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Author: William A. Stein
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Checklist for Submission

Guidelines for Submitting a Doctoral Dissertation or a Master's Thesis

### VIII. CHECKLIST FOR SUBMISSION

Once your manuscript is in its final form, and your committee members have signed your dissertation or thesis, signifying their final approval, it is time to submit it to Graduate Degrees, 302 Sproul Hall. The Degrees Unit will verify your registration or filing fee status and check that you meet the following submission requirements.

A. ALL MASTER'S CANDIDATES MUST SUBMIT THE FOLLOWING:

1. A copy of the original title page.

2. A copy of the approval letter of the Committee for Protection of Human Subjects or the Animal Care and Use Committee, if necessary.

3. The signed Library Permission Form. (This form can be obtained prior to filing in 302 Sproul.)

4. The original copy of the manuscript on acceptable archival paper, unbound, unpunched, and unstapled for binding and shelving in the University Library. This copy must be in a manila clasp envelope or box that conforms to the size of the manuscript. On the outside of the envelope or box, you need to tape a copy of the title page and write the words "ORIGINAL" and the filing date on the title page. This copy must include:

a. The original title page, on acceptable paper.
b. The original signed approval page, on acceptable paper.
c. A copyright page on acceptable paper, if appropriate.

5. A copy of the manuscript on acceptable archival paper, unbound, unpunched, and unstapled for binding and shelving in the University Library. This copy must be in a manila clasp envelope or box that conforms to the size of the manuscript. On the outside of the envelope or box, you need to tape a copy of the title page and write the words "SECOND COPY" and the filing date on the title page. This copy must include:

a. A copy of the title page, on acceptable paper.
b. A copy of the signed approval page, on acceptable paper.
c. A copyright page on acceptable paper, if appropriate.

See list of acceptable papers.

B. ALL DOCTORAL CANDIDATES MUST SUBMIT THE FOLLOWING:

1. Survey of Earned Doctorates, which is collected by the Graduate Division on behalf of the National Academy of Sciences and the National Opinion Research Council. (This survey should be obtained prior to filing in 302 Sproul Hall.)

2. Survey of Doctoral Students' Opinions, Berkeley's doctoral exit questionnaire, which is used to help improve the quality of graduate education here at Berkeley. (This survey should be obtained prior to filing in 302 Sproul Hall.)

3. A copy of the approval letter of the Committee for Protection of Human Subjects or the Animal Care and Use Committee, if necessary.

4. A copy of the original abstract.

5. The original copy of the manuscript on acceptable archival paper, unbound, unpunched, and unstapled for binding and shelving in the University Library. This copy must be in a manila clasp envelope or box that conforms to the size of the manuscript. On the outside of the envelope or box, you need to tape a copy of the title page and write the words "LIBRARY COPY" and the filing date on the title page. This copy must include:

a. The original title page, on acceptable paper.
b. The original signed approval page, on acceptable paper.
c. The original signed abstract, on acceptable paper.
d. A copyright page on acceptable paper and copyright fee, if appropriate.

See list of acceptable papers.

6. Either:

a. A copy of the manuscript on white paper, minimum 20 lb. weight for microfilming at UMI Dissertation Services. This copy must be in a manila clasp envelope or box that conforms to the size of the manuscript. On the outside of the envelope or box, you need to tape a copy of the title page and write the words "UMI COPY" and the filing date on the title page. This copy must include:

i. Two copies of the original title page, on at least 20-lb. white paper.
ii. A copyright page on at least 20 lb. white paper and copyright fee, if appropriate.
iii. One copy of the abstract, on at least 20 lb. white paper.
iv. The signed UMI Doctoral Dissertation Agreement Form. (This form can be obtained prior to filing in 302 Sproul Hall.)
v. If you have received permission to use copyrighted, previously published or coauthored material, a statement from the copyright owner and/or coauthor(s) giving you permission to use previously published or coauthored material must be submitted with the dissertation.

Optional: If you are registering a copyright with UMI Dissertation Services, you will need to sign the authorization form on the appropriate line and submit a MONEY ORDER or CERTIFIED CHECK payable to UMI for $45. NO CASH OR PERSONAL CHECKS. or: b. A file submitted electronically after first converting it to Portable Document Format (PDF) according to the instructions in the "Preparing Electronic Dissertations" section. This file must include: i. One copy of the original title page. ii. A copyright page, if appropriate. iii. One copy of the unsigned abstract. Before sending your electronic dissertation, you may need to zip or stuff your file. If your file is over 10 MB (megabytes), compress the file by zipping it, if you use a PC, or stuffing it, if you use a Macintosh. Shareware versions of both WinZip® and Stuffit® may be downloaded from the Shareware Web site (www.shareware.com). Send your file or zipped/stuffed file as an attachment, via e-mail to [email protected]. Be sure to include your full name, degree and major, and expected filing date in your e-mail. It takes two working days for Graduate Degrees staff to approve and issue receipts for dissertations filed electronically. If you plan to submit your dissertation electronically during the week of the filing deadline, please allow two working days for approval of your dissertation. After your file has been reviewed, you will receive a verification e-mail that certifies whether or not your file has been accepted and gives you a receipt number. When you file the library copy of your dissertation at 302 Sproul Hall, you will need the following: i. The receipt number. ii. One copy of the original title page. iii. The signed UMI Doctoral Dissertation Agreement Form. (This form can be obtained prior to filing in 302 Sproul Hall.) iv. The copyright fee, if appropriate. v. If you have received permission to use copyrighted, previously published or coauthored material, a statement from the copyright owner and/or coauthor(s) giving you permission to use previously published or coauthored material must be submitted with the dissertation. Contact [email protected] if you have any questions regarding submitting an electronic dissertation. C. ADDITIONAL INFORMATION After your dissertation or thesis is accepted by Graduate Degrees, it is held until degrees are awarded, approximately two months after the end of the term, and is then sent to UMI Dissertations Publishing (UMI) and the University Library. In order to make changes to the dissertation or thesis during this time, you must submit a request to Associate Dean Joseph J. Duggan, from the chair of the dissertation committee, describing the changes in detail and the reason for the changes. If the Dean approves the request, the changes must be made before the degree is awarded. After degrees are awarded, no changes to the manuscript are allowed. The degree will be posted to the transcript approximately three months after the conferral date of the degree and the diploma will be ready approximately one month after the degree is posted to the transcript. The diploma may be picked up at no charge to you in the Office of the Registrar, Student Services-Diplomas, 120 Sproul Hall (510-642-4814 or 642-2247). If you wish, you can request that the diploma be mailed to you. The fee for this is currently$8 within the United States and is variable for registered airmail outside the United States.

If you require evidence of your degree prior to the posting of the degree to your transcript, you can request a certificate of completion from Graduate Degrees, 302 Sproul Hall (510-642-7330). After the degree is posted to your record, you can order an official transcript from the Office of the Registrar, Student Services-Transcripts, 120 Sproul Hall (510-642-4814 or 642-2247) or a Certificate of Graduation from Office of the Registrar, Student Services-Verifications, 120 Sproul Hall (510-642-1883).