Background

Filing your doctoral dissertation at the Graduate Division is one of the final steps leading to the award of your graduate degree. Your manuscript is a scholarly presentation of the results of the research you conducted. UC Berkeley upholds the tradition that you have an obligation to make your research available to other scholars. This is done when you submit your dissertation for publishing through the ProQuest online administration system and the Graduate Division forwards your manuscript to the University Library. Your dissertation is subsequently published online in the UC system’s scholarship repository and made available within ProQuest/UMI after your doctoral degree is officially conferred by the Academic Senate.

Your faculty committee supervises the intellectual content of your manuscript and your committee chair will guide you on the arrangement within the text and reference sections of your manuscript. Consult with your committee chair early in the preparation of your manuscript.

The specifications in the following pages were developed in consultation with the University Library. These standards assure uniformity in the degree candidates’ manuscripts to be archived in the University Library, and ensure as well the widest possible dissemination of student-authored knowledge.

 

Research Protocols

If your research activities involve human or animal subjects, you must follow the guidelines and obtain an approved protocol before you begin your research. Visit our web page for more information or contact the Committee for the Protection of Human Subjects (http://cphs.berkeley.edu/ or 642-7461) or the Animal Care and Use Committee (http://www.acuc.berkeley.edu/ or 642-8855).

 

Eligibility

In addition to the considerations explained below, your Expected Graduation Term (EGT) must match the term for which you intend to file. EGT can be updated at any time using an eForm available in CalCentral.

Fall and Spring Semesters

To be eligible to file for your degree, you must be registered or on approved Filing Fee status for the semester in which you file. The deadline to file your dissertation in its final form is the last day of the semester for your degree to be awarded as of that semester.

Summer Filing

Filing during the summer has a slightly different set of eligibility requirements. If you were fully registered during the immediately preceding Spring semester, and have not used Filing Fee already, you may file your dissertation during the summer with no additional cost or application required. Summer is defined as the period from the day after the Spring semester ends (mid-May) until the last day of the Summer Sessions (mid-August).

International students completing a degree in the Summer should consult Berkeley International Office before finalizing plans, as in some cases lack of Summer enrollment could impact visa status or post-completion employment.

If you have already used Filing Fee previously, or were not registered the preceding Spring semester, you will need to register in at least 1.0 unit in Summer Sessions in order to file.

Dissertations filed during the summer will result in a summer degree conferral.

You must be advanced to candidacy, and in good standing (not lapsed), in order to file.

Formatting your manuscript

All manuscripts must be submitted electronically in a traditional PDF format.

Sample Dissertation

Page Size: 

• The standard for a document’s page size is 8.5 x 11 inches. If compelling reasons exist to use a larger page size, you must contact the Graduate Division for prior approval.

Appearance & Typeface:

• Basic manuscript text must be a non-italic type font and at a size of 12-point or larger. Whatever typeface and size you choose for the basic text, use it consistently throughout your entire manuscript. For footnotes, figures, captions, tables, charts, and graphs, a font size of 8-point or larger is to be used.
• You may include color in your dissertation, but your basic manuscript text must be black.
• For quotations, words in a foreign language, occasional emphasis, book titles, captions, and footnotes, you may use italics. A font different from that used for your basic manuscript may be used for appendices, charts, drawings, graphs, and tables.

Pagination: 

• Your manuscript is composed of preliminary pages and the main body of text and references. Page numbers must be positioned either in the upper right corner, lower right corner, or the bottom center and must be at least ¾ of an inch from the edges. The placement of the page numbers in your document must be consistent throughout.

Be Careful! If you have any pages that are rotated to a landscape orientation, the page numbers still need to be in a consistent position throughout the document (as if it were printed and bound single-sided).

• Do not count or number the title page or the copyright page. All other pages must have numbers. DO NOT SKIP PAGE ” 1 “.
• The remaining preliminary pages may include a table of contents, a dedication, a list of figures, tables, symbols, illustrations, or photographs, a preface, your introduction, acknowledgments, and curriculum vitae. You must number these preliminary pages using lower case Roman numerals beginning with the number “i” and continue in sequence to the end of the preliminary pages (i, ii, iii, iv, v, etc.).
• Your abstract must have Arabic numeral page numbers. Start numbering your abstract with the number “1” and continue in sequence (1, 2, 3, etc.)
• The main body of your text and your references also use Arabic numerals. Start the numbering of the main body with the number “1” and continue in sequence (1, 2, 3, etc.), numbering consecutively throughout the rest of the text, including illustrative materials, bibliography, and appendices.
• Yes! The first page of your abstract and the first page of your main text both start with ‘1’

Margins: 

• For the manuscript material, including headers, footers, tables, illustrations, and photographs, all margins must be at least 1 inch from the edges of the paper. Page numbers must be ¾ of an inch from the edge.
• Spacing: Your manuscript must be single-spaced throughout, including the abstract, dedication, acknowledgments, and introduction.
• Tables, charts, and graphs may be presented horizontally or vertically and must fit within the required margins. Labels or symbols are preferred rather than colors for identifying lines on a graph.
• You may choose to reduce the size of a page to fit within the required margins, but be sure that the resulting page is clear and legible.
• Guidelines for Mixed Media: please see Appendix B for details.

Special Page Formats

Certain pages need to be formatted in a very specific way. Links are included here for examples of these pages.

Do not deviate from the wording and spacing in the examples, except for details applicable to you (e.g. name, major, committee, etc.)

Title Page (PDF)

• The title page does not contain page numbers.
• Do not bold any text on your title page.
• The term and year listed on the title page must be the term of your degree. If you filed during the summer, write Summer.
• The yellow bubbles in the sample are included for explanatory purposes only. Do not include them in your submission.
• If you have a Designated Emphasis, it must be listed on your title page (DE Title Page Sample)
• If you are receiving a joint degree, it must be listed on your title page (Joint Title Page Sample)

Abstract (PDF)

• As noted in the above section on pagination, the abstract must be numbered separately with Arabic numerals starting with ‘1’
• If you have a Designated Emphasis, it must be listed on your abstract.
• The body of text on this page must be single-spaced. Only the biographical information should be double spaced.  

Organizing your manuscript

The proper organization and page order for your manuscript is as follows:

• Title Page
• Copyright page or a blank page
• Abstract
• Optional preliminary pages such as
  • Dedication page *
  • Table of contents*
  • List of figures, list of tables, list of symbols*
  • Preface or introduction*
  • Acknowledgments*
  • Curriculum Vitae*
• Main text
• References
• Bibliography
• Appendices

* These pages are numbered lowercase Roman numerals. Preliminary pages, pages after your abstract page and before your main body of text, can appear in any order. 

Procedure for filing your dissertation

After you have written your dissertation, formatted it correctly, assembled the pages into the correct organization, and obtained verbal approval from your committee, you are ready to file it with UC Berkeley’s Graduate Division.

Step 0: Confirm your eligibility to file. Your Expected Graduation Term (EGT) must be the current term (i.e. the term in which you expect to file your dissertation). If you need to update your EGT you can use the eForm available in CalCentral. Once your EGT is correct, you will see a number of checklist items (“Tasks”) created for you in CalCentral. You use these checklist items to proceed with filing and they will update as you complete each step.

Step 1: Submit the Final Signature eForm, available in CalCentral. On this form:

1. Review your committee member names and their email addresses listed — the form will route to each of your committee members for approval. If any information is incorrect, do not submit the eForm, contact both your GSAO and your Degrees Representative for support. 
2. Make an embargo selection for your manuscript. Keep in mind:
   1. If you choose to embargo your dissertation, you will not receive any copies you order from ProQuest until we deliver your dissertation which occurs two to three months after formal degree awarding.
   2. Once the eForm has been submitted, you may not make any changes to your embargo selections.
3. Attach a copy of the approval letter for your study protocol from the Committee for Protection of Human Subjects, or the Animal Care and Use Committee if your research involved human or animal subjects.
4. Please note, once you submit this eForm you cannot go back and make changes. Please give your form a thorough review before you hit submit. 

Step 2: Convert your dissertation into a standard accessible PDF file. 

Step 3: Upload your final and approved dissertation PDF to ProQuest/UMI Follow the instructions on the site. NOTE: DO NOT UPLOAD A DRAFT. Once your dissertation has been submitted, you will not be allowed to make changes. Be sure that it is in its final form!

Step 4: When you have successfully submitted the document, a message will be sent to the Graduate Degrees Office to review it on-line.  After Degrees staff has reviewed your submission, you will either receive a message that the manuscript has been accepted or that you need to make revisions. If you need to make revisions, you will need to edit your manuscript, create a new PDF, and resubmit it to ProQuest.  Degrees staff will then need to review it again. An email approval will be sent to you once the manuscript is accepted.

Step 5: There are two surveys to be completed:the Survey of Earned Doctorates and the Berkeley Doctoral Exit Survey. You will find these surveys as “Tasks”in your CalCentral dashboard (as long as you have a current-term EGT). Follow the instructions to complete the surveys and enter the verification codes. You should see the checklist items complete automatically after you enter the verification codes.

NB: Please see the Filing Powerpoint and Dissertation Checklist Links.

A Note on Deadlines

You must initiate and complete all steps of filing detailed above, on or before the last day of the term. 

All steps can be completed simultaneously or at any point in the term. You do not have to wait for approval of any of the steps to proceed with the next one and receive credit based on your original submission date (should revisions be necessary).

If these steps are not completed by 5 PM of the filing deadline your degree conferral will be eligible for a subsequent term. 

Permission to Include Your Own Previously Published or Co-Authored Material

Policy:

If you plan use of your own previously published and/or co-authored material in your manuscript, your committee chair must attest that the resulting dissertation represents an original contribution of ideas to the field, even if previously published co–authored articles are included, and that major contributors of those articles have been informed.

Previously published material must be incorporated into a larger argument that binds together the whole dissertation. The common thread linking various parts of the research, represented by individual papers incorporated in the dissertation, must be made explicit, and you must join the papers into a coherent unit. You are required to prepare introductory, transitional, and concluding sections. Previously published material must be acknowledged appropriately, as established for your discipline or as requested in the original publication agreement (e.g. through a note in acknowledgments, a footnote, or the like).

If co-authored material is to be incorporated (whether published or unpublished), all major contributors should be informed of the inclusion in addition to being appropriately credited in the dissertation according to the norms of the field.

Procedure:

If you are incorporating co-authored material in your dissertation, it is your responsibility to inform major contributors. This documentation need not be submitted to the Graduate Division. The eForm used by your committee chair to sign off on your dissertation will automatically include text indicating that by signing off they attest to the appropriateness and approval for inclusion of previously published and/or co-authored materials. No additional information or text needs to be added.

Inclusion of Your Own Publishable Papers or Article-Length Essays

Publishable papers and article-length essays arising from your research project are acceptable only if you incorporate that text into a larger argument that binds together the whole dissertation or thesis. Include introductory, transitional, and concluding sections with the papers or essays.

Copyright & Your Dissertation:

You own copyright in your dissertation. Copyright is automatically created once your work is fixed in a tangible medium (such as saved on your computer hard drive or in cloud storage). Thus, you do not need to register copyright in your dissertation in order to be the copyright holder.

Copyright Ownership and Registration Issues:

However, registering copyright in your dissertation has certain advantages: First, if your work is registered, you have evidence that you are indeed the author and owner. Second, registration allows greater enforcement of your copyright against an infringer or plagiarist, making available statutory damages set out in Title 17, Section 504 of the U.S. Code, which range from $750 – $150,000 plus attorney fees per copyright infraction. Accordingly, UC Berkeley recommends that you register copyright for your dissertation. You can register copyright through the Copyright Office’s website, www.copyright.gov, for a fee of $35, or through the ProQuest ETDAdmin system when you submit your PDF; doing so through ProQuest costs $55.

You continue to own copyright in your dissertation unless and until you transfer your copyright to another party. By complying with the UC Berkeley Graduate Division’s publishing policies, you are permitting the university to make available a copy of your dissertation online in eScholarship, but you are not transferring your copyright. You grant a similar permission to ProQuest/UMI, the exact terms of which are governed by the agreement with ProQuest you sign in the online submission process. You may request delays (i.e. embargoes) in the release of your dissertation both on eScholarship and in ProQuest. Please see “Publishing Your Dissertation; Embargoes”.

Inclusion of Third-Party Content in Your Dissertation; Copyright & Fair Use Issues

If you are including content in your dissertation not authored or created by you, be sure to consider copyright issues. The University Library can help guide you as you consider these questions. For more detail, please consult the Library’s helpful online guide, entitled Copyright and Publishing Your Dissertation.

To briefly summarize:

• If the content is in the public domain, then you need not get any permission to use the material. For questions about the public domain, see http://copyright.universityofcalifornia.edu/use/public-domain.html.
• If the content you wish to use is subject to a Creative Commons license of some form, you need simply abide by the term of that license. For instance, a CC-BY license means you can use the work without seeking the author’s permission, but must attribute the work to the author. For more on Creative Commons licenses, see https://creativecommons.org/licenses/.
• If the content you wish to use is protected by copyright and no Creative Commons license governs its use, then you must consider whether your use constitutes Fair Use under 17 USC § 107. If your use of the content is a fair use within copyright law, then you need not seek the author’s permission before using it. See http://copyright.universityofcalifornia.edu/use/fair-use.html.
• If your use of the content would exceed fair use under the Copyright Act, then you will need to seek the copyright holder’s permission in order to use the material. Be sure to request the copyright owner’s permission in writing so that you can keep track of permissions granted. Your letter to the copyright holder should make clear that you seek permission to preserve and publish the content in your dissertation through UC Berkeley’s institutional repository, eScholarship, and ProQuest/UMI. For help seeking permission, see http://copyright.universityofcalifornia.edu/use/obtaining-permission.html.
• If you have additional questions about copyright and third party content in your dissertation, please contact the University Library

Publishing Your Dissertation; Embargoes

Publication Requirement:

• UC Berkeley’s Graduate Council regulations stipulate that you have an obligation to make your research available to other scholars as part of the degree requirement.  This obligation is consistent with the long-standing principle that doctoral students share their significant scholarly contributions to advance knowledge. This requirement is fulfilled when you submit your dissertation for publishing through the ProQuest online administration system(opens in a new tab) and the Graduate Division forwards your manuscript to the University Library. Your dissertation is subsequently published online(opens in a new tab) in the UC system’s scholarship repository (eScholarship(opens in a new tab)) and made available within ProQuest/UMI after your doctoral degree is officially conferred by the Academic Senate.
• Making your work available to be read online immediately in eScholarship or ProQuest has many advantages. First, it clearly establishes when your work was created and published, which are powerful resources in preventing or combatting plagiarism. Others will be able to discover your prior publication. Second, it can help support your scholarly profile because people can read and begin citing your work. Citation of your dissertation by others can be offered as evidence of research significance in employment reviews. Further, research available through searches on the Internet can promote contacts that are international in scope and interdisciplinary in reach.

Embargoes:

• Occasionally, there are circumstances in which you prefer that your dissertation not be published immediately. Such circumstances may include the disclosure of patentable rights in the work before a patent can be granted, similar disclosures detrimental to the rights of the author, or disclosures of facts about persons, institutions, or locations before professional ethics would permit.
• The Dean of the Graduate Division may permit the dissertation to be withheld from full-text publication in eScholarship for a specified and limited period of time. An embargo of up to 2 years can be requested at the time of filing. You will need to make an embargo selection both on the Final Signature eForm as well as the ETDAdmin (the ProQuest submission portal). Once you make a selection regarding an embargo, it may not be changed. Discuss the pros and cons of withholding your dissertation with your faculty committee and departmental advisors. For more information, see the memo Advising doctoral candidates on dissertation embargoes and eScholarship repository(opens in a new tab) (PDF).

Embargo Extensions:

• Embargoes beyond the initial 2-year option must be requested pursuant to a petition process using the Embargo Extension Petition Form(opens in a new tab). Extensions are granted at the discretion of the Graduate Division, and are based on substantiated circumstances of the kind indicated above and with the endorsement of and an explanatory letter from the chair of the dissertation committee (or, if the dissertation chair is unavailable, the current department chair). Be sure to submit the petition form with sufficient time (at least three months) prior to the expiration of your original embargo to ensure adequate processing time prior to your dissertation’s scheduled release. If a renewal request is submitted less than three months from when the original embargo is set to expire, the Graduate Division cannot guarantee that the request will be processed and granted in time to preclude your dissertation from being made publicly available. Please note that it is your responsibility to request an extension beyond the two-year maximum from both the University and separately through ProQuest/UMI if you would like to extend your embargo both on eScholarship and on ProQuest/UMI.

Changes to a Dissertation After Filing:

• Changes are normally not allowed after a manuscript has been filed.  In exceptional circumstances, changes may be requested by having the chair of your dissertation committee submit an exception request to the Associate Dean via eForm. The memo must describe in detail the specific changes requested and must justify the reason for the request. Such requests will not be approved for typographical errors, acknowledgments, or other minor revisions. It is your responsibility to ensure that your manuscript is in its final form before submitting it. If such a request is approved, the changes must be made prior to the official awarding of the degree. Once your degree has been awarded, you may not make changes to the manuscript.
• After your dissertation has been accepted by the Graduate Division, it is held until the official awarding of the degree by the Academic Senate has occurred. This occurs approximately two months after the end of the term. After the degree has officially been awarded, the manuscripts are delivered to the University Library and to ProQuest Dissertations Publishing.

Diploma, Transcript, and Certificate of Completion

Posting the Degree to Your Transcript:

• Your degree will be posted to your transcript approximately 8 weeks after the conferral date of your degree. You can order a transcript and seek transcript support from the Office of the Registrar directly.

Diploma:

• Your diploma will be available from the Office of the Registrar approximately 4 months after the conferral date of your degree. For more information on obtaining your diploma, visit the Registrar’s website. The Office of the Registrar can support you with your diploma needs. 

Certificate of Completion

Certificates are automatically generated by our system and emailed to doctoral students as soon as:

1) all steps in the filing process have been completed (surveys, committee member eForm approvals, and ProQuest upload & approval)

AND

2) all requirements have been met on the Academic Progress Report (APR). APR completion can be reviewed in CalCentral. Students can work with their department to resolve any unsatisfied requirements.

Appendix A: Common Mistakes

• The most common mistake is following a fellow (or previous) student’s example. Read the current guidelines carefully as they can and do change!
• An incorrect committee — the committee listed on your title page (and on the final signature eForm you will submit) must match your currently approved committee reflected in your CalCentral account. If you have made any changes to your committee since Advancement to Candidacy, you must complete the Higher Degree Committee eForm to update your committee. Consult your departmental advisor for details.
• Do not use a different name than what appears on CalCentral (i.e. the name on your transcript and Cal Central Profile on your Title, Abstract, and/or Copyright pages. Students are allowed to use a Lived Name, which can be updated by self-service in CalCentral.
• Page numbers — read the section on pagination carefully. Many students do not paginate their document correctly.
• Page rotation — some pages may be rotated to a landscape orientation. However, page numbers must appear in the same place throughout the document (as if it were bound like a book).
• If you have an approved designated emphasis, it must be listed on your title page and your abstract.
• Do not include a signature/approval page in your dissertation. The abstract must be unsigned.
• Do not include previous degrees on your title page.
• There should be no bold text on your title page.

Appendix B: Mixed Media Guidelines

In May 2005, the Graduate Council established new guidelines for the inclusion of mixed media content in dissertations. It was considered crucial that the guidelines allow dissertations to remain as accessible as possible and for the longest period possible while balancing the extraordinary academic potential of these new technologies.

Definitions and Standards:

• The dissertation has three components: a core thesis, essential supporting material, and non-essential supplementary material.

Core Thesis:

• The core thesis must be a self-contained, narrative description of the argument, methods, and evidence used in the dissertation project. Despite the ability to present evidence more directly and with greater sophistication using mixed media, the core thesis must provide an accessible textual description of the whole project.
• The core thesis must stand alone and be printable on paper, meeting the formatting requirements described in this document. The electronic version of the thesis must be provided in the most stable and universal format available — currently Portable Document Format (PDF) for textual materials. These files may also include embedded visual images in TIFF (.tif) or JPEG (.jpg) format.

Essential Supporting Material:

• Essential supporting material is defined as mixed media content that cannot be integrated into the core thesis, i.e., material that cannot be adequately expressed as text. Your faculty committee is responsible for deciding whether this material is essential to the thesis. Essential supporting material does not include the actual project data. Supporting material is essential if it is necessary for the actual argument of the thesis, and cannot be integrated into a traditional textual narrative.
• Essential supporting material must be submitted in the most stable and least risky format consistent with its representation (see below), so as to allow the widest accessibility and greatest chance of preservation into the future.

Non-essential Supplementary Material:

• Supplementary material includes any supporting content that is useful for understanding the thesis, but is not essential to the argument. This might include, for example, electronic files of the works analyzed in the dissertation (films, musical works, etc.) or additional support for the argument (simulations, samples of experimental situations, etc.).
• Supplementary material is to be submitted in the most stable and most accessible format, depending on the relative importance of the material (see below). Any supplemental material must be uploaded to the ProQuest website under the “Supplemental Files” section.
• Note. ProQuest and the Library will require any necessary 3rd party software licenses and reprint permission letters for any copyrighted materials included in these electronic files.

Electronic Formats and Risk Categories

The following is a list of file formats in descending order of stability and accessibility. This list is provisional, and will be updated as technologies change. Faculty and students should refer to the Graduate Division website for current information on formats and risk categories.

Category A:

• PDF (.pdf)
• TIFF (.tif) image files
• WAV (.wav) audio files

Category B:

• JPEG, JPEG 2000 (.jpg) image files
• GIF (.gif) image files

Category C:

• device independent audio files (e.g., AIFF, MIDI, SND, MP3, WMA, QTA)
• note-based digital music composition files (e.g., XMA, SMF, RMID)
• MPEG video

Category D:

• other device independent video formats (e.g., QuickTime, AVI, WMV)
• encoded animations (e.g., FLA or SWF Macromedia Flash, SVG)

Appendix C: Frequently Asked Questions:

Eligibility:

Q1: Can I file my dissertation during the summer?

A1: Yes. There are 2 ways to file during the summer:

1. Register for at least 1.0 unit through Berkeley Summer Sessions. With this option, you can file any time before the summer deadline.

OR

1. Register the preceding spring semester. As long as you were registered in the spring, and have not used filing fee before, you will be allowed to file during the summer without additional fees or applications.
   

Q2: If I choose to file in the summer, does it matter which session I register in during the summer session?

A2: No. You can register for any of the sessions (at least 1.0 unit). The deadline will always be the last day of the last session.

Q3: If I file during the summer, will I receive a summer degree?

A3: Yes. If you file before the end of the summer sessions, you will receive a summer degree. Remember to write “Summer” on your title page!

Q4: Can I file my dissertation while on In Absentia status?

A4: Yes. To file your dissertation you must be registered. In Absentia status requires full registration. 

Q5: Oh no, I am eligible to file for the current term but I just missed the filing deadline, what are my options?

A5: If you missed the filing deadline, you are now eligible to file your dissertation in the subsequent term. This might require additional registration and fees. 

Should there be reasons outside of your control as to why you missed the filing deadline, please contact your GSAO directly and your Degrees Representative for your program to determine if there are any available options. 

Formatting:

Q1: I’ve seen other dissertations from former students that were / that had  __________, should I follow that format?

A1: No. The formatting guidelines can be changed from time to time, so you should always consult the most current guidelines available on our website. You should not use LaTex or a colleagues’ template for formatting your dissertation. These are not produced by Graduate Division and will have errors resulting in the need for revisions. 

Q2: I want to make sure that my dissertation follows the formatting rules. What’s the best way to do this?

A2: If you’ve read and followed the current guidelines available on our website, there shouldn’t be any problems. You can upload your dissertation as soon as it is in its final form. If any revisions  are necessary, you will be given the opportunity to make them without penalties. 

You are also always welcome to email your Degrees Representative early in the term for a preliminary format check. Should you reach out close to the deadline (a month out) for a preliminary format check, due to our submission volume, we may not be able to conduct a preliminary format check of your manuscript. 

Q3:  Does my signature page need to be printed on some special paper?

A3: Signatures are now an eForm process. A physical signature page is no longer required. Please do not include this page in your dissertation. 

Q4: Do I have to follow the organization order for my preliminary pages in my manuscript?

A4: No, you can include your preliminary pages in the order that makes most sense to you or is the norm for your discipline. Be sure these pages are numbered in lower case roman numerals. 

Q5: Does the Graduate Division offer assistance with formatting my manuscript?

A5: No. Please refer to the guidelines above. We are not experts in software programs. 

Q6: I have pictures, maps, and other visuals in my manuscript, can they exceed the margins?

A6: No. All images, text, tables, graphs, and content of your dissertation must fit within the margins. 

Process:

Q1: I’m away from Berkeley. Is there any way to file my dissertation remotely?

A1: Yes! The whole process is done remotely.

Q2: What happens if I file on the filing deadline and need revisions??

A2: The deadline is always the last day of the term. With that said, we will reach out to you to allow you the opportunity to make revisions. 

Q3: Is it possible to complete all steps of filing on the filing deadline?

A3: Yes, all steps of the filing process detailed above can be completed on the same day. However, we would encourage you not to wait until the last minute to complete all actions. Should you submit on the filing deadline and issues arise, Graduate Division staff may have a limited capacity to assist you day of. 

Q3: Why does it take four business days to review my dissertation? 

A3: As you might expect, the Degrees Office receives hundreds of dissertations near the end of the term (in fact, half of all dissertations are submitted during the final week). This means that it may take several days for us to review your dissertation. Don’t worry. You’ll get credit for the date that you uploaded your dissertation. However, it may take up to 4 business days to review your initial submission. Should you need a quick turn around for the review of your dissertation, please submit well before the filing deadline. 

Q4: If I file on the deadline and need revisions after the deadline, what date is reflected on my dissertation and degree?

A4: Graduate Division honors your date of submission. You will be given a short window to make revisions to your dissertation. It is imperative that after you submit your dissertation manuscript you regularly check your email to ensure that swift action is taken to resubmit your manuscript. 

Q5: Can I do the Final Signature eForm before I upload my dissertation?

A5: Yes. You can complete this step and any additional steps before formally uploading your dissertation to ProQuest. You can initiate the Final Signature eForm at any point in the term of filing. 

We encourage you to have conversations early with your committee members to ensure they have enough time to review your dissertation, provide edits and feedback, and approve the Final Signature eForm. 

Q6: What’s a Receipt of Filing? Do I need one?

A6: The Receipt of Filing is an official document that we produce that certifies that you have successfully filed your dissertation on the specified day and that, if all other requirements are met, the date of the degree conferral. Some students may need the receipt in order to prove to an outside agency that they have officially filed their dissertation. Many students simply keep the receipt as a memento. The Receipt of Filing will be emailed to you after we approve your dissertation.

Q7: What’s the difference between a Receipt of Filing and a Certificate of Completion?

A7: A Receipt of Filing is automatically produced for all students upon successful filing of their dissertation. However, it only certifies that the dissertation has been accepted. The Certificate of Degree Completion states that all requirements have been met and notes the date that the degree will be conferred. This is a useful document for students who file early in the semester and need some verification of their degree in advance of its conferral (note: degrees are only conferred twice each year). This official document is emailed to students who have completed all steps of filing and have a satisfied APR. Please note, that we do not produce this document once your degree has been posted. 

Q8: How do I know if I’m eligible for a Certificate of Completion?

A8: In order to be eligible to receive a Certificate of Completion, you must:

• Successfully file your dissertation (complete all steps of filing which includes surveys and committee member approvals)

And 

• Have a fully satisfied Academic Progress Report (APR). The APR details all the degree requirements as noted by your department. If there are requirements showing as “unmet” but you believe you have completed, please contact your GSAO directly.

Certificates of completion are emailed to doctoral students automatically after successfully completing all steps of filing and having a satisfied APR. Should you be interested in obtaining a certificate of completion for a master’s you’ve earned, please contact [email protected] directly with your SID number included. 

Pay all of your registration fees. While it may not necessarily hold up the production of your certificate, it is important that all fees are paid before the degree is conferred.

Q9: I forgot to attach my approval letter for research with human subjects or vertebrae animals. What should I do?

A9:  Please send an email to [email protected] with the following subject “Archival Documentation” and with your name, SID number, final signature eForm ID number, and attach the approval letter to the email. 

Q10: My dissertation uses copyrighted, co-authored, or previously published material. How do I get approval?

A10: There is no need for specific approval to be requested. Your dissertation chair’s approval of your dissertation allows for you to utilize copyrighted, co-authored, or previously published material in your dissertation. 

Q11: I uploaded my dissertation on the dissertation filing deadline. What if I’m told I need to make revisions?

A11: If there are formatting issues that need to be resolved, you will be notified and be given the opportunity to make revisions and must adhere to instructions provided by your reviewer. 

Q12: I found a typo in my dissertation that has already been accepted! What should I do?

A12: Once a dissertation has been submitted and accepted, no changes will be permitted. Proofread your document carefully. Do not upload a draft.  It is your responsibility to ensure that your final document is in a complete state and ready for publishing. 

Q13: An extenuating circumstance is impacting my ability to file by the deadline, what should I do?

A13:  Immediately contact your GSAO and your Degrees Representative for your program. 

Q14: I spoke with my dissertation chair and I need to update my embargo.  Is this allowed?

A14: Yes, please update your embargo period directly with ProQuest. You should be able to either log back into ProQuest to make this change or contact their help desk, and they can do it for you.