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Full/Print Version: Degrees Handbook

This version of the Degrees handbook has been made available for users who prefer to print or read it in its entirety.

Important Information for All Students

Research Involving Human & Animal Subjects

Research Involving Human Subjects

If you are conducting research involving human subjects, you are obligated to request review and approval for your study protocol from the Committee for Protection of Human Subjects (CPHS) which serves as the Institutional Review Board (IRB) for UC Berkeley. Federal law and University policy require that all research you conduct that involves human subjects in any way must be reviewed and approved or determined to be exempt by the CPHS before the research is initiated. If your research is ongoing, you must request the project be reviewed and approved again prior to the expiration date of the current approval, and at least once a year.

As of September 1, 2005, before approval is granted for a research protocol, any graduate student listed as Lead Investigator or Key Personnel on an application to CPHS must complete training in human subjects research by taking and passing the online CITI Program (https://www.citiprogram.org), a basic course in the Protection of Human Research Subjects. Students should take either the Social-Behavioral or Biomedical sequence of modules as is most appropriate for the type of research they are conducting.

Graduate students who plan to use human subjects in their research must complete the CITI course and print out the certificate of completion prior to applying for advancement to candidacy. This certificate must be submitted with the advancement form.

There is no provision for CPHS to give retroactive approval of research. Applications involving greater than minimal risk for subjects will go to full committee review and must be submitted to the CPHS at least 4 weeks prior to the regularly scheduled monthly meeting. Applications for expedited or exempt categories of review are processed in order of receipt. The review process can be a lengthy one, sometimes taking 2-3 months to complete. Plan adequate time for the review and approval process. Research that involves human subjects that is conducted without the approval of CPHS may be rejected by the Graduate Division.

Only CPHS can determine whether research is eligible for exemption from federal regulations, qualifies for expedited sub-committee review, or will require full committee review. Each student should be granted individual approval by CPHS. If you have any questions about federal regulations or University policy, please call the staff in the Office for the Protection of Human Subjects at (510) 642-7461 or visit its Web site at http://cphs.berkeley.edu. The CPHS/OPHS web site contains complete Guidelines and forms for research investigators.

Research Involving Animal Subjects

The Animal Care and Use Committee (ACUC) (http://www.acuc.berkeley.edu/) is charged with reviewing and approving all proposed uses of live vertebrate animals in teaching and research.

If you will be conducting research for your degree that involves vertebrate animals, you must obtain approval from the ACUC prior to beginning your research. You must provide the Graduate Division with a copy of the approval for your study protocol prior to filing for your degree.

Relevant Policies

For more information, see applicable policies in the Guide to Graduate Policy:

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Frequently Asked Questions: Degrees

Filing Fee

Q: What is Filing Fee and who is eligible?
Filing Fee status is in lieu of registration to either file your dissertation or thesis, or take a comprehensive exam. Filing Fee puts you on withdrawal status, which means you are not allowed to use University facilities, and student loans may become due. Health insurance and library privileges must be purchased separately. The amount of the Filing Fee is one-half of the University Registration Fee portion of the fees you pay when you register. For spring 2006, the amount of the University Registration Fee is $367.50. Check the Office of the Registrar website for the fee schedule for the current amount. Once the Filing Fee is approved, you will be billed on the CARS billing system. You can also pay at the Cashier’s office (140 University Hall) once the Filing Fee charge is assessed.

Q: What is the deadline to apply for Filing Fee, how long does Filing Fee extend, and what do I do if my Filing Fee expired and I didn’t submit my thesis/dissertation?
The deadline to apply is the last day of the first week of instruction for the semester you wish to file.

The Filing Fee period lasts until the last day of the semester.

If you do not file within your Filing Fee period, you will need to readmit and pay registration fees to submit your thesis/dissertation. Filing Fee can only be used once.

Q: Can I take a few classes while I am on Filing Fee or after I receive my degree?
You are not allowed to take courses while on Filing Fee or after completion of your degree.

Q: If I am on Filing Fee status and hold an academic appointment, am I eligible for fee remissions?
To be eligible for fee remissions, you must be registered and enrolled. Filing Fee status therefore makes you ineligible to receive fee remissions or hold an academic appointment for which registration and enrollment is required.

Withdrawals

Q: How do I withdraw from the university?
You should contact the Graduate Student Affairs Officer (GSAO) in your academic department. International students on an F or J visa should first consult with SISS.

Q: If I have registered for the semester, and have paid all or a partial part of the fees, how early or how late should I submit my petition for withdrawal?
If you decide to withdraw, you should inform your academic department as soon as possible, particularly if you have registered and paid fees. In order to receive a 100% refund, you will need to withdraw before the first day of classes. Otherwise, your withdrawal will be effective on the date that it is received and processed. The Schedule of Classes lists the percentage of refund that you may expect, depending on the date that you withdraw.

Q: Do I need to withdraw for each semester that I plan to be away?
No, you do not need to withdraw for every continuous semester that you plan on being away. Once you withdraw, you will remain on withdrawal status until you readmit.

Readmission

Q: What is the deadline to readmit?
The deadline to apply for readmission is April 15 for the fall semester and August 15 for the spring semester. You must submit a fee along with your application for readmission. Current fees are listed on the application form. See below for further information regarding the form.

Q: I was admitted to UC Berkeley a few years ago, but I did not register. Do I submit an application for readmission or an application for admission?
You would have to apply for admission. Readmission applies only to graduate students who have actually registered and paid fees at Berkeley.

Q: I obtained my graduate degree from Berkeley and would like to return and obtain another degree. Which form should I complete?
You must complete both the Application for Readmission and the Petition for Change of Major/Degree Goal, available at the Degrees Office, 302 Sproul, or online at the Registrar’s Web site.

Q: I was on Filing Fee status last semester and was not able to finish my thesis/dissertation. Must I readmit to file it now?
As in the case of students not registered for the previous semester, you must apply for readmission if you plan to file your thesis or dissertation.

Qualifying Exam and Dissertation Committee Membership

Q: What is the standard membership of a Qualifying Examination?
Check with your department to see if it requires four or five members. A Qualifying Examination Committee would usually include: the chair, first inside member, second inside member, and an outside member. A five-member committee would include an additional inside member. The chair of a Qualifying Examination Committee cannot also serve as the chair of the Dissertation Committee. All committee members should be members of the Berkeley Academic Senate.

Q: What is the standard membership of a Dissertation Committee?
There are usually three members: the chair, first or only inside member, and an outside member. A second or additional inside member may be added but is not required. All committee members should be members of the Berkeley Academic Senate.

Q: What is the standard membership of a Thesis Committee?
There are three members: the chair, first inside member, and an outside member. An outside member is preferred, but not required. The third member may be a second inside member. All should be members of the Berkeley Academic Senate.

Q: What is the “outside” member of a committee?
The official “outside” member of a committee represents the Dean and must be a member of the Berkeley Academic Senate (preferred titles: professor, associate professor, or assistant professor) who is not in the student’s major. No exceptions will be made. The outside member cannot also serve as chair, co-chair, or inside member of the same committee.

Q: Can a person outside of UC Berkeley be on my committee?
With the Dean’s approval, non-UC Berkeley faculty may serve as a second or additional inside member of a master’s Thesis Committee, Qualifying Examination Committee, or Dissertation Committee. For this non-UCB member to be approved, an additional inside member from within your department must be included. The Head Graduate Adviser in your department should make this request through a memo addressed to the cognizant Associate Dean, and a vitae of that person should be submitted with the application for the exam, advancement to candidacy, or change of committee form. Send requests and applications to the Graduate Services Degrees Office, 302 Sproul Hall. If that person has been approved for another committee previously, a memo and vita may not be needed. The Graduate Degrees Office should be contacted should verification of a person’s prior approval be required.

Q: If a committee member leaves UC Berkeley, can that person still serve on my committee?
Normally, when a dissertation chair leaves Berkeley, a faculty member on campus should be appointed as co-chair. This person may or may not be the second reader as well. If an inside, outside, or second inside member leaves Berkeley, that individual must be replaced by a faculty member at Berkeley.

Diplomas

Q: I have not received my diploma. Where do I pick it up?
About four months after your degree is conferred, you may obtain your diploma in person at the Office of the Registrar, 120 Sproul Hall. Fall degrees are conferred in December; spring degrees are conferred in May. You may also request to have your diploma mailed to you. For more information, see the Registrar’s Web site.

Exchange Programs

Q: What are the exchange programs and which universities participate?
There are a number of different programs. The Intercampus Exchange Program is available to all eligible graduate students registered at any of the UC campuses. The Exchange Scholar Program is designed for doctoral students and participating universities include Berkeley, Brown, Chicago, Cornell, Harvard, MIT, Pennsylvania, Princeton, Stanford, and Yale. Also available are the Stanford-Berkeley Exchange Program and the Cross Registration Program, which includes Dominican, Graduate Theological Union, Hayward, Holy Names, Mills College, San Francisco State, Sonoma State, and St. Mary’s College.

Q: Who is eligible for these programs?
Intercampus Exchange Program: If you are a graduate student registered on any UC campus with a 3.0 GPA, you may visit another of the UC campuses as an Intercampus Exchange Graduate Student, with the approval of your department adviser, the Dean of the Graduate Division on your home campus, the chair of the department from the host campus, and the Dean of the Graduate Division on the host campus.

Exchange Scholar Program: With the approval of your department and the Graduate Division, you may register for the Exchange Scholar Program if you are a Ph.D. student and have completed at least one year in a graduate degree program at your home institution and have maintained a 3.0 GPA. You may take courses or conduct research at the host institution for no more than one year as an Exchange Scholar.

Stanford-Berkeley Exchange Program: With the approval of your department, the Dean of Graduate Division, and the Office of the Registrar, you may apply for the Stanford-Berkeley Exchange Program if you have maintained a 3.0 GPA and have completed at least one year of graduate study in a doctoral program or at least one semester for a master’s program. If you apply for this program, you must enroll in at least one course at Berkeley.

Cross Registration Program: Sophomore, junior, senior or graduate students are eligible for this program. Graduate students require the approval of your department and the Dean of the Graduate Division. You must have a minimum of a 3.0 GPA and have completed at least one year of study. You may enroll for only one course at the host campus.

Q: Will I pay fees at the host campus?
Fees are paid as follows:

Intercampus Exchange Program: You will register and pay fees on your home campus and receive full student privileges at the host campus.

Stanford-Berkeley Exchange Program: You will register and pay fees at Berkeley. You will be entitled to library and parking privileges at Stanford.

Exchange Scholar Program: You will pay fees at your home campus. However, you also must pay health fees (or qualify for a waiver) at the host campus. You will be entitled to full student privileges.

Cross Registration Program: You will register and pay fees at your home campus. You will not be entitled to full privileges, only library services.

Q: How can I obtain an application, and when should I submit it?
Applications for these programs are available at the Graduate Services Degrees Office, 302 Sproul Hall. They should be submitted at least three weeks before the beginning of the term at the host campus. Please plan your course of study carefully when applying to an institution on the quarter system.

Q: What about study abroad?
Eligible graduate students may apply to most of the study centers under the University-wide Education Abroad Program. You must have completed at least one year in residence at Berkeley, demonstrate language proficiency when required, and have the approval of your department or program and the Graduate Division. For more information, contact Berkeley Programs for Study Abroad, 150 Stephens Hall, (510) 642-1356.

Miscellaneous

Q: What is Normative Time?
“Normative Time” refers to the amount of time it takes ideally for a student in a particular discipline to complete a doctoral degree. The normative time for every doctoral program, (as listed in the General Catalog), was established several years ago in consultation with departments. Your normative time clock begins when you enter graduate school at Berkeley regardless of your program.

Q: Will I be covered by the Student Health Insurance Plan (SHIP) while I’m on Filing Fee or withdrawal status?
U.S. citizens and permanent residents on Filing Fee or withdrawal status may buy SHIP coverage directly from University Health Services in one-semester increments. You also may buy health insurance for your children, spouse, or domestic partner through the Dependent Health Insurance Plan (DHIP), also available from University Health Services. Call (510) 642-5700 or email for more information.

International students on student visas must be covered by health insurance whether or not they are registered. The families of international students are eligible to purchase DHIP through University Health Services.

Q: Where can I get help with writing my dissertation?
Most students find writing a dissertation to be a difficult and time-consuming challenge unlike anything they have encountered in their education so far. You are not alone if you feel bewildered by the task ahead. We recommend the following:

Find out what a prospectus and dissertation look like for your discipline. Ask your Graduate Student Affairs Officer (GSAO) for copies submitted by former students. If none is available in your department, you can find copies of all dissertations filed by Berkeley students at the Main Library or at branch libraries. Consult the Thesis Catalog on the second floor of the Main Library, or use OskiCat, Berkeley’s online library catalog.

Dissertations are also available at Current Research @ UC Berkeley, which is part of University Microfilms International’s (UMI) ProQuest Digital Dissertations, a digital library of dissertations submitted to UMI for publication. This collection can be accessed online. Instructions from the library on finding UC Berkeley’s dissertations can be found online (http://www.lib.berkeley.edu/TeachingLib/Guides/Edis.html). You may also search citations and abstracts of dissertations submitted by UC Berkeley and published in UMI’s Dissertation Abstracts database; view 24-page previews of dissertations published after 1996; and download the full text of dissertations and theses published after 1996. The downloaded copies are free to authorized users of this institution. Use the UC Berkeley Dissertations in Progress database to locate (and possibly work with) other students working on similar topics in other disciplines and schools across campus. The database contains abstracts of dissertations planned or being written by UC Berkeley students in the humanities, social sciences, and professional schools. Access is limited to students who have submitted an abstract of their own project.

Watch for dissertation writing workshops that are sponsored each year by the Graduate Division. We try to offer at least one series of workshops each semester.

Q: How long do I have to complete my doctoral degree?
Your time-in-candidacy is limited. As a general rule, your entire graduate career should be no longer than the normative time for your discipline plus one year of approved withdrawal. A list of normative times for all graduate programs is included in the General Catalog.

Q: What happens if I do not complete my degree during the allotted time?
Your candidacy will lapse if you do not complete the requirements for your degree within the normative time for your discipline, plus a two-year grace period. Your department may request that the Graduate Division give you a one-year extension if you are making satisfactory progress on your dissertation. Two years after lapsing, your candidacy may be terminated.

Q: What should I know about filing my dissertation with the Graduate Division?
Dissertations must be submitted in acceptable format. You should consult the Dissertation Filing Guide, which describes the requirements for preparing the final version of your dissertation or thesis.

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Forms & Applications

The forms listed below are available for downloading as PDF files and require Adobe Acrobat Reader. For a free copy of Adobe Acrobat Reader, please visit the Adobe Web site.

Applications for Candidacy
Application for Candidacy for Master's Degree (Plan I) (PDF)
Application for Candidacy for Master's Degree (Plan II) (DOC)
For departmental use only.
Application for Candidacy (Plan B) (PDF)
Use this form for the following degrees: Doctor of Philosophy, Doctor of Education, Doctor of Engineering, Doctor of Public Health (effective July 1, 2008, the candidacy fee is $90).
Application for Candidacy for Ph.D. Degree (Plan A) (PDF)
This form should only be used by students in Buddhist Studies, Logic & Methodology of Science, and Interdisciplinary programs (effective July 1, 2008, the candidacy fee is $90).
Application for Candidacy for Ph.D. Degree in the Joint Doctoral Program with GTU (Plan A) (PDF)
Effective July 1, 2008, the candidacy fee is $90.
Application for Candidacy in the Joint Doctoral Program (Plan B) (PDF)
Use for the following programs: Bioengineering, Educational Leadership, Jewish Studies, Medical Anthropology, Special Education (effective July 1, 2008, the candidacy fee is $90).

Childbirth Accommodation Fund (effective Fall 2007)
Petition for Childbirth Accommodation Funding (PDF)
For more information, see the Policy on Accommodation of Research Doctoral Student Parents.

Fellowships
See the Fellowship Deadlines and Applications webpage.

Filing Fee
Filing Fee Application (PDF)

Graduate Appeals
Graduate Appeal Procedure Form (PDF)
Graduate Appeal Procedure (PDF)

Higher Degree Committees
Request for an Exception for Non-senate Member to Serve on Higher Degree Committee (PDF)
Request for Change in Higher Degree Committee (PDF)
Also known as "Reconstitution."

Library
Library Permission Form (PDF)
For masters students.
Dissertation Release Form (PDF)
For doctoral students.

Qualifying Examination
Application for Qualifying Examination (PDF)
Report on the Qualifying Examination (PDF)

In Absentia Registration
Request for In Absentia Registration (PDF)
Learn more by visiting the In Absentia FAQ webpage.

Other Forms & Applications
Application for Readmission (Office of Registrar site)
Graduate Petition for Change of Major or Degree Goal (Office of Registrar site)
Petition to Change Class Schedule (Office of Registrar site)
Petition for Credit by Examination (Office of Registrar site)
Petition for Late Enrollment/Registration (Office of Registrar site)
Request for Certificate of Degree Completion (PDF)
Survey of Doctoral Students' Opinion (PDF)
Report on Progress in Candidacy in the Doctoral Program (PDF)
Nominations for Graduate & Faculty Advisers (PDF)

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Filing & Form Submission Deadlines

Review the list of deadlines given below and identify the ones that will apply to you this year. You are responsible for making sure the application is submitted on time to 318 Sproul Hall, Graduate Services: Appointments, Degrees, and Fellowships, or that you complete other actions by the deadlines. We strongly recommend that you provide your faculty committee with your manuscript or final project 30-60 days prior to your anticipated filing date.

Master's StudentsSummer 2010Fall 2010Spring 2011Summer 2011
Application for CandidacyN/ASeptember 24, 2010

To be eligible for a fall degree
February 18, 2011

To be eligible for a spring degree
N/A
Filing Fee Application (PDF)
If you are not already advanced to candidacy, submit your Application for Candidacy with the Filing Fee Application
N/AAugust 27, 2010January 21, 2011N/A
File Thesis
File in Graduate Division or complete comprehensive examination or final project.
August 13, 2010, for a Fall 2010 degreeDecember 17, 2010May 13, 2011August 12, 2011 for a Fall 2011 degree
In Absentia Registration* (PDF)N/AAugust 10, 2010January 10, 2011N/A
Doctoral StudentsSummer 2010Fall 2010Spring 2011Summer 2011
Non-residents: To be considered advanced for reduction in non-resident tuition in the term indicated, submit the PhD Application for Candidacy by the first day of instruction for the semester. These deadlines are independent of the deadline set for using Dean's Normative Time Fellowship (DNTF) in the term indicated.N/AAugust 26, 2010August 18, 2011N/A
To be considered advanced to doctoral candidacy in the term indicated for DNTF eligibility, you must submit your PhD Application for Candidacy by the dates given.N/ADecember 17, 2010June 30, 2011N/A
Students who qualify for DNTF and plan to use it in the term indicated must submit DNTF application to the Graduate Fellowships Office by the deadlines given.N/AAugust 18, 2010January 10, 2011N/A
Filing Fee Application (PDF)N/AAugust 27, 2010January 21, 2011N/A
File Dissertation in Graduate DivisionAugust 13, 2010, for a Fall 2010 degreeDecember 17, 2010May 13, 2011August 12, 2011, for a Fall 2011 degree
In Absentia Registration* (PDF)N/AAugust 10, 2010January 10, 2011N/A

* In absentia status is a form of registration available to academic and professional graduate students undertaking coursework or research related to their degree programs outside of California.

The forms listed above are available for downloading as PDF files and require Adobe Acrobat Reader. For a free copy of Adobe Acrobat Reader, please visit the Adobe Web site.

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Graduate Appeal Procedure

Graduate Appeal Procedure

(Approved by the Graduate Council, April 27, 1998)

PURPOSE AND SCOPE

The purpose of this procedure is to afford Berkeley graduate students an opportunity to resolve complaints about dismissal from graduate standing, placement on probationary status, denial of readmission to the same program (if the student was previously in good standing), disputes over joint authorship of research in accordance with joint authorship policies of campus departments or units, and other administrative or academic decisions that terminate or otherwise impede progress toward academic or professional degree goals. This procedure is not available to appeal denial of admission to any program.

The scope of this procedure is limited to the matters listed above, and excludes complaints regarding student records, grades in courses of instruction, student employment, student discipline, and auxiliary student services (such as housing, child care, etc.). This procedure may not be used for complaints regarding actions based solely on faculty evaluation of the academic quality of a student’s performance, or decanal evaluations of a student’s appropriate academic progress, unless the complaint alleges that the actions may have been influenced by non-academic criteria as identified in section II.B.2 of this procedure.

This procedure is provided for continuing and returning graduate students in the Graduate Division on the Berkeley campus. It may not be used by applicants for admission, Juris Doctor students in the School of Law who are appealing disqualification or the terms of probation, or students registered in graduate courses through the University Extension, the Graduate Theological Union, or other cross-registration agreements.

A student may bring a complaint individually or may file a complaint jointly with other students when each claims injury as a result of the same alleged action(s).

Graduate students may contact the Office of the Ombudsman for Students for informal assistance with complaint resolution. The Associate Deans of the Graduate Division also may be consulted for informal resolution at any stage of the process. Civil law remedies, including injunctions, restraining or other court orders, and monetary damages also may be available to complainants.

THE APPEAL PROCESS

I. UNIT LEVEL INFORMAL RESOLUTION PROCEDURES

A. Department Level Complaints
For complaints regarding actions originating within the student’s major department, school, college or graduate group, the student must first attempt resolution at the unit level by following the unit level complaint resolution procedures. The unit level procedures may include informal and formal complaint resolution processes. Copies of the unit level complaint resolution procedures may be obtained from the Chair of Graduate Advisers in each unit. If a mutually satisfactory resolution cannot be reached at the unit level, the complaint may be brought to the Graduate Division under the Formal Appeal Procedures outlined below.

B. Division Level Complaints—Informal Resolution
For complaints regarding actions originating within the Graduate Division or with the Administrative Committee of the Graduate Council, the student may first initiate informal resolution with the Dean or an Associate Dean of the Graduate Division. If a mutually satisfactory resolution cannot be reached through informal resolution, the complaint may be brought under the Formal Appeal Procedures outlined below.

Time Limits: Attempts at unit level resolution or informal resolution with the Graduate Division must be initiated within thirty days from the time at which the student knew or could reasonably be expected to have known of the action being appealed. The unit level or Graduate Division informal procedures should normally be concluded within 60 days of the date resolution was initiated.

C. Complaints Involving Sexual Harassment
Students with complaints involving allegations of sexual harassment which would otherwise fall under the jurisdiction of the Graduate Appeals Procedure may attempt resolution under the Berkeley Campus Policy on Sexual Harassment and Complaint Resolution Procedures prior to bringing their complaint under the Graduate Appeals Procedure.

If the complainant is not satisfied with the resolution provided by the Sexual Harassment Complaint Resolution Procedures, the complainant may proceed directly to the Formal Appeal Procedure outlined below. In such cases, any allegations of sexual harassment investigated under that procedure will not be reinvestigated in the Formal Appeal. The individual or committee in charge of the investigation pursuant to a Formal Appeal will rely on the fact-finding report made by the Complaint Resolution Officer pursuant to the Sexual Harassment Complaint Resolution Procedure. All matters involving academic or administrative decisions that interfere with the graduate student’s academic progress are under the exclusive jurisdiction of the Graduate Appeals Procedure.

Complaints involving sexual harassment that are brought pursuant to the Sexual Harassment Complaint Resolution Procedures may be brought within the time frames indicated in those procedures.

II. FORMAL APPEAL PROCEDURE

A. Content of the Formal Appeal
Complaints under the Formal Appeals Procedure must be initiated by a written statement indicating the action(s) being appealed and the date(s) the action(s) occurred, the grounds upon which the appeal is based, and the relief requested. The written statement may include a request for a personal appearance before the investigative officer, if desired, and notice to the Graduate Division if the student bringing the appeal will be represented by counsel or other representative. The written statement should also include a description of the results of the unit level informal resolution process, and any background information that the student deems pertinent to the case.

B. Grounds for Formal Appeal
A formal appeal may be brought if based upon one or more of the following grounds which had material impact on the student’s academic standing or credit for research:

  1. Procedural error or violation of official policy by academic or administrative personnel;
  2. Judgments improperly based upon non-academic criteria including, but not limited to, discrimination or harassment on the basis of race, color, national origin, religion, sex, disability, age, medical condition (cancer related), ancestry, marital status, citizenship, sexual orientation, or status as a Vietnam-era veteran or special disabled veteran;
  3. Special mitigating circumstances beyond the student’s control not properly taken into account in a decision affecting the student’s academic progress.

C. Time Frames for Formal Appeal
If the action being appealed originated within the student’s major department, school, college or graduate group, the formal written appeal must be received in the Office of the Dean of the Graduate Division within fifteen days of the notification of the result of the unit level resolution process.

If the action being appealed originated with the Graduate Division or the Administrative Committee of the Graduate Council, the written appeal must be received in the Office of the Dean of the Graduate Division within thirty days from the time the student knew or could reasonably be expected to have known of the action being appealed, or within fifteen days of the notification of the result of the informal resolution process if the student attempted informal resolution through the Graduate Division.

If the action being appealed was investigated pursuant to the Sexual Harassment Complaint Resolution Procedures, the written appeal must be received in the Office of the Dean of the Graduate Division within fifteen days of the notification of the result of the sexual harassment complaint resolution process.

The Formal Appeal should generally be concluded within ninety days of the date it was received by the Office of the Dean of the Graduate Division.

D. Procedure for Processing Formal Appeals
For complaints regarding actions originating within the student’s major department, school, college, or graduate group, the Dean of the Graduate Division may:

  1. conduct the investigation and make a decision for final action; or,
  2. assign an Associate Dean, an ad hoc committee or another campus official to conduct the investigation and make a recommendation to the Dean for final action; or,
  3. refer the case to the Administrative Committee of the Graduate Council (which the Dean chairs) to conduct the investigation and either make a decision regarding final action or make a recommendation to the Dean for final action, depending on the nature of the complaint and relief requested. (See section II. F.)

For complaints regarding actions originating with the Graduate Division, or the Dean of the Graduate Division, the appeal will be referred to the Administrative Committee of the Graduate Council for final action in all matters. For complaints regarding actions by the Dean of the Graduate Division, the Dean will be excused from serving as chair of the Administrative Committee. In such cases, the Chair of the Graduate Council, who is also the Vice Chair of the Administrative Committee, will be in charge of the Administrative Committee’s investigation and final action.

The Graduate Division will notify the student regarding which individual or committee will be in charge of processing the Formal Appeal within 15 days of the receipt of the written statement initiating the Formal Appeal.

E. Investigation of Formal Appeals
All Formal Appeals will be investigated according to the following procedures. Nothing in these procedures shall be interpreted as precluding further attempts at informal resolution before a final decision is made.

The individual or committee in charge of the investigation will:

  1. consult with the appropriate campus compliance officer regarding all complaints that include allegations of discrimination or harassment on the basis of sex, race, national origin, color, age, religion, sexual orientation, or disability (see section IV.C.);
  2. forward a copy of the complaint to the individual(s) complained of and ask them to provide written responses within twenty days of receipt (the written responses should include notice to the University if the respondents wish to be represented by counsel or other representative);
  3. forward a copy of the responses to the student bringing the complaint;
  4. arrange for a personal appearance by the student if the student requested a personal appearance in the written statement initiating the complaint;
  5. obtain any other relevant information from other individuals or sources available, including arranging for personal appearances of witnesses as necessary;
  6. prepare a written report setting forth the factual findings of the investigation, and either the final decision made, or the recommendation for the final decision to be made.

The Dean of the Graduate Division or the Administrative Committee of the Graduate Council shall notify the student of the final decision on the Formal Appeal within ninety days of the receipt of the written statement initiating the complaint.

F. Final Decision

  1. Decisions by the Graduate Dean.
    The decision of the Dean of the Graduate Division is final in all complaints pertaining to the following where the complaint originated within the student’s major department, school, college or graduate group:

    • Readmission to graduate standing
    • Petition for change of major
    • Changes in program
    • Academic probation
    • Academic dismissal
  2. Decisions by the Administrative Committee.
    The decision of the Administrative Committee is final in all complaints concerning the following:

    • Composition of committees for higher degrees
    • Results of examinations for higher degrees (including special departmental examinations and Master’s projects submitted in lieu of the comprehensive examination)
    • Acceptability of dissertations and theses
    • Actions to lapse or terminate candidacy
    • Complaints under this procedure regarding actions originating with the Graduate Division
    • All other matters pertaining to the formal requirements for advancement to candidacy and the award of higher degrees except those enumerated above as falling under the Dean’s jurisdiction.

Decisions by the Administrative Committee are not, however, meant to limit the Dean of the Graduate Division’s ability to take additional appropriate action within decanal authority (except in cases regarding actions originating with the Dean). For example, the Dean could readmit or allow a change of major to a student whose failure on a qualifying examination had been upheld by the Administrative Committee.

III. RECONSIDERATION

A. Grounds
Students may request reconsideration of a decision made by the Dean of the Graduate Division or the
Administrative Committee on the following grounds only:

  1. New evidence is discovered which was not available by duly diligent effort at the time the decision was made and which materially affects the outcome of the case; or,
  2. There is evidence that the Graduate Appeal Procedures described herein were not followed and the failure to follow the procedures resulted in a decision adverse to the student.

B. Procedure and Time Frame for Reconsideration
Students must submit their request for reconsideration in writing to the Office of the Dean of the Graduate Division. The request must be received within thirty days following the date of the notification to the student of the final decision on the Formal Appeal. The Dean or Administrative Committee will notify the student of the final decision concerning the request for reconsideration within thirty days after the request is received.

IV. OTHER INFORMATION

A. Personal Appearance

  1. Scope.
    Students bringing complaints under the Formal Appeal process have the right to a personal appearance before the individual or committee in charge of the investigation. The scope of the personal appearance shall be limited to matters that were raised by the written complaint or the responses that are within the jurisdiction of this procedure.
  2. Notice.
    The Graduate Division shall provide the student with fifteen days notice of the time and place of the personal appearance. If the student wishes to be represented by counsel or other representative, the student must notify the Graduate Division in writing at least ten days prior to the date of the personal appearance. The notice should include the name and title of the counsel or representative. This notice will constitute an authorization for the Graduate Division to send the representative copies of relevant student records.

B. Time Frames
All time frames referred to in this procedure refer to calendar days. Summer and inter-semester recesses are not included within these time frames. The Graduate Dean may extend time limits for good cause upon notice to all parties involved in the appeal.

C. Campus Compliance Officers
The campus compliance officers to be consulted pursuant to section II.B.1 are listed below. The names, phone numbers, and campus addresses of these individuals are listed in various campus publications and may be obtained from the Office of the Dean of the Graduate Division or the Academic Compliance Office at (510) 642-2795.

V. OTHER COMPLAINT PROCEDURES

A. Informal Resolution
The Office of the Ombudsman for Students may be able to provide informal assistance, as a neutral party, toward the resolution of the problem. The Associate Deans of the Graduate Division also may be consulted for informal resolution at any stage of the process.

B. Articulation with Other Campus Procedures

  1. Guidelines.All graduate student complaints that include allegations of interference with academic progress must be brought under the Graduate Appeals Procedure. Once a graduate student has brought a complaint under the Graduate Appeals Procedure, he or she may not bring the same complaint under any other campus appeal or grievance procedure, unless there has been a determination on the Graduate Appeal that the complaint is outside the scope of the Graduate Appeals Procedure. The only exception to this guideline is for complaints including allegations of sexual harassment which may be brought under the Campus Policy on Sexual Harassment and Complaint Resolution Procedures prior to the Graduate Appeals Procedure.

    Graduate students may have complaints regarding University actions that do not fall within the jurisdiction of the Graduate Appeals Procedure. The list below indicates other complaint procedures available to graduate students for issues that are outside the scope of this procedure.

    If a graduate student brings a complaint under a procedure other than the Graduate Appeals Procedure, and the complaint is investigated and a decision is made, a complaint regarding the same facts may not be brought again under the Graduate Appeals Procedure unless there are subsequent events that give rise to allegations of interference with academic progress, or unless the complaint was brought initially under the Sexual Harassment Policy.

    For these limited situations where a complaint may be brought under the Graduate Appeals Procedure after it was brought under another campus complaint procedure, the issues investigated in the first procedure will not be reinvestigated pursuant to the Graduate Appeals Procedure. Rather, the Graduate Appeals Procedure will provide a decision with regard to the allegations of interference with academic progress based on the factual findings of the prior procedure.

  2. Other Campus Complaint Procedures.Berkeley Campus Student Grievance Procedure: This procedure should be used for graduate student complaints alleging discrimination based upon race, color, national origin, sex, disability, age, sexual orientation, or inappropriate application of University rules or policies resulting in injury to the student, provided that the complaint does not allege that the discrimination or misconduct interfered with the graduate student’s academic progress.

    Berkeley Campus Policy on Sexual Harassment and Complaint Resolution Procedures: This procedure should be used for graduate student complaints of sexual harassment where the complaint does not allege interference with academic progress. This procedure may be used to attempt informal resolution of sexual harassment complaints prior to bringing the complaint under the Graduate Appeals Procedure in cases where the complaint does include allegations of interference with academic progress.

    Berkeley Campus Policy for Accommodating the Academic Needs of Students with Disabilities: This procedure should be used for graduate student complaints about the provision of appropriate academic accommodations in classes or research in which the student with disabilities is currently participating. Complaints about the provisions of appropriate academic accommodations in classes or research in which the student is no longer participating should be brought under the Graduate Appeals Procedure.

    Berkeley Campus Policy Governing Disclosure of Information from Student Records: This procedure should be used for complaints regarding access to student records and for complaints alleging that student records are inaccurate, misleading, inappropriate or otherwise maintained in violation of student rights to privacy.

    Regulation A207 of the Berkeley Division of the Academic Senate: This procedure should be used for complaints regarding grades in courses of instruction that are based on the application of non-academic criteria.

    Academic Personnel Manual Section 140—Non-Senate Academic Employee Grievance Procedure:

    This procedure should be used for grievances arising out of graduate student employment.

    Academic Rules: University of California at Berkeley School of Law: These rules must be used by Juris Doctor students in the School of Law who are appealing academic disqualification or the terms of probation.

C. Campus Disciplinary Procedures
Complaints brought under the Graduate Appeals Procedure may include allegations of serious misconduct by University students, staff or faculty. Neither the Dean of the Graduate Division nor the Administrative Committee of the Graduate Council has jurisdiction under these procedures to impose discipline in cases of alleged misconduct. In such cases, the aspects of the case that fall within this procedure will be resolved.

Any allegations of student, staff, or faculty misconduct will be referred to the appropriate disciplinary procedure for investigation and action where warranted.

University of California at Berkeley Code of Student Conduct: This contains the University guidelines on student conduct and student disciplinary procedures.

Academic Personnel Manual Section 015: This contains the University policy on Faculty Conduct and the Administration of Discipline, including the Faculty Code of Conduct Staff Personnel Policy, Administrative and Professional Staff Program Policy, Management and Professional Program Policy, Executive Program Policy and Collective Bargaining Agreements: Each of these documents contains conduct guidelines and disciplinary procedures for University employees in these programs.

Guidelines Relating to Misconduct in Science: This document issued by the Chancellor’s Office describes procedures for investigating allegations of scientific misconduct.

OTHER CAMPUS DOCUMENTS PERTAINING TO STUDENTS’ GRIEVANCES AND APPEALS

  1. Berkeley Campus Student Grievance Procedure (included as Appendix III of Regulations Implementing Systemwide Policies Applying to Campus Activities, Organization, and Students)General grievance procedure covering discrimination on the basis of race, color, national origin, sex, handicap, age, and sexual preference, and the inappropriate application of campus rules and policies.
  2. Plan for Accommodating the Academic Needs of Students with Disabilities

    Describes role of various offices to ensure that students with disabilities receive appropriate accommodations in their instructional activities.

  3. Regulations of the Berkeley Academic Senate, Regulation A207Covers the appeal of grades received in courses of instruction.
  4. Academic Personnel Manual, Section 140, Non-Senate Academic Employee Grievance Procedure
  5. Berkeley Campus Policy on Sexual HarassmentCovers complaints of sexual harassment by campus employees.
  6. By-laws of the Statewide Academic Senate, Appendix II, “Professional Conduct and Faculty
    Discipline and Disciplinary Procedures for the Berkeley Campus”
    Covers complaints of misconduct on the part of University faculty.
  7. Policy Governing Disclosure of Information from Student RecordsCovers confidentiality of student records, rights of access, and procedures for correcting the content of
    such records.

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Procedures for Master's Students

Thesis Filing Guidelines (for Master’s Students)

Background

Filing your master’s thesis 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 the Graduate Division submits your manuscript to the University Library.

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.

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 site athttp://www.grad.berkeley.edu/policies/degrees_office.shtml 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

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 thesis 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 thesis in its final form is the last day of the semester for your degree to be awarded as of that semester. If you file in the summer, you will have a December degree date.

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.

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).

Yes! The first page of your abstract and the first page of your main text both start with ‘1’

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.

Special Page Formats

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

Organizing your Manuscript

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

Procedure for Filing your Thesis

After you have written your thesis, formatted it correctlyassembled the pages into the correct organization, and obtained your signatures, you are ready to file it with UC Berkeley’s Graduate Division.

  1. Step 1: Convert your thesis to a standard PDF file.
  2. Step 2: Print and sign the Thesis Release Form (http://grad.berkeley.edu/policies/pdf/masters_release.pdf)
  3. Step 3: Email your thesis as an attachment to edegrees@berkeley.edu.  Put your full name in the subject line. NOTE: DO NOT SUBMIT A DRAFT. Once your thesis has been submitted, you will not be allowed to make changes. Be sure that it is in its final form!
  4. Step 4: The Degrees Office staff will review your submission and if everything is in order, you will receive an email stating that it has been approved. If you need to make changes, you will be given the opportunity and will need to re-send a  revised PDF.
  5. Step 5:Submit the following final documents to the Graduate Degrees Office at 318 Sproul Hall:
    • Your signed approval page.
    • Your signed Thesis Release Form (http://grad.berkeley.edu/policies/pdf/masters_release.pdf)
    • * 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.

Please note that all documents should be submitted together (e.g we will not accept lone signature pages!)

A Note on Deadlines

You must upload your electronic thesis AND bring your final documents to 318 Sproul Hall before 4pm on the last day of the term. We can not provide a receipt of filing until your thesis has been reviewed and accepted (which can take up to 3 normal business days), but you will get credit for the date of first submission.

Permission to Include Previously Published or Co-Authored Material

If you plan more than incidental use of your own previously published or co-authored material in your thesis — a practice common in the sciences and engineering and sometimes followed in other fields—you must request permission to do so from the Dean of the Graduate Division, in care of the Graduate Services Degrees Office, 318 Sproul Hall, at least three weeks prior to filing.

Ask your thesis chair to review the material and to determine whether your work is comparable to all or part of a thesis carried out under the supervision of a member of the Berkeley faculty. If your chair determines that is the case, the chair must write a letter of endorsement that is sent, with a copy of the previously published or co-authored material, to the Graduate Division, Graduate Services: Degrees, 318 Sproul Hall. If the material was co-authored, you must also obtain statements from each co-author granting you permission to use and reproduce the material as part of your thesis.  Emails giving permission will be accepted. If the Dean has concerns about the appropriateness or the amount of material to be used, the Dean will refer the request to the Administrative Committee of the Graduate Council for a decision. Requests to use work done prior to graduate enrollment at Berkeley will not be considered.

Click here for a template letter that should be used.

If inclusion of previously published, co-authored material is approved, the published material must be incorporated into a larger argument that binds together the whole thesis. The common thread linking various parts of the research, represented by individual papers, must be made explicit, and you must join the papers into a coherent unit.  You are required to prepare introductory, transitional, and concluding sections.  As a matter of courtesy, give credit to the publisher.

Use of Copyrighted, Previously Published Material

The shelving of your manuscript in the University Library constitutes a form of publication.  Because of this, it is your responsibility to obtain permission to include copyrighted material in your manuscript.  This includes most journal articles and books, unless you are the owner of the copyright

Use of copyrighted works in your thesis without securing permission and without paying royalties is permissible only when the circumstances amount to what the law calls “fair use.” This doctrine of fair use has been codified in section 107 of the copyright act (title 17, U.S. Code).   Section 107 contains a list of the various purposes for which the reproduction of a particular work may be considered “fair,” such as criticism, comment, news reporting, teaching, scholarship, and research.

The Library of Congress Web site (http://www.copyright.gov/fls/fl102.html) states that Section 107 also sets out four factors to be considered in determining whether or not a particular use is fair:

  1. the purpose and character of the use, including whether such use is of commercial nature or is for nonprofit educational purposes;
  2. the nature of the copyrighted work;
  3. amount and substantiality of the portion used in relation to the copyrighted work as a whole; and
  4. the effect of the use upon the potential market for or value of the copyrighted work.

Instances of quotations that exceed fair use require permission of the copyright owner.

Inclusion of 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 thesis. Include introductory, transitional, and concluding sections with the papers or essays.

Withholding Your Thesis

Occasionally, there are unusual circumstances in which you prefer that your thesis 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 or institutions before professional ethics would permit.

The Dean of the Graduate Division may permit the thesis to be held without shelving for a specified and limited period of time beyond the default, under substantiated circumstances of the kind indicated and with the endorsement of and an explanatory letter from the chair of the thesis committee.  If you need to request that your manuscript be withheld, please consult with the chair of your committee, and have him or her submit a letter requesting this well before you file for your degree. The memo should be addressed to the cognizant Associate Dean, in care of Graduate Services: Degrees, 318 Sproul Hall.

Changes to a Thesis 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 thesis committee submit a memo to the cognizant Associate Dean, in care of Graduate Services: Degrees, 318 Sproul Hall.  The memo must describe in detail the specific changes requested and must justify the reason for the request.  If the 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 thesis 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 are shipped to the University Library.

Diploma, Transcript, and Certificate of Completion

Posting the Degree to Your Transcript

Your degree will be posted to your transcript approximately 3 months after the conferral date of your degree.  You can order a transcript from the Office of the Registrar (http://registrar.berkeley.edu/Records/transcripts.html).

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 Web site (http://registrar.berkeley.edu/Records/diplomas.html).  You can obtain your diploma in person at the Office of the Registrar, 120 Sproul Hall, or submit a form to have it mailed to you. Unclaimed diplomas are retained for a period of five (5) years only, after which they are destroyed.

Certificate of Completion

If you require evidence that you have completed your degree requirements prior to the degree being posted to your transcript, complete a “Request a Certificate of Completion” form (http://www.grad.berkeley.edu/policies/pdf/certificate_completion.pdf) and submit it to Graduate Services: Degrees, 318 Sproul Hall #5900, Graduate Division, UC Berkeley, Berkeley, CA  94720-5900.

Please note that we will not issue a Certificate of Completion after the degree has been posted to your transcript.

Appendix A: Common Mistakes

Appendix B: Mixed Media Guidelines

In May, 2005, the Graduate Council established new guidelines for the inclusion of mixed media content in theses.  It was considered crucial that the guidelines allow theses s 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 thesis 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 thesis 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 thesis (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). Clearly label the CD, DVD, audiotape, or videotape with your name, major, thesis title, and information on the contents. Only one copy is required to be filed with your thesis.  A second copy should be left with your department.

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:

Category B:

Category C:

Category D:

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.

Appendix C: Frequently Asked Questions

Eligibility

Q1: Can I file my thesis during the summer?

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

1)     Register for at least 3.0 through Berkeley Summer Sessions. With this option, you can file any time before the summer deadline (http://grad.berkeley.edu/policies/degree_filing_deadlines.shtml)

2)     Apply for Filing Fee. If you are eligible, you will be placed on Filing Fee status for the Fall semester. While on this status, you will be allowed to file during the summer.

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 3.0 units). 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: No. Any student that files after the spring deadline in May, will receive a fall degree. If you file during the summer, remember to write “Fall” on your title page!

 

Formatting

Q1: I’ve seen other theses 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. (http://grad.berkeley.edu/policies/guides/thesis-filing/)

Q2: I want to make sure that my thesis 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 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: The signature page can be on regular paper.

Process

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

A1: Your thesis will be emailed to the Graduate Division, which can obviously be done from anywhere there is an internet connection. You will also need to submit the remaining documents (signature page and release form). Most students who are unable to bring these to our office in person will have a friend or colleague drop them off instead. Barring that, it is acceptable to mail your documents to our office. However, it would be prudent to use a trackable courier service (like FedEx, DHL, etc) as regular mail may be unreliable. Furthermore, the documents must be received in our office by the stated deadline (not postmarked). Extensions will not be granted for transit delays.

Q2: Can I have a friend file my thesis for me?

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

Q3: What’s a Receipt of Filing? Do I need one?

A3: The Receipt of Filing is an official document that we produce that certifies that you have successfully filed your thesis 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 thesis. Many students simply keep the receipt as a memento. Picking up your receipt is not required.

Q4: What’s the difference between a Receipt of Filing and a Certificate of Completion?

A4: A Receipt of Filing is automatically produced for all students upon successful filing of their thesis. However, it only certifies that the thesis has been accepted. The Certificate of Completion must be requested (http://grad.berkeley.edu/policies/forms.shtml). It will state that all requirementshave 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).

Q5: How to I know if I’m eligible for a Certificate of Completion?

A5: In order to be eligible to receive a Certificate of Completion, you must:

1) Successfully file your thesis

2) Have a Final Report on file. Departments sign off on a document called the Final Report which certifies that you have completed all departmental requirements.

3) Pay all of your registration fees. If you have a balance on your CARS account, we will be unable to provide a Certificate of Completion.

Q6: 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?

A6: If you’re research protocol has changed since you advanced to candidacy for your degree, you’ll need to ask you thesis chair to write a letter to the Graduate Division explaining the change. It would be best to submit this in advance of filing.

Q7: My thesis uses copyrighted or previously published material. How to I get approval?

A7:: Read the relevant section in the thesis filing guide carefully. There is a template letter for permission from co-authors available. You must submit this documentation to the Graduate Degrees Office in advance of when you intend to file. Do not wait until the last minute!

Q8: Can my co-author email his or her permission for inclusion of this material?

A8: Yes. It is better to use the provided form/template, but if they are unable to sign, an email is acceptable.

Q9: I found a typo in my thesis that has already been accepted! What do I do?

A9: Once a thesis has been submitted and accepted, no further changes will be permitted. Proofread your document carefully. Do not submit a draft. In extreme circumstances, your thesis chair may write a letter to the Graduate Division requesting additional changes to be made.

Q10: Oh no! A serious emergency has caused me to miss the filing deadline! What do I do? Are extensions ever granted?

A10: 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.

 

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Finishing up

Dissertation Filing Guidelines (for Doctoral Students)

These guidelines are for doctoral students only. If you are pursuing a master’s degree, please see the Thesis Filing Guide. The process is different!

*CLICK HERE for the Doctoral Students Filing Checklist!(PDF) *

 

 

Contents

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 the Graduate Division submits your manuscript to the University Library and ProQuest’s UMI Dissertation Publishing Service.Dissertations are published in the UC Berkeley Library and at ProQuest/UMI approximately 6 months after a the 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 and based on the publication standards of ProQuest. 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 site at http://www.grad.berkeley.edu/policies/degrees_office.shtml 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

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. If you file in the summer, you will have a December degree date.

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.

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).

  • Do not count or number the title page, the approval (signature) 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’

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.

Special Page Formats

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

Organizing your manuscript

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

Please do not include an approval/signature page in your electronic document.

Procedure for filing your dissertation

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

  1. Step 1: Convert your dissertation in to a standard PDF file.
  2. 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!
  3. 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.
  4. Step 4:Complete 2 surveys:
    1. The online Survey of Earned Doctorates (https://survey.norc.org/doctorate/). Print out the receipt to verify your completion.
    2. The Survey of Doctoral Students’ Opinions (http://www.grad.berkeley.edu/policies/pdf/doctoral_survey.pdf). Print out the completed survey.
  5. Step 5: Submit the following final documents to the Graduate Degrees Office at 318 Sproul Hall.
    • Your signed approval page (may be printed on normal paper)
    • 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.
    • Completed Survey of Doctoral Students’ Opinions
    • Receipt from the Survey of Earned Doctorates.
    • Dissertation Release Form (http://www.grad.berkeley.edu/policies/pdf/dissertation_release.pdf). Note that if you chose to embargo your dissertation, you will not receive any copies you order until the embargo is lifted.

    If you wish, you may have a friend or colleague submit these required documents on your behalf. Please note that all documents should be submitted together (e.g we will not accept lone signature pages!)

A Note on Deadlines

You must your upload your electronic dissertation AND bring your final documents to 318 Sproul Hall before 5pm on the last day of the term. We can not provide a receipt of filing until your dissertation has been reviewed and accepted (which can take up to 3 days), but you will get credit for the date of first submission.

Permission to Include Previously Published or Co-Authored Material

If you plan more than incidental use of your own previously published or co-authored material in your dissertation or thesis — a practice common in the sciences and engineering and sometimes followed in other fields — you must request permission to do so from the Dean of the Graduate Division, at least three weeks prior to filing.

Ask your dissertation chair to review the material and to determine whether your work is comparable to all or part of a dissertation or thesis carried out under the supervision of a member of the Berkeley faculty. If your chair determines that is the case, the chair must write a letter of endorsement that is sent, with a copy of the previously published or co-authored material, to the Graduate Division, Graduate Services: Degrees, 318 Sproul Hall. If the material was co-authored, you must also obtain statements from each co-author granting you permission to use and reproduce the material as part of your dissertation. Emails giving permission will be accepted. If the Dean has doubts about the appropriateness or the amount of material to be used, the Dean will refer the request to the Administrative Committee of the Graduate Council for a decision. Requests to use work done prior to graduate enrollment at Berkeley will not be considered.

Click here for a template letter that should be used.

If inclusion of previously published, co-authored material is approved, the published material must be incorporated into a larger argument that binds together the whole dissertation or thesis. The common thread linking various parts of the research, represented by individual papers, must be made explicit, and you must join the papers into a coherent unit. You are required to prepare introductory, transitional, and concluding sections. As a matter of courtesy, give credit to the publisher.

Use of Copyrighted, Previously Published Material

The shelving of your manuscript in the University Library, and, for dissertations, the availability of the manuscript from UMI (ProQuest) Dissertation Publishing, constitutes a form of publication. Because of this, it is your responsibility to obtain permission to include copyrighted material in your manuscript. This includes most journal articles and books, unless you are the owner of the copyright. The agreement form you sign with ProQuest specifically absolves it of any such responsibility.

Use of copyrighted works in your dissertation without securing permission and without paying royalties is permissible only when the circumstances amount to what the law calls “fair use.” This doctrine of fair use has been codified in section 107 of the copyright act (title 17, U.S. Code). Section 107 contains a list of the various purposes for which the reproduction of a particular work may be considered “fair,” such as criticism, comment, news reporting, teaching, scholarship, and research.

The Library of Congress Web site (http://www.copyright.gov/fls/fl102.html) states that Section 107 also sets out four factors to be considered in determining whether or not a particular use is fair:

  1. the purpose and character of the use, including whether such use is of commercial nature or is for nonprofit educational purposes;
  2. the nature of the copyrighted work;
  3. amount and substantiality of the portion used in relation to the copyrighted work as a whole; and
  4. the effect of the use upon the potential market for or value of the copyrighted work.

Instances of quotations that exceed fair use require permission of the copyright owner.

A statement from the copyright owner giving you permission to use the material must be submitted with the dissertation. This permission letter must state that the copyright owner is aware that ProQuest may supply single copies upon request and may proceed under the contract on the agreement form. This statement should be attached to the ProQuest form. Once your dissertation reaches ProQuest offices, staff members prepare it for publication and identify substantial uses of copyrighted materials that may need permission. You may contact ProQuest to inquire about any aspect of the review and the possible need for copyright permissions at (800) 521-0600, ext. 7020.

Inclusion of 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.

Withholding Your Dissertation

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 is done when the Graduate Division submits your manuscript to the University Library and ProQuest/UMI.

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 or institutions before professional ethics would permit.

The Dean of the Graduate Division may permit the dissertation to be held without shelving for a specified and limited period of time. An embargo of up to 2 years can be indicated on the Dissertation Release Form. Embargoes beyond 2 years must be requested under substantiated circumstances of the kind indicated above and with the endorsement of and an explanatory letter from the chair of the dissertation committee. If you need to request that your manuscript be withheld, please consult with the chair of your committee, and have him or her submit a letter requesting this well before you file for your degree. The memo should be addressed to the Associate Dean and sent to Graduate Services: Degrees, 318 Sproul Hall.

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 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.  If the 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.

Diploma, Transcript, and Certificate of Completion

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 (http://registrar.berkeley.edu/Records/transcripts.html).

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 Web site (http://registrar.berkeley.edu/Records/diplomas.html). 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.

Certificate of Completion

If you require evidence that you have completed your degree requirements prior to the degree being posted to your transcript, complete a “Request a Certificate of Completion” form (http://www.grad.berkeley.edu/policies/pdf/certificate_completion.pdf) and submit it to Graduate Services: Degrees, 318 Sproul Hall #5900, Graduate Division, UC Berkeley, Berkeley, CA  94720-5900.

Please note that we will not issue a Certificate of Completion after the degree has been posted to your transcript.

Appendix A: Common Mistakes

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:

Category B:

Category C:

Category D:

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.

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 3.0 through Berkeley Summer Sessions. With this option, you can file any time before the summer deadline (http://grad.berkeley.edu/policies/degree_filing_deadlines.shtml)

2)     Apply for Filing Fee. If you are eligible, you will be placed on Filing Fee status for the Fall semester. While on this status, you will be allowed to file during the summer.

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 3.0 units). 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: No. Any student that files after the spring deadline in May, will receive a fall degree. If you file during the summer, remember to write “Fall” on your title page!

 

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. (http://grad.berkeley.edu/policies/guides/dissertation-filing/) 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: No. Regular printer paper is fine for the signature page, as long as it follows the specified format.

 

Process

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

A1: Your manuscript will be uploaded to the ProQuest website, which can obviously be done from anywhere there is an internet connection. You will also need to submit the remaining documents (signature page, surveys, and release form). Most students who are unable to bring these to our office in person will have a friend or colleague drop them off instead. Barring that, it is acceptable to mail your documents to our office. However, it would be prudent to use a trackable courier service (like FedEx, DHL, etc) as regular mail may be unreliable. Furthermore, the documents must be received in our office by the stated deadline (not postmarked). Extensions will not be granted for transit delays.

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 3 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 submitted the remaining forms to the Graduate Degrees Office at 318 Sproul Hall. 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 3 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 3 business days review your submission and, if everything is acceptable, provide you a Receipt of Filing.

Q5: Can I bring in my signature page and other materials before I upload my dissertation?

A5: Yes. We won’t be able to finalize your filing both your paperwork has been turned in and your dissertation uploaded, 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 Completion must be requested (http://grad.berkeley.edu/policies/forms.shtml). 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 to 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:

1) Successfully file your dissertation (your online submission accepted as well as paperwork turned in)

2) Have a Final Report on file. Departments sign off on a document called the Final Report which certifies that you have completed all departmental requirements. Most departments sign the Final Report when a student advances to candidacy, but a few will only sign after a dissertation is filed.

3) Pay all of your registration fees. If you have a balance on your CARS account, we will be unable to provide a Certificate of Completion.

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 you’re 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 to I get approval?

A10: Read the relevant section in the dissertation filing guide carefully. There is a template letter for permission from co-authors available. You must submit this documentation to the Graduate Degrees Office in advance of when you intend to file. Do not wait until the last minute!

Q11: Can my co-author email his or her permission for inclusion of this material?

A11: Yes. It is better to use the provided form/template, but if they are unable to sign, an email is acceptable.

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.

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Survey of Earned Doctorates (SED)

The National Opinion Research Center (NORC) is a national organization for research at the University of Chicago. Supported by the National Science Foundation and five other federal agencies, NORC is responsible for the Survey of Earned Doctorates (SED). The SED gathers information annually from over 40,000 new U.S. research doctorate graduates about their educational histories, funding sources, and post-doctoral plans. Each year the SED data are added to a larger historical record of doctorate-degree graduates, the Doctorate Records File (DRF). Begun in 1920, the DRF contains annual information used to track the number of graduates in various fields; the educational paths of scientists, engineers, and humanists; movement of graduates into the labor market; and similar information.

When you file your dissertation, we will require that you also submit a completed Survey of Earned Doctorates form. You can obtain the form from the NORC website or at the Graduate Degrees office. Please choose the survey that corresponds with the date that you will be receiving your doctoral degree.

Doctoral Student Exit Survey

What was your graduate experience at Berkeley like? Your answers to this short and confidential questionnaire will help us improve the quality of graduate education at Berkeley. Completed surveys can be mailed or hand-delivered to the Graduate Degrees office.

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Publishing Your Dissertation

Your doctoral dissertation is a published work that announces the results of your research. The University of California holds to the tradition that you have an obligation to make your research available to other scholars. This obligation is met when the Graduate Division submits your dissertation to the University Library to be bound and shelved for public use.


ProQuest Dissertation Publishing Agreement Form and Copyright Information

We will also submit your dissertation to ProQuest Dissertations Publishing so that is available to interested persons. The University pays the charge for this service. ProQuest keeps a master microfilm of your dissertation, includes your dissertation in its Web-based digital library, and produces copies upon request. You must complete and sign the agreement form with ProQuest. Instructions on how to access the ProQuest forms and information online are given below.

On the agreement form specify the title and subject category of your dissertation. These subjects are used to categorize your abstract in Dissertation Abstracts International and to index and retrieve the bibliographic reference to your dissertation in ProQuest’s database.

Withholding Your Dissertation

Occasionally, there are unusual circumstances under which you may want to withhold your dissertation from publication. Such circumstances include:

To request that your dissertation be withheld for substantiated circumstances of the kind listed above, write a letter to the Dean of the Graduate Division stating the circumstances and the time frame, requesting that the dissertation be withheld from publication. Obtain a written endorsement of your request from the chair of your dissertation committee. Submit the request and endorsement to Graduate Degrees, 302 Sproul Hall, 2-3 weeks prior to the time you plan on filing your dissertation. You must have received a decision on your request prior to filing your dissertation.

Access the ProQuest Forms on the Web

Please read the note below on the fee increase before proceding. To access the ProQuest forms and information, enter the following information after accessing the ProQuest website:

Username: dissertations
Password: publish

This will take you to the forms and ProQuest information booklet and forms for you to print.

Copyright Registration

ProQuest will also apply for registration of a claim of U.S. copyright on your behalf if you want it to. If you choose this service, you must bring a certified check or money order to pay for this service. Make sure that the certified check or money order does not have an expiration date. ProQuest cannot process the check until they have your dissertation in hand. We send the dissertations to ProQuest only after the Academic Senate has made the final vote on the degree lists each year. This occurs in early September for spring degrees and March for fall degrees. Follow the directions in the ProQuest booklet for the payee and the amount.

Note: There has been an increase in copyright filing fees charged by the U.S. Library of Congress Copyright Office. The 50% increase goes into effect on July 1, 2006, and consequently, ProQuest will increase the price of their copyright registration service. Their service includes the fee paid to the U.S. Copyright Office, plus their costs for administering the process. The new charge is $65.00 to have UMI handle copyright registration, ensuring a quick turn-around and an intermediary in case of missing documents, errors, and lost applications.

Please access the ProQuest forms and information at the ProQuest website.

Relevant Policies

For more information, see applicable policies in the Guide to Graduate Policy:

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02/2002 MEMO: Service on Qualifying Examination Committees

Office of the Dean
Graduate Division
University of California, Berkeley

February 2002

To: Chairs and Members of Qualifying Examination Committees
From: Mary Ann Mason, Dean, Graduate Division
Subject: Service on Qualifying Examination Committees

Enclosed with this letter is a copy of a “Policy Statement Approved by the Graduate Council Regarding Qualifying Examinations for the Doctoral Degree,” which I urge you to read carefully. I hope you will keep the points addressed in mind as you participate in future examinations. I would like to remind you also that the Qualifying Examination should be designed, among other things, to reveal the extent of the student’s knowledge in terms of breadth, depth, and sophistication of reasoning. The examination should also give the student an opportunity to demonstrate his or her ability to synthesize the factual information and training in techniques learned through course work and seminar research. It is not to be concerned solely with the dissertation prospectus. Based on the student’s performance, the faculty should determine whether the candidate is ready to enter the research phase of graduate studies.

It is the Chair’s responsibility to insure that the examination is handled fairly. The Chair should do all in her or his power to put the student at ease in the oral examination, perhaps by asking a few general questions of a personal or professional nature before the questions concerning formal fields of knowledge begin. Also, it is our tradition that the committee ordinarily allows the candidate to state a preference for the order in which the subject areas will be discussed. Should it become necessary for the committee to discuss the progress of the examination in the student’s absence, an explanation should be given to alleviate undue concern.

That all members of the examining committee be present for the entire examination is obligatory. Non-voting observers who are members or visiting members of the faculty may be invited or not, upon the unanimous consent of the committee and the candidate. At times, the mere presence of a faculty member who knows the candidate well but who does not participate in the examination may be a strong source of support for the student.

The purpose of these suggestions is to continue our efforts to humanize an inherently difficult examination without lowering standards. Ideally, the examination should be a source of genuine satisfaction for all parties concerned. Failure is unavoidable in some cases, but serious frictions can, for the most part, be averted. In summary, I am most concerned that the student be given a fair examination and that the committee members feel free to express themselves to me personally if they believe that all or part of the examination was not conducted in a fair and reasonable manner.

The student may be recommended for conferral of the Candidate in Philosophy (C.Phil.) degree (which is offered by the department, school, or group) upon successful completion of the Qualifying Examination and formal advancement to candidacy.

Enclosure: Policy Statement
February 2002

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06/1992 MEMO: Policy Statement Approved by the Graduate Council Regarding Qualifying Examinations for the Doctoral Degree

Note: For more information, please see F2.6 Qualifying Examination and F2.9 Qualifying Examination Results.

  1. The Purpose of the Examination. The examiners should satisfy themselves, by unanimous vote, that the student is clearly expert in those areas of the discipline that have been specified for the examination, and that he or she can in all likelihood design and produce an acceptable dissertation. The examination will ordinarily consider a number of studies and points of view and the criteria by which they may be evaluated.Some programs expect students to present a topic for the dissertation as part of the Qualifying Examination (although the examination should not be limited to such a topic). Others do not. In those that do not, students may be expected to have in mind one or two areas from which the dissertation might be developed and to answer questions on its potential significance and possible design.
  2. Scheduling the Examination. The student is advised to confer with the chair when he or she is prepared to set the date of the examination so that necessary arrangements can be made. If the student’s health or personal situation makes it too difficult for him or her to take the examination as scheduled, it is incumbent on the student to make this known before the examination so the chair can arrange for a postponement.
  3. The Oral Component. The oral examination of candidates for the doctorate serves important professional functions. Not only teaching, but the formal interaction with one’s students and colleagues at colloquia, annual meetings of professional societies and the like, often require the ability to synthesize rapidly, organize clearly, and argue cogently in an oral setting. To fulfill his or her professional responsibilities adequately, the holder of the doctorate will frequently be called upon to display these skills, and it is consequently necessary for the University to ensure that a proper examination is given incorporating them. Please note, however, that a possible adjustment may be made on the basis of campus policies for cases in which an otherwise able individual is prevented from meeting an oral requirement by a physical handicap. It is recommended that the Graduate Division be consulted before such adjustments are made.
  4. Responsibilities of the Outside Member. The “outside” member of a Qualifying Examination Committee is responsible for seeing that overall standards of quality and equity appropriate for the award of the doctorate are being met. The Graduate Division relies on the “outside” member for assurance that comparably high and humane standards are being applied in Qualifying Examinations in all degrees programs. In addition, the “outside” member lends “the necessary balance and independence needed to ensure that the student’s mastery of the subject matter is both broad and comprehensive” (Graduate Adviser’s Handbook), and, in some programs, contributes an area of knowledge to a student’s examination topics. Graduate Adviser Chairs should take special care in recommending “outside” committee members to the Dean of the Graduate Division; in the event of a split vote on a Qualifying Examination, the Administrative Committee of the Graduate council will take special cognizance of the view of the “outside” member.
  5. Voting Procedure. Before the examination begins, the chair should remind members of the examining committee about voting procedures, especially new or non-Berkeley faculty members. In order for the student to pass the Qualifying Examination, the committee must vote unanimously for a Pass. Each committee member’s vote should reflect his or her opinion about the overall performance of the candidate, including the candidate’s responses to questions asked by other committee members. For detailed information on adjourned examinations, partial failure, etc., please see the Degrees section of the current Graduate Adviser’s Handbook. When in doubt about procedural matters, please call the Degrees Office in the Graduate Division at 642-7330.
  6. Split Votes. The jurisdiction for ruling on split votes rests with the Administrative Committee of the Graduate Council. Before submitting the results of the Qualifying Examination that eventuated in a split vote, however, the chair should make every effort to bring the committee to a unanimous vote. This may involve extensive discussion among the committee members. If, after adequate discussion, the committee is still split, the chair should ascertain exactly what the areas of disagreement are. Each member of the committee must then write a detailed assessment of the student’s performance for submission to the Administrative Committee. The chair’s letter should outline the progress of the examination itself, the efforts made to come to unanimous agreement, and the remaining areas of disagreement among the committee members, as well as the chair’s own assessment of the student’s performance. Faculty are reminded that such letters could eventually be released to the student under provision of the 1972 Federal Family Educational Rights and Privacy Act, current regulations of the Department of Health and human Services, and elements of California public records legislation. The student is not regarded as having either passed or failed the examination until the decision of the Administrative Committee has been made, and no statement to the student should be made by the members of the examining committee other than that the matter has been sent to the Council’s Administrative Committee for a final decision.

June 1992

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Candidacy Guidelines

University regulations require that as a doctoral student who has been advanced to candidacy you be registered at Berkeley while you are in pursuit of your degree, unless formal withdrawal is granted. If you formally withdraw from the University, whether or not you plan to return, you are not eligible to make use of University facilities, except as a member of the general public. In particular, you have no claim on faculty time. Therefore, it is important that you remain registered during the period when your research and consultation on the writing of your dissertation require substantial faculty time. This applies even if you withdraw temporarily after advancement to candidacy. Only if you have fulfilled these requirements will you be considered eligible for the Filing Fee.

If your research plans change to involve human subjects, you must complete training in human subjects research by taking and passing the online CITI Program, a basic course in the Protection of Human Research Subjects. Before you begin your research, you must have obtained an approved protocol from the Committee for Protection of Human Subjects (510-642-7461).

Make every effort to complete your dissertation within the period of time established for your graduate program. The specific time limits that apply in your case are available from your Graduate Adviser or Graduate Student Affairs Officer (GSAO).

If you do not make reasonable progress toward completion, your candidacy for the degree will be lapsed. If this occurs, candidacy may be reinstated only upon appeal from the Head Graduate Adviser in your department certifying that completion of your dissertation is imminent and that the results of your Qualifying Examination and language examinations are still valid. Reinstatement will be permitted if this appeal is approved by the Graduate Council.

Your candidacy will be terminated two years after lapsing takes place. Termination may also occur when the Qualifying Examination was taken so long ago as to render it invalid as an indication of current knowledge and skills within the discipline. Candidacy may also be terminated if you fail to correct, within the time specified, major deficiencies in your dissertation previously submitted for committee review. Termination represents a form of academic probation more severe than that of lapsing but still short of formal dismissal. In order for candidacy to be restored and probation lifted, you would have to rectify your qualification for the degree. This would require a new qualifying examination, recertification of required languages, and a new application for advancement to candidacy.

For more information, consult the Head Graduate Adviser or Graduate Student Affairs Officer (GSAO) in your department, or the Graduate Division, 302 Sproul Hall.

Resources for your research

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Additional Links

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Links and Resources

Library Material Photoduplication Services

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UC Families Web Resource

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Graduate Appeal Procedure

Graduate Appeal Procedure

(Approved by the Graduate Council, April 27, 1998)

PURPOSE AND SCOPE

The purpose of this procedure is to afford Berkeley graduate students an opportunity to resolve complaints about dismissal from graduate standing, placement on probationary status, denial of readmission to the same program (if the student was previously in good standing), disputes over joint authorship of research in accordance with joint authorship policies of campus departments or units, and other administrative or academic decisions that terminate or otherwise impede progress toward academic or professional degree goals. This procedure is not available to appeal denial of admission to any program.

The scope of this procedure is limited to the matters listed above, and excludes complaints regarding student records, grades in courses of instruction, student employment, student discipline, and auxiliary student services (such as housing, child care, etc.). This procedure may not be used for complaints regarding actions based solely on faculty evaluation of the academic quality of a student’s performance, or decanal evaluations of a student’s appropriate academic progress, unless the complaint alleges that the actions may have been influenced by non-academic criteria as identified in section II.B.2 of this procedure.

This procedure is provided for continuing and returning graduate students in the Graduate Division on the Berkeley campus. It may not be used by applicants for admission, Juris Doctor students in the School of Law who are appealing disqualification or the terms of probation, or students registered in graduate courses through the University Extension, the Graduate Theological Union, or other cross-registration agreements.

A student may bring a complaint individually or may file a complaint jointly with other students when each claims injury as a result of the same alleged action(s).

Graduate students may contact the Office of the Ombudsman for Students for informal assistance with complaint resolution. The Associate Deans of the Graduate Division also may be consulted for informal resolution at any stage of the process. Civil law remedies, including injunctions, restraining or other court orders, and monetary damages also may be available to complainants.

THE APPEAL PROCESS

I. UNIT LEVEL INFORMAL RESOLUTION PROCEDURES

A. Department Level Complaints
For complaints regarding actions originating within the student’s major department, school, college or graduate group, the student must first attempt resolution at the unit level by following the unit level complaint resolution procedures. The unit level procedures may include informal and formal complaint resolution processes. Copies of the unit level complaint resolution procedures may be obtained from the Chair of Graduate Advisers in each unit. If a mutually satisfactory resolution cannot be reached at the unit level, the complaint may be brought to the Graduate Division under the Formal Appeal Procedures outlined below.

B. Division Level Complaints—Informal Resolution
For complaints regarding actions originating within the Graduate Division or with the Administrative Committee of the Graduate Council, the student may first initiate informal resolution with the Dean or an Associate Dean of the Graduate Division. If a mutually satisfactory resolution cannot be reached through informal resolution, the complaint may be brought under the Formal Appeal Procedures outlined below.

Time Limits: Attempts at unit level resolution or informal resolution with the Graduate Division must be initiated within thirty days from the time at which the student knew or could reasonably be expected to have known of the action being appealed. The unit level or Graduate Division informal procedures should normally be concluded within 60 days of the date resolution was initiated.

C. Complaints Involving Sexual Harassment
Students with complaints involving allegations of sexual harassment which would otherwise fall under the jurisdiction of the Graduate Appeals Procedure may attempt resolution under the Berkeley Campus Policy on Sexual Harassment and Complaint Resolution Procedures prior to bringing their complaint under the Graduate Appeals Procedure.

If the complainant is not satisfied with the resolution provided by the Sexual Harassment Complaint Resolution Procedures, the complainant may proceed directly to the Formal Appeal Procedure outlined below. In such cases, any allegations of sexual harassment investigated under that procedure will not be reinvestigated in the Formal Appeal. The individual or committee in charge of the investigation pursuant to a Formal Appeal will rely on the fact-finding report made by the Complaint Resolution Officer pursuant to the Sexual Harassment Complaint Resolution Procedure. All matters involving academic or administrative decisions that interfere with the graduate student’s academic progress are under the exclusive jurisdiction of the Graduate Appeals Procedure.

Complaints involving sexual harassment that are brought pursuant to the Sexual Harassment Complaint Resolution Procedures may be brought within the time frames indicated in those procedures.

II. FORMAL APPEAL PROCEDURE

A. Content of the Formal Appeal
Complaints under the Formal Appeals Procedure must be initiated by a written statement indicating the action(s) being appealed and the date(s) the action(s) occurred, the grounds upon which the appeal is based, and the relief requested. The written statement may include a request for a personal appearance before the investigative officer, if desired, and notice to the Graduate Division if the student bringing the appeal will be represented by counsel or other representative. The written statement should also include a description of the results of the unit level informal resolution process, and any background information that the student deems pertinent to the case.

B. Grounds for Formal Appeal
A formal appeal may be brought if based upon one or more of the following grounds which had material impact on the student’s academic standing or credit for research:

  1. Procedural error or violation of official policy by academic or administrative personnel;
  2. Judgments improperly based upon non-academic criteria including, but not limited to, discrimination or harassment on the basis of race, color, national origin, religion, sex, disability, age, medical condition (cancer related), ancestry, marital status, citizenship, sexual orientation, or status as a Vietnam-era veteran or special disabled veteran;
  3. Special mitigating circumstances beyond the student’s control not properly taken into account in a decision affecting the student’s academic progress.

C. Time Frames for Formal Appeal
If the action being appealed originated within the student’s major department, school, college or graduate group, the formal written appeal must be received in the Office of the Dean of the Graduate Division within fifteen days of the notification of the result of the unit level resolution process.

If the action being appealed originated with the Graduate Division or the Administrative Committee of the Graduate Council, the written appeal must be received in the Office of the Dean of the Graduate Division within thirty days from the time the student knew or could reasonably be expected to have known of the action being appealed, or within fifteen days of the notification of the result of the informal resolution process if the student attempted informal resolution through the Graduate Division.

If the action being appealed was investigated pursuant to the Sexual Harassment Complaint Resolution Procedures, the written appeal must be received in the Office of the Dean of the Graduate Division within fifteen days of the notification of the result of the sexual harassment complaint resolution process.

The Formal Appeal should generally be concluded within ninety days of the date it was received by the Office of the Dean of the Graduate Division.

D. Procedure for Processing Formal Appeals
For complaints regarding actions originating within the student’s major department, school, college, or graduate group, the Dean of the Graduate Division may:

  1. conduct the investigation and make a decision for final action; or,
  2. assign an Associate Dean, an ad hoc committee or another campus official to conduct the investigation and make a recommendation to the Dean for final action; or,
  3. refer the case to the Administrative Committee of the Graduate Council (which the Dean chairs) to conduct the investigation and either make a decision regarding final action or make a recommendation to the Dean for final action, depending on the nature of the complaint and relief requested. (See section II. F.)

For complaints regarding actions originating with the Graduate Division, or the Dean of the Graduate Division, the appeal will be referred to the Administrative Committee of the Graduate Council for final action in all matters. For complaints regarding actions by the Dean of the Graduate Division, the Dean will be excused from serving as chair of the Administrative Committee. In such cases, the Chair of the Graduate Council, who is also the Vice Chair of the Administrative Committee, will be in charge of the Administrative Committee’s investigation and final action.

The Graduate Division will notify the student regarding which individual or committee will be in charge of processing the Formal Appeal within 15 days of the receipt of the written statement initiating the Formal Appeal.

E. Investigation of Formal Appeals
All Formal Appeals will be investigated according to the following procedures. Nothing in these procedures shall be interpreted as precluding further attempts at informal resolution before a final decision is made.

The individual or committee in charge of the investigation will:

  1. consult with the appropriate campus compliance officer regarding all complaints that include allegations of discrimination or harassment on the basis of sex, race, national origin, color, age, religion, sexual orientation, or disability (see section IV.C.);
  2. forward a copy of the complaint to the individual(s) complained of and ask them to provide written responses within twenty days of receipt (the written responses should include notice to the University if the respondents wish to be represented by counsel or other representative);
  3. forward a copy of the responses to the student bringing the complaint;
  4. arrange for a personal appearance by the student if the student requested a personal appearance in the written statement initiating the complaint;
  5. obtain any other relevant information from other individuals or sources available, including arranging for personal appearances of witnesses as necessary;
  6. prepare a written report setting forth the factual findings of the investigation, and either the final decision made, or the recommendation for the final decision to be made.

The Dean of the Graduate Division or the Administrative Committee of the Graduate Council shall notify the student of the final decision on the Formal Appeal within ninety days of the receipt of the written statement initiating the complaint.

F. Final Decision

  1. Decisions by the Graduate Dean.
    The decision of the Dean of the Graduate Division is final in all complaints pertaining to the following where the complaint originated within the student’s major department, school, college or graduate group:

    • Readmission to graduate standing
    • Petition for change of major
    • Changes in program
    • Academic probation
    • Academic dismissal
  2. Decisions by the Administrative Committee.
    The decision of the Administrative Committee is final in all complaints concerning the following:

    • Composition of committees for higher degrees
    • Results of examinations for higher degrees (including special departmental examinations and Master’s projects submitted in lieu of the comprehensive examination)
    • Acceptability of dissertations and theses
    • Actions to lapse or terminate candidacy
    • Complaints under this procedure regarding actions originating with the Graduate Division
    • All other matters pertaining to the formal requirements for advancement to candidacy and the award of higher degrees except those enumerated above as falling under the Dean’s jurisdiction.

Decisions by the Administrative Committee are not, however, meant to limit the Dean of the Graduate Division’s ability to take additional appropriate action within decanal authority (except in cases regarding actions originating with the Dean). For example, the Dean could readmit or allow a change of major to a student whose failure on a qualifying examination had been upheld by the Administrative Committee.

III. RECONSIDERATION

A. Grounds
Students may request reconsideration of a decision made by the Dean of the Graduate Division or the
Administrative Committee on the following grounds only:

  1. New evidence is discovered which was not available by duly diligent effort at the time the decision was made and which materially affects the outcome of the case; or,
  2. There is evidence that the Graduate Appeal Procedures described herein were not followed and the failure to follow the procedures resulted in a decision adverse to the student.

B. Procedure and Time Frame for Reconsideration
Students must submit their request for reconsideration in writing to the Office of the Dean of the Graduate Division. The request must be received within thirty days following the date of the notification to the student of the final decision on the Formal Appeal. The Dean or Administrative Committee will notify the student of the final decision concerning the request for reconsideration within thirty days after the request is received.

IV. OTHER INFORMATION

A. Personal Appearance

  1. Scope.
    Students bringing complaints under the Formal Appeal process have the right to a personal appearance before the individual or committee in charge of the investigation. The scope of the personal appearance shall be limited to matters that were raised by the written complaint or the responses that are within the jurisdiction of this procedure.
  2. Notice.
    The Graduate Division shall provide the student with fifteen days notice of the time and place of the personal appearance. If the student wishes to be represented by counsel or other representative, the student must notify the Graduate Division in writing at least ten days prior to the date of the personal appearance. The notice should include the name and title of the counsel or representative. This notice will constitute an authorization for the Graduate Division to send the representative copies of relevant student records.

B. Time Frames
All time frames referred to in this procedure refer to calendar days. Summer and inter-semester recesses are not included within these time frames. The Graduate Dean may extend time limits for good cause upon notice to all parties involved in the appeal.

C. Campus Compliance Officers
The campus compliance officers to be consulted pursuant to section II.B.1 are listed below. The names, phone numbers, and campus addresses of these individuals are listed in various campus publications and may be obtained from the Office of the Dean of the Graduate Division or the Academic Compliance Office at (510) 642-2795.

V. OTHER COMPLAINT PROCEDURES

A. Informal Resolution
The Office of the Ombudsman for Students may be able to provide informal assistance, as a neutral party, toward the resolution of the problem. The Associate Deans of the Graduate Division also may be consulted for informal resolution at any stage of the process.

B. Articulation with Other Campus Procedures

  1. Guidelines.All graduate student complaints that include allegations of interference with academic progress must be brought under the Graduate Appeals Procedure. Once a graduate student has brought a complaint under the Graduate Appeals Procedure, he or she may not bring the same complaint under any other campus appeal or grievance procedure, unless there has been a determination on the Graduate Appeal that the complaint is outside the scope of the Graduate Appeals Procedure. The only exception to this guideline is for complaints including allegations of sexual harassment which may be brought under the Campus Policy on Sexual Harassment and Complaint Resolution Procedures prior to the Graduate Appeals Procedure.

    Graduate students may have complaints regarding University actions that do not fall within the jurisdiction of the Graduate Appeals Procedure. The list below indicates other complaint procedures available to graduate students for issues that are outside the scope of this procedure.

    If a graduate student brings a complaint under a procedure other than the Graduate Appeals Procedure, and the complaint is investigated and a decision is made, a complaint regarding the same facts may not be brought again under the Graduate Appeals Procedure unless there are subsequent events that give rise to allegations of interference with academic progress, or unless the complaint was brought initially under the Sexual Harassment Policy.

    For these limited situations where a complaint may be brought under the Graduate Appeals Procedure after it was brought under another campus complaint procedure, the issues investigated in the first procedure will not be reinvestigated pursuant to the Graduate Appeals Procedure. Rather, the Graduate Appeals Procedure will provide a decision with regard to the allegations of interference with academic progress based on the factual findings of the prior procedure.

  2. Other Campus Complaint Procedures.Berkeley Campus Student Grievance Procedure: This procedure should be used for graduate student complaints alleging discrimination based upon race, color, national origin, sex, disability, age, sexual orientation, or inappropriate application of University rules or policies resulting in injury to the student, provided that the complaint does not allege that the discrimination or misconduct interfered with the graduate student’s academic progress.

    Berkeley Campus Policy on Sexual Harassment and Complaint Resolution Procedures: This procedure should be used for graduate student complaints of sexual harassment where the complaint does not allege interference with academic progress. This procedure may be used to attempt informal resolution of sexual harassment complaints prior to bringing the complaint under the Graduate Appeals Procedure in cases where the complaint does include allegations of interference with academic progress.

    Berkeley Campus Policy for Accommodating the Academic Needs of Students with Disabilities: This procedure should be used for graduate student complaints about the provision of appropriate academic accommodations in classes or research in which the student with disabilities is currently participating. Complaints about the provisions of appropriate academic accommodations in classes or research in which the student is no longer participating should be brought under the Graduate Appeals Procedure.

    Berkeley Campus Policy Governing Disclosure of Information from Student Records: This procedure should be used for complaints regarding access to student records and for complaints alleging that student records are inaccurate, misleading, inappropriate or otherwise maintained in violation of student rights to privacy.

    Regulation A207 of the Berkeley Division of the Academic Senate: This procedure should be used for complaints regarding grades in courses of instruction that are based on the application of non-academic criteria.

    Academic Personnel Manual Section 140—Non-Senate Academic Employee Grievance Procedure:

    This procedure should be used for grievances arising out of graduate student employment.

    Academic Rules: University of California at Berkeley School of Law: These rules must be used by Juris Doctor students in the School of Law who are appealing academic disqualification or the terms of probation.

C. Campus Disciplinary Procedures
Complaints brought under the Graduate Appeals Procedure may include allegations of serious misconduct by University students, staff or faculty. Neither the Dean of the Graduate Division nor the Administrative Committee of the Graduate Council has jurisdiction under these procedures to impose discipline in cases of alleged misconduct. In such cases, the aspects of the case that fall within this procedure will be resolved.

Any allegations of student, staff, or faculty misconduct will be referred to the appropriate disciplinary procedure for investigation and action where warranted.

University of California at Berkeley Code of Student Conduct: This contains the University guidelines on student conduct and student disciplinary procedures.

Academic Personnel Manual Section 015: This contains the University policy on Faculty Conduct and the Administration of Discipline, including the Faculty Code of Conduct Staff Personnel Policy, Administrative and Professional Staff Program Policy, Management and Professional Program Policy, Executive Program Policy and Collective Bargaining Agreements: Each of these documents contains conduct guidelines and disciplinary procedures for University employees in these programs.

Guidelines Relating to Misconduct in Science: This document issued by the Chancellor’s Office describes procedures for investigating allegations of scientific misconduct.

OTHER CAMPUS DOCUMENTS PERTAINING TO STUDENTS’ GRIEVANCES AND APPEALS

  1. Berkeley Campus Student Grievance Procedure (included as Appendix III of Regulations Implementing Systemwide Policies Applying to Campus Activities, Organization, and Students)General grievance procedure covering discrimination on the basis of race, color, national origin, sex, handicap, age, and sexual preference, and the inappropriate application of campus rules and policies.
  2. Plan for Accommodating the Academic Needs of Students with Disabilities

    Describes role of various offices to ensure that students with disabilities receive appropriate accommodations in their instructional activities.

  3. Regulations of the Berkeley Academic Senate, Regulation A207Covers the appeal of grades received in courses of instruction.
  4. Academic Personnel Manual, Section 140, Non-Senate Academic Employee Grievance Procedure
  5. Berkeley Campus Policy on Sexual HarassmentCovers complaints of sexual harassment by campus employees.
  6. By-laws of the Statewide Academic Senate, Appendix II, “Professional Conduct and Faculty
    Discipline and Disciplinary Procedures for the Berkeley Campus”
    Covers complaints of misconduct on the part of University faculty.
  7. Policy Governing Disclosure of Information from Student RecordsCovers confidentiality of student records, rights of access, and procedures for correcting the content of
    such records.

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