dissertation submission

Dissertation Writing and Filing

The following guidelines are only for doctoral students. If you are pursuing a master’s degree, please see the Thesis Filing Guide .

Ready to get started?

Research Protocols

Eligibility, fall and spring semesters, summer filing, formatting your manuscript, special page formats, organizing your manuscript, procedure for filing your dissertation, permission to include your own previously published or co-authored material, inclusion of your own publishable papers or article-length essays, copyright & your dissertation, copyright ownership and registration issues, inclusion of third-party content in your dissertation; copyright & fair use issues, publishing your dissertation; embargoes, publication requirement, embargo extensions, changes to a dissertation after filing, diploma, transcript, and certificate of completion, certificate of completion, appendix a: common mistakes, appendix b: mixed media guidelines, definitions and standards, electronic formats and risk categories, appendix c: frequently asked questions.

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 ( eScholarship ) 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 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.

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).

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.

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. We encourage you to file your dissertation as early in the semester as you can and to come in person to our office to submit your supporting documents. If you cannot come to our office, it is helpful if you have a friend bring your documents. 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.

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.

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

• 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.
• 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.

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.)

• 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.
• IMPORTANT: A physical signature page should no longer be included with your dissertation. Approvals by your committee members will be provided electronically using an eForm.
• 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 )

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

• Copyright page or a blank page
• Dedication page
• Table of contents
• List of figures, list of tables, list of symbols
• Preface or introduction
• Acknowledgments
• Curriculum Vitae
• Bibliography

Please do not include an approval/signature page.

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 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.
• Step 1: Convert your dissertation into a standard PDF file.
• Step 2:  Upload your PDF to ProQuest/UMI ( http://www.etdadmin.com ) 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 3:  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 it you will either receive a message that the manuscript has been accepted or that you need to make further changes. If you need to make more changes, 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 4: 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.
• Review the your committee and email addresses listed — the form will route to each of your committee members for approval.
• If you chose to embargo your dissertation, you will not receive any copies you order from ProQuest until the embargo is lifted.
• Once the form has been filed, you may not make any changes to your embargo selections
• 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.

A Note on Deadlines

You must upload your electronic dissertation AND submit your final signature eform before 5 p.m. on the last day of the term. Both of these steps must be done before the deadline, regardless of whether your submission has been reviewed and approved. We can not provide a receipt of filing until your dissertation has been reviewed and accepted (which can take up to 4 business days), but you will get credit for the date of first submission.

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.

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 addition information or text needs to be added.

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.

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.

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”.

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 .

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 and the Graduate Division forwards your manuscript to the University Library. Your dissertation is subsequently published online in the UC system’s scholarship repository ( eScholarship ) 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.

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  (PDF).

Embargoes beyond the initial 2-year option must be requested pursuant to a petition process using the E mbargo Extension Petition Form . 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 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 a memo to the Associate Dean and sent to Graduate Services: Degrees, 318 Sproul Hall.  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 is accepted by Graduate Services: Degrees, it is held here 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 transmitted to the University Library and to ProQuest Dissertations Publishing.

Posting the Degree to Your Transcript

Your degree will be posted to your transcript approximately 10 weeks after the conferral date of your degree. You can order a transcript from the Office of the Registrar (https://registrar.berkeley.edu/academic-records/transcripts-diplomas/).

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.  You can obtain your diploma in person at the Office of the Registrar, 120 Sproul Hall, or submit a form and pay the current mailing fees to have it mailed to you.

Unclaimed diplomas are retained for a period of five (5) years only, after which they are destroyed.

• The most common mistake is following a fellow (or previous) student’s example. Read the current guidelines carefully!
• 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. If you have made any changes to your committee since Advancement to Candidacy, you must request an official change from the Graduate Division. Consult your departmental adviser for details.
• Do not use a different name than that which appears in the system (i.e. the name on your transcript and Cal Central Profile ). 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 the 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.

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.

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.

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:

• 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)

Category D:

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

For detailed guidelines on the use of these media, please refer to the Library of Congress website for digital formats at  http://www.digitalpreservation.gov/formats/index.shtml .

Q1: Can I file my dissertation during the summer?

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

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

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. This question is most frequently asked in regard to the issue of double vs. single spacing.

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 changes are necessary, you will be given the opportunity to make them without penalties. If you’ve heard horror stories from other students about formatting changes in their manuscripts, you’ve likely been talking to past students who didn’t follow the directions and had to print out their dissertations on expensive, archival paper. Current students submit their dissertations electronically and, as such, it’s much easier and more painless to make changes!

You are also always welcome to bring sample pages into the Graduate Degrees Office at 318 Sproul Hall to have a staff member look over 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.

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

A1: Yes! The whole process is done remotely.

Q2: Can I have a friend bring my dissertation materials for me?

A2: Yes. Please see the answer above regarding filing remotely.

Q3: I read something about needing to allow 4 days to review my dissertation. So what is the actual deadline?

A3: Two things must happen before the end of the business day on the stated deadline: 1) you must have uploaded your dissertation to the ProQuest website and 2) you must have completed all the checklist items that appear in CalCentral (final signature eform and 2 surveys). Though it is not recommended, you can do both of these things on the very last day.

Q4: So what’s this thing about the 4 days?

A4: 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 submission and, if everything is acceptable, provide you a Receipt of Filing.

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

A5: Yes. We won’t be able to finalize your filing until everything has been reviewed and approved, but you are welcome to do those in any order.

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. Picking up your receipt is not required.

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  must be requested. It will state 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).

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 (your online submission accepted as well as paperwork turned in)
• Have a fully satisfied Academic Progress Report (APR). The APR 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.
• 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’m supposed to bring in my approval letter for research with human subjects or vertebrate animals, but it turns out my research didn’t use this after all. What should I do?

A9: If your research protocol has changed since you advanced to candidacy for your degree, you’ll need to ask you dissertation chair to write a letter to the Graduate Division explaining the change. It would be best to submit this in advance of filing.

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

A10: The policy on this has recently changed. There is no need to for specific approval to be requested.

Q12: I uploaded my dissertation on the last day. What if I’m told I need to make changes?

A12: This won’t be a problem. If there are formatting issues that need to be resolved, you will be notified and be given the opportunity to make revisions – even if it is a few days after the deadline. As long as your dissertation was originally uploaded before the deadline. Obviously, we won’t be able to provide you a receipt (see Q above on Receipt of Filing) until everything has been finalized.

Q13: I found a typo in dissertation that has already been accepted! What do I do?

A13: Once a dissertation has been submitted and accepted, no further changes will be permitted. Proofread your document carefully. Do not upload a draft. In extreme circumstances, your dissertation chair may write a letter to the Graduate Division requesting additional changes to be made.

Q14: Oh no! A serious emergency has caused me to miss the filing deadline! What do I do? Are extensions ever granted?

A14: In general, no. In exceptional circumstances, the Head Graduate Advisor for your program may write to the Graduate Division requesting an extension. Requests of this type are considered on a case-by-case basis and, if granted, may allow you to file after the deadline. However, even if such an exception is granted you will receive the degree for the subsequent term. Your first step is to consult with your department if an emergency arises.

Checklist: Submitting My Dissertation or Thesis

Main navigation.

The following checklist includes all items that should be prepared in order to complete the submission of your dissertation or thesis, using the Axess Dissertation and Thesis Center  

We recommend that you take all necessary steps in order to upload your dissertation or thesis in time to meet all of the applicable posted deadlines and give your Final Reader plenty of time to approve the dissertation or thesis once it has been uploaded.

Prior to Online Submission

• Enroll in the quarter for which you intend to submit
• File online “Application to Graduate” through Axess by the appropriate deadline.
• Note:  if a committee member is missing, or has been assigned an incorrect role, meet with your department who maintains reading committees and changes permitted within policy.
• For thesis: The name of your Thesis Advisor and designate them as your Final Reader.
• Submit the Reading Committee Signature Page requirement in the Axess eForms platform, following the published instructions .
• Confirm with your department that your candidacy is valid through your degree conferral date.
• Confirm with your department that you have completed all required university milestones, especially the university orals milestone.
• Review Copyright Considerations for Authors of Electronic Theses and Dissertations . Discuss embargo and other release options with your co-authors and advisor before preparing the submission online.
• For students submitting a dissertation: Complete the Survey of Earned Doctorates .

During Online Submission 

Ensure your electronic dissertation or thesis is formatted following these guidelines:

• One electronic copy of the dissertation or thesis in PDF format.
• For D.M.A Composition students, score page size is 11" x 17".
• Type size 10, 11, or 12 point. Smaller fonts are acceptable for tables, captions, etc. 
• Font style is New Times Roman. If applicable, mathematic/scientific notation fonts are embedded in the PDF file.
• Line spacing of dissertation or thesis text is 1.5 or 2.
• Margins are 1.5 inches on the binding edge and 1 inch on all other sides.
• Text is divided correctly.
• Title page is formatted correctly.
• No signature page ii or copyright page iii is included (Axess automatically inserts a copyright and augmented signature page during submission).
• Pagination begins with the first page of the Abstract, which should be page “iv”; or, if formatted for double-sided printing with the Abstract to appear on the right page, then pagination begins with a blank page as page "iv". Pagination is continuous and placement of numbers is consistent throughout the manuscript.
• The dissertation or thesis is ready-for-publication in appearance. All pages and sections are in order.
• The dissertation or thesis contains no unnumbered pages, except for the title page which is not paginated, but is assumed page 'i'.
• PDF file size does not exceed 1 GB.
• PDF file has no encryption or other security measures applied.
• One version of the abstract, containing no special text formatting or HTML, entered into an online submission form.
• File size(s) do not exceed 1 GB. 
• Short description or label is applied to each file after upload. 
• Maximum 20 supplemental files.
• Agree to Stanford University publication license.
• Optional: Limit amount of dissertation or thesis content available via third-party distributors.
• Optional: Creative Commons license selected and applied.
• Optional: Delayed release (embargo) of the dissertation or thesis.
• Written permission from the appropriate copyright holder(s) to reproduce any copyrighted material in the dissertation or thesis. Each letter is formatted and uploaded as a single PDF file. Maximum 10 permission files.

After Online Submission

• Confirm via Axess that your designated Final Reader certifies the submission by noon of the final submission deadline date .
• For students submitting a dissertation, if you haven't done so already: Complete the Survey of Earned Doctorates .

/images/cornell/logo35pt_cornell_white.svg" alt="dissertation submission"> Cornell University --> Graduate School

Submitting your thesis/dissertation.

Submission of the final thesis/dissertation must be within 60 days of the final exam. Students who miss the 60 day submission deadline are ineligible to register in future terms.

The Graduate School uses ProQuest to administer the electronic thesis/dissertation (ETD) submission and committee approval process that results in publication in ProQuest Dissertations and Theses (PQDT) database and Cornell’s Library Repository, eCommons. Before initiating the electronic process, students are required to complete the Survey of Earned Doctorates (for doctoral students only). A SED Certification of Completion is provided to the student when the survey has been completed. Once the survey is completed, the final ETD can then be submitted to the Graduate School using the ProQuest system. The SED Certification of Completion is required for submission to ProQuest.

ProQuest Submission Steps

In order to complete the submission process, you will need to have the following:

• A single PDF file of your thesis or dissertation
• Your abstract
• Supplemental material
• SED Certification of Completion 

Step 1: Begin Submission Process

Master’s students go to  Cornell Master’s ProQuest site, doctoral students go to  Cornell Doctoral ProQuest site. Click on the “sign up and get started today” button and follow instructions to begin the submission process.

Submission Process: Submission steps are outlined on the left menu. You will see the items checked off as you progress through the submission steps. You must click “Save & Continue” at the bottom of each page, even pages on which you do not enter any information. Using the left menu, you can return to any page and make changes until the point of final submission.

Step 2: Publishing Options

Traditional Publishing:  “Traditional Publishing” is automatically selected and is included in the Cornell Thesis and Dissertation filing fees.

Delayed Release:  ProQuest provides six months, and one and two year embargoes. The Graduate School recommends you discuss the publishing options with your advisor. If your advisor is unavailable or has no opinion, the conservative approach is to choose a two-year embargo.

Step 3: Read and Agree to ProQuest and University Distribution License

Both ProQuest and Cornell University distribution licenses will be presented for your acceptance.

Step 4: Enter Thesis/Dissertation Information

In addition to the mandatory information, such as title and abstract, you will have the opportunity to select up to three categories (subject areas) and six key words that describe your ETD. This information will make it easier for others to find your work when searching the web.

Step 5: Upload PDF and Supplemental Files

Upload PDF: Whether you use the PDF conversion tool provided by ProQuest or you convert your document to PDF yourself, review your PDF to ensure your formatting remains as you intended after conversion.

Supplementary Materials: If supplementary materials – such as audio, video, and spreadsheets – are an integral part of your ETD, you can submit them as supplementary files during the online submission process.

Step 6: Upload Required Documents

The SED Certification of Completion if you are a Ph.D. candidate is required for submission to ProQuest.

Step 7: Register for Copyright

You can complete this process through ProQuest for a fee, or you complete the process independently through the U.S. Copyright Office.

Step 8: Order Copies

If you would like to purchase additional copies of your thesis/dissertation for yourself, your field, or your committee members, you may order bound copies through ProQuest (Order Copies page). The required bound archival copy for the library is automatically ordered for you and included in the Cornell thesis and dissertation filing fees.

Select the “Decline – do not order” option if you don’t wish to order additional copies.

Bound copies can also be ordered through Cornell Print Services .

Step 9: Review and Submit

Once the thesis editor has reviewed the formatting of your thesis/dissertation, you will receive an email to let you know whether any corrections are required. You will then have five days to make the changes and upload the revised PDF. You will not be certified for graduation until the formatting of your ETD has been fully approved by the Graduate School. You will receive a confirmation email of final acceptance.

Step 10: Submitting Revised PDF (if needed)

You will receive an email describing the formatting changes needed with instructions and a link for resubmission.

• Recommendations
• Notifications
• My Favorites

Favorites, recommendations, and notifications are only available for UCLA Graduate Students at this time.

Access features exclusively for UCLA students and staff.

As a student, you can:

• Add funding awards to your favorites list
• Get notified of upcoming deadlines and events
• Receive personalized recommendations for funding awards

 We're Sorry

You've signed in with a UCLA undergraduate student account.

UCLA Graduate Programs

File Your Electronic Thesis or Dissertation (ETD)

Ready to file.

Review the formatting requirements for filing theses and dissertations and University policy regarding graduate thesis and dissertation public dissemination in UCLA Thesis and Dissertation Filing Requirements & Public Dissemination .

To begin the ETD filing process OR to check the approval status of your ETD:

During the filing process, you may choose your publishing agreement, register your copyright, and order copies of your manuscript.

FILING DEADLINES

See also: Filing Deadlines Chart

Deadline for Registered Students and Students on Filing Fee to Submit their Manuscript via ProQuest & Receive Committee Member Approval and Degree Award Date

*Complete Degree Requirements includes: completion of the online ETD Filing Application (button above), all committee members have reported approval of your manuscript and the passing of the final oral examination (if applicable) to the Division of Graduate Education; submission of a final PDF via ProQuest including requested changes from the Division of Graduate Education, and receipt of the Division of Graduate Education confirmation email of the formal completion of degree requirements.

The  degree award date is the last day of the term in which degree requirements are completed and is the same as the deadline to submit manuscripts and to complete graduate degree requirements for the term.

Deadlines for previous academic terms are available in the Registrar’s Office online calendar archive .

PREPARING TO FILE YOUR ETD

• Review UCLA Thesis and Dissertation Filing Requirements & Public Dissemination
• Register and Enroll for the term, or apply for Filing Fee
• Review  Graduation Requirements
• Changing your Name on your Thesis or Dissertation

THESIS & DISSERTATION COMMITTEES

• Thesis Committee Regulations
• Minimum Standards for Doctoral Committee Constitution
• Change Committee Members

ADDITIONAL RESOURCES

• ETD Workshops & Drop-In Hours
• ETD Workshop Presentation Slides
• Video: Formatting Tutorial
• UCLA Library Scholarly Communication Services (Copyright Assistance)

ETD & FILING FAQS

1. What happens to the thesis or dissertation a graduate student files?

In the past, the physical manuscript was placed on the shelves of the UCLA library where it could be accessed by visitors and through the international interlibrary loan network. Today, digital access to the document is provided through the University of California Digital Library , our institutional repository. Additionally, the abstracts of theses and dissertations worldwide are indexed by ProQuest , SciFinder and other abstracting services. In the past, interested scholars who wanted to obtain copies of theses and dissertations would either write to the author or purchase paper, microfilm or microfiche copies from ProQuest, but now they can purchase electronic copies instead. Technology changes aside, graduate students retain the copyright on your dissertation, and will receive royalties when copies are purchased. See University of California Copyright for more information.

2. Can graduate students file their thesis or dissertation from outside the US?

Yes. Graduate students do not need to be physically present on campus to submit their thesis or dissertations. Graduate students only need access to the internet.

3. Do graduate students have to be registered when they file?

Graduate students must either register and enroll or, if eligible, use the Filing Fee .

4. Can a graduate student file during the Summer?

Yes. In order for a graduate student to file and receive a Summer degree, students must either register and enroll in a minimum of 4 units in a Summer Session or be on Filing Fee status.

5. Can a graduate student still file on paper?

No. Since March 13, 2012, only electronic filing is available for graduate students.

6. How can graduate students order hard copies of my thesis or dissertation?

Graduate students may order hard copies through ProQuest. Copies take about 5 weeks to ship after the manuscript is published by ProQuest. Graduate students can also order copies through the UC Bindery .

7. I’ve included co-authored works in my thesis or dissertation. How do I cite them?

You must include in your Acknowledgments section any material based on co-authored work that is published, in-press, submitted, or in preparation for publication. For each segment of the work that involved co-authors, you must identify (briefly describe) and acknowledge the specific contributions of each co-author. For details, see page 15 of UCLA Thesis and Dissertation Filing Requirements & Public Dissemination .

8. Will my thesis or dissertation manuscript be sold to third-party retailers?

No. A graduate student’s thesis or dissertation is not shared with Amazon. ProQuest’s reseller program with Amazon has been discontinued, with all existing agreements ending in 2014.

1. What are the filing deadlines for graduate students?

See the Deadlines above. Deadlines of past academic terms are available in the Registrar’s Office online calendar archive .

2. What counts as submitting my thesis or dissertation by the deadline?

All of the following must occur by 5pm PT on the day of official deadline:

• All committee members have approved electronically
• Committee has certified you have passed the final oral exam (if applicable)
• A graduate student has submitted a final PDF via ProQuest
• A graduate student has completed the online Division of Graduate Education process using the link at the top of  this page
• If the Division of Graduate Education requests any changes, the graduate student will have submitted the specific changes within the designated time period

3. How will the Division of Graduate Education determine my thesis or dissertation filing date and whether I’ve met the deadline?

The last date that all of the items listed above is complete will be your filing date for your thesis or dissertation. For example, if you submit your final dissertation PDF and complete the online process on May 31, three committee members sign on June 1, and the final committee member signs on June 2, your filing date will be June 2 assuming you have met all other degree requirements.

1. What is a certifying member?

Certifying members are responsible for approving your dissertation.  Effective Fall 2016, all doctoral committee members must read, approve, and certify the dissertation. All committee members must enter a decision for the final oral exam, if required.

2. Do my thesis or dissertation committee members need to sign the committee page?

Certifying committee members approve the thesis or dissertation electronically. There is no signature page, but rather a committee page listing your certifying committee members in the manuscript.

3. Can a committee member approve a thesis or dissertation from outside of Los Angeles?

Yes. Professors can approve a thesis or dissertation from anywhere with access to the internet.

4. A graduate student’s UCLA faculty committee member prefers to use a non-UCLA email address. Can an email request be sent to that email address?

No. UCLA faculty will be notified via their official UCLA business email addresses. Graduate students are welcome to send a reminder email to their non-UCLA email address with the link (https://go.grad.ucla.edu) to the approval page.

5. How do committee members who are not from UCLA approve theses or dissertations?

Committee members from outside UCLA will still receive the email notification and go to a similar approval page as UCLA faculty.

6. Can graduate students check the status of when their committee members approve their manuscripts electronically?

Yes, after graduate students complete the online process they can log back into the ETD Filing Application to check the status.

Formatting Guide

1. What special characters can graduate students use in their titles?

Only the ones approved by UCLA. The list can be found on the  Formatting and Filing Information page.

FYI: ProQuest will NOT publish any special characters included in your title although the special characters will display when you submit your thesis or dissertation.

2. Does the Division of Graduate Education have a LaTeX template?

No. Please consult with your graduate department or program.

3. Can the Division of Graduate Education check my thesis or dissertation formatting before submitting it to ProQuest ?

The Division of Graduate Education will only check your thesis or dissertation formatting once you have submitted it to ProQuest, or during designated ETD Drop-In Hours.

Release of Manuscript

1. Why will my thesis or dissertation be available for public access after it has been filed by the university?

The UCLA Graduate Thesis and Public Dissemination Policy affirms the university’s commitment to open access of scholarly work.

It is the University of California’s expectation that the research and scholarly work conducted by graduate students that is incorporated into theses and dissertations will be made available to the public. UCLA requires that research and scholarly work conducted by graduate students and incorporated into theses and dissertations be made publicly available through the University of California’s institutional repository, eScholarship .

All theses and dissertations are available as open access via UC eScholarship unless a delayed release is selected.

2. When will I be able to view my thesis or dissertation on ProQuest?

6-8 weeks after you receive final confirmation from the Division of Graduate Education.

3. When will I be able to view my thesis or dissertation on UC eScholarship?

2-3 months after you receive final confirmation from the Division of Graduate Education.

4. What is the UCLA Thesis and Dissertation Submission Agreement?

The UCLA Thesis and Dissertation Submission Agreement allows graduate students to affirm their understanding of the rights and responsibilities associated with the submission of their manuscripts to the campus institutional repository, eScholarship .

All thesis and dissertation filers will complete the institutional repository agreement as part of the submission process via ProQuest.

In the process of filing a thesis or dissertation via ProQuest, in partial fulfillment of the requirements for a degree at UCLA, graduate students agree to grant a non-exclusive, worldwide, royalty-free, perpetual license to The Regents of the University of California (“University”). Graduate students retain copyright.

1. What does it mean for graduate students to register the copyright of their thesis or dissertation? 

The copyright of your work is inherent upon creation. Graduate Students do not need to register their copyright to enjoy copyright protection, but registration does provide some benefits. For full detail, read the U.S. Copyright Office circular “ Copyright Basics “. The benefits of registration are outlined on Page 7 of the circular.

2. I found images on the internet that I want to use in my thesis or dissertation. Is this OK?

Graduate Students should assume that anything produced by someone other than themselves is protected by copyright unless they determine otherwise. This includes items found on the internet. Items in copyright will need either permission or a fair use justification.

If you have flexibility in the final selection of your images, search for images that are 1) in the public domain, or 2) made available for reuse via a Creative Commons license . Such images can be incorporated into your dissertation without permission or concern for fair use.

3. I’ve provided attribution and a citation for the source material I used in my thesis or dissertation. That’s all I need, right ?

Proper attribution is absolutely required; that’s a part of academic integrity and good scholarship. But copyright permission, if necessary, is an entirely separate matter and covered by U.S. Code Title 17 .

4. Do I need permission for every image, chart and graph that I use in my thesis or dissertation from other sources?

It depends. Some materials may qualify under fair use, and others are best used with permission. Graduate students should consult the filing procedures for more detail, or for consultation on a specific situation, get assistance from a UCLA librarian at [email protected] .

5. I’ve obtained verbal permission to use copyrighted material in my thesis or dissertation. Is this sufficient?

Written permission is best. It can be as simple as an email granting permission. Graduate students should retain copies of all permissions in their files.

6. How do graduate students determine what they can use without permission under Fair Use?

If graduate students do not know the four-factor balancing test of Fair Use , they need to become familiar with it. For more information on Fair Use, we recommend you explore the UC Copyright website .

7. Can I use an article, which I previously authored and published, as a chapter in my thesis or dissertation without permission?

It depends on the agreement you signed with your publisher. Most agreements require you to transfer your copyright to the publisher. If this is the case, you must request permission from the publisher to “reprint” the article as a chapter in your thesis or dissertation. However, some agreements specify that you retain the right to reprint the article in your dissertation. Read your author agreement to see if you retained such rights; if you are unsure, consult with a UCLA librarian at [email protected] .

8. After my thesis or dissertation is published, can I reuse one of the chapters as the basis of a future journal article?

If portions of your thesis or dissertation have been previously published as journal articles, you are bound by the agreement you signed when that content was published. But in regards to the remaining, unique content of your thesis or dissertation: Yes, you own the copyright of your thesis or dissertation, and are free to adapt and republish it as you see fit.

9. For those items that require permission, do graduate students need that permission before they file?

Though it is highly recommended that graduate students secure permissions as early as possible, they DO NOT need those permissions in order before they file their theses or dissertations. Permissions are only necessary from ProQuest’s perspective, and theses or dissertations will be published on ProQuest only after the filing process is complete. So, there is a window of several weeks for graduate students to finish gathering permissions.

10. What happens if a graduate student cannot produce the necessary permissions if/when a copyright owner objects and ProQuest asks for them ?

If the inclusion of copyrighted material is challenged by the copyright owner of the material and/or ProQuest, then the publication will be removed from ProQuest until the issue is resolved. A full citation and abstract of the graduate student’s thesis or dissertation will remain.

This rare issue (less than 1% of dissertations are challenged in this manner) is most commonly resolved by redacting or removing the copyrighted content from your thesis or dissertation and resubmitting the modified document to ProQuest. This will require the graduate student to pay a processing fee to ProQuest. Keep in mind that the copyright owner must be amenable to this as a resolution.

11. Won’t having my thesis or dissertation freely available online reduce my chances of securing a book deal and/or publishing portions as journal articles?

If you are concerned that such availability would impact your ability to later publish the thesis or dissertation as a monograph, or derive a journal article from a chapter, several studies of publisher practices have shown that this is not the case. In a 2011 Publisher’s Survey , only 6% of monograph publishers and 3% of journal editors would “never” consider a work derived from a publicly available ETD. If you have concerns, you can embargo your dissertation for up to two years.

Delayed Public Dissemination (Embargo)

1. What does delayed public dissemination (embargo) mean?

Delayed public dissemination, commonly known as “embargo”, postpones public distribution of the thesis or dissertation that has been approved and filed with the university.

2. I chose to delay the release of my thesis or dissertation? When will the embargo begin?

The delayed release period in ProQuest will begin on the date that ProQuest receives your submission.

The delayed release period in eScholarship will begin on the date that your submission is approved by the Division of Graduate Education.

3. Can I request to delay the release of my thesis or dissertation for more than two years?

Under rare circumstances and prior to the filing of the thesis or dissertation, the Dean of Graduate Education may approve requests for time-delimited embargoes beyond the two-year limit. Please see UCLA Thesis and Dissertation Filing Requirements & Public Dissemination for more information on the exception request process.

4. I did not delay the public dissemination of my thesis or dissertation at the time of submission. Can I request an embargo in eScholarship post-submission?

Graduate students who wish to delay public dissemination in eScholarship must select this option at the time they submit their theses or dissertations to the Division of Graduate Education via ProQuest. Requests to embargo a thesis or dissertation after the manuscript has been filed in UC eScholarship are permissible only in exceptional circumstances, and require Division of Graduate Education approval.

Please see UCLA Thesis and Dissertation Filing Requirements & Public Dissemination  for more information on the exception request process.

5. I think (or my research adviser thinks) that my thesis or dissertation work contains classified, secret or confidential information that cannot be disclosed to the public. Can I restrict access?

The University of California and UCLA do not have security clearances that permit the conduct of classified research on the UCLA campus (see page 2 of Responsibility for Executing Research Memo ). Further, the UCLA Academic Senate Graduate Council does not endorse the conduct of confidential research by graduate students; in instances where it is approved, the end results must be in an academically acceptable thesis or dissertation that can be deposited at the University without restricting access to it. In some cases, for example when a patent is being filed, it may be reasonable and appropriate to put in place an embargo that delays public release of the thesis or dissertation. Such an embargo should not be permanent, however. See UCLA Thesis and Dissertation Filing Requirements & Public Dissemination  for guidelines and instructions on this option.

6. I have heard that publishers won’t publish articles based on results that have been presented in preliminary form in my dissertation. Is that true?

In general, no. Publishers recognize that work described in theses and dissertations is often preliminary and may require additional research and writing before it can be submitted to the journal. Theses and dissertations also have not undergone peer review. Consequently, the vast majority of scientific and scholarly publications do not view theses and dissertations as constituting prior publication that would render articles based on the work ineligible for consideration.

7. Depending on the academic field, books/monographs are considered the primary form of publication and the basis for getting an academic position. Do graduate students jeopardize their chance of getting future books published if their theses or dissertations are “out there”?

What publishers say is, “A dissertation is not a book.” The process of turning the dissertation into a book involves considerable transformation, which may include additional research, shifts in scope or emphasis, broadening or narrowing, refining of the arguments, and/or changes in style to appeal to the target audience. Because of these significant differences, and the fact that dissertations are not marketed, most publishers do not consider making a dissertation available in a public repository such as eScholarship (the UC Digital Library) as cause for rejecting a book proposal.