration establishes a public record of the copyright claim; Before an infringement suit may be filed in court, registration is necessary for works of U.S. origin and for foreign works not originating in a Berne Union country. (For information on when a work is of U.S. origin, request Circular 93 from the Library of Congress);
If made before or within five (5) years of publication, registration will establish prima facie evidence in court of the validity of the copyright and of the facts stated in the certificate; and
If registration is made within three (3) months after publication of the work or prior to an infringement of the work, statutory damages and attorney's fees will be available to the copyright owner in court actions. Otherwise, only an award of actual damages and profits is available to the copyright owner.
Copyright registration allows the owner of the copyright to record the registration with the U.S. Customs Service for protection against the importation of infringing copies.
It is the student’s decision whether or not to register a copyright for the dissertation. If registration of copyright is sought, this can be done in two ways: (1) the student can apply directly for the registration to the Library of Congress by filing the necessary application and fee (see detailed instructions under Master’s Thesis;) (2) the student can authorize UMI to submit an application for the copyright registration in the student’s name. The UMI form is found inside the Publishing Your Doctoral Dissertation with UMI Dissertation Publishing pamphlet available through the CBO website http://www.library.jhu.edu/services/cbo/diss.html. There is a fee for this service which is paid when the dissertation is submitted to the Milton S. Eisenhower Library. Appropriate copyright notice should be printed on the title page. For example:
© 1998 John Doe
All Rights Reserved
Copyright registration of a Master's thesis is not available through the university. To register a work directly with the Library of Congress, send: (1) a properly completed application form; (2) a nonrefundable filing fee for each application; (3) A nonreturnable deposit of the work for which the application is submitted. These materials should be sent to
Register of Copyrights
Library of Congress
Washington, D.C. 20559
For more detailed information and to obtain an application form, contact the Library of Congress website at http://lcweb.loc.gov/copyright.
Appropriate copyright notice should be printed on the title page. For example:
© 1998 John Doe
Electronic submission of dissertations to UMI is now available and offers several advantages particularly for students using mixed media or for those who wish to include color graphs or illustrations. Additionally, UMI will post the first 20 pages of the thesis on their website making research results more widely available. When a portion of the dissertation is in a format other than text on paper, it is strongly advised that the dissertation be submitted to UMI electronically through the CBO. The CBO also requires a paper copy to be bound for the University's permanent archives. The electronic submission should be a single PDF file on a CD-ROM with a label that clearly states the student's name, department, title of the dissertation, and the software packages used. Supporting documents should remain on paper and be forwarded with the submission. These supporting documents include: title page; abstract; completed agreement form; completed UMI form, money order/check; reprint permission letters to reproduce previously copyrighted materials within the body of the work; a description of software or other applications used to create the disk, including a list of files and file sizes on the disk; copy of licenses for third party software necessary to access, display, run, or print the dissertation; written permission to reproduce copyrighted images, video, graphics, animation, data, and images of individuals.
Further information concerning electronic submission can be obtained through the CBO website http://www.library.jhu.edu/services/cbo/diss.html. A link is provided to Publishing Your Doctoral Dissertation with UMI Dissertation Publishing with complete instructions given on page I, Preparing Your Manuscript for Submission to ProQuest/UMI.
Holding Theses for Patent Filing or Pending
When a student submits a dissertation or essay to the MSEL Commercial Binding Office and makes a request that the thesis be withheld form publication for a patent filing or pending, the request must be made in writing to the Binding Office at the time of submission. The request should include the reason for the hold and who, if anyone, aside from the author, may release the thesis. The thesis will be withheld from publication for a period of one year. If a student needs to withhold his/her thesis for a longer period of time, the student would need to re-apply, in writing, at the end of the first year. If no request is made, the dissertation or essay will automatically be released. If after the second year a student, or whom he/she authorizes on his/her behalf, requests another extension, the request must be made in writing to the Graduate Board, 234 Mergenthaler Hall, Homewood Campus. In addition, the student must send a copy of this request to the MSEL Commercial Bindery Office.