Academic Services

The Filing Tutorial

Read this if you plan to file a Master’s Thesis, DMA Document, or Doctoral Dissertation within the next year!

Downloadable version Filing Tutorial

Months in Advance of Filing:

  • Check with your department to ensure you have met all of the other (non-thesis/dissertation/DMA Document) requirements for your degree
  • Check the Grad Post for upcoming Filing Workshops, Dissertation Writer’s Room hours, Dissertation Writing Retreats
  • Watch this video presentation of UCSB's Filing Requirements
  • Start formatting your document to fit with the University formatting guidelines
  • Figure out your copyright situation:
    • Review these copyright guides/information
    • If you have previously published all or parts of your Thesis/Dissertation in a journal, check with the journal to find out if you need permission (in the form of a letter or inclusion of a specific citation) to reprint the material in your document.This is a common question, so you should be able to get the answer easily by contacting the journal.
    • If you are including material that was created by someone else (images, photos, poems, lyrics) you probably need to request permission in writing (email or hard copy) if the work is not open access or in the public domain.
  • Figure out if you need to embargo your dissertation, and for how long
  • Figure out which filing deadline you intend to meet

Weeks in Advance of Filing

  • Ensure that your committee members will be available to sign the required documentation and prepare the documents:
    • Committee Form III (doctoral students only, Scanned/faxed signatures ok on this document)
    • Dissertation Signature page (the second page of your dissertation; Original signatures required, scans/faxes not accepted)
    • Embargo Request Form (only if you want to embargo your dissertation/thesis for more than two years; Scanned/faxed signatures ok on this document)
    • Committee Form IA (only if your committee has changed and you haven’t documented it yet; Scanned/faxed signatures ok on this document)
    • Committee Form I (if you are filing a master’s thesis and haven’t formally nominated your committee yet; Scanned/faxed signatures ok on this document)

When You are Ready to File

  • Come to the Graduate Division to have a Pre-Check with an advisor
    • Print out your preliminary pages and a chapter for the advisor to review
  • Electronically file your dissertation or thesis with Proquest
  • If you are on a filing leave of absence, pay the filing fee (half the Student Services Fee) at the Cashier’s Office
  • If you are filing a Master’s Thesis, pay the thesis submission fee at the Cashier’s Office ($25)
  • Bring your original signature page, a copy of your title page, and any other necessary documentation (Form III, Embargo form, etc.) to the Graduate Division. Have your student ID ready.
  • Complete the Exit Surveys (doctoral students only)
  • You need to both E-File with Proquest and deliver your signature page to the Graduate Division in order to be considered “filed.”

Oh no, what if…

What if I have already e-filed and I didn’t format the document correctly?

That is ok, an advisor will review the document and let you know if any changes need to be made, and then you just correct the formatting and re-upload the document via ProQuest. This won’t affect your original filing date.

What if one of my committee members won’t be around to sign off on my document?

Contact a Graduate Division Academic Services Staff in advance of the deadline. We do require original signatures on the thesis/dissertation signature page in order to award your degree, but we can work with you to ensure you meet the deadline.

What if I don’t have time to complete the Exit Surveys by the deadline?

That is ok, you can completed the surveys shortly after the deadline as well.

 What if my employer needs verification of my degree?

Just let us know when you deliver your signature page to the Graduate Division and we can let you know the documentation options and timeline.

What if I have more questions?

Call, email, or visit us!

More Resources

Graduate Division: http://www.graddiv.ucsb.edu/academic/Filing-Your-Thesis-Dissertation-DMA-Document

ProQuest: http://www.etdadmin.com/cgi-bin/main/resources?siteId=67#guides