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Guide to Graduate Policy: Full Version

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

A1. How to use this guide

The Graduate Division has prepared this compendium of policies that govern graduate study at Berkeley. We hope that graduate advisers, graduate student affairs officers, graduate assistants, and graduate students will find it useful.

Links to Guides for Appointments and Degrees that address procedural information can be found in the sidebar.

Consult the Graduate Division website (www.grad.berkeley.edu) for other graduate information, including deadlines and policies for admissions, fellowships, academic appointments, and degrees.

A1.1 Graduate Division Partners

The graduate experience at Berkeley and the work of the Graduate Division are dependent upon the efforts of the Graduate Council, Graduate Advisers, Faculty Advisers for GSI Affairs, Equity Advisers, and Graduate Student Affairs Officers.

Graduate Council. The Graduate Council is a committee of the Academic Senate and consists of 12 faculty, plus three graduate students nominated by the Graduate Assembly. As an agency of faculty governance, the Graduate Council is charged with safeguarding the excellence of graduate education at Berkeley. (The Dean of the Graduate Division is an ex officio voting member of the council and chairs its Administrative Committee.) The Graduate Division is the administrative arm of the Graduate Council and is empowered on its behalf to enforce its regulations and policies.

The Graduate Council sets the policies and standards for graduate admission, fellowships, and degrees. The Council reviews established degree programs and proposals for new fields of study or degrees; establishes qualifications and policies for Graduate Student Instructors and Graduate Student Researchers; responds to issues referred to it by the Dean, the Chancellor’s Office, and the Coordinating Committee on Graduate Affairs; and participates in reviews of existing graduate programs. For more information, please visit the Academic Senate website (http://academic-senate.berkeley.edu/committees/gc).

Head Graduate Advisers and Graduate Advisers. Head Graduate Advisers are faculty members who are tenured Academic Senate members, a requirement of the Graduate Council, and are responsible for the academic advising of graduate students.  It is preferred that tenured faculty also serve as Graduate Advisers but Assistant Professors may also be assigned this role. Head Graduate Advisers and Graduate Advisers are official deputies of the Dean of the Graduate Division in matters affecting graduate students in their departments. Because students depend on Graduate Advisers for advice and cannot act without the signature of the Head Graduate Adviser or Graduate Adviser on a number of forms, it is essential that Graduate Advisers be familiar with Graduate Division regulations and that they keep regular office hours, especially at the beginning and end of semesters.

Head Graduate Advisers and Graduate Advisers are expected to exercise their own judgment in advising students and in making recommendations to the Graduate Division. In no case should a Graduate Adviser simply act as a conduit to the graduate deans on behalf of either students or individual faculty members, including dissertation directors, in his or her department. When a graduate adviser endorses a form for a student, the graduate deans assume that the Graduate Adviser has reviewed it carefully and approves the student’s request or proposed action as being in the best interest of the student and the program and feasible under existing regulations.

Near the end of the Spring semester, the Graduate Division sends department chairs a call for the next academic year’s Graduate Adviser nominees. The nominees are reviewed and appointed by the Dean of the Graduate Division, on behalf of the Graduate Council. Additionally, a ”Delegation of Authority” form is provided so that Graduate Division staff can verify that student petitions and requests for exception have been appropriately approved. In order for student petitions to be processed in a timely manner, it is imperative that nomination and these forms be returned to the Graduate Division by the stated deadline. If, for some reason, a Graduate Adviser can no longer serve, the department chair should immediately notify the Graduate Division in writing; only the authorization of an officially appointed adviser can be honored by the Graduate Division and the Office of the Registrar, and the lists of advisers must be updated to reflect any changes.

Role of the Head Graduate Adviser. The Head Graduate Adviser has more comprehensive responsibilities than does a Graduate Adviser. Only the Head Graduate Adviser can sign documents or make requests to the Graduate Division on matters concerning graduate enrollment, degrees, progress, and financial aid, such as admission, readmission, change or addition of major, graduate standing, and appointment of qualifying examination and dissertation committees. All Graduate Advisers may sign petitions to add or drop courses.

Role of the Graduate Adviser. Graduate Advisers are responsible for assisting students in selecting programs of study, acting on petitions for changing study lists, and maintaining records of their advisees. In addition, Graduate Advisers and other faculty should review the records of all graduate students in the department once a year and inform the Graduate Division, in writing, if a student is not making adequate progress toward a degree.

Faculty Advisers for Graduate Student Instructor (GSI) Affairs. The Faculty Adviser for GSI Affairs, also nominated by the department chair and appointed by the Graduate Dean, is actively engaged in the pedagogical preparation and development of graduate students. The Faculty Adviser functions as a liaison among the Graduate Division, department faculty, and GSIs, provides information concerning policies relating to GSIs and raises issues to the administration on their behalf.  This appointee is expected to attend a meeting each semester with the Deans of the Graduate Division, the members of the Graduate Council’s Advisory Committee for GSI Affairs, and staff of the GSI Teaching Resources Center, and to actively promote the pedagogical mentorship of GSIs. Faculty Advisers for GSI Affairs should be thoroughly familiar with the Graduate Council’s policies on GSI mentoring (http://evcp.chance.berkeley.edu/GSIMentoringPolicy.pdf).

Equity Advisers. The Equity Adviser, or, in units with more than one Equity Adviser, the Head Equity Adviser, must be a tenured member of the Academic Senate. Appointment to this position is vetted by the Office of Equity and Inclusion. Those with this designation have functions that include consultation with the Head Graduate Adviser and the other Graduate Advisers in the department to ensure that diversity is taken into account in the recruitment, selection, and retention of graduate students. Equity Advisers’ responsibilities also include issues of support and review of academic progress.  For further details, see the Equity Advisors’ Workbook available through the web site of the Vice Chancellor for Equity and Inclusion (http://diversity.berkeley.edu/uc-berkeley-equity-advisors-workbook/).

Graduate Student Affairs Officers. Graduate Student Affairs Officers (GSAOs) are departmental staff members who are responsible for the administrative advising of graduate students. They remind students about registration and fellowship deadlines, stay abreast of admissions, degrees, fellowship, and appointments requirements, as well as manage requisite administrative paperwork on behalf of the department and its graduate students.

A1.2 Special Resources for Students with Difficulties

Health and Safety Emergencies — FERPA Exceptions.

Regarding how to deal with health and safety emergencies, the U.S. Department of Education website (www.ed.gov/policy/gen/guid/fpco/brochures/postsec.html) states: “In an emergency, FERPA [Family Educational Rights and Privacy Act] permits school officials to disclose without student consent education records, including personally identifiable information from those records, to protect the health or safety of students or other individuals. At such times, records and information may be released to appropriate parties such as law enforcement officials, public health officials, and trained medical personnel….This exception to FERPA’s general [student] consent rule is limited to the period of the emergency and generally does not allow for a blanket release of personally identifiable information from a student’s education records. In addition, the Department interprets FERPA to permit institutions to disclose information from education records to parents if a health or safety emergency involves their son or daughter.”

In emergency situations, faculty or staff should contact Tang Center’s Counseling and Psychological Services (510) 642-9494 and/or UC Police’s Threat Management Unit at (510) 642-6760.

 

Links to other valuable resources for graduate students can be found on our website at http://www.grad.berkeley.edu/life/resources.shtml.

 

Appendix 10: CITI Requirement for Advancement to Candidacy

Berkeley: Office of the Dean of the Graduate Division

December 15, 2005

To: Head Graduate Advisers, Graduate Advisers, Graduate Assistants

From: Joseph J. Duggan, Associate Dean

Re: CITI Requirement for Advancement to Candidacy

At the August 2005 Graduate Advisers and Assistants meeting, I informed you of a new requirement that went into effect September 1, 2005 for students who plan to use human subjects in their research. Before such students can submit an Application for Candidacy they must take the online Collaborative IRB Training Initiative (CITI) course and print out the Course Completion Record to be submitted with their candidacy application.

Candidacy forms submitted without the CITI course completion record will be returned to the student and will not be processed. Delays in the advancement to candidacy limit the students actual time as a candidate and may jeopardize his or her full eligibility for the Deans Normative Time Fellowship, if in a qualified major.

Please be aware of this new requirement and advise your faculty and graduate students accordingly.

Appendix 11: Best Practices For Faculty Mentoring of Graduate Students Approved by the Graduate Council: March 6, 2006

Mentors, as defined by The Council of Graduate Schools, are:

Advisors, people with career experience willing to share their knowledge; supporters, people who give emotional and moral encouragement; tutors, people who give specific feedback on one’s performance; masters, in the sense of employers to whom one is apprenticed sponsors, sources of information about, and aid in obtaining opportunities; models of identity, of the kind of person one should be to an academic¹.

More succinctly, effective mentoring must be built on a commitment to providing every student with individual access to professional, collegial and supportive guidance throughout their enrollment in graduate program at UC Berkeley.

The university’s rules and regulations govern many issues relating to the relationship between mentors and students. In addition, many of the functions that mentors often voluntarily provide are in fact the responsibility of the appropriate unit, such as the student’s department or school. Our goal is to supplement these rules and responsibilities, and to provide campus units, faculty, and staff with guidelines for effective mentoring, and to offer a framework for discussing mentoring among themselves and with students. This document is based on our own faculty experiences at Berkeley, as well as and informed by related reports from other institutions. Its purpose is to help with the assessment and improvement of mentoring by identifying priorities and characterizing “best practices” that are appropriate to the diverse disciplinary and departmental cultures, student needs, and individual working styles found on our campus. It should be noted that the following guideline is directed at the entire community of graduate students and that each of the individual discipline is encouraged to develop its own specialized set of related guidelines.

In general, good mentoring in all its forms involves treating students respectfully and fairly, providing reliable guidance, and serving as a role model for upholding the highest ethical standards.

More particularly, faculty mentoring of graduate students should be provided in three broad areas:

1. Guiding students through degree requirements.

• Ensuring that graduate students receive information about requirements and policies of the graduate program.
  

____________________

¹Zelditch, M. (1990). Mentor Roles, Proceedings of the 32nd Annual Meeting of the Western Association of Graduate Schools. Cited in Powell, R.C..& Pivo, G. (2001), Mentoring: The Faculty-Graduate Student Relationship. Tuscon, AZ: University of Arizona.

• Advising graduate students on developing a program plan, including appropriate course work, research or creative activity, and defining a timeline for their completion.

• Providing regular feedback on the progress of graduate students toward degree requirements. This should include advising them on their preparedness to take the qualifying exam, as well as any departmental “comprehensive” (“prelims”, “PhD entrance”, etc.) exam(s).

• Providing feedback and advice about the student’s performance in coursework, where appropriate.

• Providing for supervision and advising of graduate students when the faculty advisor is on leave or extended absence.

II. Guiding students through thesis or dissertation research.

• Advising graduate students on the selection of a thesis or dissertation topic that offers realistic prospects for successful completion within an appropriate time frame, and on the formation of the thesis or dissertation committee.

• Providing training and oversight in the design of research projects, in rigorous research methodologies, in theoretical and technical aspects of the thesis or dissertation research, and in professional integrity.

• Encouraging graduate students to stay abreast of the scholarly literature and of cutting-edge ideas in the field.

• Providing regular feedback on the progress of graduate students toward degree completion, including timely feedback on research, creative activities, and teaching, and constructive criticism if the student’s progress does not meet expectations.

• Evaluating clearly and explicitly the strengths and weaknesses of the student’s research.

• Encouraging an open exchange of ideas, including pursuit of the student’s ideas.

• Providing and discussing clear criteria for authorship of collaborative research.

• Assisting in finding sources to support dissertation research; such as, teaching assistantships, research assistantships, internal and external fellowships, etc.

• Being aware of the student’s research needs and providing assistance in obtaining required resources.

• Encouraging and constructively criticizing oral and written communication.

III. Guiding students through professional development.

• Guiding and/or supervising students’ development as teachers, helping them find suitable employment as instructors on campus or elsewhere, visiting their classes, and providing constructive commentary and advice.

• Encouraging participation in professional meetings of regional groups as well as of learned societies.

• Facilitating interactions with other scholars, on campus and in the wider professional community.

• Helping graduate students develop into successful professionals and colleagues, including encouraging students to participate and disseminate results of research or creative activities in the appropriate scholarly or public forums.

• Facilitating career development, including advising graduate students on appropriate job and career options, as well as on the preparation of application materials for appropriate fellowships, scholarships, and other relevant opportunities.

• Assisting with applications for research funding, fellowship applications, field placements, and other applications as appropriate for the respective discipline.

• Being the student’s advocate in academic and professional communities as appropriate in the professional judgment of the mentor.

• Providing career guidance and support, including assistance in preparation of a CV and job applications, writing letters of recommendation in a timely manner, and helping the student prepare for interviews and other recruitment procedures.

• Providing guidance, if asked, about the intersection of concerns around physical and mental health, dealing with stress, or disability with the development of the student as a professional. This requires being cognizant of campus resources that address these issues.

• Helping graduate students to develop professional skills in writing reports, papers, and grant proposals, making professional presentations, establishing professional networks, interviewing, and evaluating manuscripts and papers.

In addition, it is of great importance for the mentor to demonstrate willingness
to communicate with and to understand each student as a unique individual. In
particular:

• Mentors should recognize and seek to understand the various cultures of their students.

• Mentors should build trust and create a comfortable working environment, especially for members of underrepresented groups in the program.

• With respect to family responsibilities, mentors should be alert to students who need extra support when having a child, raising a child alone, returning to school after child-rearing, caring for an elderly parent, etc. If a student holds an appointment as a Graduate Student Researcher (GSR) and is unable to fulfill his or her duties, every effort should be made to modify the GSR’s
duties for the remainder of the semester. If family responsibilities prevent the GSR from performing any duties, it is strongly urged that the student continue to receive a stipend from the department, contract or grant (if allowed by the funding agency) for the leave period.

As partners in the mentoring relationship, graduate students also have
responsibilities. In particular students should:

• Be aware of their own mentoring needs and how these change through their graduate student tenure. Graduate students should discuss these changing needs with their mentors. If concerns arise about physical or mental health, dealing with stress, or disability, these may be brought to the attention of the mentor for advice on campus resources. Students should not expect mentors to deal with longstanding health issues or major emotional events that are more properly the
province of professional counselors, physicians, and psychotherapists.

• Recognize that one faculty member may not be able to satisfy all of a student’s mentoring needs. Seek assistance from multiple individuals/organizations to fulfill the mentoring roles described above.

• Recognize that their mentoring needs must respect their mentor’s other responsibilities and time commitments.

• Become aware of—and meet—the deadlines associated with the degree program.

• Maintain and seek regular communication with their mentors, especially their major professor.

• See to it, in cooperation with the Head Graduate Adviser in the program, that all parties are informed if a change of advisor is contemplated. If specific research plans have been agreed with one advisor, see these through if possible before changing to another advisor.

Finally, both mentors and students should be aware of some general common-sense
guidelines, as follows:

• Entering a mentoring relationship is voluntary. Mentors and students should discuss their expectations of the mentoring relationship upon entering it.

• Either party has the right to withdraw from the mentoring “contract” if, despite genuine attempts to make it work, the relationship is not satisfactory.

• While often the mentor will have more experience of life or an aspect of work, the relationship should be one of partners who jointly make decisions

• Meetings should be held in a quiet environment (or environments, for telephone meetings) where both parties feel they can speak freely without being overheard.

• Meetings should be long enough and paced so as to allow the two people to get to know and feel comfortable with each other.

• Information shared in mentoring meetings is subject to standard rules of professional confidence (see below).

• Commitments made should be honored. If meetings are canceled or delayed, adequate warning of non-availability or delay should be given. A postponed meeting should be re-booked promptly.

• Either party has the right to ask for a review of how the mentoring is progressing, or for agreements or plans made at an earlier stage to be reviewed.

• If either party feels unclear about the current status of the mentoring, that party should seek to clarify the views and wishes of the other party.

• Mentors should recognize their limitations and avoid working with the student in ways that exceed those limitations.

• Should either party sense there is a conflict of interest between the mentoring and any other role, this should be made known to the other as soon as is practicable.

References

The guidelines are based on the following:

Mentoring Guidelines, Graduate Council, University of California, Davis,
http://gradstudies.ucdavis.edu/gradcouncil/mentoring.pdf
In addition, the following sources were consulted:

Advisor, Teacher, Role Model, Friend, National Academy of Sciences, National Academy
of Engineering, Institute of Medicine,
http://www.nap.edu/readingroom/books/mentor/

Guideline for Faculty Mentors, University of California, San Francisco,
http://statusofwomen.ucsf.edu/resources/studentresources.php

Faculty Mentoring Handbook, The Rackham School of Graduate Studies, University of
Michigan,
http://www.rackham.umich.edu/downloads/publications/Fmentoring.pdf

Appendix 12: Filing for Graduate Degrees in Summer Session

Berkeley: Office of the Dean of the Graduate Division

May 1, 2007

To: Deans, Directors, and Department Chairs

From: Joseph J. Duggan, Associate Dean

Re: Filing for Graduate Degrees in Summer Session

As has been the case since summer, 2002, students may file for graduate degrees during the Summer Sessions if they are registered and enrolled. Degrees for which students file in Summer Sessions will be awarded as of the end of the following fall semester.

As of summer 2007, Summer Sessions enrollment for filing purposes must be for a minimum of three units. Previously the requirement was four units.

The current fees for Summer Sessions are accessible on the web at summer.berkeley.edu/mainsite/fees.html

Questions may be referred to me at grdean.acad@berkeley.edu or 642-5472.

cc: Head Graduate Advisers

Management Services Officers

Graduate Student Affairs Officers

Appendix 13: Minimum Enrollment Requirements for Graduate Students

Berkeley: Office of the Dean of the Graduate Division

May 1, 2007

To: Deans, Directors, and Department Chairs

From: Mary Ann Mason, Dean of the Graduate Division

Re: Minimum Enrollment Requirements for Graduate Students

At its meeting of April 2, 2007, the Graduate Council decided that the minimum enrollment requirement for all graduate students who are not yet advanced to doctoral candidacy will be 12 units per semester regardless of their employment status.

Students who are advanced to doctoral candidacy and are registered and enrolled are presumed to be working full time on their dissertations regardless of the number of units in which they are enrolled.

All courses in which the student is enrolled will count in this total of 12 units, including special studies courses, individual studies courses (601, 602), and courses on preparation for teaching (300-level). Please note that while no more than 8 units of 600-level courses are allowed per semester, the previous limit of 16 units of this type of course during a student’s graduate career is no longer in effect.

Students should be enrolled by the end of the third week of classes each semester.

Programs wishing to explore the possibility of establishing teaching practicum courses should consult with the Committee on Courses of the Academic Senate.

In requiring full-time enrollment of all graduate students, the Berkeley campus is following the practice of all other campuses of the University of California. The purpose of the new minimum enrollment limit is not to increase student workload, but to ensure that the campus receives proper budgetary credit from the systemwide administration for the work of its graduate students. This will result in more available funding for graduate student support. Most programs on the Berkeley campus already have all their graduate students enroll for 12 units if they are not advanced to candidacy.

The minimum enrollment limit will be enforced for the whole campus beginning fall semester, 2007. If your unit expects to experience difficulties conforming to it, please consult with Carolyn Chee, Director of Graduate Services of the Graduate Division, at 642-5779 or cjchee@berkeley.edu.

Appendix 15: Workload Modifications in the New UC-UAW Contract

Berkeley: Office of the Dean of the Graduate Division

November 15, 2007

To:       Deans and Department Chairs

From:   Joseph J. Duggan, Associate Dean

Re:       Workload Modifications in the New UC-UAW Contract

The new contract between UC and the UAW for ASEs (GSIs, Readers, and Tutors) is now in effect. The official language of the contract has not yet been published, but it is known that the provisions for workload are changed from those that applied in the previous contract. In the new contract, there is no Workload Dispute Resolution Process.

If an ASE complains to the faculty supervisor (usually the faculty member teaching the course) that it is not possible to perform the assigned work within the limitations set by the percentage of appointment (for a 50% GSI appointment, 340 hours per semester, and pro-rated for other percentages of time), the supervisor must respond in writing to the ASE as soon as feasible. If the supervisor does not so respond, the ASE’s grievance may be submitted under the Grievance and Arbitration provision of the contract for a determination on the issue of non-response.

The supervisor’s response may have one of three outcomes: 1) a modification of the duties such that the workload falls within the limits of the ASE’s contract; or 2) an increase in the percentage of time for the ASE’s appointment; or 3) denial of the claim of excessive workload. Increases in percentage of time up to 50% may be made only with the approval of the Chair of the unit in which the course is taught. Increases in percentage of time beyond 50% may be made only with the approval of the Chair, Head Graduate Adviser, and of the Dean of the Graduate Division through the normal process for approval of exceptional appointments. Please note that international students on certain visas may in no case hold appointments that exceed 50% time. There may be other restrictions that apply (for example, if the student also holds a fellowship). In case of doubt, please consult with the appropriate staff of the Graduate Division or the Berkeley International Office (formerly known as Services for International Students and Scholars / SISS).

Please distribute this memo to all faculty, both Senate and non-Senate, who are teaching courses for which ASEs are employed.

Appendix 16: Partial Fee Remission for Undergraduate Teaching Assistants

Berkeley: Office of the Executive Vice Chancellor and Provost

March 10, 2008

To: Deans, Department Chairs, and Chief Administrative Officers

From: George W. Breslauer, Executive Vice Chancellor and Provost

Re: Partial Fee Remission for Undergraduate Teaching Assistants

Colleagues:

The recent bargaining agreement negotiated between UC and the United Auto Workers (UAW) for Academic Student Employees extended the benefit of partial fee remission to eligible registered undergraduate students. Eligible undergraduate students are those appointed in Teaching Assistant (TA) title codes with appointments totaling 25% or more of full-time for a given semester. Academic departments employing undergraduate TAs must bear the responsibility for funding this expense.

With only minor exceptions, Berkeley is the only campus that employs undergraduate TAs. The largest departmental users of undergraduate TAs were advised during contract negotiations of this proposed provision, and were also informed that they might need to cover the cost. This possibility also was announced at the January 17, 2008 Graduate Advisors’ meeting.

The contract terms became effective for the Spring 2008 semester. Note that the partial fee remission applies only to the University Registration Fee and the Educational Fee. For the 2007-08 academic year, the remission amount for a resident undergraduate TA is $3,318/semester and for a non-resident undergraduate TA is $3,594/semester.

The Spring 2008 undergraduate fee payments initially were handled in the same way as the graduate student fee payments and were credited to the students’ CARS accounts at the beginning of the semester. Though graduate student fee remissions will continue to be charged back to departments in three installments during the semester, the expense for undergraduate student fee remissions will be financially transferred to Departments for Spring 2008. Departments will be charged for the remissions in March for all those students whose fees have been paid up through that date. A second charge will occur in May for any late appointments that may have occurred since March. The undergraduate fee remissions, which appear as employee benefit costs on departmental ledgers, will not be covered by central campus benefits allocations.

Beginning with the Fall 2008 semester, departments will need to pay the fees for the undergraduate students directly through the Departmental Student Award System (DSAS). Departments will need to process these fee payments at the beginning of the semester to ensure the terms of the bargaining agreement are met. Late payment could trigger grievances to which the department would have to respond. Instructions on how to use the DSAS system for fee remissions will be circulated prior to the beginning of Fall semester.

cc: Chancellor Birgeneau

Vice Chancellor Brostrom

Dean Szeri

Associate Vice Chancellor Jenny

Associate Vice Chancellor Ellis

Appendix 1: Revised Filing Fee Regulations

Berkeley: Office of the Dean of the Graduate Division

April 5, 2002 (revised May 28, 2002)

To: Deans, Directors, and Department Chairs

From: Mary Ann Mason, Dean

Joseph J. Duggan, Associate Dean

Re: Revised Filing Fee Regulations

The Filing Fee is a reduced fee for graduate students who have completed all requirements for the degree except for filing the master’s thesis or doctoral dissertation or taking the final comprehensive examination for the master’s degree or the Final Examination for the doctorate. The Filing Fee is not a form of registration or equivalent to registration. If students wish to use University services that are supported by registration fees, they must pay those fees.

The current amount of the Filing Fee is $178.25, which is equal to one-half the University Registration Fee.

In the past on the Berkeley campus there have been two types of filing fee: one for students who do not hold academic appointments and another for those who do hold such appointments. This second type of filing fee is contrary to University employment policy, which requires that all students holding academic appointments be registered and enrolled in eight units of course work in the terms in which they hold those appointments.

Consequently, in fall semester, 2002, those who are on Filing Fee, and thus are not registered and enrolled, will not be approved for academic student appointments.

Beginning in fall, 2002, all students holding academic student appointments at 25% or more – Graduate Student Researcher, Graduate Student Instructor, Acting Instructor, Reader, Tutor, Nursery School Assistant, and Community Teaching Fellow – will be entitled, as a benefit of employment, to full remission of the Registration Fee, the Educational Fee, and the Health Insurance Fee, covered by the salary source by which the students are paid. The academic student employee will pay other campus-based fees unless they are qualified to have those fees covered by another funding source.

Henceforth, the Filing Fee will apply for the length of the semester for which Filing Fee status has been approved, up to the deadline for filing for a degree in that semester. These dates vary from year to year, but are approximately December 20 and May 25 of each year.

The Filing Fee may be used only once. However, students currently in graduate programs who have used the Filing Fee to file for a master’s degree in spring semester, 2002, or in a prior semester, will be permitted to apply for Filing Fee for the doctoral degree.

Students may file for graduate degrees during the Summer Sessions if they are registered and enrolled. Degrees for which students file in Summer Sessions will be awarded as of the end of the following fall semester. Summer Sessions enrollment, for purposes of the regulations covered in this memo, must be for a minimum of four units. The current fee for Summer Sessions is $114 per unit for an undergraduate course and $142 per unit for a graduate level course.

As in the past, to be approved for the Filing Fee, students will have to have been continuously enrolled during all periods of study and research that have required use of University facilities or faculty consultation. Two semesters of approved withdrawal are permitted, but the student must be registered in the semester (or in a Summer Session) immediately preceding the one for which Filing Fee status is requested.

Students must apply for the Filing Fee by the end of the first week of classes of the semester in which they intend to file.

Appendix 1A: Qualifications for the Appointment of Undergraduates as Graduate Student Instructors (GSIs)

Berkeley: Office of the Dean of the Graduate Division

May 28, 2002

To: Deans, Directors, and Department Chairs

From: Joseph J. Duggan, Associate Dean

Re: Qualifications for the Appointment of Undergraduates as Graduate Student Instructors (GSIs)

Departments in some schools and colleges have been recommending to the Graduate Division the appointment of undergraduate students in the title Graduate Student Instructor. These appointments have resulted from a shortage of graduate student applicants for GSI positions. Undergraduates may indeed be proposed for GSI positions under exceptional circumstances, but only if no qualified graduate student from the appointing department or from other departments is available.

University policies for the appointment of graduate students as GSIs are well developed, but the same is not the case for undergraduate appointees to this title. The Graduate Division will begin enforcing a set of standards for such undergraduate appointees that is identical to the standards adopted earlier this academic year by the deans of the College of Letters and Science.

Undergraduate candidates for GSI positions must, under the proposed standards,

1. be registered in the semester in which they are teaching;

2. be enrolled in no fewer than eight units of course work;

3. have upper division status when they begin teaching;

4. have an overall GPA of 3.1 or higher; and

5. have previously taken the course for which they are being appointed, its equivalent, or a more advanced course, with a grade of A- or better.

Like graduate student GSI appointees, undergraduate appointees who do not speak English as a native language must satisfy the English Language Proficiency requirement before they can teach.

All departments have a responsibility to provide on-going mentoring and oversight for undergraduates who teach in their departments. During the semester in which they are teaching, undergraduate GSIs must be enrolled in a 300-level course or the equivalent, for purposes of training.

cc: Dean Mary Ann Mason

Vice Provost Christina Maslach

Chair Michael Hanemann, Graduate Council

Director of Appointments Stuart Fryer

Appendix 2: Revised Instructions for Fellowship Recipients

Berkeley: Office of the Dean of the Graduate Division

August 2, 2002

To: International Student Fellowship Recipients

From: Graduate Fellowships Office

Re: Revised Instructions for Fellowship Recipients

International students who receive any support through the University beyond payment of registration fees and/or nonresident tuition are required to submit the following documents. Please come to our office at 318 Sproul Hall when you arrive in Berkeley.

1. A Statement of Citizenship and Federal Tax Status form must be filed with the University every semester. The form must include an address in your country, an address in the United States, your date of entry into the United States and your visa type. Include your U.S. Social Security Number, if available, or ITIN (see paragraph 2 below). We cannot process your award if this form is incomplete. In December or early January, you will need to file another Statement of Citizenship Status for the spring semester.

2. An Individual Taxpayer Identification Number must be obtained. International students who are fellowship recipients will no longer be eligible to apply for a Social Security Number. Instead, fellowship recipients must now complete the Individual Taxpayer Identification Number (ITIN) application process by following these steps as soon as they arrive on campus:

a. Complete IRS Form W-7.

b. Call 510-642-3002 to make an appointment with Marcia Johnson in the Disbursements Office, 451B University Hall.

c. Bring passports and I-20 or IAP-66 to the appointment with Marcia Johnson.

3. A Certification of Tax Exemption for Student Grants and Awards and a W-8BEN form must be completed if your country has a tax treaty with the United States that exempts its citizens from withholding tax. Otherwise, federal taxes will be withheld from your stipend payments at a rate of 14%. Depending on other income you receive and your tax status, you may be eligible for a refund of some or all of the taxes withheld when you file income tax returns. Please read carefully the enclosure entitled “Graduate Student Support and the Tax Reform Act of 1986.”

Unless indicated differently in your award letter, fellowship payments will be made in two installments, August 20, 2002 and January 25, 2003. If the Statement of Citizenship and Federal Tax Status, Certification of Tax Exemption, W-8BEN and an ITIN application have not been submitted by August 1, 2002, and January 1, 2003, your payments may be delayed up to one month following submission. Please make certain you have enough funds to support you until fellowship payments are made.

Thank you for your cooperation.

Appendix 4: Applicant Review and Ranking Procedure

Berkeley: Office of the Dean of the Graduate Division

September 16, 2002

To: Chairs of Departments and Head Graduate Advisers

From: Joseph J. Duggan, Associate Dean

Re: Applicant Review and Ranking Procedure

Rankings provide one of the few objective measures of why a department recommends admission or denial for a particular candidate. The applicant’s rank enables the Graduate Division to be quite specific about the faculty’s judgment of an individual’s qualifications compared with competing applicants. If a disappointed candidate takes legal action or asks for a detailed explanation, the rankings help substantiate the department’s recommendation. For these reasons, departments must rank all applicants, even those who are clearly unacceptable.

The Graduate Division maintains a file of descriptions of the departmental procedures used to evaluate applicants for admission. We review the departmental procedures to assure that the fairness of the admissions process can be documented. We also use the information to respond to candidates who have been denied and who wish further information on the process. We last updated our information in 1999 and would again like to review your procedures.

Please send to Betsy Livak, Director, Graduate Admissions, a complete description of your applicant review and ranking process by November 15, 2002. Please include the following:

• a list of your admissions criteria

• the relative weights given to these criteria

• an approximate schedule of the review cycle

• the ranking system used

• a brief description of your committee membership as well as how the department selects the committee members

• a sample of any notification letters routinely used

• your GRE requirements (time frame, general or subject, all applicants or domestic only, etc.)

You may wish to refer to “Ranking of applicants” and “Methods of ranking” in the Admissions section of the Graduate Adviser’s Handbook for a description of the acceptable methods to rank applicants. Departments that use direct comparison ranking must rank individually those applicants who fall just above and below the cutoff point for admission. Rank in set need be given only for the rank set in which the cutoff point occurred. There is no need to individually rank the applicants in the highest and lowest groups.

If your review procedures or ranking system change at any time, please remember to provide us with a copy of the updated information.

cc: Graduate Assistants

Appendix 5: Appointments and Mentoring of Graduate Student Instructors

UNIVERSITY OF CALIFORNIA, BERKELEY

Graduate Council

Revised March 5, 2012

The education and preparation of Graduate Student Instructors (GSIs) at Berkeley are essential to the educational mission of the campus. Faculty supervision and preparation of GSIs improves the preparation of graduate students for their future roles as teachers in academic institutions. The important role that GSIs play in education on this campus also means that effective preparation of GSIs will improve the quality of education at Berkeley.

DEFINITIONS

This policy addresses the preparation of all first-time and continuing GSIs. First-time GSIs are those teaching for the first time at Berkeley (even though they may have teaching experience at other universities). First-time GSIs normally assume responsibilities associated with roles (a) and (b) below. Continuing GSIs are all GSIs who have completed at least one semester of teaching as a GSI at Berkeley.

There are four different GSI roles, each giving the GSI a different level of course responsibility. (These roles are not equivalent to GSI steps that are based on experience or advancement to candidacy.)

Role (a): GSI who teaches secondary sections of a larger course. This is the most common type of GSI position.
Role (b): GSI who functions as the instructor of one of a number of courses in which the curriculum is prescribed, but the GSI is responsible for selecting readings, for how the material is presented, and for grading
student work. Examples of this may include language, studio, or Reading and Composition courses.
Role (c): Head GSI who functions as coordinator of other GSIs and/or performs other teaching or administrative duties.
Role (d): Acting Instructor-Graduate Student (AI-GS) who has sole responsibility for curriculum, textbook, and assigning grades. These appointees are the Instructors of Record in the courses they teach.

POLICIES

I. Recruitment and Appointment.

The procedures for recruiting and selecting GSIs should be public, transparent, and managed at the department level, rather than be controlled by private arrangements between course instructors and GSIs.

A. At the time of recruitment, the department Chair must make available the criteria required for appointments to GSIships and the criteria involved in determining the selection of GSIs.
B. The Chair is responsible for ensuring that postings are widely circulated within the eligible pool and are in compliance with the ASE contract.
C. The Chair is responsible for making GSI appointments.

II. Guiding Principles Determining Workload.

A. The Chair and the Faculty Adviser for GSI Affairs are responsible for explaining principles associated with workload in accordance with departmental needs and the current union contract.

B. It is the responsibility of the supervising faculty member to ensure that workload is consistent with the appointment percentage.

III. Preparation of GSIs for Teaching.

A. Responsibilities of First-time GSIs

1. Every first-time GSI must attend the Teaching Conference sponsored by the GSI Teaching and Resource Center on the Friday before classes begin. First-time international GSIs (IGSIs) must also attend the International GSI Teaching Conference, scheduled on the Thursday before classes begin in the fall semester. International GSIs who anticipate being appointed in the spring semester must attend the international GSI conference in the fall.
2. Every first-time GSI must successfully complete, no later than the end of the second week of classes, the online course Professional Standards and Ethics for GSIs.
3. Every first-time GSI must either have completed or be enrolled in a 300-level semester-long pedagogy seminar on teaching in the discipline offered by the GSI’s department. The pedagogy seminar may only be taken in another department with the advice and approval of the Faculty Adviser for GSI Affairs in the teaching department and with the consent of the 300-level course instructor in the other department. First-time GSIs who fail to pass the 300-level course must retake and pass the course before they are eligible to teach again.

B. Responsibilities of First-time and Continuing GSIs

1. All graduate students who teach require faculty supervision. At the beginning of the semester, all GSIs in roles (a), (b), and (c) are required to meet with the faculty member responsible for the course to go over the course syllabus, to clarify GSI responsibilities in the course, and, in the case of discussion sections and labs, to discuss the relationship of sections to lecture.
2. First-time and continuing GSIs in roles (a), (b), and (c) must also meet regularly throughout the semester with the faculty member in charge of the course to discuss the logistics of curriculum, assignments, tests, grades, etc., and pedagogical matters related to their teaching of the course or sections of the course.
3. GSIs must abide by other department-specific obligations that may include attendance at lectures or GSI meetings and meeting with faculty mentors to discuss more effective ways of teaching.
4. Continuing GSIs whose 300-level course did not include the development of skills needed to teach Reading and Composition (R&C) courses must enroll in either a 300-level course in another department tailored to the teaching of R&C or the short course taught in the spring by the GSI Teaching and Resource Center prior to or concurrent with teaching an R&C course.

C. Departmental Responsibilities

1. Departments must include the teaching preparation requirements for first-time and continuing GSIs in GSI letters of appointment and ensure that the requirements are met.
2. All departments that hire GSIs must offer a semester-long 300-level seminar on teaching in the discipline, frequently enough so that first-time GSIs can take the course in or before their first semester of teaching. If a department has fewer than four new GSIs in any given year, the department may make arrangements for the GSIs to take the course in another department. If a department does not plan to offer a 300-level course in the spring semester, GSIs to be appointed in the spring for the first time should be advised to take the 300-level course in the preceding fall.The course must:
   • be taught by a faculty member;
   • address the practical and theoretical knowledge needed by new GSIs in the specific discipline;
   •  have a syllabus that specifies topics week by week, identifies readings, and describes the basis for evaluation;
   •  have a meaningful number of units and student contact hours (2-4 units);
   •  have a course reader or textbooks;
   •  have specific assignments for which GSIs are accountable and on which GSIs will be graded.

   The GSI Teaching and Resource Center can assist departments in developing 300-level courses through consultations, workshops, and grants.

   Departments are required to apprise the Graduate Division each semester of the name of the faculty member teaching the course and to submit a copy of the 300-level course syllabus to the Graduate Division’s GSI Teaching and Resource Center each time the course instructor changes.

   Departments must schedule 300-level courses so as to minimize scheduling conflicts with other graduate-level courses. The departmental Faculty Adviser for GSI Affairs is responsible for resolving remaining schedule conflicts for the 300-level course.

3. In the case of GSI role (b) appointment, in which a GSI may have primary responsibility for curriculum, textbook selection, and evaluation of student work, a Senate faculty member or members must oversee andapprove all course descriptions and reading lists in keeping with the needs and standards of the University.
4. GSIs with the title of Acting Instructor-Graduate Student (role d) serve as the Instructor of Record and have full course responsibility. However, all course descriptions and representative reading lists must be overseen and approved by a Senate faculty member or members within the relevant department before submission of a graduate student’s appointment to the Graduate Division and the Committee on Courses of Instruction for approval.
5. Departments must make a faculty mentor available to GSIs holding the title Acting Instructor- Graduate Student (role d).
6. Departments are responsible for taking steps to ensure that GSIs receive feedback on their teaching. These steps may include observation by a faculty member, the review of mid-term evaluations of teaching, or other steps appropriate to the discipline.
7. The Department Chair is responsible for providing regular departmental practices for the review of end-of-semester GSI evaluations.

D. Responsibilities of Faculty Members who Teach with GSIs

1.  All graduate students who teach require faculty supervision. At the beginning of the semester, the faculty member responsible for the course is required to meet with GSIs (roles a, b, and c) to go over the course syllabus, to clarify GSI responsibilities in the course, and, in the case of discussion sections and labs, describe the relationship of sections to lecture.
2. All faculty members who teach with GSIs must meet regularly with new and continuing GSIs in roles (a), (b), and (c) to discuss the logistics of curriculum, selection of topics, assignments, tests, grades, etc., and pedagogic matters related to their teaching of the course or sections of the course.

IV. Rewarding Faculty for the Systematic Preparation of GSIs for Teaching

A. Departmental reviews should include an assessment of GSI mentorship in their assessment of faculty teaching performance. B. Budget Committee reviews should include an assessment of GSI mentorship in their assessment of faculty teaching performance.

V. Policy Dissemination

A. Departmental Chairs should provide faculty members a copy of these policies or the URL where they are located along with specific department guidelines at the beginning of each semester in which they teach courses with GSIs.

B. A copy of these policies or the URL where they can be located, along with specific department guidelines, should be included in each GSI letter of appointment. Assistance in developing guidelines for mentoring GSIs
can be obtained by consulting the GSI Teaching and Resource Center. Nothing in this policy shall be construed to alter the provisions of the UC-UAW contract. The contract is available at http://hrweb.berkeley.edu/labor/ase.htm.

Appendix 6: Modification of the Oral English Competence Testing Policy

Berkeley: Office of the Dean of the Graduate Division

May 29, 2003

To: Deans, Directors, and Department Chairs

From: Joseph J. Duggan, Associate Dean

Re: Modification of the Oral English Competence Testing Policy

At its meeting of May 5, 2003, the Graduate Council approved a change in the Oral English Competence Testing policy for prospective Graduate Student Instructors (GSIs). Since Fall 2000, the policy has stipulated that each graduate student who does not speak English as a native language must pass an English oral proficiency examination before being eligible for appointment as a GSI.

Based on the results of research conducted by the GSI Teaching and Resource Center that examined the passing rates of individuals with a B.A. or B.S. from U.S. institutions, the Graduate Council has approved the revision of the Oral English Competence Testing Policy, which now is as follows:

All prospective GSIs who do not speak English as a native language must pass a test of their proficiency in spoken English before they can be appointed to GSI positions. Exempted from this policy are those who hold a B.A., B.S., or other bachelor’s level degree from an institution in the United States. The policy applies to all prospective GSIs, whatever their citizenship, country of origin, or residency status, and whatever subject they will be teaching.

Each summer the GSI Teaching and Resource Center sends the names of those incoming graduate students who need to be tested prior to being appointed as GSIs to the departments. This list will no longer include those whose bachelor’s level degree is from an institution in the U.S.

The testing vehicles remain the same: 1) The Test of Spoken English (TSE), taken before the student comes to Berkeley, or 2) the SPEAK test or the Oral Proficiency Test which are administered by the GSI Teaching and Resource Center. Departments are urged to encourage potential GSIs to whom the policy applies to take the TSE before they arrive in Berkeley.

Please note that the Oral English Competence requirement also applies to undergraduate students who are appointed as GSIs.

Please contact the GSI Teaching and Resource Center at gsi@uclink.berkeley.edu should you have any questions about the policy.

Appendix 7: Graduate Council Student Parent Policies (Revision of May 1998 Statement)

2003–2004 Graduate Council

Berkeley Division of the Academic Senate

September 2003

GRADUATE COUNCIL STUDENT PARENT POLICIES (Revision of May 1998 statement)

New parenthood is a common experience for graduate students. The Graduate Council recognizes that parenting is a very time-intensive task, particularly in the early years. Students are often reluctant to ask for a special exception to deal with parenting demands. Academic units may be inconsistent or inflexible in the way they deal with this issue. The Graduate Council, therefore, requires that each academic unit adopt a minimum leave policy to accommodate new parents.

The student requesting an extension of time for childbearing leave must have substantial responsibility for the care of a newborn child. Each request for extension must include a statement written by the student certifying that he/she has substantial responsibility for the care of the child or children. As with all other such matters, the Head Graduate Adviser’s endorsement is required when the request is sent to the Graduate Division.

Additional Flexibility in Deadlines for Passing Preliminary and Qualifying Examinations and for Normative Time to Completion of Degree

While graduate student parents should be encouraged to take and pass the preliminary and Qualifying Examinations as soon as possible, students who need extra time based on parenting demands must be granted extensions for passing these exams. Parenting demands include childbirth and may include the serious illness of a child or other exceptional circumstances relating to a child. Each case, other than childbirth, will be reviewed and approved by the unit.

Because of the physical demands of childbearing, a woman who has taken time to accommodate childbirth or other serious parental demands may receive an extension of up to one extra year for passing preliminary examinations (in units that require these examinations); a man may receive a six-month extension. And, any woman who has taken time to accommodate childbirth or other serious parental demands may receive an extension of one extra year for passing Qualifying Examinations; a man may receive a six-month extension. Following Qualifying Exams, an extension of one extra year toward Normative Time completion may also be granted.

An extension (for the preliminary exam, qualifying exam, or post-candidacy Normative Time clock) is granted, regardless of the number of semesters the student was on withdrawal status. The provision to stop the pre- or post-candidacy Normative Time clocks may be invoked even if a student with substantial childcare responsibility does not take a formal leave (withdrawal) or have a modification of duties.

The total additional time granted by this policy may not exceed two years, no matter how many children are involved. Units must acknowledge these extensions in their calculations of Normative Time both before and after Qualifying Examinations.

International Students

The Student Parent Policy also applies to international students. However, a student’s visa status may be jeopardized by a time extension. He or she must consult with the Services for International Students and Scholars (SISS) regarding the implications of an extension on visa status.

Graduate Student Parent Support

It is recognized that each unit handles the issue of student support differently. Nevertheless, it is suggested that each unit be as generous as possible in dealing with student parents, particularly in the event of accommodating childbirth.

Appendix 9: Admission and GSI Appointment Scores

Berkeley: Office of the Dean of the Graduate Division

November 8, 2005

To: Deans and Department Chairs

From: Joseph J. Duggan, Associate Dean

Re: Admission and GSI Appointment Scores on the iBT/Next Generation TOEFL

The new version of the Test of English as a Foreign Language (TOEFL) became available in the United States in September 2005 and will be phased in elsewhere in the world later this year and in 2006.

Graduate Admission

Educational Testing Services is in the process of phasing out both the paper test and the computer-based test (CBT). The Graduate Division will, however, continue to accept paper and CBT scores as long as these tests are available and the scores are not out-of-date under existing Admissions policy. For example, for the 2006–2007 admissions cycle, scores are valid for all tests taken after June, 2004. Students taking the previous versions of the TOEFL will continue to be required to meet the aggregate score of 570 on the paper-based test or 230 on the CBT.

I appointed three standard-setting committees to recommend the minimum scores for those who are required to take the iBT Next Generation TOEFL for admission to graduate studies at Berkeley. The committees consisted of Senate faculty (at least half of each committee), non-Senate faculty, staff with expertise in second language learning or graduate admissions, and students. The minimum scores recommended by those committees were approved by the Graduate Council at its meeting of October 10, 2005.

The minimum aggregate Next Generation TOEFL score to qualify for admission to graduate study at Berkeley will be 68. This score will be enforced as a condition of admission by the Graduate Division. Although the minimum scores on the four sections of the test that together gave the score of 68 do not need to be reached, they were, for your information: 18 for writing, 17 for speaking, 16 for listening, and 17 for reading. On each section the maximum possible score was 30. In making decisions about admission, departments may decide to set their own minimum scores on one or more of the sections as long as this does not result in a total score below the Graduate Division minimum or to set a higher aggregate score.

As in the past, to be exempt from taking the TOEFL students must have already completed at least one year of full-time academic course work with a grade point average of B or better at a university in the United States. They must show that all full-time course work was conducted in English. Courses in English as a Second Language, courses in a language other than English, on-line courses, and courses that will be completed after the student applies for admission will not satisfy this requirement. Please consult the Admissions chapter of the Guide to Graduate Policy (www.grad.berkeley.edu/policies/guide.shtml), Chapter B: Admission, for further details.

Appointment as a Graduate Student Instructor (GSI)

Since the Next Generation TOEFL, unlike the previous version, includes a speaking component, it will also serve as the primary test to determine whether the English of students who do not speak English as a native language is sufficient to justify their appointment as Graduate Student Instructors. Eventually, then, the Test of Spoken English (TSE) will no longer serve as the primary screening for this purpose if the student has passed the TOEFL with a speaking score high enough to justify appointment as a GSI. The relevant standard-setting process committee recommended 26 as the minimum speaking score to be monitored by the Graduate Division, and this score was approved by the Graduate Council at its meeting of October 10, 2005. Hiring units may wish to establish a higher minimum speaking score on the Next Generation TOEFL for their appointees, in which case the higher minimum must be monitored by the hiring unit.

A student scoring from 22 to 25 on the speaking component of the Next Generation TOEFL will, after arriving in Berkeley, have to pass the Oral Proficiency Test (OPT), administered by the GSI Teaching and Resource Center, before being appointed as a GSI. Students scoring 22 may complete a semester-long Language Proficiency Program course (100A) before taking the OPT. Students scoring below are required to complete a semester of the Language Proficiency Program (LPP 100A) before taking the OPT.

If the student was exempted from taking the TOEFL for purposes of admission to graduate standing, but does not speak English as a native language, the student must take the SPEAK test administered on the Berkeley campus by the GSI Teaching and Resource Center and pass it with a score of 50 before being appointed as a GSI. In the event that the student scores 40 or 45 on the SPEAK test, the student will be able to demonstrate proficiency by passing the OPT. Students who score 40 may complete LPP 100A before taking the OPT. Students who score below 40 on the SPEAK are required to complete LPP 100A before taking the OPT. Students who fail the OPT are strongly encouraged to complete LPP 100A, at the conclusion of which they will be retested.

Students who do not take LPP 100A after failing the OPT must wait six months before being retested.

Please consult the Appointments chapter of the Guide to Graduate Policy (www.grad.berkeley.edu/policies/guide.shtml), Chapter H: Appointments, for further details.

cc: Members of the Graduate Council

Head Graduate Advisers

Faculty Advisers for GSI Affairs

Professional Developers

Graduate Assistants

Appendix A

Academic Progress Evaluation, Academic Standing, and

Appeals Procedures for Graduate Students

Approved by Graduate Council, November 1982

 

Also, see Graduate Appeal Procedure (Approved by the Graduate Council, April 27, 1998)

(http://www.grad.berkeley.edu/policies/pdf/gradappeal.pdf).

1. Introduction

Graduate study at Berkeley is expected to be both a rewarding and a highly demanding academic experience. Its rewards are obvious, whether they take the form of increased opportunities for employment or professional advancement, or of a sense of personal achievement in mastering a broad field of knowledge and practice, or of collegial relationships established between the student and his or her faculty mentors. At the same time, graduate study is extremely demanding of a student’s time and abilities. The work is intense and often quite difficult and the standards of performance high. This is to be expected. The value of a graduate degree exists in proportion to the standards that govern its award; if those standards are low, then the worth of the degree to all its recipients is reduced accordingly.

The rigors of a graduate education place burdens on students and faculty alike. On the part of the student, there is the expectation that technical requirements for the award of the degree will be met in a timely manner and in accordance with the standards of performance established by the Graduate Council and program faculty. On the faculty’s part, there is the expectation that recommendations for admission to graduate standing will be limited to applicants who show a reasonable likelihood of being able to complete successfully a rigorous program of graduate study, that each student’s progress will be reviewed and evaluated on a regular basis, and that students will be afforded reasonable advice and counsel regarding the content of their programs and the quality of their work.

Despite the best efforts of program faculty and the Graduate Division to limit admission to those who show promise of successful completion, and despite all reasonable attempts at review and counseling, situations will inevitably arise in which students encounter academic problems serious enough to call into question either their ability to complete requirements for the degree, or their ability to meet the standards of academic performance established for graduate students in general or for a given program in particular. In many cases, persistence of the problem may lead to probation, to lapsing or termination of candidacy for a higher degree, or to eventual disqualification and dismissal from graduate standing. While it is hoped that such measures will not become necessary, the Council recognizes the need for their existence, both to protect the quality of graduate education at Berkeley and to protect students against the added time and expense of prolonging an ultimately unsuccessful period of study.

In the sections to follow, the Graduate Council sets out policies regarding academic progress for graduate students at Berkeley, general standards for the award of graduate degrees, the conditions and procedures that govern academic standing and degree candidacy, and the procedures to be followed by students, faculty, the Graduate Division, and the Graduate Council in cases of dispute over actions that impede or terminate a student’s progress toward his or her degree goal. This document does not address itself to grades received in approved courses of instruction, nor does it consider matters of student employment, discipline, sexual harassment, or faculty misconduct, except as provided for in Section 10, below. These issues are addressed in separate publications available from the Office of the Academic Senate and the Office of the Chancellor. Additional information on policies and procedures regarding graduate standing and graduate student progress can be found in the General Catalog and in the Graduate Studies Handbook (available for review in most department offices, in the Graduate Division, and in the offices of the Graduate Assembly) .

2. General Requirements for Higher Degrees

While there is considerable variation among graduate programs with regard to the specific requirements for award of a graduate degree, all degree programs have in common: (a) a period of pre-candidacy studies, typically focused on intensive coursework and a training in the basic skills of research, scholarship, and professional practice appropriate to the discipline, (b) a period of post-candidacy studies in which pre-candidacy work is applied toward the completion of final degree requirements, and (c) a final demonstration, either through submission of an acceptable thesis or dissertation, or the passing of a final comprehensive examination, that the student has met the scholarly, research, and/or professional standards necessary for award of the degree in question. The transition from the first to the second of these stages is referred to as “advancement to candidacy” for the degree; achievement of the final stage will be referred to as “completion of degree requirements.” The following sections describe the basic steps involved in progressing through these stages as laid down in policies of the Academic Senate, the Graduate Council, and the Graduate Division. Technical details pertaining to unit and residency requirements, specific course requirements, and so forth, are spelled out in the General Catalog and in the program descriptions of individual departments, schools, colleges, and graduate groups.

A. The Master’s degree:

In the case of students working toward a Master’s degree, advancement to candidacy normally requires that the student’s record be reviewed by the Graduate Adviser and the Graduate Division and that the student be certified as ready to proceed toward the completion of final degree requirements. In other than exceptional circumstances, only students in good standing may be advanced to candidacy for the Master’s degree (see section 9.A., below). This should be regarded as a critical point in the student’s progress through the degree program; a student with outstanding deficiencies (e.g., below minimum GPA, incomplete grades in required courses, or inadequate preparation for the thesis, Master’s project, or comprehensive examination) should not be advanced until such deficiencies are corrected. Graduate Division policy requires that a student apply for and receive advancement to candidacy prior to completion of degree requirements (i.e., before admission to the comprehensive examination or submission of the thesis or project). Completion of requirements for the Master’s degree is subject to review by a committee of faculty members who act on behalf of the Administrative Committee of the Graduate Council. In the case of committees appointed to conduct the final comprehensive examination, membership will normally consist of at least two members of the faculty, one or more of whom will be members of the Berkeley Division of the Academic Senate. Master’s thesis committees will normally consist of three members, at least two of whom will belong to the Berkeley Academic Senate.

B. The Doctoral degree:

In the case of Doctoral students (those working toward the Ph.D. or a professional Doctorate), advancement to candidacy takes place only when the student has taken and passed an oral qualifying examination conducted by a committee of four faculty members (at least one of whom is from outside the student’s major discipline) appointed by the Graduate Division on behalf of the Administrative Committee of the Graduate Council. Admission to the qualifying examination requires (a) that the student be in good academic standing, (b) that all language requirements have been fulfilled, (c) that the student be registered, and (d) that at least one term of academic residence has been completed.

The purpose of the Qualifying Examination is to test the student’s general mastery of his or her field of study. At the time the Application for Admission to the Qualifying Examination is prepared for submission to the Graduate Division, the Adviser and the student should decide which general areas of the student’s discipline will be covered during the oral examination. Although the exam should 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 should also be designed to reveal the extent of the student’s knowledge as to breadth, depth, and sophistication of reasoning. The faculty should determine whether the candidate is ready to enter the research phase of graduate studies, but the exam is not to be concerned solely with the proposed dissertation research.

Once the examination has been passed and the report of the examining committee has been received by the Graduate Division, the student should apply for advancement to candidacy. This should be done as soon as possible following the examination, but in no case later than the end of the regular academic term following the one in which the examination was conducted. (Delays in advancement could jeopardize the student’s eligibility for Fee Offset Grants under the Normative Time Program or, if sufficiently prolonged, render the results of the examination invalid.)

At the time of advancement to candidacy, a committee for guidance of the dissertation will be appointed by the Graduate Division on behalf of the Administrative Committee of the Graduate Council. The Dissertation Committee will normally consist of three members of the Berkeley Academic Senate (five members for students held to a final defense of the dissertation), at least one of whom must be from outside the student’s major discipline. Once the student has submitted an acceptable dissertation, has obtained the necessary signatures, and has passed the final defense (if required), he or she will ordinarily be assumed to have completed all requirements for the Doctorate. (This assumption will not pertain if it is determined that specific technical requirements for the Doctorate have not been met.)

The names of students who have completed all preliminary requirements for Master’s or Doctoral degrees will be forwarded to the Academic Senate Committee on Graduation for final voting and award of degrees. While the Graduate Division will ordinarily honor requests for a Certificate of Completion once preliminary requirements have been fulfilled, actual award of the degree will not take place until it has been formally approved by the Committee on Graduation.

No student should expect the Master’s or Doctoral degree to be awarded simply in recognition of his or her having met the technical requirements for a degree program. The completion of specific courses, satisfaction of residence requirements, and maintenance of a minimally acceptable record of course work and independent study are certainly preconditions for award of the degree; but they are not sufficient for such an award in and of themselves. In each case there is the additional requirement that the student demonstrate, in a context other than that of ordinary coursework, mastery of a broadly defined field of knowledge and the scholarly methods, research techniques, or professional practice appropriate to it. At the Master’s level, this is the principal function of the comprehensive examination, the thesis, or the Master’s project.

At the Doctoral level, such mastery is demonstrated through the qualifying examination, which should also attest to the student’s critical abilities and powers of analysis and synthesis within his or her chosen field. The dissertation that culminates a program of Doctoral study should provide a final demonstration of the student’s scholarly, research, and/or professional abilities; it should provide an original contribution to knowledge in the student’s field; and it should accord with the cannon of method and presentation appropriate to that discipline.

In brief, completion of the technical requirements of a degree program certify that the groundwork for advanced study has been properly laid; the further requirements of examinations, a thesis or project work, and the dissertation are intended to attest to the quality of what has been built upon this groundwork and as such represent the most crucial points in the evaluation of graduate student progress.

3. Committees for Higher Degrees

All committees appointed to conduct the Master’s comprehensive or Doctoral qualifying examination and to pass upon the merits of the Master’s thesis, Master’s project, and Doctoral dissertation (including the committee for final defense) are in principle ad hoc committees acting on behalf of, and reporting to, the Administrative Committee of the Graduate Council. In practice, the Administrative Committee delegates the authority to appoint such committees to the Dean of the Graduate Division, who is in turn asked to insure that such committees are constituted in accordance with Graduate Council policy. In the case of Master’s committees (for examination, thesis, and project), the Dean has in turn delegated substantial authority to Graduate Advisers in making the necessary appointments.

Notwithstanding the delegation of authority in committee appointments, the basic principle remains that such committees act on behalf of the Graduate Council, and the decisions made bv such committees are decisions made on behalf of the Council, not the instructional unit in which the student is enrolled.

The appointment of faculty committees for higher degrees is initiated within the student’s home department, school, or graduate group. Except where examination procedures preclude such consultation, it is normally anticipated that student preferences regarding the constitution of committees will be solicited and taken into account by the Graduate Adviser before appointments are made (in the case of certain Master’s committees) or before a recommendation for appointment is forwarded to the Graduate Division. That the student’s preferences are normally solicited is not to say that the student has the authority to appoint members to a committee or to veto such appointments. If the Graduate Adviser judges that a particular appointment would be appropriate or inappropriate on academic grounds, he or she has the responsibility to act in accordance with such judgement, and to make or recommend appointment of a committee that meets the legitimate academic intent underlying its formation.

It is normally expected that any committee for a higher degree will remain in service until its obligations to the student and to the Graduate Council are fully discharged. On occasion, however, it may become necessary or desirable to alter the composition of a committee because one or more of its members become unavailable for continued service, because of major changes in the direction of the student’s thesis or dissertation research, or because of other legitimate factors unforeseen at the time of the committee’s original appointment (e.g., the development of irreconcilable differences between the student and a member of his committee). Any reconstitution of a committee for a higher degree must ordinarily be agreed to by the member(s) being released from service, by the new member(s) being recommended for appointment, and by the Graduate Adviser, as being in the best academic interests of the student and the program involved. Reconstitution must be approved by the Dean of the Graduate Division, acting on behalf of the Administrative Committee of the Graduate Council.

Under extraordinary circumstances, the Administrative Committee may act to reconstitute a committee for a higher degree without the formal concurrence of the faculty member(s) being replaced and/or the Graduate Adviser, if it deems such action to be in the best interests of the student and program involved. Such a step will normally be taken only upon consideration of a formal appeal for reconstitution, and only after all efforts to remedy the problem have been exhausted at the departmental, school, college, or group level.

4. Normal Progress

Campuswide policies concerning the progress of graduate students in meeting specific requirements are intentionally flexible. While the Graduate Division has established upper limits on time in candidacy for different programs, and for the validity of course work offered in satisfaction of degree requirements, the definition of adequate progress is to a great extent left in the hands of program faculty. It is the policy of the Graduate Council that faculty expectations concerning satisfactory progress, whether applied to a program in general or to individual student programs in particular, be made known to those students affected through departmental publications, through written evaluations of student progress, or both.

For students in professional and academic Doctoral programs, the schedule for normal completion of degree requirements submitted by program faculty under the Normative Time and Fee Offset Grant Program may be used as a guideline for expectations of normal progress.

5. Departmental Requirements

Apart from general, campuswide degree requirements, individual departments, schools, colleges, or graduate groups may, with the approval of the Graduate Council, institute additional progress require- ments for students in programs under their jurisdiction. Such requirements may include, but need not be limited to:

(a) Maintenance of a cumulative grade point average (GPA) in excess of the 3.00 minimum required by Academic Senate legislation;

(b) Completion of specific courses at or above a given level of performance;

(c) Completion of requirements for a specified Master’s degree enroute to the Doctorate;

(d) Passage of departmental “preliminary” or “permission to proceed” examinations before admission to the Qualifying Exam;

(e) Submission of an acceptable thesis or dissertation prospectus prior to advancement to candidacy;

(f) Acceptance of the student by a regular faculty member from the department, school, or group able and willing to supervise the student’s dissertation research and to serve as Chair of the dissertation committee;

(g) Completion of certain general requirements (e.g., passage of the Qualifying Examination, completion of the Master’s thesis, etc.) within a clearly specified period of time.

These requirements, which may have specific time limits attached to their completion, are under the jurisdiction of program faculty. Prior approval by the Graduate Council must be obtained before instituting such requirements.

6. Evaluation of Student Progress and Performance

It is the policy of the Graduate Council that the progress of each student actively pursuing a graduate degree be evaluated formally by program faculty at least once during each academic year. The evaluation process may serve a variety of functions, but its primary goals should be: (a) to give program faculty a formal opportunity to review the performance and progress of each student in the program, and (b) to provide each student with timely information concerning the faculty’s evaluation of his or her progress, performance, and standing within the program. The Council suggests that the results of all such evaluations, favorable as well as unfavorable, be communicated in writing to the students concerned.

If the faculty reviewing a student’s record determines that there exists a particularly serious deficiency in the rate of progress or in the quality of work performed—that is, a deficiency which, if left uncorrected, could lead to a recommendation for dismissal, refusal of permission to proceed to the Doctorate, lapsing or termination of candidacy, or other action of similar severity—then the Council requires that the student be informed in writing of:

(a) The nature of the problem or deficiency;

(b) Steps that should be taken to correct the deficiency;

(c) A reasonable period of time in which the student is expected to correct the problem or to show improvement acceptable to program faculty; and

(d) The approximate date at which the student’s record will next be reviewed.

Except under the most unusual circumstances, the Dean of the Graduate Division will not approve a recommendation for dismissal, for termination of candidacy, or other action of similar severity, unless the foregoing requirements have been met. It is the opinion and policy of both the Council and the Graduate Division that no student should be subject to action of such a drastic nature unless he or she has been given adequate written warning and a reasonable opportunity to correct the deficiency. (Exceptions may be made in the case of failed preliminary, comprehensive, or qualifying examinations in which the examining committee recommended unanimously that the student not be permitted a second attempt. (See Section 7.B., below.)

7. Evaluation of Performance on Graduate Examinations

The following sections briefly summarize the policies and procedures adopted by the Graduate Council and the Graduate Division to govern the evaluation of student performance on Master’s comprehensive examinations, Doctoral qualifying examinations, and those examinations required by individual departments, schools, colleges, or graduate groups as part of an approved program of graduate study. (Additional information is available in the Graduate Studies Handbook.)

A. Membership of Examination Committees:

The Master’s Comprehensive Examination: The Master’s comprehensive examination is normally administered by a committee of three, at least two of whom should be members of the Berkeley Division of the Academic Senate. In the case of departments, schools, colleges, or groups that have been given permission by the Graduate Council to substitute a Master’s project or equivalent work for the comprehensive examination, it is expected that a committee of at least two members of the regular faculty will be appointed to review and approve the student’s project.

The Doctoral Qualifving Examination: The Doctoral qualifying examination is normally administered by a committee of four members of the Berkeley Division of the Academic Senate. At least one of the ,four (the so-called “outside” member) serves as the Senate’s representative on the committee and may not be from the student’s major, department, school, or graduate group. When adequate justification exists, the Graduate Adviser may recommend appointment of one non-Senate member to serve as an “inside” member of the committee. Such appointments require explicit approval by the Dean of the Graduate Division. The chair of the examination committee and the “outside” representative must be members of the Berkeley Division of the Academic Senate. Exceptions to the above have been granted to a few special programs, such as the Interdisciplinary Degree Program, and alternative arrangements have been made available to graduate groups that find it difficult or impossible to meet the usual “outside member” requirement. (See the Graduate Studies Handbook for details on such exceptions.)

Examinations in Defense of the Dissertation: Students completing a program of Doctoral studies under Plan A are required to stand for an examination in defense of the dissertation following its submission. The committee to conduct the examination is appointed at the time of the student’s advancement to candidacy. It will normally consist of five members, three of whom are appointed to review and pass upon the dissertation in accordance with rules governing the constitution of dissertation committees. The remaining two members will normally be drawn from the student’s major department, school, or graduate group.

Departmental Examinations: As described above in Section 5(d), examinations that form part of the requirements for specific degree programs are under the jurisdiction of the instructional unit involved. The Graduate Council nevertheless requires that such examinations, especially if passage is a prerequisite to continuation in a program, be administered by a committee ot at least three members of the regular faculty, and that the general policies of the Council regarding re-examination following a first failure be followed by the department or group concerned.

B. Evaluation and Re-examination:

A single policy governs most matters pertaining to the evaluation and reporting of student performance on examinations for higher degrees. In general, the result of any such examination is determined by vote of the committee appointed to administer the examination. (Differences in voting requirements are discussed below.) If, on the first attempt at an examination administered under the auspices of the Graduate Council, the committee vote is for a “not pass” or “failure,” this outcome is reported to the Graduate Division along with a recommendation for or against re-examination. If the committee recommends against re-examination, the student becomes subject to dismissal at that point. If it is recommended that the student be permitted a re-examination, and if this recommendation is approved by the Dean of the Graduate Division, then the student will be permitted to stand for a second examination following a reasonable delay for additional preparation (normally, no less than three months). If the second examination is also voted a failure, then the student becomes subject to dismissal. A third attempt is not permitted.

In certain cases, a first examination may be ruled a “partial failure” by the committee in charge. In this instance, the committee may request that the re-examination (if recommended) cover only the material for which the student was judged deficient on the first attempt. The first examination will nevertheless be ruled a “first failure”; a failure on the re-examination, even if it is restricted to a subset of the original topics, will be regarded as a second and final failure of the examination in question.

In general, reconstitution of examination committees following a failure is not permitted. Exceptions may be made only when circumstances render it impossible for one or more of the original members to serve on the committee at the time of re-examination.

The following sections describe aspects of voting and reporting procedures specific to the different types of examinations required by the Graduate Councilor by individual departments, schools, colleges, or graduate groups.

The Master’s Comprehensive Examination: The result of the Master’s comprehensive examination should be determined by vote of the committee appointed to administer the examination. The voting procedure to be used (majority vote or unanimous decision) is determined by program faculty; the Council requires only that the procedure be uniform in its application. In the case of a Master’s project, or equivalent work submitted in lieu of the comprehensive examination, unanimous approval by the committee appointed to review the project (or other work) is required.

The Doctoral Qualifying Examination: The Graduate Council expects a unanimous vote by the examining committee concerning the student’s overall performance on either the first or second attempt at the Doctoral qualifying examination. For further information on voting procedures and reporting requirements, please refer to the Graduate Council’s “Policy on Doctoral Qualifying Examinations,” issued during the Fall Quarter 1982.

Examination in Defense of the Dissertation: The requirements are the same as for the Doctoral qualifying examination, except that the delay between a first and second attempt at the defense need not be as long as three months if the committee and the student agree that a shorter delay would be adequate for preparation of a successful defense.

Departmental Examinations: Voting and reporting procedures used in conjunction with examinations specific to individual departments, schools, colleges, or graduate groups are determined by the instructional units. The Graduate Council requires, however, that students failing such examinations on the first attempt be provided an opportunity for re-examination following a reasonable delay for additional preparation, unless the quality of the student’s performance was so low as to preclude any reasonable possibility of passing the examination within an acceptable period of time. If a student is recommended for dismissal on the basis of a first failure of a departmental examination, the Graduate Division will request that the Graduate Adviser indicate in his or her recommendation to the Dean why a second attempt was not permitted.

C. Use of Examinations for More than One Degree

It is the policy of the Graduate Council that a single examination for a higher degree may not be used to satisfy the requirements for more than one degree, nor for a degree other than that for which the examining committee was originally appointed. Exceptions to this general principle may be made only under the following circumstances: A student who has passed the qualifying examination and has been advanced to candidacy for the Doctorate may petition for withdrawal of Doctoral candidacy and for retroactive reconstitution of the examining committee as a committee for the Master’s comprehensive examination. Such a petition should be accompanied by an application for advancement to candidacy for the Master’s degree and a detailed justification from the Graduate Adviser in support of this action. If approved by the Dean of the Graduate Division, and assuming that all other requirements for the Master’s degree have been met, the student may then be recommended for award of that degree. In general, such a step will be approved only in the case of students who, for one reason or another, must discontinue their studies for the Doctorate. If the student later decides that he or she wishes to continue Doctoral studies, then a new qualifying examination and readvancement to candidacy will be required.

Under no circumstances, however, may a failed qualifying examination be offered in fulfillment of the requirements for a Master’s degree.

Following a petition to, and approval by, the Graduate Council, a department, school, or graduate group may be permitted to conduct concurrent examinations for the Master’s degree and the Doctorate. Committees appointed to conduct such examinations are constituted as committees for both the Master’s comprehensive and the doctoral qualifying examinations. Such an arrangement will be permitted only if the Council is fully convinced that the academic intent of both examinations can be met by committees sitting in single session, and only if there are distinct academic advantages to be obtained through a concurrent examination procedure. If such an examination is voted a “pass,” the student will be judged as having met the examination requirements for both degrees. If the examination is voted a failure, then the student will be judged to have failed the examination for both degrees. Re-examination, if permitted, may take the form of a Master’s comprehensive, a doctoral qualifying, or a concurrent examination, as recommended by the committee and approved by the Dean. A student must be advanced to candidacy for the Master’s degree before he or he will be admitted to a concurrent examination.

8. Review of Dissertations and Theses

A committee of three faculty members, acting on behalf of the Administrative Committee of the Graduate Council, is appointed to review and pass upon the merits of each Doctoral dissertation and Master’s thesis submitted in partial fulfillment of the requirements for a higher degree. A detailed discussion of the Council policies governing the constitution of such committees is contained in the Graduate Studies Handbook.

At least two of the individuals appointed to each dissertation or thesis committee should be members of the Berkeley Division of the Academic Senate. Under certain circumstances, a non-Senate member may be appointed if the Graduate Adviser determines that the individual in question offers expertise not otherwise available among the regular faculty, and if the Dean of the Graduate Division concurs in that judgement. At least one member of the committee should be drawn from a unit other than the student’s major department, school, or group. On occasion, a non-Senate member may be appointed to co-chair a thesis or dissertation committee if this assignment is shared with a Senate member. The chair of a dissertation committee may not be the same individual who chaired the qualifying examination committee.

It is intended that the conduct of research leading to the thesis or dissertation and the actual reporting of the results that follow from such research be conducted in a collegial manner, with regular consultation between the student and the committee appointed to guide his or her work. The entire purpose of this phase of graduate training is defeated when the student works in isolation from his or her committee. The more serious problems that arise when committee approval is finally sought typically arise through a lack of adequate consultation. While it is the committee’s responsibility to offer advice, criticism, suggestions for improvements in the research or the written document, and to provide the necessary opportunities for consultation, it is largely the student’s responsibility to initiate and maintain regular contact with his or her committee members. Failure to maintain such contact, unless it is clearly the fault of the committee itself, cannot be accepted as grounds for appealing the committee’s judgement of the quality of the work performed.

The Graduate Council requires the committee’s unanimous approval of the dissertation or thesis before it can be accepted in fulfillment of degree requirements. When a near-final draft of the thesis or dissertation is submitted to the committee, it is to be expected that final approval may be withheld pending editorial changes, the inclusion of additional material, and other modifications that can be accomplished with relatively little added time and effort. So long as the committee finds the work to be basically sound in nature, in terms of content, the research or scholarly methods employed, and the mode of presentation, the process of revision and re-submission may continue through several rounds without calling into question the student’s ability to complete an acceptable piece of work within a reasonable period of time. Eventual approval of the document is typically not an issue in this situation.

On occasion, however, the committee may find in the student’s work problems of such severity as to raise doubts about his or her ability to complete an acceptable thesis or dissertation given a reasonable amount of additional time and effort. If, upon submission of a near final draft of the document, the committee concludes that the work is not likely to be accepted without major alterations in either the research or the written presentation, then the Graduate Council requires that the following steps be taken:

(a) The committee members, either individually or as a group, should meet with the student and attempt to reach an understanding as to the nature of the changes that will be required before the work can be accepted.

(b) The results of these discussions should be communicated to the student in writing, with informational copies forwarded to the program’s Graduate Adviser and to the Graduate Division.

(c) The student should be provided a reasonable period of time in which to make the requested changes and to submit a draft acceptable to the committee (i.e., a draft in need of no more than the usual editorial revisions). The definition of “reasonable time” is left to the committee, but it should take into account the magnitude of the changes being requested, the amount of additional research, if any, that may be required, and so on. In general, six to twelve months should be adequate. The deadline for re-submission should be communicated to the student in writing, as part of the communication mentioned in (b), above.

(d) If, upon re-submission, the draft is still judged unacceptable (barring minor revisions), or if the student fails to submit a revised draft within the period specified, then the committee may request the Administrative Committee of the Graduate Council, via the Graduate Adviser and the Dean of the Graduate Division, to rule the committee’s obligations fulfilled and to discharge it from further responsibility to the student. If approved by the Administrative Committee, such action will normally result in termination of the student’s candidacy for the degree.

In the event that the committee is divided in its opinion concerning the eventual acceptability of the thesis or dissertation (on the grounds described above), and if the committee is unable to come to a consensus on the changes to be requested, then the matter should be referred, via the Graduate Adviser and the Dean of the Graduate Division, to the Administrative Committee for a decision. In such cases, the Dean will request a written evaluation of the student’s work from each of the committee members involved, as well as the Graduate Adviser’s recommendation for disposition of the case.

9. Academic Standing

In general, any graduate student may be classified as (a) in good standing, (b) on some form of probation, or (c) as subject to dismissal. The nature of these statuses depends in large part upon the type of program in which the student is enrolled, and the stage to which his or her studies have progressed. This section describes the three basic classifications, the conditions leading to a student being assigned to one or another classification, and the implications of such assignment.

A. Good Standing:

A graduate student is judged to be in good standing if he or she is making adequate progress toward the completion of degree requirements, has a GPA of at lease 3.00, does not have more than the maximum permissible number of incomplete grades, and is not on probation or subject to dismissal for any reason. Only students in good standing may be admitted to examinations (Master’s comprehensive or Doctoral qualifying), be advanced to candidacy, hold an academic appointment, receive a graduate fellowship, or be eligible to receive an advanced degree. Students not in good standing are regarded as either on probation or as subject to dismissal.

B. Probation:

Probation is intended to provide a student whose performance is less than fully satisfactory a period of time in which to remove deficiencies and to bring his or her performance up to a level consistent with the minimum standards enforced by the Graduate Division and/or the program in which he or she is enrolled. A student may be placed in probationary status only by the Dean of the Graduate Division. Similary, a student may be removed from probation and returned to good standing (or become subject to dismissal) only by the Dean. A student may not remain in probationary status for an indefinite period of time.

When a student is placed on probation, he or she will be informed of the fact in writing and will be provided a reasonable period of time in which to correct the deficiencies that led to this action. If, at the end of the specified period, all deficiencies have been removed, and no other circumstances warranting probation have developed in the interim, the student will be returned to good standing. If the deficiencies have not been corrected by the end of this period, the student may become subject to dismissal.

Probation may be initiated by the Dean of the Graduate Division, generally through failure of the student to meet the technical requirements of good standing, or by recommendation of the Graduate Adviser in the student’s major department, school, college, or graduate group. In all cases, the Dean will consult with the student’s Graduate Adviser before taking such action.

Probation may be initiated by the Dean of the Graduate Division, generally for one or more of the following reasons :

I) Failure to maintain an adequate level of performance (e.g., as measured by GPA or the quality of written work) in courses central to the student’s program of study;

2) Failure on departmental “preliminary” or “permission to proceed” examination, or failure to stand for such examinations in a timely manner;

3) Failure to proceed to the comprehensive or qualifying examination within a reasonable period of time;

4) Failure to make adequate progress in meeting other stated program requirements (e.g., submission of an acceptable dissertation prospectus, passage of required language examinations, etc.):

5) Failure to make adequate progress in thesis or dissertation research and/or writing.

Students in probationary status may not be admitted to examinations (Master’s comprehensive or Doctoral qualifying), nor be advanced to candidacy, nor hold an academic appointment, nor receive a graduate fellowship, nor be eligible to receive an advanced degree.

C. Lapsing of Candidacy:

Lapsing of candidacy is a form of probation applicable only to students who have been advanced to candidacy for the Master’s degree or for the Doctorate. At the time of advancement, each student is informed of the amount of time allowed for the completion of degree requirements in his or her program of study. If requirements are not completed within this period of time, the student’s candidacy for the degree may be lapsed by the Dean of the Graduate Division.

A student whose candidacy has been lapsed will not be admitted to the Master’s comprehensive examination, nor will he or she be permitted to file a Master’s thesis or Doctoral dissertation with the Graduate Division. Students whose candidacy has been lapsed are subject to the general restrictions pertaining to students on probation (Section 9.B.). (An exception will normally be made in the case of Doctoral students whose candidacy for a Master’s degree has lapsed. So long as such students are in good standing with respect to the Doctoral program, lapsing of candidacy for the Master’s degree will not result in probation.)

Students whose candidacy for the Doctorate has been lapsed cannot be awarded the Candidate in Philosophy (C. Phil.) degree, nor will the Graduate Division issue for such students certificates of candidacy for the Doctorate. Candidacy for the degree may be reinstated upon recommendation of the Graduate Adviser if there is clear evidence of renewed progress toward the completion of degree requirements, and if requirements previously completed are judged still to be valid. In the case of Master’s students, this will require certification by the Graduate Adviser of the residual validity of course work offered for the degree, submission of a complete draft of the thesis (for students on Plan I), and approval by the Dean of the Graduate Division. For Doctoral students, this will require submission of a complete draft of the dissertation, certification by the Graduate Adviser that the results of the qualifying examination are still valid, certification of continued competence in any required foreign languages, and approval by the Dean of the Graduate Division.

In the case of both Master’s and Doctoral students, the thesis or dissertation draft must be textually complete and sufficiently close to its final form as to permit the committee in charge to certify to the likelihood of its acceptance and formal submission to the Graduate Division by the immediately following deadline for filing of theses or dissertations.

Failure to achieve reinstatement of candidacy within a reasonable period of time after lapsing may result in the student’s candidacy for the degree being terminated. Unless otherwise specified in the Graduate Division’s formal notice of lapsing, termination will normally take place at the end of the regular academic term in effect two years after the date of notification.

To assist Graduate Advisers in counseling their students, the Graduate Division annually distributes lists of long-time degree candidates whose candidacy is in jeopardy of being lapsed during the current academic year and of those whose candidacy may be lapsed in the following year if degree requirements are not completed in time. For those students in immediate danger of lapsing, the Adviser is asked to recommend extensions of candidacy where academic circumstances warrant or to permit candidacy to lapse where an extension is not justified. Students on the second list (i.e., those whose candidacy may be lapsed in the following year) should, where possible, be reminded of this fact by the Graduate Adviser. Consultation between the Graduate Adviser and the chair of the thesis, project, or dissertation committee (or the student’s faculty adviser) would be appropriate in all such instances.

D. Termination of Candidacy:

Termination of candidacy for the Master’s degree or Doctorate represents a form of probationary status more severe than that of lapsing, but still short of formal dismissal. Candidacy may be terminated by the Dean following consultation with program faculty, when there is substantial reason to believe that the student in question no longer demonstrates the qualifications regarded as appropriate for award of the degree, or when the continued lack of progress calls into serious question the student’s ability to complete an acceptable thesis or dissertation within a reasonable period of time.

In the case of students whose candidacy for the Doctorate has been lapsed, termination may occur upon continued lack of progress on the dissertation (normally two years after formal lapsing of candidacy), or 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. Faculty administering the various degree programs are to set appropriate time limits and submit this information to the Graduate Council for approval.

Candidacy may also be terminated if the student fails to correct, within the time specified, major deficiencies in a dissertation previously submitted for committee review (see Section 8 above).

Termination of candidacy for the Master’s degree may occur when course work offered in fulfillment of degree requirements was taken so long ago as to call into question its validity as an indication of current knowledge and skills, or when there is continued lack of progress in completion of the Master’s thesis (for students on Plan I).

A student whose candidacy for the degree has been terminated is regarded as on probation and is subject to the restrictions normally applied to such students. In order for candidacy to be restored and probation lifted, the student will have to recertify his or her qualifications for the degree in question. In the case of Doctoral students, this will require a new qualifying examination, recertification of required languages, and a new application for advancement. Master’s students will be required to take additional course work sufficient to replace the units judged no longer valid, and to submit a new application for advancement. Doctoral students whose candidacy for a Master’s degree has been terminated, so long as they are in good standing with respect to their Doctoral studies, will not be regarded as on probation, although reinstatement of Master’s candidacy will still require completion of the steps listed above.

E. Subject to Dismissal:

A student becomes subject to dismissal on academic grounds if, following a reasonable period of probation, the student has not corrected the deficiencies that originally led to probationary status. If, upon review of the case, the Dean of the Graduate Division determines that there is adequate justification for permitting the student to remain in graduate standing, he or she may extend the period of probation by an appropriate amount. If the Dean determines that there is no such justification, he or she may impose formal dismissal and so inform the student and the Office of Admissions and Records (Office of the Registrar). (This will result in a notation to that effect being entered on the student’s transcript of record.) Alternatively, the Dean may recommend to the student that he or she withdraw from graduate studies with the understanding that readmission will be permitted only under exceptional circumstances and only after a thorough review of the student’s record by both the Dean and program faculty.

A student who has been dismissed from graduate standing will no longer be permitted to register. Once dismissed, a student is granted access to campus resources, including faculty time, only to the degree that such access is accorded the general public.

Under regulation 904 of the Academic Senate, the “disqualification [dismissal] of graduate students is at the discretion of the Dean of the Graduate Division concerned.” While Graduate Advisers may recommend that a student be made subject to dismissal, neither they nor other program faculty are empowered to carry out such action. The Graduate Council interprets Regulation 904 as pertaining to any action that is functionally equivalent to dismissal. In particular, Graduate Advisers are not permitted to prevent registration through refusal to sign a study list that meets the necessary unit requirements and is consistent with the general course requirements of the program involved, unless such action has been specifically approved by the Dean.

Appendix AA100: Late Changes in Study List for Graduate Students

BERKELEY: OFFICE OF DEAN OF THE GRADUATE DIVISION
October 22, 1998
To: Graduate Advisers and Assistants
From: Joseph J. Duggan
Associate Dean
Re: Late Changes in Study List for Graduate Students

Currently, petitions to add a class after the fifth week of classes or drop a class or change the grading option after the eighth week of classes require approval of the Associate Dean, in addition to the approval of the graduate advisor chair. Graduate Division staff have been entering the changes, once approved, on OLADS (On-Line Add-Drop System).
Effective immediately, changes to the study list through the last day of classes require only the approval of the graduate adviser chair. OLADS can be used in the departments and groups for changes to graduate student study lists through the last day of classes.

The procedure for late changes in the study list after the last day of classes will remain the same. These changes require approval of the Associate Dean. Please let me know of any concerns or questions you may have regarding this change in procedure.

Appendix AA101: Changes in Policies Concerning Readmission

BERKELEY: OFFICE OF DEAN OF THE GRADUATE DIVISION
October 26, 1998
To:Graduate Advisers and Assistants
From: Joseph J. Duggan
Associate Dean
Re: Changes in Policies Concerning Readmission

The new policy on readmission, issued on December 24, 1997, did not make the 1998 edition of the Graduate Adviser’s Handbook. On page 62, please replace the second paragraph in the section on readmission with following two paragraphs:

Readmission applies to all students who have ever been registered as graduate students in any program at Berkeley. Any student who has registered at Berkeley as a graduate level student, no matter how long ago, applies for readmission, not admission, when he or she returns. In addition to the readmission application, students who have been away from the University for more than five years must submit the same documentation to the department as those applying for initial admission. This documentation, including letters of recommendation, a statement of purpose, copies of academic recommendations, transcripts of work completed in the interim, and any other internal department requirements, must be submitted by the deadline set by the department. Students applying for readmission may be compared in competition with applicants for admission, at the option of the department.

All students who apply for a change of major must submit transcripts of all college-level work, a statement of purpose, and three current letters of recommendation to the department.

Appendix AA111: Problems of Late Registration by Students

BERKELEY: OFFICE OF DEAN OF THE GRADUATE DIVISION
August 23, 1999
To: Head Graduate Advisers
From: Joseph J. Duggan, Associate Dean
Z. Renee Sung, Associate Dean
Problems of Late Registration by Students

We are requesting your assistance in solving a serious budgetary problem for the campus. Part of the annual campus budget is determined by the number of students officially enrolled by the end of the third week of classes each semester. In addition, the Office of the President uses fall enrollment counts to determine campus allocations of University Student Aid Program (USAP) funds. As you may know, USAP funds are an important component of department block grant support; thus, registration numbers are directly linked to campus graduate student support funds. This year the total number of undergraduate and graduate students registered beyond our budgeted projections will generate an additional $8,000 per student in income for the campus plus $700 per student in USAP funds.

We ask for your help in ensuring that graduate students register by the established University deadlines for registration and enrollment, but no later than by the end of the third week of classes (September 10, 1999). Please remind your graduate students that to be considered registered they need to (1) enroll in at least one class, (2) pay at least 20% of their fees, and (3) have no blocks on their registration. For your convenience, during the second week of classes we will send you a list of students in your major who have still not satisfied the registration requirements for fall 1999. We would greatly appreciate your following up and notifying each student to register immediately. We remind you that registration and enrollment have always been required criteria for holding an academic appointment and for receiving fee remissions and fellowship support.

Because of the serious budgetary consequences of late registration and enrollment, we must require that students comply with campus policy. Students must be registered and enrolled in at least eight units by the end of the third week of classes in order to maintain their eligibility for any fee remission or fellowship. Students who are not registered by September 10, 1999 will lose their fall 1999 fee remissions; fellowship holders will lose the payment of fees.

If you have questions regarding these issues, please contact Graduate Degrees, 2- 7330; Graduate Appointments, 2- 7101; or Graduate Fellowships, 2-0672. We will send this memo via email to the graduate assistants as well for your convenience in forwarding to graduate students.

cc: Graduate Assistants

Appendix AA114: Deferral of Admission

BERKELEY: OFFICE OF DEAN OF THE GRADUATE DIVISION
October 20, 1999
To: Head Graduate Advisers
From: Joseph J. Duggan
Associate Dean
Re: Deferral of Admission

I have recently reviewed our policy on deferral of admission and want to clarify three main points. Departments may defer an applicant only once, applicants admitted by exception may not be deferred, and any applicant wanting to be considered for a multi-year fellowship must be ranked with the current applicant pool. If a deferred applicant does not register, you may still consider the applicant for a future semester, but you must compare and rank the applicant with newly submitted applications for that term.

Recommendation for deferred admission. Departments can recommend that an applicant’s admission be deferred one time only if the applicant has been admitted but is unable to enroll on schedule and wants to begin graduate school in a later semester. Departments that admit only for fall semester can recommend to defer an admission only until the next fall semester; those admitting for both semesters can recommend to defer until spring or the following fall.

Deferred admission may be offered only to superior applicants. Applicants admitted by exception may not be deferred. Such applicants must be reviewed and ranked with the current applicant pool, and may be offered admission if they rank above the cutoff point for admissions. Under no circumstances can deferred admission be offered to an international applicant who has not yet received a basic degree or whose scholarship, preparation. or English proficiency is questioned by Graduate Admissions.

How departments request deferred admissions. To request a deferred admission, the graduate adviser should write a short memo to Graduate Admissions, justifying the reason for the deferral. Graduate Admissions will review the request and notify the department of the decision.

An applicant offered deferred admission to another academic year (i.e., fall to fall) must submit a new application (Form A) and updated transcripts. If the standardized test scores are out of current date range, new test scores must be submitted. Graduate Admissions will issue a letter of admission for the new semester only after we receive a new application and any required updated records and test scores. If the applicant has asked to be considered for the University multi-year awards, the department must review and rank the applicant with the current applicant pool.

The department should remember to hold allotment slots for anyone for whom it has requested a deferral.

cc: Graduate Assistants

Appendix AA120: New Testing Policy for the Oral English Competence of Graduate Student Instructors

Berkeley: Office of the Dean of the Graduate Division
December 1, 1999
To: Deans, Directors, Department Chairs
Head Graduate Advisers
Professional Developers of GSIs
Faculty Advisers for GSI Affairs
From: Joseph J. Duggan
Associate Dean
Re: New Testing Policy for the Oral English Competence of Graduate Student Instructors

Pursuant to a decision of the Graduate Council, the policy under which potential Graduate Student Instructors are tested for competence in oral English has been changed.

Beginning with fall semester 2000, all those who are not native speakers of English must pass a test of their proficiency in spoken English before they can hold GSI positions. This policy applies to all prospective GSIs, whatever their citizenship and residency status, and whatever subject they will be teaching.

For this purpose, proficiency in spoken English must be demonstrated by passing with a minimum score: (1) the Test of Spoken English (TSE) before coming to Berkeley, or (2) the SPEAK test or the Oral Proficiency Test which are administered by the GSI Teaching and Resource Center. Departments are urged to encourage potential GSIs who are not native speakers of English to take the TSE before they arrive in Berkeley.

Graduate students who have been accepted to UC Berkeley for admission in fall 2000 must respond to the question on the Statement of Intention to Register form:
Do you speak English as a native language?

The Graduate Division will register the responses in its database where the GSI Teaching and Resource Center will have access to them. Reports will be sent to campus units periodically so that you will be aware of the names of students who need to pass a test of oral English proficiency before being permitted to teach.

The new policy is reflected in the Graduate Division publications Graduate Study at Berkeley, Where To Begin, Addendum to the Graduate Adviser’s Handbook 1999–2000, General Catalog 1999–2000, and in the Graduate Application for Admission and Fellowships, 2000–2001. Information on the new policy can also be found on the Graduate Division Web Site under Admissions in the section on Student Employment and under Academic Appointments.

For further information contact the Graduate Student Instructor Teaching and Resource Center at 642-4456 or gsi@uclink4.berkeley.edu.

cc: Graduate Assistants

Appendix AA122: University Predoctoral Humanities and Regents Intern Fellowships

BERKELEY: OFFICE OF DEAN OF THE GRADUATE DIVISION

December 17, 1999

To: Department Chairs

Humanities and Social Sciences

From: Joseph Cerny, Dean

Re: University Predoctoral Humanities and Regents Intern Fellowships

I am writing to announce revisions to two multi-year award programs, the University Predoctoral Humanities Fellowships and the Regents Intern Fellowships. As you know, these programs provide four years of support for entering domestic and international graduate students. Currently, these fellowships provide two years of stipend support with coverage of in-state fees and nonresident tuition (if necessary), and two years of departmental support with coverage of partial fees and nonresident tuition (if necessary). Nonresident tuition for domestic students is restricted to one year .

Unfortunately, because our funding has not increased, we find it necessary to restrict the Graduate Division’s nonresident tuition coverage from four years to two years for international students. As before. one year of nonresident tuition will be covered for domestic students. Therefore, effective with the 2000–2001 fellowship competition, these fellowships will be offered as follows:

University Predoctoral Humanities Fellowships:

• year 1: $12,500 stipend and full fees with nonresident tuition for domestic and international students

• year 2: $12,500 stipend and full fees, and nonresident tuition for international students only. (In previous years the second stipend year was held until the dissertation year; however, that has been changed to the second year of study.)

• year 3: departmental support in the form of a GSI or a GSR, with Graduate Division paying the remainder of the in-state fees after fee remission*

• year 4: departmental support in the form of a GSI or a GSR, with Graduate Division paying the remainder of the in-state fees after fee remission*

Regents Intern Fellowships:

• year 1: $11,000 stipend and full fees with nonresident tuition for domestic and international students

• year 2: $11,000 stipend and full fees, and nonresident tuition for international students only

• year 3: departmental support in the form of a GSI or a GSR, with Graduate Division paying the remainder of in-state fees after fee remission*

• year 4: departmental support in the form of a GSI or a GSR, with Graduate Division paying the remainder of in-state fees after fee remission*

For all students who have already received one of these awards, the Graduate Division will pay nonresident tuition as indicated in their award letters.

I regret having to announce these changes, however, they are necessary for the following reasons:

• The Graduate Division has not received any significant new funding during the last several years, while, at the same time nonresident tuition has increased.

• It is imperative that we use some of our current funding to increase the stipends of the Berkeley Graduate Fellowship and the Chancellor’s Opportunity Predoctoral Fellowship in order to remain competitive with our peer institutions. The Berkeley stipend will be raised from $13,000 to $15.000 and the Chancellor’s Opportunity stipend will go from $12,000 to $14,000 beginning with the 2000–2001 fellowship competition.

*NOTE: Recently there was some confusion concerning the Graduate Division’s policy on the payment of fees for these two programs in the departmental years of support. It has always been the intent to pay the remainder of in-state fees after fee remission has been paid during the years of departmental support. The program was never budgeted to cover full fees in the support years.

cc: Graduate Assistants

JC/JJD/DB

Appendix AA74: Reduced Nonresident Tuition for Qualified Graduate Students

BERKELEY: OFFICE OF DEAN OF THE GRADUATE DIVISION

January 24, 1997

DEANS, DIRECTORS AND DEPARTMENT CHAIRS

I am very pleased to inform you that at their January 17, 1997, meeting, the Regents adopted a new policy, providing a reduction in assessed nonresident tuition for graduate students advanced to candidacy for the doctoral degree.

Essentially, the policy is:

For graduate students who are advanced to candidacy for the Ph.D. or professional doctorate, beginning fall 1997, and after, nonresident tuition will be reduced by 75% for up to three years. Graduate students who are already advanced to candidacy in fall 1997 would also be eligible, but only for the remainder of three years from the date of their advancement to candidacy; and

For graduate students who do not complete their doctoral degree within three years after advancement to candidacy, and still need to register, the nonresident tuition will be reinstated to its full amount.

The Office of the President is working on implementation guidelines, which the Council of Graduate Deans will review during their February meeting. We hope to distribute these to you in March.

The campus strongly supported this change, since it will bring UC in line with the practice of our comparison universities, all of which have reduced tuition in the later years of a graduate student’s career.

Joseph Cerny

Dean

Appendix AA77, Attachment

Graduate Division, April 16, 1997

IMPLEMENTATION OF REDUCED NONRESIDENT TUITION FOR STUDENTS
ADVANCED TO DOCTORAL CANDIDACY

At their January 1997 meeting, the Regents adopted the following policy regarding the reduction in nonresident tuition for graduate students advanced to candidacy for the doctorate.

Effective with the Fall term 1997, for graduate doctoral students who have been advanced to candidacy, the annual nonresident tuition fee is reduced by 75 percent, subject to the understanding that:

(a) a graduate doctoral student may receive the reduced nonresident tuition rate for a maximum of three years; and

(b) any such student who continues to be enrolled or who re-enrolls after receiving the reduced fee for three years will be charged the full nonresident tuition rate that is in effect at the time.

Questions and Answers

The following questions and answers are intended to provide guidance on implementation of the reduced nonresident tuition for graduate doctoral students.

1) Q: By how much is the nonresident tuition reduced?

A: The annual nonresident tuition fee is reduced by 75 percent for a maximum of three years after the student is advanced to candidacy. The full nonresident tuition fee for 1997–98 is $8,984; students eligible for the reduced rate would be assessed $2,246 in 1997–98 ($1,123 per semester). In addition, students will continue to be assessed the Educational Fee, the University Registration Fee, the Student Health Insurance Fee, campus miscellaneous fees and, if applicable, the Fee for Selected Professional School Students.

2) Q: Will the reduced nonresident tuition fee remain at the same amount for the duration of time that a student is in candidacy? For example, a student who is advanced to candidacy in July 1997 is charged $2,246 for nonresident tuition for the 1997–98 academic year; then, for 1998–99, the Regents increase the nonresident tuition fee. Would the student who was advanced to candidacy in 1997–98 continue to be assessed only $2,246?

A: No. An eligible student will be assessed 25 percent of the prevailing nonresident tuition fee.
3) Q: Who will calculate the reduced nonresident tuition fee?
A: The Office of the President will calculate the fee. Each year, when the Office of the President
notifies campuses of the amount of nonresident tuition, it will also include the amount of the reduced nonresident tuition to be charged to students who have been advanced to candidacy.

4) Q: Is the reduced fee actually a lower fee, or are eligible students assessed the full nonresident tuition and then given a tuition waiver for 75 percent of the full amount?

A: Eligible students will be charged a lower fee.

5) Q: Why is a reduced fee charged rather than charging the full amount and providing a fee waiver?

A: To be consistent with the practices of the University’s public comparison institutions which currently charge nonresident tuition at reduced rates for doctoral students in the latter years of their academic programs, a reduced fee is charged. This action also brings the University’s practices in line with state policy on the adjustment of nonresident tuition.

6) Q: Who is eligible for reduced nonresident tuition?

A: A registered Ph.D. or professional doctorate student who meets all of the following criteria is
eligible for reduced nonresident tuition:

a) is classified as a nonresident (domestic or international) for tuition purposes; and

b) is registered in a doctoral program or professional doctorate program that has an advancement-to-candidacy requirement; and

c) has been approved by the campus to be advanced to doctoral candidacy as of the first day of the academic term, as determined by the campus, for which the reduced tuition is assessed. At Berkeley, we are interpreting “as of the first day of the academic term” to mean “on or before the first day of instruction.”

7) Q: Who is NOT eligible for the reduced tuition?

A: Graduate students enrolled in master’s programs and professional doctoral programs that do not have an advancement-to-candidacy requirement are not eligible for reduced nonresident tuition; for example, professional school students in law (J.D.) and optometry (O.D.).

8 ) Q: Are the three years of eligibility for the reduced nonresident tuition measured by the number of enrolled academic terms or by calendar years?

A: Eligibility for the reduced nonresident tuition is measured in calendar years and begins with the first academic term following advancement to candidacy. For example, a student who is advanced to candidacy in November 1997 would be eligible for the reduced nonresident tuition in the academic term beginning January 1998. The student’s eligibility would end three years later with the Fall 2000 term.

9) Q: Do academic terms during which an eligible student is not registered count in the three-year limit?

A: Yes. Eligibility for the reduced nonresident tuition begins with the first academic term following advancement to candidacy and ends three calendar years later. Normally, eligibility for the nonresident tuition reduction would not be extended simply because a student did not enroll. A request for an extension may be approved by Associate Dean Joseph J. Duggan, but will be granted only for exceptional circumstances. All requests for extensions will be reviewed on an individual basis and should be addressed to the Associate Dean, c/o Graduate Degrees, 302 Sproul Hall.

10) Q: What happens to the nonresident tuition assessment when a Ph.D. candidate does not complete the Ph.D. degree within three years in candidacy?

A: The student is assessed the full amount of the prevailing nonresident tuition for every academic
term during which he or she registers after three years in candidacy.

11) Q: What happens when a student has filed for the degree (paying only the Dissertation Filing Fee) and then, at a later time, must reregister? Would the student be eligible for the reduced nonresident tuition?

A: Yes, provided that time remains on the three years of eligibility following advancement to candidacy.

12) Q: Since the reduced nonresident tuition is effective with the Fall term 1997, will nonresident Ph.D. candidates who were advanced to candidacy prior to the Fall 1997 academic term be eligible for three full years of reduced tuition?

A: No. Students will lose eligibility for reduced tuition after three years in candidacy. For example, a student who was advanced to candidacy by the first day of the Fall 1995 term will have one year of eligibility (1997–98) remaining for the reduced nonresident tuition.

13) Q: Will students working on a joint Ph.D./professional degree or a joint Ph.D./master’s degree at UC be eligible for the reduced nonresident tuition?

A: Yes. Once a student working on a such a joint degree program is advanced to candidacy for the
Ph.D. portion of his or her degree, the student is assessed the reduced nonresident tuition for the terms in which he or she is registered as an advanced doctoral candidate.

14) Q: Will students working on a joint Ph.D. degree program with another institution (for example, CSU or GTU) be eligible for the reduced nonresident tuition?

A: The nonresident tuition reduction applies only to students enrolled at the University of California. A student would be eligible for the reduced nonresident tuition only if he or she is advanced to candidacy and is registered and assessed fees at UC. The maximum eligibility of three calendar years as described above continues to apply.

15) Q: Is a qualified student who receives funding from an outside agency to cover the cost of nonresident tuition eligible for the reduced nonresident tuition, or should the student be charged the full nonresident tuition?

A: The student should be assessed the reduced tuition if he or she meets the eligibility criteria. The
source of a student’s funding is not relevant to any fee assessment.

16) Q: When does the advancement-to-candidacy form need to be in the Graduate Degrees office?

A: The advancement-to-candidacy form must be received in the Graduate Degrees office by the first day of instruction each semester in order to qualify for the reduced nonresident tuition for that semester. (The submission deadline for the Fall 1997 term is August 25, 1997. If the advancement form is received after August 25, 1997, the first term of reduced nonresident tuition will be Spring 1998.)

17) Q: If the student will have a GSR appointment, title code 3284, how much will be charged to the grant?

A: The nonresident tuition amount that is assessed to the student will be charged against the grant, either $4,492 or $1,123. Depending on when the reduced fee information is reflected in CARS, an adjustment to the grant may be needed. For students who have already been advanced to candidacy, the amount of the adjustment should be charged against the grant.

18) Q: How will the department know who is currently eligible for the reduced fee?

A: Each major department will be sent a list of currently advanced doctoral students. The list will
indicate which students may be eligible for the reduced fee and the last term of possible eligibility. The list will also contain citizenship and advancement-to-candidacy information. Some of the citizens may be non-residents and registration status will affect eligibility for the reduced fee.

19) Q: How will the information on eligibility be passed to CARS?

A: Information on all currently advanced students has been sent to the Student Information System. The reduced nonresident tuition amount of $1,123 per semester is reflected in CARS for all eligible students. Students will now be advanced to candidacy as of the date the advancement-to-candidacy form is received in the Graduate Degrees office. As the forms are processed and approved data will be passed weekly from the Graduate Degrees database to the Student Information System. The reduced nonresident tuition will be reflected in CARS by the Monday that follows the transfer of the data.

20) Q: Whom do I call with questions or problems?

A: Call the Graduate Degrees Office, 642-7330.

Appendix AA77: Reduced Nonresident Tuition for Doctoral Students Advanced to Candidacy

BERKELEY: OFFICE OF THE DEAN OF THE GRADUATE DIVISION

April 16, 1997

To: Graduate Advisers

From: Joseph J. Duggan

Associate Dean

Re: Reduced Nonresident Tuition for Doctoral Students Advanced to Candidacy

As announced earlier in the Deans and Directors memo of January 24, 1997, students who have been advanced to candidacy for the Ph.D. or professional doctorate, are nonresidents for fee purposes and have been advanced for less than three years are eligible for a seventy-five percent reduction in the nonresident tuition effective fall 1997. This fee reduction will be reflected in most students’ fee bills by April 19, 1997. I wish to inform you, for planning purposes, of the students in your major who may be eligible. In addition, I am including a series of questions and answers to help clarify the policy.

cc: Graduate Assistants

Attachment

Appendix AA88, Enclosure 1

Berkeley: Office of the Dean of the Graduate Division

April 7, 1997

To: Deans, Directors, Chairs, and Faculty Advisers for GSI Affairs

From: Joseph J. Duggan

Associate Dean

Re: Graduate Council Policy on GSI Appointments and Mentoring

Enclosed is a copy of the policy statement on GSI Appointments and Mentoring that the Graduate Council adopted in December, 1996.

I call your attention to the Council’s policies on the publication of criteria, on advertisement of GSI positions, on principles concerning workload, including letters of appointment, on GSI training, on the responsibilities of faculty and graduate student appointees to discuss logistics and pedagogical matters, on faculty incentives, and on appeal mechanisms. Regular meetings between faculty and the GSIs teaching in their courses are an integral part of the educational process of the graduate students holding appointments.

Please note that the policy statement makes no changes in the requirements for appointments in GSI title codes or for advancement within the GSI series. Departments continue to have the flexibility to consider factors such as the recruitment of new graduate students through support packages that include GSI appointments, the need for academic training, and the assignment of GSIs on the basis of length of experience remain in place. A department may still choose whether to hire into GSI positions only graduate students who are degree candidates in that department or to make positions accessible to students from outside the unit.

Those in the titles of Reader, Tutor, and Acting Instructor, which are subject to collective bargaining, are not affected by these policies to the extent that the terms and conditions of their appointments are concerned.

Students who hold GSI appointments have recourse to appeals through section 140 of the Academic Personnel Manual for employment issues and through the Graduate Appeals Procedure for academic issues to the extent that the issues fall under the scope of those procedures.

cc: Faculty Developers of GSIs

Graduate Assistants

Appendix AA88, Enclosure 2

Berkeley Division of the Academic Senate

1996–97 Graduate Council

March 18, 1997

Graduate Council Policy on Appointments and Mentoring of GSIs

There are two reasons to improve the education and training of GSIs at Berkeley. First, we need to prepare our students better for their roles as teachers as they take positions in academic institutions. Second, we need to ensure that the undergraduates on this campus are receiving the best possible education. GSIs, along with faculty, play a central role in that endeavor.

It appears that too many GSIs experience a lack of clarity in the departmental process of recruitment, selection, and preparation of GSIs. GSI workload expectations are often unclear. While a number of departments are doing an admirable job in their preparation and mentoring of GSIs, it is apparent that a more explicit policy on this topic is long overdue.

At its meeting on December 2, 1996, the Graduate Council unanimously passed the following policies regarding faculty mentoring of GSIs.

Mentoring of Different Types of GSIships

Preparation and guidance of GSIs in their teaching roles depends in part on a GSI’s level of experience and the level of responsibility for teaching a particular course. In trying to describe these levels, we have found that there are often substantial discrepancies between the level of appointment (GSI 1 to 4) and the function of the GSI in the course. Here we provide a brief description of four general types of GSIships, each giving the GSI a different level of responsibility for the course.

(a) Beginning GSI; first appointment – no previous undergraduate teaching experience; primarily leads discussion sections or labs;

(b) More experienced GSI; leads discussion sections or labs;

(c) GSI who functions as the instructor of one of a number of courses in which the curriculum and texts are prescribed, but the GSI is primarily responsible for how the material is presented and for grading students;

(d) Graduate students who have sole responsibility for curriculum, textbook, and grading students.

These types, rather than GSI appointment levels are referred to in Sections A-E below.

Policies

A. Recruitment and appointment.

The process of recruiting and selecting GSIs should be open and centralized, rather than controlled by private arrangements between course instructors and GSIs. In the following statement of principles, our definition of “fairness” refers to the clarity and equity of the process, not to the equal distribution of GSIships to all graduate students.

1. The responsibility for making GSI appointments rests with the Chair. He or she may delegate this responsibility to a faculty committee, but the Chair should make certain that fair recruitment and selection processes are in operation in the department.

2. All departments should post notices about available GSI positions in the following ways: (i) A well-marked notice on a bulletin board indicating that GSI positions are available, see [designated person] in the department office for information; (ii) notices in department email; (iii) notices on the department web site. Information should state whether the unit is willing to consider appointing students from outside the department. When appointments outside the department are acceptable, bulletin-board and electronic notification of openings should be provided and an announcement and description should be forwarded to Career and Graduate School Services, 2111 Bancroft Way, MC4350.

3. GSI vacancies that occur during the first week of instruction and that must be filled on an emergency basis should be posted for at least two full working days, unless the department is prepared to fill them on the basis of a previously established waiting list of GSI applications.

4. Criteria required for appointments to GSIships, and criteria involved in determining selection of students must be made available to graduate students in advance of the appointment. Different criteria may be appropriate for different types of GSIs. At the beginning GSI level (Type a above), if the department can assume that all entering graduate students have basic preparation in the course material, issues of distributing student support may be primary. For appointments that involve more active planning and teaching responsibilities, issues of previous experience in teaching and competence in the subject matter may be primary.

B. Guiding principles determining workload.

1. Clear descriptions about the nature of the GSI position (leading discussions, grading homework, lecturing, etc.) and the expected workload should be conveyed to the graduate student before he/she is appointed.

2. All students appointed as GSIs should receive an appointment letter specifying the title, the beginning and ending date, and the percent time. Many departments do this. For those that do not, we recognize that it will be an additional burden on administrative staffs, but it is an important step in the appointment process. Appointment letters should also describe in detail the responsibilities of GSIs, including expectations, including the number of sections to be taught by each GSI, and the maximum expected number of students in each section.

3. Given that GSI appointments ordinarily do not exceed half time, the expectation should be that, on the average, GSIs should not spend more than 20 hours per week in conformity with Academic Personnel Manual (APM) and Graduate Council stated policy. Many GSIs believe that they cannot do justice to their students within this time frame. The issue of hours worked is made more complex because circumstances vary depending on whether the GSI has taught the course before. We believe that the faculty member in charge of the course should advise and support GSIs in balancing their teaching responsibilities with other responsibilities involved in graduate education.

4. Each department should specify, in advance of the first class, maximum limits on sections appropriate to the discipline and the specific course. If prospective enrollments are higher than expected, additional GSIs should be hired, the enrollment should be limited to specified section size, or the workload of the GSIs (e.g., number of assignments to be graded) should be adjusted accordingly.

For procedures to resolve issues concerning workload see Section E.

C. Preparation of GSIs for teaching.

In this section we define policies and procedures that describe the mutual responsibilities of faculty and GSIs in making certain that undergraduate students receive the best possible educational experiences, and GSIs receive the best possible pedagogical training.

1. Because leading discussion sections or teaching stand-alone sections requires complex teaching skills, first-time GSIs require training in both the logistics and pedagogical issues of how to teach undergraduates. Resources for this purpose include campuswide GSI orientations, department GSI orientations, and ongoing department 300 courses. The Graduate Council in collaboration with the GSI Teaching and Resource Center will circulate a list of resources available for preparing new GSIs.

Each department must inform the Dean of the Graduate Division and the Graduate Council about the specific ways in which it provides GSIs with appropriate preparation before they enter the classroom for the first time and during their first year of teaching.

2. New and continuing GSIs (GSIship types a and b) are entitled to regular meetings with faculty who are responsible for the course to discuss the logistics of curriculum, selection of topics, assignments, tests, grades etc.

3. New and continuing GSIs (GSIship types a and b) are entitled to regular meetings with faculty who are responsible for the course to discuss pedagogic matters related to their teaching of the course or sections of the course.

4. GSIs with primary responsibility for the course content are entitled to regular meetings with a faculty member designated by the Chair to discuss course logistics and pedagogical issues.

5. Co-incident with faculty responsibilities to prepare GSIs are GSI obligations to prepare themselves for teaching roles. Included in these obligations are: attendance at classes, lectures, and GSI meetings, meeting with faculty mentors to discuss more effective ways of teaching undergraduates, seeking out opportunities for guidance and feedback concerning teaching, attending courses on pedagogy offered in the department or in the University.

D. Increasing faculty incentives to play a central role in mentoring graduate students as teachers.

1. Departmental reviews should include an assessment of GSI mentorship, when applicable, in their assessment of faculty teaching performance.

2. Budget Committee reviews should include an assessment of GSI mentorship, when applicable, in their assessment of faculty teaching performance.

3. Faculty using GSIs should be provided with a copy of these policies along with specific department guidelines at the beginning of each semester that they teach courses with GSIs. Assistance in development guidelines for mentoring GSIs can be obtained by consulting the GSI Teaching and Resource Center.

4. Students should be provided with a copy of these policies along with specific department guidelines at the beginning of each semester of their appointment.

E. Mechanisms to resolve issues arising in the appointment and mentoring of GSIs.

Individual GSI concerns:

1. Once the semester has begun, GSIs with concerns about their workload or other aspects of mentoring should discuss them with the instructor of the course (Types a and b) or with faculty designated by the Chair (Types c and d).

2. If Step 1 does not produce satisfactory results, the GSI should meet with the Chair or with the Faculty Advisor for GSI Affairs, or with a department committee of faculty and graduate students designated to oversee GSI issues.

3. If Step 2 does not produce satisfactory results, the GSI can use the grievance procedures outlined in Section 140 of the Academic Personnel manual. Students should observe all stated time limits on grievance procedures.

Department-wide GSI concerns:

4. If GSIs feel that the department as a whole is not abiding by these new guidelines, they should try Steps 1 and 2 above. If these do not produce satisfactory results, the GSIs should outline their concerns to the Chair of the Graduate Council and to the Dean of the Graduate Division.

Prepared by Phil Cowan, Graduate Council Chair

Appendix AA88, Enclosure 3

Guidelines for Letters of Appointment

Departments need to provide an appointment letter to all students who are appointed as GSIs in any given semester which includes the following information:

1. GSI title (e.g., GSI I, II, III, IV)

2. beginning and ending date

3. percent time

4. a description of the GSI’s responsibilities

5. the expected number of sections to be taught by the GSI

6. the maximum number of students permitted in each section

A copy of the Graduate Council Policy on Appointing and Mentoring of GSIs should be included as an attachment.

Appendix AA88: Departmental Responsibilities Regarding Graduate Council Policy on GSI Appointments and Mentoring

Berkeley: Office of the Dean of the Graduate Division

March 9, 1998

To: Deans, Chairs, and Faculty Advisers for GSI Affairs

From: Mary Ann Mason

Associate Dean

Re: Departmental Responsibilities Regarding Graduate Council Policy on

GSI Appointments and Mentoring

On April 7, 1997, Associate Dean Joseph J. Duggan sent you, on behalf of the Graduate Council, the new policy on GSI appointments and mentoring. Some of the important actions mandated in this document include but are not limited to: a fair and open system of hiring; guidance as to GSI workload; an appointment letter spelling out the terms and conditions of the work; and pedagogical preparation for beginning GSIs, through either a 300 level course or its equivalent.

As you know, you are required to distribute this policy to all faculty and GSIs. We trust that the GSIs are receiving the policy accompanied by their letters of appointment. A full description of the requirements of the memo may be found in the document on the Graduate Division Web site in the Graduate Student Instructor (GSI) Teaching & Resource Center page (www.grad.berkeley.edu/gsi/index.shtml).

Faculty mentoring for new and continuing GSIs has been stipulated in the policy. As an incentive, the Graduate Council has directed chairs and the Budget Committee to recognize faculty for mentoring in promotion decisions.

According to the Graduate Council your department is obliged, by May 3, 1998, to provide me with the following:

1) the specific way in which your unit provides GSIs with preparation before and during their first year of teaching,

2) a copy of a typical letter of appointment, including the duties required of the GSI and the number of hours the GSI is required to work.

The GSI Teaching and Resource Center (http://gsi.berkeley.edu) is available to work with departments and individual faculty to support your efforts to prepare and mentor GSIs. Among the resources available are sample syllabi and readers for 300 level courses from programs on campus, information on classroom observation, video consultation, and GSI assessment, materials on how to begin the GSI teaching portfolio, and materials from the six seminars for faculty teaching with GSIs. The center can be reached at 2-4456 and by e-mail at gsi@berkeley.edu.

If you have questions concerning the policy, you may e-mail Professor Jeffrey Reimer, Chair of the Advisory Committee of GSI Affairs, a subcommittee of the Graduate Council at reimer@berkeley.edu.

Thank you for your cooperation.

cc: Graduate Council

Graduate Assistants

Enclosures: Associate Dean Joseph J. Duggan Memo (April 7, 1997)

Graduate Council Policy on Appointments and Mentoring of GSIs

Guidelines for Letter of Appointment

Guidelines for Letters of Appointment

Departments need to provide an appointment letter to all students who are appointed as GSIs in any given semester which includes the following information:

1. GSI title (e.g., GSI I, II, III, IV)

2. beginning and ending date

3. percent time

4. a description of the GSI’s responsibilities

5. the expected number of sections to be taught by the GSI

6. the maximum number of students permitted in each section

A copy of the Graduate Council Policy on Appointing and Mentoring of GSIs should be included as an attachment.

Appendix AA91, Enclosure

Academic Senate

320 Stephens Hall

University of California, Berkeley

May 1998

GRADUATE COUNCIL STUDENT PARENT POLICIES

Additional Flexibility in Deadlines for Passing Preliminary and Qualifying Examinations

New parenthood is a common experience for graduate students. The Graduate Council recognizes that parenting is a very time-intensive task, particularly in the early years. Students are often reluctant to ask for a special exception to deal with parenting demands. Academic units may be inconsistent or inflexible in the way they deal with this issue. The Graduate Council, therefore, requires that each academic unit adopt a minimum leave policy to accommodate new parents.

While graduate student parents should be encouraged to take and pass the preliminary and Qualifying Examinations as soon as possible, students who need extra time must be granted extensions for passing these exams based on parenting demands. Parenting demands include childbirth and may include the serious illness of a child or other exceptional circumstances relating to a child. Each case, other than childbirth, will be reviewed and approved by the unit.

Any student who has taken time to accommodate childbirth or other serious parental demands may receive an extension of up to one extra year for passing preliminary examinations (in units that require these examinations). And, any student who has taken time off to accommodate childbirth or other serious parental demands may receive an extension of one extra year for passing Qualifying Examinations. Following Qualifying Exams, an extension of one extra year toward Normative Time completion may also be granted. The total additional time granted by this policy may not exceed two years, regardless of the number of children involved. Units must acknowledge these extensions in their calculations of Normative Time both before and after Qualifying Examinations.

Graduate Student Parent Support

It is recognized that each unit handles the issue of student support differently. Nevertheless, it is suggested that each unit be as generous as possible in dealing with student parents, particularly in the event of accommodating childbirth.

Examples of Graduate Student Parent Support Policies may be obtained from the Graduate Division.

Appendix AA91: Graduate Council Student Parent Policies

Berkeley: Office of the Dean of the Graduate Division

May 15, 1998

To: Deans, Directors, Department Chairs, Chairs of Graduate Groups, Graduate Adviser Chairs

From: Mary Ann Mason

Associate Dean

Re: Graduate Council Student Parent Policies

At its meeting on April 27, 1998, the Graduate Council adopted a policy statement regarding graduate students who are parents. The Council recommends that graduate students who are coping with childbirth or other serious parental demands be granted additional time to meet established deadlines for passing preliminary and/or Qualifying Examinations and completing their dissertations.

I am enclosing a copy of the policy statement. Please distribute copies to your colleagues and graduate students. Thank you.

cc: Graduate Assistants

Enclosure

Appendix AA92: Changes in DCP/Medicare Policies for Student Employees

BERKELEY: OFFICE OF financial and Business Services

May 18, 1998

DEANS, DIRECTORS, DEPARTMENT CHAIRS, AND ADMINISTRATIVE OFFICERS

Re: Changes in DCP/Medicare Policies for Student Employees

I have good news to announce for student employees! Under new IRS guidelines, undergraduate and graduate student employees who are registered and enrolled in courses at least half time will now be exempt from withholding for Medicare and the Defined Contribution Plan. Under previously announced (March 29, 1995) policies student employees had to be enrolled full time and have a total combined appointment percentage of 50% or less in order to be exempt. This is now changed.

NEW POLICY

Undergraduate and graduate students must be registered and enrolled in a minimum of 6 units during the Academic Year in order to qualify for the exemption. During Summer Session, the exemption will require registration and enrollment in 6 units by undergraduate students and 2 units by graduate students. Student employees who do not meet the half-time enrollment requirement will continue to be required to contribute 7.5% of their earnings to the Defined Contribution Plan (DCP) and 1.45% to Medicare.

OTHER HIGHLIGHTS OF THE NEW POLICIES

• No limit is imposed on the number of hours that a student may work and be eligible for the exemption from withholding.

• In general, withholding is not required during academic term break periods.

• Graduate students registered and enrolled and approved for advancement to doctoral candidacy are also exempt from withholding.

These changes are effective with May 1998 earnings paid in June 1998.

Later this month, departmental administrative officials will receive detailed procedures implementing the new IRS guidelines, as well as answers to frequently asked questions. In the meantime, if you have questions about these revised policies please contact Jim Hensler at 642-2851 (hensler@uclink).

Alison McGill

Controller and Executive Director

Financial and Business Services

Appendix S, Enclosure 1

Academic Senate

320 Stephens Hall

University of California, Berkeley

November 22, 1989

Dean Joseph Cerny

Graduate Division

California Hall

Campus

Dear Dean Cerny:

At its most recent meeting, the Graduate Council considered the responsibility of faculty in signing dissertations and/or abstracts. This matter was brought to the attention of the Council following the recent meeting of the Administrative Committee where the case of a faculty member who wished to withdraw his signature from the title page and from the abstract of a student dissertation was considered as part of an appeal by the student involved. In considering this issue, it came to the attention of the Administrative Committee that policies of the Graduate Division are not explicit on this issue. The Council considered the recommendation of the Administrative Committee that faculty should be advised that their signature on a dissertation and/or abstract is binding and cannot be withdrawn once given. Furthermore, faculty should not sign dissertations and/or abstracts until the faculty member is convinced that the work by the student has been completed to the satisfaction of that faculty member. The Council unanimously endorsed this position and requested that the Graduate Division place a section in the Graduate Adviser’s Handbook making the above statement of policy explicit.

As a consequence of this policy on signing dissertations and/or abstracts, the Final Report currently submitted by departments following the filing of a dissertation should be revised. It is the position of the Council that once a student is advanced to candiacy, he/she is under the guidance of a dissertation committee which is appointed on behalf of the Administrative Committee of the Graduate Council. The Final Report, in its current form, is therefore not necessary. The department is to monitor the progress of students but the completion of the dissertation is the responsibility of the student working with his/her dissertation committee. However, a Final Report should be submitted by the department for all Plan A students who must present a defense of the dissertation as well as for those Plan B students for whom a defense is required, The Council requests that the Graduate Division modify the current Final Report form to conform to these guidelines. I will include the revised Final Report form as an information item for the Council when it is ready.

Yours truly,

Thomas Duncan

Chair, Graduate Council

Appendix S, Enclosure 2

University of California Graduate Division

Berkeley, California 94720 Graduate Degrees

STATEMENT OF PROGRESS TOWARD COMPLETION OF THE DOCTORAL DEGREE

This is to inform you that John J. Doe was advanced to candidacy on 03/05/90, for the degree of Doctor of Philosophy, with a major in Economics.

At this stage of a doctoral student’s career, he or she comes under the jurisdiction of the dissertation committee appointed on behalf of the Administrative Committee of the Graduate Council. The student’s final requirement, the doctoral dissertation, must satisfy the dissertation committee members. However the student’s home department, group, or school is still responsible for overseeing the student’s progress in the degree program.

At this juncture, it is necessary for the Graduate Adviser Chair to certify that all departmental requirements, except the dissertation, have been met. Please do so by signing this form and returning it to the Graduate Division.

Graduate Adviser Chair Date

The candidate’s committee is as follows:

Jones, Albert (Chair)

Mitchell, Barry J

Canseco, David

The department will be notified at a later date that the student has filed the dissertation and received the degree.

ATTENTION GRADUATE ASSISTANT:

Please return this form to Graduate Degrees & Petitions, 302 Sproul Hall, and retain a copy for your files.

Sent by:

Date: June 24, 1991

10068064

Appendix S: New Procedures for Final Report

Berkeley: Office of the Dean of the Graduate Division

March 15, 1990

To: Graduate Adviser Chairs

From: Dean Joseph Cerny

Re: The Final Report for Doctoral Students

In November, 1989, the Graduate Council had occasion to review the Graduate Division’s procedures regarding the Final Report for doctoral students. As you know, the Graduate Degrees Section has, in the past, sent to departments, schools and graduate groups, Final Reports for all students immediately after they file their dissertations in the Graduate Division. The form asked that the graduate adviser chair certify that all departmental requirements for the degree had been met.

As noted on the attached letter from Professor Thomas Duncan, Chair of the Graduate Council, to Dean Joseph Cerny, the Council has ruled that “once a student is advanced to candidacy, he/she is under the guidance of a dissertation committee which is appointed on behalf of the Administrative Committee of the Graduate Council. The Final Report, in its current form, is therefore not necessary. The department is to monitor the progress of students, but the completion of the dissertation is the responsibility of the student working with his/her dissertation committee.

Therefore, the Graduate Division was asked to modify the Final Report as it applies to students under Plan B. In the future, the Final Report will be sent to departments at the time students are advanced to candidacy instead of after they file the dissertation. Departments will be asked to certify, at that time, that all course work, or other individual requirements, have been completed. From that time forward, students will be under the authority of the Graduate Council rather than the individual departments, schools, or groups.

A new version of the Final Report is enclosed for your information. Please let me know if you see any problems with this new procedure. If all goes well, the new procedure will begin in September l990.

For students under Plan A (defense required), the previous procedures will be followed.

As an added note, the letter from Professor Duncan also includes a statement regarding the finality of signatures on title pages which you should communicate to your faculty.

Enclosure: 2

cc: Graduate Assistants

B1. Admission Cycle and Policies

Section B describes the admission cycle and the policies that govern the application, applicant evaluation, and admission of new graduate students.

Although departments have assumed greater responsibility for processing applications in recent years, the Graduate Division monitors whether the minimum application requirements established by the systemwide Academic Senate and the Berkeley Division’s Graduate Council are met and has the ultimate authority to approve or deny admission.  A student is not officially admitted to the university until official notification from the Graduate Dean.

On behalf of the Graduate Council, the Graduate Division sets enrollment targets and the number of admission recommendations that may be forwarded to the Graduate Division. This information is sent annually to each graduate major, usually in late December or early January. The enrollment figure covers both fall and spring semesters, should a program admit for the latter.

B1.1 Admission and Enrollment Allotments

The Graduate Division sets admission and enrollment allotments for every department in order to maintain the graduate enrollment negotiated by the campus and the Office of the President. Graduate enrollment is carefully monitored by the state, and it is vital that departments strictly adhere to their assigned allotments.

How the Graduate Division determines admission and enrollment allotments. Graduate slots are allocated annually to departments based on their success in training students, awarding degrees, and minimizing the number of students who leave without a degree. Each department’s admission allotment is determined by subtracting the number of continuing and returning students (based on historical registration patterns) from the enrollment target and multiplying that number by the “show rate.”

Periodic adjustments of the enrollment target. The Graduate Division’s goal is to maintain an acceptable average of the enrollment target over a span of years. Departments can make special requests to fall short of the target for a given year or to exceed it slightly because of fluctuations in the quality of applicants.

B1.2 Admission Cycle

Nearly all departments accept applicants for the fall semester; some also consider students for spring admission. The online application goes live in early September each year. The application deadlines vary by department. Deadlines for fellowship competition and admission consideration may be set within the range of December 1–January 5. Departments may set the final deadline for admission in the range of December 1 – February 10.

Applicants may only apply to one single degree program or one concurrent degree program per admission term.  An exception is applications for Law degrees, which are handled by the Berkeley Law School.

Any student who was previously registered at Berkeley as a graduate student,  for no matter how long, must apply for readmission, not admission, when he or she wishes to return. (For information on Readmission, see below.)

Basic application requirements.

1. Official transcripts of all college-level work must be submitted in sealed envelopes as issued by the school. In general, international applicants are required to submit official copies of all academic records. Records must be in the original language and accompanied by English language translations. Specially prepared English versions are not acceptable in lieu of the records in the original language.
2. Three letters of recommendation are required by most programs. Applicants can request online letters of recommendation through the online application system. A paper copy of a request form to is  available online (www.grad.berkeley.edu/admissions/app_instructions.shtml).  Hard copies of recommendation letters  should be sent directly to the department.
3. Waiver of access to departmental evaluations. Applicants who want to waive access to their letters of recommendation must complete the waiver section of the letter of recommendation form, which is included in the application and available online (www.grad.berkeley.edu/admissions/app_instructions.shtml).
4. Evidence of English language proficiency. The university does not admit students for the purpose of learning English, and no full-time program of this type is offered during regular semesters. All applicants from countries in which the official language is not English are required to submit official evidence of English language proficiency. This requirement applies to applicants from Bangladesh, Burma, Nepal, India, Pakistan, Latin America, the Middle East, the People’s Republic of China, Taiwan, Japan, Korea, Southeast Asia, and most European countries.However, applicants who, at the time of application, have already completed at least one year of full-time academic course work with grades of B or better at a U.S. university do not need to take a standardized test. Instead, they must submit an official transcript from the U.S. university. The following courses will not fulfill this requirement: 1) courses in English as a Second Language, 2) courses conducted in a language other than English, 3) courses that will be completed after the application is submitted, and 4) courses of a non-academic nature.If applicants have previously been denied admission to Berkeley on the basis of their English language proficiency, they must submit new test scores that meet the current minimum from one of the standardized tests.

Readmission. For students who were ever formally enrolled at Berkeley and wish to be considered for a new degree program or re-enter their major after a period of withdrawal, an “Application for Readmission” (for which there is a fee payment) and Statement of Legal Residence must be submitted to the Degrees Office (318 Sproul Hall).  If an individual wishes to be considered for a degree program different from his or her previous major or for a new degree goal (e.g., a former master’s student who wishes to return to do a Ph.D.) a “Petition for Change of Major or Degree Goal” along with the Readmission and Legal Residency forms must also be submitted.  The application is downloadable (http://registrar.berkeley.edu/DisplayMedia.aspx?ID=ReadmGrad.pdf) as is the Statement of Legal Residence (http://registrar.berkeley.edu/DisplayMedia.aspx?ID=SLRReadm.pdf).

Students who have been away from the University for more than five years must submit the same documentation to the department as those applying for initial admission in addition to the readmission application. For general Readmission policy, see “Readmission” in the “Registration and Exchange Programs” chapter of this guide (Chapter D, Section D1.9).

B1.3 Evaluation of Applicants

Minimum requirements for admission. The minimum requirements for admission to graduate study at Berkeley are:

1. a bachelor’s degree or recognized equivalent from an accredited institution;
2. a satisfactory scholastic average — usually a minimum grade-point average of B or better (3.0);
3. if the applicant comes from a country or political entity (e.g. Quebec) where English is not the official language, adequate proficiency in English to do graduate work, as evidenced by a TOEFL score of at least 570 on the paper-and-pencil test, 230 on the computer-based test, 68 on the iBT test, or an IELTS Band score of at least 7; and
4. enough undergraduate training to do graduate work in the given field. Meeting these requirements does not guarantee admission, which is granted on a competitive basis.

Statement of admission procedures. The departments and the Graduate Division should have on file descriptions of the current procedures the department uses to evaluate applicants and calculate admissions decisions. See Appendix 4 in Chapter L, Section 2, of this guide. Departments should send an updated description to the cognizant Associate Dean, in care of the Graduate Admissions Office (318 Sproul Hall #5900), any time their procedures change. Admissions criteria and ranking procedures are subject to review by the Graduate Division.

Departmental evaluation of applicants. Faculty should select applicants for graduate study according to their scholarly and professional potential. Participation by current graduate students in the admission process is at the discretion of the individual units. If students participate in the process, they must be briefed on and abide by the standard rules of confidentiality. A department may choose whatever criteria are appropriate as a basis for its evaluation—undergraduate and graduate grade-point averages, work experience, test scores, letters of recommendation, evidence of past achievements, etc.

B1.4 Redirection of an Application

If review of an application indicates that the background and interests of the applicant are better suited to another graduate program at Berkeley, the application may be redirected. The applicant should be informed of the reason for recommending a redirection, and given two weeks to respond to the suggestion. The applicant must be given the opportunity to decline being considered by a program different from the one to which the original application was made. The file, however, may immediately be forwarded to the other department for review, with notification given to the Graduate Admissions Office of the action taken so that staff may update their files. Applicants so identified are subject to review by the department to which the application was redirected.

Scholars of diverse backgrounds. The Graduate Division subscribes to the goal of providing educational opportunity and increased representation to scholars of diverse backgrounds who will contribute to the level of diversity within their discipline or to the graduate community at large. The admission committee is responsible for reviewing files of applicants with the intent of finding those who have the potential to succeed in the program, but whose application indicates that the student’s academic promise may not be fully recognized by traditional criteria.

Every department should actively seek to develop admission criteria that actively advance educational opportunity and educational diversity.

B1.5 Ranking of Applicants

Rankings provide one of the few objective measures of why a department recommends admission or denial for a particular candidate. The applicant’s rank enables the department and the Graduate Division to be specific about the faculty’s judgment of an individual’s qualifications compared with competing applicants. If a disappointed candidate takes legal action or asks for a detailed explanation, the rankings are essential to the defense of the department’s recommendation. For these reasons, departments must rank all applicants, even those who are clearly unacceptable.

B1.6 Reporting Admission Recommendations to the Graduate Division

To recommend admission for candidates who meet the minimum requirements, departments directly enter the recommendations for admission into the Graduate Admissions database after applicant evaluation. Participants can retrieve the individual records and enter the recommendation information, GPA, and ranking into the database. After each batch of recommendations is entered, the participants run and print a summary report for that batch from a report menu. The Head Graduate Adviser or other authorized person signs the summary report and forwards it with the supporting documentation to the Graduate Division. To recommend admission for an applicant who does not meet minimum requirements, departments complete a Request for Exceptional Admission form or send a departmental memo. The Head Graduate Adviser must sign this form. Exceptional requests may not be signed by a delegate.

The recommendation must specify:

1. the major and degree to which the applicant is to be admitted;
2. for domestic applicants, the grade-point average for work completed for the bachelor’s degree, computed on all undergraduate course work completed after the first two years and up to the award of the bachelor’s degree;
3. the applicant’s ranking; and
4. the test scores, if appropriate, for TOEFL or IELTS. Attached to the recommendation must be the appropriate official academic records.

Deadlines for admission of applicants who are not citizens or permanent residents of the United States. These applicants must be recommended for admission no later than May 1 for fall semester and October 1 for spring semester in order to allow time for their visas to be processed. After the department recommendation, the Graduate Admissions Office will send the student the official admissions notification and other materials. Admitted students must notify the Graduate Division of their intent by completing the Statement of Intent to Register form online. For students who accept the offer of admission, other forms may be required, including the Statement of Legal Residence (SLR) for determination of residency for tuition purposes, and the Non-Immigrant Information form (NIF) for issuance of immigration documents. These are online forms. The student must complete and submit the “Statement of Intent to Register” along with other forms and financial documents to request a student visa document. BIO can then send the visa document to the student. This process can take as long as six weeks.

Students must then negotiate with U.S. consular officials and their own governments for permission to leave their countries. These negotiations can take weeks or sometimes months. For more information on visas, contact BIO (642-2818, siss@berkeley.edu).

Recommendation for admission with deficiencies in preparation. For applicants whose backgrounds are weak in certain areas of study or who lack specific courses but are otherwise acceptable, departments can recommend admission with minor deficiencies in preparation. The department should outline the deficiencies and a course of action to correct them in a memo to the cognizant Associate Dean before a letter is sent to the student. If Dean approves the admission, the department should inform the applicant in writing, with a copy to the Graduate Division, regarding:

1. the nature of the deficiencies;
2. the approximate time needed to resolve them; and
3. whether the background work can be taken concurrently with graduate study or whether the applicant must complete the course work before beginning the graduate program. Students will not be permitted to continue to register if they do not meet the conditions of their admission within the stated period.

Usually, the classification of admission with deficiencies in preparation is used for students who lack some course work but not the entire undergraduate major. Students with serious deficiencies should be denied admission. Departments should recommend limited status for students who are making a radical change of field and who would need to complete an undergraduate major. Limited status is an undergraduate classification only. For more information on limited status and other options available to students who do not meet the department’s requirements for admission, see  “Special Categories of Students” (section B1.8).

Recommendation for deferred admission. Departments can recommend that an applicant’s admission be deferred one time only if the applicant has been admitted but is unable to enroll on schedule and wants to begin graduate school in a later semester. Departments that admit only for fall semester can recommend deferring an admission only until the next fall semester; those admitting for both semesters can recommend deferral until spring or the following fall.

Deferred admission may be offered only to superior applicants. Applicants admitted by exception may not be deferred. Such applicants must be reviewed and ranked with the current applicant pool, and may be offered admission if they rank above the cutoff point for admission. Under no circumstances can deferred admission be offered to an international applicant who has not yet received a basic degree or whose scholarship, preparation, or English proficiency is questioned by the Graduate Admissions Office.

B1.7 Informing Applicants of Admission or Denial

Notifying applicants who are admitted. If a department recommends admission of a qualified applicant and has not used up its allotment, the Graduate Division will issue an admission notification. Only written notice from the Dean of the Graduate Division constitutes an offer of admission. Departments must not inform successful applicants that they have been admitted until the official notice has been sent by the Graduate Division.

How students accept offers of admission. The Graduate Division does not set a deadline by which graduate students must respond and there is currently no Graduate Division deposit required for those who accept the offer of admission.

Departments may set a response deadline, keeping in mind that UC Berkeley subscribes to the Council of Graduate Schools (CGS) policy, “Resolution Regarding Graduate Scholars, Fellows, Trainees, and Assistants,” which states: “Students are under no obligation to respond to offers of financial support prior to April 15; earlier deadlines for acceptance of such offers violate the intent of this Resolution.” Detailed information on the Resolution can be found on the CGS website. Therefore, if a student is offered admission and financial support, the department may not set a deadline earlier than April 15 by which a student must respond.

Notifying applicants who are denied admission. Submit a list to the Graduate Admissions Office with the applicant’s name, application ID number, and the applicant’s rank. Each page of the list must be signed by the Head Graduate Adviser or by that adviser’s designee, and should be sent to the Graduate Admissions Office as soon as the decisions are known. The department must retain supplemental materials (transcripts, forms, letters of recommendation, etc.) for at least two years.

Rescinding an admission offer. If an academic program needs to consider rescinding an admission offer, it must contact the Director of Graduate Services (642-4971) for further guidance.

B1.8 Special Categories of Students

Graduate programs at Berkeley are structured for full-time students working toward higher degrees. Other students may be admitted only under special circumstances.

Course work only. Course-work-only status permits students who are not working toward a higher degree to enroll in a maximum of two semesters of graduate work. These students must meet the same requirements for admission as those set for other entering graduate students. Course-work-only applicants, therefore, must be evaluated and ranked with all other applicants.

Course-work-only status is appropriate only for students who want to enroll in courses that are not available elsewhere or who want to complete a limited amount of course work for professional advancement. They will not be permitted to enter a degree program at a later date, unless they are current UC employees. Course-work-only status should not be used as a probationary status preliminary to being admitted to a degree program. After two semesters, the registration of course-work-only students will be blocked.

All regular course-work-only students, except UC employees and students in the Education Abroad Program (EAP), count in the departmental admission allotment (see EAP section). Course-work-only students are not eligible for the fellowship competition and may not be appointed as Academic Student Employees or Graduate Student Researchers unless the department first requests an exception that is approved by the cognizant Associate Dean; these exceptions are very rare.

Students working for graduate degrees at another institution. Applicants who want to study at Berkeley before they have completed work toward a graduate degree at another institution may apply for admission to

1. course-work-only status. If admitted they must register in the usual manner and pay required fees. Such individuals count in the admission allotment, may not later transfer to a Berkeley degree program and are regarded as students.
2. visiting student researchers. Individuals may qualify as visiting researchers if a) their proposed visit is to conduct research for the purpose of meeting doctoral degree requirements at another university; and b) proposed research is of mutual interest to and endorsed by an academic department, ORU, or other Berkeley campus unit; and c) the appointment term is at least one month and not more than one year in duration. See the Visting Scholars and Postdoctoral Affairs website (https://vspa.berkeley.edu) or contact its director at 643-9681; vspa@berkeley.edu, for more information.

Limited status. The limited status undergraduate program allows a student, who has received a recognized undergraduate degree with a record of good scholarship (an overall grade-point average of at least 3.3) the opportunity to pursue course work in a field unrelated to any prior degrees for a specific and clearly defined purpose (usually preparation for graduate school). The program is for undergraduate course work only, for two regular terms, and requires full-time attendance. Only the Colleges of Chemistry, Natural Resources, and Engineering consider admitting students in limited status. Use of limited status as a means of raising a student’s scholarship average is not permitted.

Information about this program, application procedures, and deadlines, is available in the Office of Undergraduate Admission and Relations with Schools (110 Sproul Hall, 642-3175).

Students not eligible for the limited status program may consider concurrent enrollment through University Extension (642-4111) as an alternative.

Restrictions of limited status. Students on limited status are not allowed to take graduate courses (200 series). Any courses they complete while on limited status do not satisfy subject or residence requirements for an advanced degree or credential.

Students who complete a program in limited status are not automatically transferred to graduate standing. They must submit an application for admission and meet the deadline for fall or spring admission. They are evaluated for graduate admission on the same basis as other applicants.

Part-time graduate students. Part-time graduate students can be admitted only to those degree programs (e.g., the Evening/Weekend MBA) specifically approved for part-time students.

Ad hoc interdisciplinary doctoral programs. The Graduate Council has established a procedure by which students may elect to pursue an interdisciplinary major of their own design. Only students who have completed at least two semesters of a doctoral program at Berkeley with a superior academic record may be considered for an individual interdisciplinary major. For further information, students should contact the Graduate Degrees Office (642-7330, degrees@berkeley.edu).

Duplication of degrees. Departments may consider students for an additional academic master’s or professional master’s degree if the second degree is in a distinctly different field.

Applicants admitted to a doctoral program that requires a master’s degree to be earned at Berkeley as a prerequisite (even though the applicant already has a master’s degree from another institution in the same or a closely allied field of study) will be permitted to study for a second master’s degree.

The Graduate Division will admit students for a second doctoral degree only if they meet the following guidelines:

1. Applicants with doctoral degrees may be admitted for an additional doctoral degree only if that degree program is in a general area of knowledge distinctly different from the field in which they earned their original degree. For example, a physics Ph.D. could be admitted to a doctoral degree program in music or history; however, a student with a doctoral degree in mathematics would  not be permitted to add a Ph.D. in statistics. The Graduate Council views academic degrees as evidence of broad research training, not as vocational training certificates; therefore, applicants with academic graduate degrees should be able to take up new subject matter on a serious level without undertaking a graduate program unless the fields are completely dissimilar.
2. Applicants who hold the Ph.D. degree may be admitted to a professional doctorate or professional master’s degree program if there is no duplication of training involved.
3. If a department wants to recommend admissions to a second Ph.D. or to a lesser degree, the head Graduate Advisor may request an exception to this policy in a written form.

Education Abroad Program Reciprocity. In 1980, the Education Abroad Program (EAP) inaugurated a series of non-degree/no-fee direct exchange programs with a number of universities abroad. Prospective participants apply initially to the University of California Study Center located at their home institution abroad. The individual study centers select the successful participants and submit applications for those students to the Systemwide EAP office located in Santa Barbara. The Systemwide EAP office will send the application materials directly to the individual departments. Students seeking admission in this category can be identified by a red stamp “University of California, Education Abroad Program Reciprocity Application” on the Graduate Admissions application. If your department requires a departmental application, please send one directly to the applicant.

EAP Reciprocity applicants are not required to pay the application fee and will be seeking admission to course-work-only status (although they will not count, unlike other course-work-only students, against the department’s admissions allotment). Applicants must meet all normal University requirements for admission, including an appropriate basic degree, an acceptable GPA, and English language proficiency. If a department has a GRE requirement, it should notify the EAP applicants at once. Because EAP applicants are not being considered for admission to degree programs, the Graduate Admissions Office does not require that they submit official copies of their academic records from abroad since records certified by the Systemwide EAP Coordinator are acceptable. However, applicants will be required to submit official transcripts from U.S. colleges or universities in sealed envelopes.

The applications of EAP applicants should be reviewed, and they should be recommended for admission or denial following procedures used for all other international applicants. The Office of the President will not include them in the campus FTE enrollments, and applicants recommended for admission will not count in the department’s allotment, as stated above. However, departments must report the rank for all EAP applicants recommended for admission. Given this, they may wish to compare the applicants to each other as a group and rank those admitted numerically, i.e., EAP-1, EAP-2, and so on. Final decisions should be made no later than June 1, particularly for those denied admission, to enable the Systemwide EAP Coordinator to place them at another UC campus. EAP applicants may not be deferred because their initial selection is governed by their home institution abroad.

Students enrolled in this category do not pay nonresident tuition or educational fees. Although the campuses do not receive instructional support resources from the state or the Office of the President for these students, the Education Abroad Program transfers an amount equivalent to the registration fee to the receiving campus.

B1.9 Documentation of Admission Decisions

Admission records, including ranking procedures for each cohort, should be retained for those admitted and denied for at least two admission cycles. Such records might include letters of recommendation, documents used by faculty evaluators, computations of applicant scores or ranks, etc. The Graduate Division can compile most of the statistical information needed to respond to legal investigations, but departments alone have information on the particular strengths and weaknesses of individual applicants, such as the evaluation of letters of recommendation and the results of interviews. Federal agencies, for example, require the University to summarize the qualifications of successful as well as unsuccessful applicants in order to demonstrate that the complainant’s qualifications were below the level of those admitted for a particular program and semester, according to the department’s criteria for evaluation. Keeping admission data for two or more years may seem cumbersome for departments, but it is relatively cheap insurance against the need to reconstruct admission decisions for a year’s worth of applicants.

B2. Applicant Records

Release of applicant information. According to California’s Information Practices Act of 1977 (IPA), the Graduate Admissions Office will release information on an applicant’s status only to the applicant. If an applicant would like anyone else to have access to that information, the applicant should complete the on-line section of the graduate application for admission that grants permission to release information to an alternate contact. An applicant may also submit a written statement giving permission and the person’s name. The Graduate Division’s policy, based on IPA guidelines, is to hold in confidence all information provided in application materials except the names of applicants, and the departments to which they applied, which is considered public information. If an applicant does not wish these to be released, a written request to withhold that information should be included with the application, and the department should be informed as well.

Rights of applicants. The Information Practices Act governs the disclosure of information from applicant and other non-student records. Under this act, letters and statements of recommendation and admission committee appraisals are considered “personal information.” The IPA requires disclosure of personal information to the individual about whom the personal information pertains. This means that, absent a waiver, an applicant would legally have access to letters of recommendation and admission committee evaluation material.

Applicants who wish to waive access to their letters of recommendation must complete the waiver section in the letter of recommendation form, which is included in the application booklet and available online (www.grad.berkeley.edu/admissions/app_instructions.shtml). This form should be submitted with their letters of recommendation. If an applicant has not waived the right of access, then the department must disclose the letters of recommendation to the individual upon request, regardless of where the letters are filed.

Departments may wish to consider including a waiver of access rights form specifically for those comments and evaluations. A sample form for this purpose is included below. Any such waiver would have to be voluntary and could not be required as a condition of admission or review.

For more information on this policy, call the Graduate Admissions Office (642-7405).

B2.1 Registration of New Graduate Students

Under the Tele-BEARS registration system, most new graduate students receive their registration information from their departments when they arrive on campus. The Graduate Admissions Office will block the registration of entering students who have not yet submitted required proof of degree, academic records, or test scores; however, students who received bachelor’s degrees the preceding spring or summer have until the fourth week of the fall semester to submit proof of their degrees. For further information on admission status, departments may check the the Graduate Admissions Office database, or students may call the Graduate Admissions Office (642-7405). For more information on how new graduate students register, see the “Registration and Exchange Programs” (Section D1.2).

C1. Graduate Council Statement: “Diversity in Graduate Student Recruitment and Selection” — Reissued February 1998

The University has moved into the post-affirmative action era as defined by Proposition 209. There is no doubt that the recruitment, selection, and support of graduate students has been and will continue to be affected by these new realities. However, the policies of the Graduate Council relating to student recruitment and selection, as formulated in 1985 and reaffirmed most recently in January 1996, remain unaltered, as do the assumptions upon which they are based. In particular, we believe that the educational experience is enhanced by a graduate student body that is heterogeneous with respect to economic circumstances, gender, and ethnicity, as three of many markers of diversity. A diverse student body also serves California’s future needs for a diverse body of academics and practitioners. To this end we reaffirm the following policies governing admission to graduate study at Berkeley.

1. The Graduate Council encourages graduate programs on the Berkeley campus to maintain and enhance an active outreach program to recruit talented, qualified applicants with diverse characteristics from diverse backgrounds.
2. The Graduate Council supports the use of multi-year fellowships and other sources of student support (GSIships and GSRships) to maintain and increase the diversity of the student body.
3. The Graduate Council urges graduate program selection committees to weigh carefully a wide variety of quantitative and qualitative criteria in their selection of graduate students.
4. Departments with less experience and success in recruiting and attracting a diversity of students should draw on the experience of other departments that have been successful in this area. A list of these departments should be obtained from the Dean of the Graduate Division or from the Chair of the Graduate Council.

 

C1.1 University of California Statement on Diversity

Adopted by the Assembly of the Academic Senate May 10, 2006
Endorsed by the President of the University of California June 30, 2006
Adopted by the Regents of the University of California, September 19, 2007

http://www.universityofcalifornia.edu/diversity/diversity.html

The diversity of the people of California has been the source of innovative ideas and creative accomplishments throughout the state’s history into the present. Diversity — a defining feature of California’s past, present, and future — refers to the variety of personal experiences, values, and worldviews that arise from differences of culture and circumstance. Such differences include race, ethnicity, gender, age, religion, language, abilities/disabilities, sexual orientation, socioeconomic status, and geographic region, and more.

Because the core mission of the University of California is to serve the interests of the State of California, it must seek to achieve diversity among its student bodies and among its employees. The State of California has a compelling interest in making sure that people from all backgrounds perceive that access to the University is possible for talented students, staff, and faculty from all groups. The knowledge that the University of California is open to qualified students from all groups, and thus serves all parts of the community equitably, helps sustain the social fabric of the State.

Diversity should also be integral to the University’s achievement of excellence. Diversity can enhance the ability of the University to accomplish its academic mission. Diversity aims to broaden and deepen both the educational experience and the scholarly environment, as students and faculty learn to interact effectively with each other, preparing them to participate in an increasingly complex and pluralistic society. Ideas, and practices based on those ideas, can be made richer by the process of being born and nurtured in a diverse community. The pluralistic university can model a process of proposing and testing ideas through respectful, civil communication. Educational excellence that truly incorporates diversity thus can promote mutual respect and make possible the full, effective use of the talents and abilities of all to foster innovation and train future leadership.

Therefore, the University of California renews its commitment to the full realization of its historic promise to recognize and nurture merit, talent, and achievement by supporting diversity and equal opportunity in its education, services, and administration, as well as research and creative activity. The University particularly acknowledges the acute need to remove barriers to the recruitment, retention, and advancement of talented students, faculty, and staff from historically excluded populations who are currently underrepresented.

C1.2 Faculty Equity Adviser

1. To increase the enrollment and graduation of students in fields where they have been historically underrepresented or denied equal educational opportunity.
2. To ensure equal educational opportunity for all students who have experienced economic, social, or educational disadvantages that may have interfered with their ability to demonstrate their academic potential.
3. To promote a student body that is diverse with respect to points of view, culture, life experiences, socioeconomic backgrounds, and educational preparation.

Every department has a designated Faculty Equity Adviser who works to ensure that the goals of graduate diversity are met in each department. In accordance with the Chancellor’s goals to increase diversity, the role of the Faculty Equity Adviser is critical, but all Graduate Advisers should be aware of the importance of diversity and the ways in which they can assist their departments in implementing the goals of the program.

The Faculty Equity Adviser is responsible for developing, implementing, and reporting the departmental efforts to increase recruitment, progress to degree, and graduation of students from groups that have been historically underrepresented in graduate programs. The Faculty Equity Adviser also plays an active role to ensure that the department maintains an educational environment promoting equal educational opportunity for all students while increasing diversity. The Faculty Equity Adviser is also responsible for maintaining departmental programs, procedures, and records involving admission, retention, and funding that are targeted toward students from diverse social, educational, and economic backgrounds. Each year, the Faculty Equity Adviser should report on the success of the department’s diversity efforts and provide a plan for recruitment and retention activities.

To enhance these efforts, the Graduate Division and Division of Equity and Inclusion encourage interaction and cooperation with Divisional Diversity Coordinators and with the Graduate Diversity Program (GDP).

The Graduate Division considers the Faculty Equity Adviser to be the departmental liaison in all matters related to diversity recruitment and the promotion of diversity in graduate programs. The Faculty Equity Adviser must be a tenured member of the Berkeley faculty. To request an exception to this policy, the Department Chair may write to the Division of Equity and Inclusion (102 California Hall, #1500) with a full explanation and justification for the request.

As part of the duties of the Faculty Equity Adviser, the Graduate Council has required since 1999 the participation of Faculty Equity Advisers when underrepresented graduate students are being recommended for admission and fellowship support. Accordingly, all admission and fellowship recommendations for diversity applicants must be signed by the Faculty Equity Adviser as well as by the Head Graduate Adviser in each department. Per the Graduate Council’s 1986 decision, the Faculty Equity Adviser must be a member of the departmental admission committee (and also the fellowships committee, if it is separate from the admission committee). Revisions to APM 210 specify that efforts by faculty who participate in research, teaching and service with the objective of increasing diversity will now be counted toward tenure and promotion.

For assistance regarding the duties of the Faculty Equity Adviser, or other needs pertinent to graduate student diversity, please contact the Graduate Diversity Program office at 643-7550, or gdp@berkeley.edu

C1.3 Admission Options

• Redirection. If review of an application indicates that the background and interests of the applicant are better suited to another graduate program at Berkeley, the application may be redirected. The applicant should be informed of the reason for recommending redirection and be given two weeks to respond to the suggestion. The applicant must be given the opportunity to decline being considered by a program different from the one to which the original application was made. The file, however, may be forwarded immediately to the other department for review, with notification given to Graduate Admissions of the action taken, so that staff may update their files.

Applicants so identified must be given a review by the department to which the applicant was redirected.

• Additional slots. If a promising applicant who enhances the level of diversity is ranked slightly below the cutoff line for admission to your department, you may ask the cognizant Associate Dean for an additional slot. With proper justification of the ranking, your request may be approved.

Please share this information with the chair of your department. If you have further questions regarding these options or need assistance regarding admission of promising applicants who will enhance diversity, please call the Graduate Dean’s Office  (642-5472) or the Graduate Diversity Program (643-6010). If you have questions regarding admission procedures, please call the Graduate Admissions Office (642-7405).

C1.4 Graduate Student Retention

To ensure the success and retention of a diverse student body, the Graduate Division:

• Provides student advising. The Graduate Dean’s office and the Graduate Diversity Program (GDP) provide advising on graduate student life. GDP also produces a student list-serve and hosts receptions and professional development workshops throughout the year. For more information, contact GDP (643-6010, grad.diversity@berkeley.edu).

• Offers consultation, workshops, seminars, and receptions. The Graduate Division sponsors and/or provides funding for various retention-related activities, such as dissertation workshops, grant proposal writing, and networking receptions and seminars, including those conducted by the Graduate Assembly.

• Promotes improvements in financial support for underrepresented students. The Graduate Diversity Program and Divisional Diversity Directors support departmental efforts to seek federal and private funding sources on behalf of underrepresented students, or research grants that require a diversity outreach and retention component. For more information, contact GDP (643-6010, grad.diversity@berkeley.edu).

• Administers fellowships to continuing graduate students. The Graduate Division processes and administers several fellowships for continuing students including a number of diversity fellowships. For more information, contact Graduate Services: Fellowships (642-0672).

• Assesses retention data. The Graduate Division collects data and conducts research on retention patterns to plan retention activities accordingly. For more information, contact GDP (643-6010, grad.diversity@berkeley.edu).

C1.5 Recommended Departmental Retention Efforts

• Seek and obtain federal and private funding to provide fellowships and research assistantships to support a diverse student population through each stage of students’ academic careers. Adequate funding is critical to a student’s ability to complete a graduate program.

• Establish an effective communications network to disseminate departmental and University information (for example, fellowship deadlines) to all students.

• Provide social networking events for all students and faculty in your department (monthly receptions, weekly teas, etc.).

• Establish a procedure to monitor all students’ progress each semester or on an annual basis.

• Provide research opportunities.

• Establish an effective mentoring program within your department. Identify faculty and senior graduate students who understand and appreciate the unique difficulties that students from diverse backgrounds might face; ask them to serve as mentors to incoming students.

These recommendations by no means exhaust the list of creative retention efforts in which your department can involve itself. If you would like to discuss additional ideas for your department, please contact the Graduate Diversity Program at 643-6010, grad.diversity@berkeley.edu).

The GDP Program Director is available to assist students undergoing difficult issues pertinent to advancement and retention. All consultations are kept confidential.

C1.6 Financial Assistance

The University provides fellowship support to students of diverse backgrounds who will contribute to the level of diversity within their discipline or in the graduate community at large. Diversity fellowships are available at various stages of a graduate career to students who have shown strong academic achievement in the face of economic, social, and/or educational disadvantages.

Students requiring a letter supporting “proof of diversity” for a fellowship application, should contact GDP (643-6010, grad.diversity@berkeley.edu).

For information on diversity fellowships and other fellowship support, see “Diversity Fellowships” and “Fellowships” in the “Financial Assistance” chapter of this guide ( Section G1.3). The Graduate Diversity Program Director is happy to assist departments with fellowship questions regarding nomination clarifications and general assistance to enhance the procurement of student fellowships. Please contact GDP (643-6010, grad.diversity@berkeley.edu).

D1. Registration

Students are expected to be registered continuously throughout their graduate careers. Students satisfy the continuous registration requirement by enrolling during regular academic semesters (fall and spring); registration during the spring semester maintains graduate status until the beginning of fall semester.  For information on how to register, see Section D1.2 below.

Definition of registration. The Office of the Registrar considers a student officially registered for the semester once he or she:

1. has enrolled in at least one course (however, see “Enrollment Requirements” below);
2. has paid  either full fees or at least 20 percent of assessed registration fees; and
3. has no registration blocks.

Enrollment requirements. The minimum enrollment requirement for all graduate students who are not yet advanced to doctoral candidacy is 12 units per semester, including those holding academic appointments. International students on F-1 or J-1 visas should also enroll in 12 units, but there may be exceptional circumstances in which they may enroll in fewer units and be considered full-time in compliance with the regulations of SEVIS.

Registration and fee payment deadlines. Students must register no later than the Friday of the third week of instruction (fourth week of the semester), and are responsible for paying fees by August 15 for the fall semester and January 15 for the spring semester.

Consequences of failing to register on time. Students with academic appointments at 25 percent time or greater may lose their fee remissions if they are not registered and enrolled by the deadline.  For further information, see “Fee Remissions” (Section H1.9).

Most international students have non-immigrant (F-1 or J-1) visas that require registration for the fall and spring semesters of each academic year. In order to comply with federal immigration requirements under the Student and Exchange Visitor Information System (SEVIS), the University must report whether students with F or J status are registered by the 30th day after the first day of classes. Failure to register in a timely manner can result in jeopardizing a student’s visa status, leading to possible deportation and ineligibility to re-enter the United States.  International students who do not register by the deadline must immediately contact the Berkeley International Office (located in International House, 2299 Piedmont Avenue, 642-2818; http://internationaloffice.berkeley.edu).

Students who miss the registration deadline will be subject to late fees and must submit the Petition for Late Enrollment/Registration, for which there is an additional processing fee. See Section D1.2 “How Students Register” for further information.

Registration and use of university resources. Students must be registered whenever they are using University facilities or faculty time. Students are permitted to be on Filing Fee status to file their dissertations or theses (see Section D2., “Filing Fee”) but they are not then considered registered and, therefore, are ineligible for university services. Students on Filing Fee can have their library privileges extended for up to 6 months by applying to the Library and paying a small fee: http://lib.berkeley.edu/services/for_users/unregistered_ucb.html.

Completion of degree and subsequent registration. Students may not register and enroll the semester after the award of the degree for which they were admitted unless they have been approved for a new degree goal or major.

D1.1 Registration and Enrollment Requirements

Students are expected to be registered continuously throughout their graduate careers. Students satisfy the continuous registration requirement by enrolling during regular academic semesters (fall and spring); registration during the spring semester maintains graduate status until the beginning of fall semester.  For information on how to register, see section D1.3 below.

Definition of registration. The Office of the Registrar considers a student officially registered for the semester once he or she:

1. has enrolled in at least one course (however, see “Enrollment Requirements” below);
2. has paid  either full fees or at least 20 percent of assessed registration fees; and
3. has no registration blocks.

Enrollment requirements. The minimum enrollment requirement for all graduate students who are not yet advanced to doctoral candidacy is 12 units per semester, including those holding academic appointments.  International students on F-1 or J-1 visas should also enroll in 12 units, but there may be exceptional circumstances in which they may enroll in fewer units and be considered full-time in compliance with the regulations of SEVIS.

Registration and fee payment deadlines. Students must register no later than the Friday of the third week of instruction (fourth week of the semester), and are responsible for paying fees by August 15 for the fall semester and January 15 for the spring semester.

Consequences of failing to register on time. Students with academic appointments at 25 percent time or greater may lose their fee remissions if they are not registered and enrolled by the deadline. (For further information, see “Fee Remissions” (Section H1.9).

Most international students have non-immigrant (F-1 or J-1) visas that require registration for the fall and spring semesters of each academic year. In order to comply with federal immigration requirements under the Student and Exchange Visitor Information System (SEVIS), the University must report whether students with F or J status are registered by the 30th day after the first day of classes. Failure to register in a timely manner can result in jeopardizing a student’s visa status, leading to possible deportation and ineligibility to re-enter the United States.  International students who do not register by the deadline must immediately contact the Berkeley International Office (located in International House, 2299 Piedmont Avenue, 642-2818; http://internationaloffice.berkeley.edu).

Students who miss the registration deadline will be subject to late fees and must submit the Petition for Late Enrollment/Registration, for which there is an additional processing fee. See “How Students Register” (section D1.2) for further information.

Registration and use of university resources. Students must be registered whenever they are using University facilities or faculty time. Students are permitted to be on Filing Fee status to file their dissertations or theses (see“Filing Fee,” section D2).  However, they are not then considered registered and, therefore, are ineligible for university services. Students on Filing Fee can have their library privileges extended for up to 6 months by applying to the Library and paying a small fee: http://lib.berkeley.edu/services/for_users/unregistered_ucb.html.

Completion of degree and subsequent registration. Students may not register and enroll the semester after the award of the degree for which they were admitted unless they have been approved for a new degree goal or major. See Section F4.3 for more information.

D1.2 How Students Register

Tele-BEARS. Students enroll in classes via Tele-BEARS, which can be accessed online (http://telebears.berkeley.edu). Tele-BEARS provides immediate, up-to-the-minute feedback on the status of registration and class requests. For further information regarding registration and using Tele-BEARS, consult the Office of the Registrar, 642-5990, and refer to its website (http://registrar.berkeley.edu/StudentSystems/tbinfo.htm).

Late registration and enrollment. If students fail to enroll through Tele-BEARS by the end of the third week of instruction, they must file a Petition for Late Enrollment/Registration to enroll in classes. The petition with instructions for submission is available from the Office of the Registrar, 120 Sproul Hall, and from the Registrar’s website (http://registrar.berkeley.edu/GeneralInfo/elecforms.html).

International students who register and enroll late. International students in F or J status who fail to enroll in at least one class by the end of the third week of classes must consult with an adviser at the Berkeley International Office (International House, 2299 Piedmont Avenue; 642-2818) as soon as possible. Not doing this could result in invalidation of the student’s immigration status and lead to deportation and ineligibility to reenter the United States.  A Petition for Late Enrollment/Registration must also be submitted but it is essential that the Berkeley International Office be consulted immediately.

Adding and dropping classes. Students may add or drop classes through Tele-BEARS without a fee during Phases I and II or the Adjustment Period, which ends the third week of instruction.

To add or drop a class after the third week of classes through the last day of instruction. Within this period, students must fill out a Petition to Change Class Schedule. Petitions are available from the Registrar’s website (http://registrar.berkeley.edu/GeneralInfo/elecforms.html). To add courses, the student must have the instructor and the Head Graduate Adviser sign the petition and then file this form in the department office for processing via the On-Line Add/Drop System (OLADS). The Graduate Division does not have to approve the petition if it is filed any time through the last day of instruction. Students will automatically be charged a  fee for each course added and a  fee for each course dropped after the third week of instruction. For deadlines, consult the Registrar’s website (http://registrar.berkeley.edu/Registration/adddrop.html). Students may also petition to change the grading option for classes. For further information, see “To change the grading option” (Section E1.3).

Petitions to Change Class Schedule submitted after the last day of instruction. Students must submit a Petition to Change Class Schedule to the Graduate Division, endorsed by the Head Graduate Adviser. If the petition is approved, the same late add/drop fees are charged as mentioned above (Graduate Services Degrees, 642-7330). See Appendix AA100 in Section L of this guide.

D1.3 Registration Fees

All registered graduate students are liable for fees and nonresident tuition, if applicable. The Office of the Registrar will cancel a student’s registration by the end of the eighth week of classes if there are no course enrollments or if fees have not been paid, either by the student or by some form of financial assistance.

For up-to-date information on fees, consult the Registrar’s website (http://registrar.berkeley.edu/Registration/feesched.html). This site also provides fee information for all programs which require additional Professional Degree Fees. Students seeking self-supporting degrees should consult the specific program’s website for current fees for those programs.

Fee payment. For full information concerning fee payment, including deadlines, billing, late payment, deferred payments, refunds, and the requirement that all students must be covered by major medical health insurance, see the Registrar Office’s website (http://registrar.berkeley.edu/Registration/feepaymentinfo.html).

In absentia registration
In absentia is a form of registration available to academic and professional graduate students undertaking coursework or research related to their degree programs outside of California. Students registered in absentia are assessed full health insurance fees, and 15 percent of the combined University Tuition and Student Services Fees. If applicable, students are also assessed the full non-resident tuition and/or professional school fees.

All applications are due by August 10 for the fall semester and January 10 for the spring semester.

Please contact Graduate Degrees with any questions: 642-7330 or degrees@berkeley.edu. Law students should contact the School of Law.

Eligibility Criteria. The student must be enrolled full-time in regular UC units. Students in self-supporting programs or exchange programs are not eligible for in absentia registration.

Research or coursework

• Must be of a nature that makes it necessary to be completed outside of California for at least one full academic term.
• Must be directly related to the student’s degree program as evidenced by faculty approval.
• Must involve only indirect supervision appropriate to evaluating the student’s academic progress and performance from UC faculty during the in absentia period.
• Must involve no significant studying or in-person collaboration with UC faculty during the in absentia period.

Doctoral students:

 

• Must be advanced to candidacy by the time in absentia begins.
• May only use in absentia registration for a maximum of four semesters.

Master’s and graduate professional (e.g., O.D., J.S.D., JD) students:

 

• Must have completed at least one year of coursework by the time in absentia begins.
• May only use in absentia for a maximum of two semesters.

Students may hold University fellowships and GSR appointments, but may not hold GSI, Reader, or Tutor appointments during the in absentia period.

International Students planning on registering in absentia. Those students in F and J status who plan to be outside California but still within the U.S. or to go in and out of the U.S. must register in absentia and also inform the Berkeley International Office (2299 Piedmont Avenue, 642-2818) of their plans.

Reduced Nonresident Tuition. Doctoral students who have been advanced to candidacy for the doctorate receive a 100 percent reduction in the annual nonresident tuition for a maximum of three calendar years (calculated from the semester after which they advanced), whether registered or not. Any nonresident student who enrolls after the three-year calendar period will be charged the full nonresident tuition rate in effect at that time.

To qualify for this reduction, the application for doctoral advancement must be received in the Graduate Services Degrees Unit by the first day of instruction of the semester for which the reduced tuition is assessed. Students who plan to file the application on the deadline day should be prepared to pay at least 20 percent of their assessed fees by the first fee payment deadline. For the reduced fee to be reflected on the CARS billing statement, however, students should apply for advancement at least 6-8 weeks before the beginning of the semester to allow sufficient processing time. For further information, see Chapter Lof this guide.

Summer Sessions fees. By University policy, summer course unit fees are based on the fee charged in the subsequent academic year. Besides fees per unit, other fees may apply and are subject to change. For current fees and registration information, check the Summer Sessions website (http://summer.berkeley.edu/registration/fees).

D1.4 Establishing California Residency for Tuition Purposes

Students are classified as residents or nonresidents after completing the Statement of Legal Residence shortly after being admitted to the University. Many graduate students (US Citizens, permanent residents, and some eligible non-immigrants) who enter UC Berkeley as nonresidents and establish residency for the required year may be classified as residents for tuition purposes within one year after their arrival. These students then receive the benefit of paying fees at the lower resident rate.  International students with F-1 or J-1 visas are not eligible to establish residency.

The campus residency policy, which fully explains residency classification, how to establish or maintain residency, and what deadlines pertain can be found at the Residence Affairs webpage on the Registrar’s website (http://registrar.berkeley.edu/Residency/legalinfo.html).

D1.5 Registration and Health Coverage

All registered students may use University Health Services (UHS) at the Tang Center for comprehensive outpatient primary care as well as counseling services. Registration fees support much of the care provided at UHS. However, moderate fees may be charged for certain services at UHS.

All students are required, as a condition of registration, to have major medical health insurance to cover hospitalization and other care outside UHS. As a result, students are automatically enrolled in the Student Health Insurance Plan (SHIP), administered by UHS, and assessed fees for SHIP by the Campus Accounts Receivables System (CARS). SHIP coverage is year-round and worldwide and includes coverage for medical, dental, vision, and mental health services. SHIP also covers most UHS fees. SHIP coverage periods are August 15-January 14 for the fall semester and January 15-August 14 for the spring semester. Note: If entering students begin programs in the summer or are hired as Graduate Student Researchers in July, they will not be covered by health insurance through SHIP until August 15 when they become registered for the fall semester. For questions regarding current premiums, check the UHS website (www.uhs.berkeley.edu/students/insurance/SHIPEnrollment.shtml) or call 642-5700.

Students may waive enrollment in SHIP if they have comparable major medical insurance. Waiver forms are available online (www.uhs.berkeley.edu/students/insurance/waiver/welcome.shtml). Deadlines for submission of waiver forms must be met in order to receive credit for the health insurance fee.

Continuing students covered by SHIP during the spring term may use UHS services during the summer.  Students not registered spring term but registered in Summer Sessions are not eligible for SHIP coverage, but may use UHS services. Students who are without SHIP and not enrolled in a Summer Session course will be charged fees for all UHS services.

The Student Health Insurance Office (642-5700) is available to answer any questions about SHIP.

D1.6 Reinstatement as a Registered Student

If a student’s registration fees have not been paid in full by the end of the semester, the student may be dropped from the rolls or considered as “status lapsed,” meaning the student’s grades for the semester will not be posted to his or her transcript and a block will be placed on the student’s future registration. Although they may have otherwise completed all requirements for award of a degree, students who are dropped from the rolls will also be removed from that semester’s degree list. Students in these situations should settle their bills with Billing and Payment Services (140 University Hall). Any unpaid fees resulting in collective activity by the University or its agent may be subject to interest assessed at the rate of 10 percent per annum plus costs of collection.

Once registration fees and any applicable late fees are fully paid, the student will be automatically reinstated, grades will be posted to the transcript, and the block will be removed. Students dropped from a degree list will be placed on the degree list for the next term. A reinstatement fee will also be charged automatically to the student’s CARS account.

D1.7 Cancellation of Registration

Students who pay their fees may be reimbursed for all fees paid, except for a processing fee if they cancel their registration before the first day of classes. Students can cancel their registration via Tele-BEARS (http://telebears.berkeley.edu), notify the Registrar’s Office in writing, or contact their department to cancel their registration through OLADS (Online Add/Drop System). The Registrar’s Office will also cancel a student’s registration by the end of the eighth week of classes if there are no course enrollments regardless of whether fees have been paid, either by the student or by some form of financial assistance.

International students in F or J status who plan to cancel their registration must first discuss their plans with an adviser at the Berkeley International Office (International House, 2299 Piedmont Avenue; 642-2818). Not doing this could result in invalidation of the student’s immigration status that may result in deportation and ineligibility to re-enter the United States.

D1.8 Withdrawal

If instruction has already begun and a student wishes to discontinue study, a withdrawal must be formally requested and processed by the student’s department.  Withdrawing results in dropping enrollment in all classes  and the student will no longer be able to attend for that semester or any future semester unless readmitted by the department.  Any student considering withdrawing should first consult with his or her department since readmission is not guaranteed. A department is not obligated to readmit any student who has withdrawn.

How students who are citizens and permanent residents of the United States withdraw from the University. Students must approach their departments to process their withdrawal requests, which is done through OLADS (Online Add/Drop System). Students may withdraw up to and including the last day of a given semester. The withdrawal covers the entire semester. However, students who withdraw may still be responsible for some or all of their registration fees. The amount of fees that a student may still owe is prorated according to the effective date of the withdrawal. See the Registrar’s website (http://registrar.berkeley.edu/current_students/registration_enrollment/canwd.html) for further information as well as to determine the exact percentage of fees owed for any given withdrawal date.

How international students (F and J status) withdraw from the University. International students should remain registered at all times. However, continuing students may withdraw for extremely limited reasons and remain in compliance with the federal Students and Exchange Visitors Information System (SEVIS) requirements.  Before applying for withdrawal through his or her department, the international student must meet with an adviser at the Berkeley International Office (BIO, located in International House, 2299 Piedmont Avenue; 642-8189). If an international student fails to register or withdraw without consulting with BIO, his or her visa will be in jeopardy, which could result in deportation and denial of re-entry to the United States.

Retroactive withdrawal. Students who want to withdraw after the semester has ended must complete a “Notice of Withdrawal” form available from the Registrar’s website (http://registrar.berkeley.edu/elecforms/RetroWDPet.pdf). Retroactive withdrawals cannot be processed online. Submit the form to Graduate Services Degrees (318 Sproul Hall) and a memo of explanation and support from the Head Graduate Adviser to the cognizant Associate Dean. If the request is approved, the Withdrawal form will be forwarded to the Registrar’s Office for processing.

Conditions of withdrawal status. Graduate students who withdraw may not use any University facilities except those available to the general public, nor may they make demands on faculty time.

To register for subsequent semesters, students must apply for readmission and obtain the approval of the Head Graduate Adviser in their department. A student who chooses to withdraw is not guaranteed readmission. See Section D1.9, “Readmissions,” below.

Health insurance for students on withdrawal status. Graduate students who withdraw to perform field research or to work on their dissertations in California are eligible to apply to purchase SHIP. However, they may only enroll in SHIP for a maximum of two semesters in a non-registered status.  For example, if a student purchases SHIP for two semesters during which he or she is withdrawn, the student is ineligible to purchase SHIP while on filing fee status.  See the University Health Services website (http://uhs.berkeley.edu/students/insurance/FilingFee.shtml) for enrollment procedures and costs.

Students doing dissertation research outside of California should register in absentia which provides SHIP coverage at a greatly reduced cost.

D1.9 Readmission

Readmission applies to all students who have ever been registered as graduate students in any program at Berkeley, who have left the University due to a semester withdrawal or the completion of a graduate degree program; students registered in absentia do not need to apply for readmission.. No matter how long ago the student was registered as a graduate student, he or she must apply for readmission, not admission, when planning to re-enter the University.

It is important for students to note that a department is not obliged to readmit a student who has withdrawn for any reason, including an official medical withdrawal.  Readmission is recommended at the judgment of the department, which assesses the strength of the student’s academic record in weighing its approval.  Although a student may have left having made satisfactory academic progress, some departments weigh petitions for readmission against their pool of new applicants for admission, who may be stronger candidates. To apply for readmission, a student should submit the “Application for Readmission — Graduate Students” for the department’s Head Graduate Adviser to endorse, signifying the program’s approval, and forward it to Graduate Services: Degrees Office (318 Sproul Hall). The student must pay a readmission processing fee.  Applications are available at the Registrar’s website (http://registrar.berkeley.edu/GeneralInfo/elecforms.html).

Students who wish to readmit to the same degree program after more than five years. In addition to completing a readmission application for the department’s approval, students who have been away from the University for more than five years must submit the same documentation to the department as those applying for initial admission. This documentation, including letters of recommendation, a statement of purpose, copies of academic recommendations, transcripts of work completed in the interim, and any other internal department requirements, must be submitted by the deadline set by the department for new applicants. Students applying for readmission are likely to be in competition with new applicants for admission, but this is at the discretion of the department.

Students wishing to readmit to a different degree program and/or degree goal. To change their degree program upon re-entering the University, students must submit for the department’s review 1) the documentation mentioned above (official transcripts of all college-level work, a statement of purpose, three current letters of recommendation to the department, and any supplemental documentation the department requires), 2) an “Application for Readmission—Graduate Students,” (to which a processing fee is attached if approved) and 3) a “Petition to Change Major or Degree Goal. See Appendix AA101 in Chapter L, Section 1, of this guide.

Review of readmission applications. Once the department has made a decision, it forwards the “Application for Readmission,” signed by the Head Graduate Adviser and, if applicable, the “Petition to Change Major or Degree Goal,” to Graduate Services: Degrees Office (318 Sproul Hall) for its review, including a memo of explanation if there are any difficulties with an approved application. For example, a department may wish to readmit a student on probation. Final decisions on all applications rest with the Dean of the Graduate Division.  After its review, the Degrees Unit will notify the student of the department’s decision and the Graduate Division’s concurrence to readmit or deny readmission.  If a department decides to deny a student’s application for readmission in the case of a change of major, rather than forward the denied application to the Graduate Division for processing, a department may send the student a letter, with a copy to Graduate Services Degrees, informing him or her of its decision to deny.

Readmission on probationary status. Students should note that a department may request that the student be readmitted on probationary status if there is some question about the student’s ability to make good academic progress.

Readmission of students in lapsed candidacy. Approval of a student’s application for readmission does not automatically reinstate the degree candidacy of a student whose candidacy has been lapsed. The Head Graduate Adviser must write a letter to the cognizant Associate Dean, in care of the Graduate Services: Degrees Office (318 Sproul Hall),  and request that the candidacy of the student be reinstated. The letter should include a specific plan for completion of degree requirements. Please see Appendix A in Chapter L, Section 2, of this guide.

D2. Filing Fee

The Filing Fee is a reduced fee, one-half of the Student Services Fee (formerly the University Registration fee),  for doctoral students who have completed all requirements for the degree except for filing the dissertation (Plans A and B) and presenting the Final Defense (Plan A). It is also available to master’s students with no requirements remaining except for filing the thesis (Plan I) or taking the final comprehensive examination (Plan II). The Filing Fee is not a form of registration nor is it equivalent to registration. If students wish to use University services that are supported by registration fees, they must pay those fees. Filing Fee is available for the fall and spring semesters only.

Duration of the Filing Fee. The Filing Fee applies for the length of the semester for which Filing Fee status has been approved, up to the last working day of the term, which is the deadline for filing a thesis or dissertation. These dates vary from year to year, but are in the vicinity of December 20 and May 15 of each year.

Eligibility requirements for the Filing Fee. To use the Filing Fee in a fall semester, the student must have been registered in the previous spring or summer. Summer Sessions enrollment must be for a minimum of three units. To use the Filing Fee in spring, the student must have been registered in the previous fall. Filing Fee status is not available for only Summer Sessions. However, students on Filing Fee for the fall may file at any time during during the summer or fall.

How to apply for the Filing Fee. Students must apply for the Filing Fee by the end of the first week of classes of the semester in which they intend to file. Students complete the Filing Fee Application available from the Graduate Division website (www.grad.berkeley.edu/policies/forms.shtml). Students are billed the Filing Fee on their CARS statement. The degree cannot be awarded until the Filing Fee is paid.

Limitations on Filing Fee status. The Filing Fee may be used only once during a student’s career.

If a student does not complete the final degree requirements (filing the dissertation or thesis, or passing the final comprehensive exam) during the semester for which the Filing Fee is approved, the student must pay regular registration fees during the semester in which the requirements are completed. An Application for Readmission is required in order to register after the use of Filing Fee.

Filing Fee status and academic student appointments. Students with academic appointments for which registration is required are not eligible for Filing Fee status. To hold an appointment, students must be appropriately registered and enrolled in at least 12 units unless advanced to doctoral candidacy.

Filing Fee status and international students. To avoid visa problems with the U.S. Immigration and Customs Enforcement, international students must contact the Berkeley International Office (BIO, 642-2818) well before the beginning of the semester during which they plan to use the Filing Fee. Filing fee status can satisfy the SEVIS requirement for international students only if the student has obtained the signature of the BIO student adviser (contact the Berkeley International Office, located in International House, 2299 Piedmont Avenue; 642-2818).

Health insurance for students on Filing Fee. U.S. resident students may purchase Student Health Insurance Plan (SHIP) coverage for the semester they are on approved filing fee status if they have not already purchased SHIP during a period of withdrawal beyond one semester. UHS allows purchase of SHIP if a student is in a non-registered status for two semesters only, which pertains to both filing fee and withdrawal. For eligibility information and enrollment details, refer to the UHS website (www.uhs.berkeley.edu/students/insurance/FilingFee.shtml).

D2.1 Exchange Programs

Graduate students who are in good standing may participate in several campus exchange programs, which enable them to take advantage of research facilities, courses, and faculty expertise that might not be available at Berkeley. Applications and further information on all of the programs are available at the Graduate Services: Degrees Office (318 Sproul Hall, 642-7330, degrees@berkeley.edu).

Non-UC credit transfers. Berkeley students will not automatically receive credit for courses taken at schools that are not part of the University of California system. For information on transferring credit, see “Transfer of Credit from Other Institutions” in the “Degrees” chapter of this guide (Chapter F, Section F1.4), or consult the General Catalog (www.berkeley.edu/catalog). Students may transfer no more than 4 semester or 6 quarter units toward the master’s degree. Course work taken at another institution does not count toward academic residency for the doctoral degree.

University of California Intercampus Exchange Program for Graduate Students. This program allows students to study at any of the other UC campuses. The Berkeley registration fee entitles students to library, health service, and other privileges at the host campus.  Students who participate in the intercampus exchange program can receive credit for courses they take at the host campus. See the “Graduate Education” section of the General Catalog (www.berkeley.edu/catalog) for further information.  Students in self-supporting programs at Berkeley cannot enroll in state-supported courses at another UC.

To be eligible for the Intercampus Exchange Program, a student must be registered at Berkeley by the semester deadline and have the approval of the Head Graduate Adviser, the Chair of the host department, and the Dean of the Graduate Division at both Berkeley and the host campus.  Students must apply for this program at least three weeks before the beginning of the term of enrollment at the host campus (all other UC campuses except Merced are on the quarter system). Whenever possible, students should make personal arrangements with faculty members on both campuses to ensure that the courses, seminars, and facilities will be available to them.

Stanford-California Exchange Program. Students may participate in this program if they want to take courses that are not offered at Berkeley. Their participation must be approved by the Graduate Division, their departments, and Stanford University. Usually, students are not allowed to participate in the Stanford program until they have completed a year of graduate study at Berkeley. Participants register and pay the applicable fees at Berkeley and are exempt from tuition and fees at Stanford. Students who want to apply for this program must enroll in at least one course at Berkeley.

Exchange Scholar Program. This program permits doctoral students from Berkeley, Brown, the University of Chicago, Columbia, Cornell, Harvard, MIT, the University of Pennsylvania, Princeton, Stanford, and Yale to study at one of the other participating universities. Berkeley registration entitles students to student privileges at the host campus for up to a year. Usually, students are not eligible for this program until they have completed one year in a Berkeley graduate degree program. Students who wish to enter this program should familiarize themselves with its “Terms and Conditions” statement (http://www.sas.upenn.edu/sites/www.sas.upenn.edu/files/exchange_scholar_program_2013.pdf), which provides information on additional fees for which the student is responsible. For example, the host institution is responsible for assuring that hospitalization and health services are locally available. However, the host institution may charge the student additional fees for local health services. Students are not eligible for in absentia registration.

Cross-registration programs with local institutions. With the approval of the Graduate Division and the departments involved, students may attend any of the campuses of the California State University or the Community Colleges systems, as well as Dominican, Holy Names, Mills, and St. Mary’s Colleges, and John F. Kennedy University. Students may enroll for only one course per semester, and they must register and pay applicable fees at Berkeley. For more information, contact the Graduate Services: Degrees Office (318 Sproul Hall, 642-7330).

Graduate Theological Union (GTU) reciprocity program. Students registered at either UC Berkeley or GTU may take courses at the other institution, subject to appropriate academic approvals (Graduate Services Degrees, 642-7330).

Study Abroad. Graduate students may be granted permission to study abroad. To be eligible, they must have completed at least one year in residence at Berkeley before departing for study abroad, and they must demonstrate appropriate language proficiency when required. Graduate students may be eligible to apply to most of the study centers under the University-wide Education Abroad Program. For more information, students should check the Berkeley Programs for Study Abroad website (http://studyabroad.berkeley.edu) or contact the program at 160 Stephens Hall, 642-1356, eapucb@berkeley.edu). Graduate students who study abroad must have the approval of their departments and the Graduate Division.  Students in an EAP program are not eligible for in absentia registration.

To avoid jeopardizing their immigration status, international students in F or J status intending to participate in any of the exchange programs described above must consult with an international student adviser at the Berkeley International Office (International House, 2299 Piedmont Avenue; 642-2818).

D2.2 Full-time Status

The minimum enrollment requirement is 12 units per semester for all graduate students who are not yet advanced to doctoral candidacy, including those holding academic appointments that require registration. Students who have been advanced to doctoral candidacy may enroll for fewer than 12 units.

International students on F-1 or J-1 visas should also enroll in 12 units but a full program of study for international students is determined by a student’s academic program and may consist of fewer units in exceptional circumstances.  If there are exceptional circumstances, international students should consult with the Berkeley International Office or BIO (2299 Piedmont Avenue, 642-2818, http://internationaloffice.berkeley.edu) to ensure compliance with the regulations of the Student and Exchange Visitor Information System (SEVIS).  If a student decides not to complete the graduate program and plans to withdraw from the University, the student must be referred to BIO immediately, before any action is taken.

Course loads of more than 12 units. If the Graduate Adviser agrees, students may take more than 12 units. Graduate Advisers should feel free to deny, on behalf of the Dean, student requests for excessively heavy programs that would not be in the best interests of the student.

Dean’s Normative Time Fellowship (DNTF)

NOTE: For students entering eligible departments beginning in Fall 2010, a new fellowship program replaces the DNTF. Please go to the Doctoral Completion Fellowship (DCF) web page for more information.

The Dean’s Normative Time Fellowship (DNTF) provides an incentive for students in certain graduate programs, to make progress to their degree within normative times. Normative time has two components: 1) time from your first enrollment as a graduate student at Berkeley until you advance to doctoral candidacy; and 2) time in candidacy until the dissertation is filed. DNTF eligibity is determined by whether or not you advance to candidacy within the time specified for the first component.

Students in the following majors may be eligible for the DNTF:

African American Studies	Information Management and Systems
Ancient History and Mediterranean Archaeology	Italian Studies
Anthropology	Japanese Language
Architecture	Jewish Studies (with GTU)
Asian Studies	Jurisprudence and Social Policy
Buddhist Studies	Landscape Architecture and Environmental Planning
City and Regional Planning	Latin American Studies
Chinese Language	Linguistics
Classical Archaeology	Medical Anthropology (with UCSF)
Classics	Near Eastern Religions (with GTU)
Comparative Literature	Near Eastern Studies
Demography	Performance Studies
Economics	Philosophy
Education	Political Science
English	Public Policy
Ethnic Studies	Rhetoric
French	Romance Languages and Literatures
Geography	Scandinavian Languages and Literatures
German	Science and Mathematics Education
Hispanic Languages and Literatures	Slavic Languages and Literatures
History	Social Welfare
History of Art	Sociology
South and Southeast Asian Studies

Eligibility

To be eligible for the DNTF, you must:

• Be in good academic standing with a minimum GPA of 3.0
• Be advanced to candidacy within the number of semesters established as the normative time for advancement in your major
• Submit your application for Advancement to Doctoral Candidacy to Graduate Degrees by the deadline date specified for DNTF in Dates for Completion of Requirements for Higher Degrees for that semester

Please Note: Withdrawal for research or other academic purposes does count in accrued time. If no withdrawal form is filed, the interim semesters count in accrued time. Retroactive withdrawals are not permitted for purposes of altering the calculation of Normative Time.

Approved Normative Time Calculation Credits for DNTF

• A maximum of two semesters of withdrawal for medical leave only (documented by formal petition) will not count in calculating eligibility.
• Credit for up to two semesters of parental leave can be granted if 1) the student formally withdraws for that purpose, or 2) the student intends to register to undertake a modified schedule and applies for parental leave status before or at the start of the proposed semester. This request must be endorsed by the student’s Head Graduate Adviser.

Fellowship Calculations

• If you are advanced within the normative time for advancement to candidacy established for your major, you will receive a two-semester stipend of $16,000 plus fees (and nonresident tuition for international students).
• If you were admitted to graduate study before the academic year 2008-2009 and are advanced within the following year of your normative time, you will receive a one-semester stipend of $8,000 plus fees (and nonresident tuition for international students).

The chart below illustrates eligibilty if your major’s normative time to passing the qualifying examination and being advanced to candidacy is 6 semesters:

Time to Advancement (in semesters)	Student advances by the DNTF deadline in semester #	Student is eligible for:
6	6	2 semesters of DNTF
6	7	1 semester of DNTF*
6	8	1 semester of DNTF*
6	5	2 semesters of DNTF

Students admitted in 2008-2009 or later years are not eligible for the one semester award.*

Claiming the DNTF Award

• You must be registered by university deadlines in the semester(s) you intend to receive this fellowship and submit the DNTF Award Activation Form to the Fellowships Office before the beginning of the semester in which you want to use the award. Since the DNTF pays for fees, this means that you are responsible for enrolling in units and removing any blocks on your registration.
• After your advancement, you may claim your award in any subsequent semester(s) remaining within your major’s normative time.

Beginning in fall semester 2008, the Dean’s Normative Time Fellowship (DNTF) may be supplemented by a single one-semester GSI, AI-GS, GSR, Reader, or Tutor appointment for no greater than 25 percent time. For students who are eligible for two semesters of DNTF, the 25 percent time appointment may only be taken in one of the two semesters.

You may use this fellowship after advancement to candidacy and before the expiration of normative time for completion of the doctorate in your major.

For eligibility questions, contact the Graduate Services Degrees staff (318 Sproul Hall, 510-642-7330).

For details concerning activating and receiving the award, contact the Graduate Services Fellowships staff (318 Sproul Hall, 510-642-0672).

Relevant Policies

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

• F3. Dean’s Normative Time Fellowship (DNTF)

E1. Coursework

E1.1 Full-time Status

The minimum enrollment requirement is 12 units per semester for all graduate students who are not yet advanced to doctoral candidacy, including those holding academic appointments that require registration. Students who have been advanced to doctoral candidacy may enroll for fewer than 12 units.

International students on F-1 or J-1 visas should also enroll in 12 units but a full program of study for international students is determined by a student’s academic program and may consist of fewer units in exceptional circumstances.  If there are exceptional circumstances, international students should consult with the Berkeley International Office or BIO (2299 Piedmont Avenue, 642-2818, http://internationaloffice.berkeley.edu) to ensure compliance with the regulations of the Student and Exchange Visitor Information System (SEVIS).  If a student decides not to complete the graduate program and plans to withdraw from the University, the student must be referred to BIO immediately, before any action is taken.

Course loads of more than 12 units. If the Graduate Adviser agrees, students may take more than 12 units. Graduate Advisers should feel free to deny, on behalf of the Dean, student requests for excessively heavy programs that would not be in the best interests of the student.

E1.2 Minimum Course Loads for Certain Student Categories

Part-time enrollment. Graduate students who wish to study on a part-time basis can be admitted only to those degree programs specifically approved by the Graduate Council for part-time study.  A modified schedule is also possible for women anticipating childbirth (see Section F5.2).

Fellowship recipients. Fellowship recipients must register and be enrolled in 12 units to be eligible. For more information on fellowships and registration requirements, contact Graduate Services Fellowships, 318 Sproul Hall, 642-0672.

Financial aid issues. Students who receive financial assistance from the Financial Aid Office must be enrolled for a minimum of 6 units. This requirement is already met by compliance with the general 12-unit minimum enrollment requirement per semester.  However, if, in an exceptional circumstances, a student receiving financial aid will be enrolled in less than 6 units, he or she must notify the Financial Aid Office (201 Sproul Hall, 642-0485).

Students who wish to defer repayment of Federal Direct Loans (formerly Stafford Loans) must register for at least a half-time (6 units) program to qualify for deferred repayment as required by the U.S. Department of Education. For information about how to defer repayment of student loans guaranteed by the federal government, contact the Financial Aid Office, Graduate and Professional Unit, 201 Sproul Hall (fao_grad@berkeley.edu, 642-0485).

Graduate Student Instructors and Graduate Student Researchers. Graduate Student Instructors and Graduate Student Researchers not yet advanced to doctoral candidacy must carry a minimum of 12 units per semester in 100, 200, 300, or 400 series courses. (Units in the 600 series may be substituted for 200-level units when appropriate and lower division units taken to prepare for departmental requirements (e.g., requirements in languages, mathematics, or statistics) may be substituted for 100-level units).

Students receiving veterans’ benefits. Students who receive veterans’ benefits are required to be enrolled in a minimum of 8 units to receive educational benefits.  However, this requirement is already met by compliance with the 12-unit enrollment requirement per semester. For more information about veterans’ benefits, contact the Veterans Coordinator (Veterans’ Services, 120 Sproul Hall, 642-1592).

E1.3 Grades

Minimum grade requirements. In order for students to be in good standing, they must maintain an overall grade-point average of at least 3.0 on the basis of all upper division and graduate courses (100- and 200-level) taken in graduate standing. Grade-points earned in Berkeley courses numbered below 100 or above 300 are not included in determining a student’s grade-point average for remaining in good standing or earning a degree. Some departments may have higher performance standards than the minimum B average required by the Graduate Division (Graduate Services Degrees, 318 Sproul Hall, 642-7330).

It is important for first-year students to take courses on a letter-graded basis in order to establish a grade-point average for future fellowship and academic appointment considerations. Too many courses graded S/U early in a student’s career make such decisions more difficult.  No more than one-third of a student’s total units may be graded S/U (see the section “Limits on S/U coursework” below).

Students should keep track of their grades each semester.  Retroactive requests for adjustment of student records are approved only with substantial support from the Head Graduate Adviser.

The basis of grade-point averages. Students’ grade-point averages are computed on letter-graded courses completed at UC Berkeley, not including courses taken through University Extension.  The basic scale is as follows:  A=4, B=3, C=2, D=1, F=zero. (Plus and minus grade designations provide three-tenths more or less than the base grade, except for A+, which carries 4.0 grade points only.) Satisfactory, Unsatisfactory, Incomplete, and In Progress grades carry no grade-points and are excluded from all grade-point computations.

Satisfactory/Unsatisfactory grades (S/U). The Graduate Division prefers students to enroll in courses for letter grades; however, graduate students in good standing may take courses on a Satisfactory/Unsatisfactory (S/U) basis with the consent of their Graduate Advisers. A Satisfactory grade implies work of B minus quality or better. Courses graded S/U are not included in the grade-point average. Units from a course graded U may not be counted toward fulfillment of  students’ degree programs (Graduate Services Degrees, 642-7330).

Limits on S/U course work. Academic Senate regulations state that credit for courses taken on an S/U basis is limited to one-third of a student’s total units (excluding courses numbered 299 or those in the 300, 400, or 600 series). Included in this one-third calculation are any units completed in an Education Abroad Program, a UC intercampus exchange program, or course work undertaken at the institutional partner of a Berkeley joint doctoral program.

For master’s degrees, two-thirds of all course work (not just required core courses included on the master’s advancement to candidacy form) must be letter-graded. Within these limits, courses in the 100 and 200 series graded Satisfactory may be accepted for academic residence.

To change the grading option. Students may change from a letter grade option to Satisfactory/Unsatisfactory or from S/U to a letter grade by filing a Petition to Change Class Schedule. The petition is available from Graduate Services Degrees (318 Sproul Hall), the Office of the Registrar (120 Sproul Hall), and online (http://registrar.berkeley.edu/GeneralInfo/elecforms.html). After the Head Graduate Adviser endorses the petition, the student files it with the Registrar if the request is made before the last day of instruction.

However, changes made after the last day of instruction must be reviewed by the Graduate Division. The Head Graduate Adviser must sign the Petition to Change Class Schedule and provide a memo of support, including a detailed explanation for the request, accompanied by an additional memo of support from the instructor of record.

The Graduate Division will not approve a retroactive petition to change grading option simply because the student anticipates a low grade or wants to convert a letter grade to S/U if the student did not earn at least a B minus in the course (Graduate Services Degrees, 642-7330).

In Progress grades. Courses that extend over more than one semester are graded at the end of each intervening term with the provisional grade of In Progress (“IP”). At the end of the final term, the instructor reports a letter grade for both semesters to the Office of the Registrar. The IP grade is not included in the grade-point average.

Students who do not complete a course sequence may petition to drop the course retroactively without academic penalty. The Registrar will automatically change an IP grade to an Incomplete grade if the student has a break in a course sequence (Office of the Registrar, 643-6173).

Incomplete grades. Instructors can give an Incomplete grade (“I”) when a student’s work is of passing quality but is incomplete because of circumstances beyond the student’s control, such as sudden illness the day of the examination.

How students replace Incomplete grades. Instructors are expected to grade the work a student submits in a timely fashion and to replace the Incomplete grade. To replace an Incomplete grade on their records, students file a Petition to Remove an Incomplete Grade, available in department offices and through the Registar’s Office website (http://registrar.berkeley.edu/GeneralInfo/elecforms.html). The processing fee must be paid before the petition is submitted to the department. After the department records the grade replacing the Incomplete, the petition is submitted to the Registrar’s Office. When the earned grade is recorded by the Registrar, the student receives full unit credit and the grade points are added to the student’s grade-point average (Office of the Registrar, 643-6173).

Penalties concerning Incompletes. Unlike undergraduates whose” I” grades become F grades or NP if not replaced within two semesters, graduate students have no specified time limit for making up Incompletes, unless specified  by the student’s major. Departments may set their own more restrictive policies on Incomplete grades. At a minimum, the following academic penalties apply:

1. students who have three or more Incompletes are academically ineligible to hold a student academic appointment
2. master’s students must remove all Incompletes (and In Progress grades) in required courses in order to receive their degrees (Graduate Advisers should review transcripts at least annually to make sure that students are not accumulating an excessive number of Incompletes); for award of the Master’s degree, a student can have no more than one Incomplete per year of the degree program in a non-required course (e.g., for a two-year Master’s program, two Incompletes in courses not required are allowed)
3. doctoral students are not eligible to apply for the Qualifying Examination or advancement to candidacy if they have more than two Incompletes
4. there may be departmental regulations that if a student accumulates more than two Incompletes he or she is not considered in good academic standing and may face probation and dismissal

Completing required courses — Master’s students. Each semester, the Graduate Services Degrees Unit checks the records of master’s students who will receive degrees that term. If a student has Incomplete (I) or In Progress (IP) grades in courses listed on the advancement to candidacy form, staff will assume that the courses are required for the degree and remove the student’s name from the degree list unless the Head Graduate Adviser has submitted a memo stating which outstanding I or IP grades are not required for the degree. Therefore, it is up to the student and the Head Graduate Adviser to review the student’s record well before the degree is expected and to inform the Graduate Services Degrees Unit as to which Incomplete or In Progress courses are not required. If the explanation was submitted when the student applied for advancement to candidacy, the Head Graduate Adviser does not need to resubmit the information.

The student’s name will also be removed from the degree list if final grades for required courses are not recorded by the Registrar before the degree list is submitted to the Academic Senate (about two months after final examinations). To prevent delays and misunderstandings, professors should meet the grade submission deadlines of the Registrar.

Credit by examination. Students may petition for a limited amount of course credit toward their degrees by passing examinations on material covered in certain courses in lieu of taking those courses. To have a Petition for Credit by Examination approved by the Registrar’s Office and the Graduate Division, the following conditions must be met:

1. the student must be registered for at least 12 units of upper division or graduate work when he or she takes the examination.
2. the student’s grade-point average must be at least 3.0.
3. the courses must be ones that can be tested by examination. Graduate seminars and research courses cannot be taken for credit by examination.
4. the course must be listed in the General Catalog and be offered during the semester in which the exam is to be taken.

How students petition for credit by examination. The Petition for Credit by Examination is available through the Registrar’s Office website (http://registrar.berkeley.edu/GeneralInfo/elecforms.html). The student should have the petition approved by the instructor of the course, and then send it to the Graduate Division for approval by the cognizant Associate Dean, in care of the Graduate Services Degrees office, 318 Sproul Hall. After the Graduate Division has approved the petition, the student submits the petition to the Registrar’s Office for approval and pays a processing fee.  If approved, the Registrar’s Office will either forward the petition to the instructor for the exam to proceed or notify the student that the petition has been denied.. The instructor records the grade on the petition and forwards it to the Office of the Registrar (120 Sproul Hall). According to Academic Senate regulations governing the assignment of these grades, the final result of the exam can be reported to the Registrar only as Satisfactory or Unsatisfactory.

Repetition of courses. Graduate students may repeat courses in which they received a D+, D, D-, F, or U for up to a total of 12 units. They must repeat courses for which they received below a C- grade if a passing grade in the course is required by the department as part of the degree program.

If a student repeats a course in which he or she received a grade of D+, D, D-, or F, the units are counted only once, and only the most recently earned grade and grade points are counted for the total of 12 units of repeated work.

Students who elect to repeat a course for which they received a letter grade of D+ or lower must get written approval from the Head Graduate Adviser and endorsement by the Graduate Division. This will prevent the Registrar from counting the units and grades more than once. Contact the Graduate Services Degrees Unit (642-7330) for assistance.

Substitution of courses. Students may substitute one course for another for which they received a D+, D, D-, F, or U only if:

1. circumstances beyond their control prevent them from retaking the course before the date they expected their degree to be conferred (e.g., the course was not offered or was renumbered, or scheduling conflicts existed between the original course and other courses  required for the degree).
2. the Head Graduate Adviser certifies that the content of the course to be substituted is equivalent to that covered in the original course.

Any substitution of courses in a student’s master’s degree program requires the approval of the Head Graduate Adviser and the Graduate Division. If approved, the student must follow the procedure under the “Repetition of courses” section (above) to avoid having the units counted twice by the Registrar. For assistance, please contact the Graduate Services Degrees Office (642-7330).

E1.4 600-Level Courses

Individual study courses 601 and 602. Individual study courses give students credit for preparing for master’s comprehensive and language exams (601) and for doctoral qualifying and language exams (602). These courses count toward a full course load, with some limitations. Students may earn 1–8 units of 601 or 602 per semester or 1–4 units per summer session.

Units of 601 or 602 do not count toward academic residence requirements for a graduate degree or the unit requirements for a master’s degree. However, they do satisfy units calculated in an international student’s full program of study. Both 601 and 602 courses must be taken on a Satisfactory/Unsatisfactory (S/U) basis. Students may not enroll in 601 or 602 courses once they have passed the master’s comprehensive or the doctoral qualifying examination respectively.

E1.5 Academic Standing

Graduate students may be classified as a) in good academic standing, b) on probation, or c) subject to dismissal.

Students are normally in good academic standing if they:

1. are making adequate progress toward the completion of degree requirements;
2. have a cumulative grade-point average of at least 3.0 (unless the department has a higher minimum GPA requirement);
3. do not have more than 2 Incomplete grades on their records; and
4. have not received warning letters from the department or been placed on formal probation for academic or, in certain professional programs, clinical deficiencies.

E1.6 Departmental Review of Student Progress

Departments are responsible for monitoring their students’ overall progress toward graduate toward graduate degrees. Departments should evaluate graduate students at the middle and end of their first year of graduate study and annually thereafter. The yearly evaluation gives faculty an opportunity to review the performance of each student and, more importantly, to provide students with timely information about the faculty’s evaluation of their progress and performance. The Graduate Division further advises that the results of all evaluations be sent to the students in writing. A negative evaluation may be considered a letter of warning if it includes the information required by the Graduate Council (see “Warning Letters,” below) and a copy should be sent to the Graduate Division.

The Graduate Council requires that all students advanced to candidacy meet a minimum of once a year with their dissertation committeee members and complete annually the Report on Progress in Candidacy (www.grad.berkeley.edu/policies/pdf/progress_report.pdf).  The report should be kept in the department’s files and a copy sent to the Graduate Services: Degrees Office (318 Sproul Hall, #5900).  At least two members of the committee, includeing the chair, must meet with the student.

In fairness to students and to avoid problems later on, departments should let students know—by published materials, by written evaluations, or both—what the faculty considers to be satisfactory progress.

Criteria for evaluating student progress. The definition of adequate progress is intentionally flexible. With the approval of the Graduate Council, departments may establish progress requirements beyond those set by the Graduate Division. Such requirements may include:

1. a specified grade-point average above a 3.0;
2. no Incompletes or a fixed number of Incompletes;
3. specific courses completed in a timely fashion and at a given level of performance;
4. a master’s degree completed en route to a doctorate;
5. departmental preliminary exams passed before admission to the Qualifying Exam;
6. an acceptable thesis or dissertation prospectus submitted before advancement to candidacy;
7. formation of an appropriate QE committee;
8. acceptance by a regular faculty member who agrees to supervise the student’s research and to serve as chair of the dissertation committee; and
9. certain general requirements, such as passing the Qualifying Exam, completed within a clearly specified period.

Action regarding insufficient progress. If a department assesses a student’s performance as below standard, it may: 1) send the student a warning letter, with a copy to the Graduate Services: Degrees Office (318 Sproul Hall), apprising the student of his or her insufficient academic progress (see “Warning Letters” in the section directly below), or 2) write to the Graduate Division requesting to place the student on formal probation, with the consequence that the student is ineligible to receive a fellowship or hold an academic appointment (see E1.8 “Academic Probation”). Placement of a student on formal probation is required before the student can be dismissed from the program except in instances when a student fails a comprehensive, preliminary, or qualifying examination.

Warning letters. Whether a department sends the student a warning letter or requests the Graduate Division to place the student on formal probation or be lapsed early if advanced to candidacy, the Graduate Council requires that department supply the following for the student’s information:

1. the nature of the problem or deficiency;
2. the steps to be taken to correct the deficiency;
3. a reasonable period in which to correct the problem or to show acceptable improvement; and
4. an approximate date on which the student’s record will next be reviewed.

E1.7 Academic Probation

Probation for students not yet advanced to candidacy. Students who have not yet advanced to candidacy can be placed on academic probation and ultimately dismissed if they fail to make sufficient progress toward their degrees. (Students advanced to candidacy are “lapsed”; see section below “Probationary Status after advancement — Lapsed Candidacy.”)  Probation is intended to provide a student whose performance is less than satisfactory with a period in which to correct the deficiencies and to raise his or her performance to a level consistent with the minimum standards set by the Graduate Division in consultation with the department. Students on probationary status may register and enroll, but they may not hold academic appointments, receive graduate fellowships, or be awarded advanced degrees.

Departments may recommend probation and dismissal on the basis of a written evaluation of the student’s progress. However, only the Dean of the Graduate Division has the authority to place a student on probation, to remove probationary status, and, if necessary, to dismiss a student from graduate standing.  Some departments may choose to issue warning letters to apprise students that they are not making satisfactory progress rather than request formal probation for a student (see “Action regarding Insufficient Progress” in Section E1.6).

Probation for GPA below Graduate Division requirements. At the end of each semester, the Graduate Division reviews the records of all registered graduate students. In most instances, if a student begins a program in a new field of study, or is readmitted to a new major, only the grades in the current program will be computed by the Graduate Division. However, courses taken in the “old” major that are directly relevant to the new major (e.g., English and Comparative Literature) will be included in the overall grade-point average. Following this review, students whose grade-point average is below 3.0 will receive a letter from the Graduate Division informing them that they have been placed on probation and are subject to dismissal if their GPA remains below the minimum 3.0 requirement, or below the department’s requirement which may be higher, by the end of the following semester. A copy of the letter will be sent to each department.

Probation for Incompletes. The Graduate Division does not place students on probation for having more than two Incompletes. However, students are not allowed to hold a GSI or GSR appointment if they have accumulated more than two Incompletes.

If a department wishes to put a student on probation for not complying with its own Incompletes policy, it can recommend to the Dean that the student be placed on probation until the deficiencies are rectified.

Probationary period. The probationary period is normally for one semester, during which the student is expected to remove academic deficiencies. If the student has failed to correct these deficiencies, the Graduate Division will contact the department to request a recommendation from the Head Graduate Adviser on whether the student’s situation warrants an extension of the academic probationary period. If the probationary period is not extended, the department should formally request that the Graduate Dean dismiss the student. A registration block is then placed on the student’s future registration.

Students may not remain on probation indefinitely. They should try to remove deficiencies as soon as possible, usually within one semester. Graduate Advisers should inform students that, while on probation, they cannot take courses on an S/U basis unless the course is offered only on an S/U basis and is part of the program required for the degree.

Probationary Status after Advancement — Lapsed Candidacy. Students advanced to candidacy are also subject to a probationary status termed “lapsed candidacy.”  This usually occurs when students  have exceeded their major’s Normative Time in Candidacy (NTIC) by two years.  However, a department may request the Graduate Division to “lapse” a student earlier  if the student is not advancing satisfactorily towards completing the degree, such as failing to secure an approved  prospectus or insufficient progress on the dissertation.  As a consequence of being lapsed, a student may not hold any academic appointment or fellowship. For more information about lapsing, see Section F3.7 “Lapsing, Reinstatement, and Termination of Candidacy.”

Removing a student from academic probationary status. Students may be placed on, or removed from, probation, or lapsed status only by the Dean of the Graduate Division. They are removed from probationary status imposed for failing to maintain the minimum grade-point average when they raise their grade-point averages to at least 3.0. If a student was placed on probation or lapsed because the department and the Graduate Division determined that he or she was not making adequate progress, the Head Graduate Adviser must inform the cognizant Associate Dean in writing (in care of the Graduate Services: Degrees Office (318 Sproul Hall, #5900) that the student has met the conditions for removing probation and should be cleared. A separate recommendation that probation be removed must be made for each individual student.  It is the same protocol to remove a student from lapsed status, but the request by memo would be to reinstate the candidacy of the student rather than to “clear probation” (see Section F3.7, “Lapsing, Reinstatement, and Termination of Candidacy”).

E1.8 Dismissal

There are generally two reasons a graduate student may be dismissed: for disciplinary reasons due to violations of the Code of Student Code and for academic deficiencies. The former is determined by the Vice Chancellor, Division of Student Affairs at the recommendation of the Office of Student Conduct and with the concurrence of the Graduate Dean. (For more information, see the Office of Student Conduct website: http://students.berkeley.edu/osl/sja.asp?id=297)

Dismissal for academic reasons is entirely under the purview of the Graduate Dean under the auspices of the Graduate Council.

Academic Dismissal. A student is subject to academic dismissal if:

1. the student’s academic deficiencies as determined by the department and the Graduate Division were not corrected after a reasonable, established period of probation or lapsing; or
2. the student failed the comprehensive, preliminary, or qualifying exam (however see Appendix A, section  9, “Academic Standing” and information in second paragraph below); or
3. a department assesses that a student’s academic progress, although sufficient for the award of a master’s degree, was insufficient to merit the student’s proceeding to the doctoral level; or
4. the student failed to meet the necessary clinical standards in a professional program (e.g., Optometry).

How to recommend that a student be dismissed. If the Head Graduate Adviser believes that it is unlikely that a student on probation or in lapsed status can improve his or her record or that the student is unable to meet requirements for the degree, the Head Graduate Adviser should recommend dismissal (or “termination” for lapsed individuals) to the Dean, in care of the Graduate Services: Degrees Office (318 Sproul Hall, #5900). The Graduate Division reviews the records of all students on probation to determine if they should be dismissed. Normally, departments can recommend dismissal only after the students have been informed in writing of their deficiencies and given adequate time to correct them and to meet acceptable criteria. A department must submit an individual request for each student it recommends for dismissal or termination.

Additionally, if the Head Graduate Adviser provides no such justification for extending probation beyond the probationary semester, the Associate Dean for Degrees may recommend to the Dean of the Graduate Division that the student be formally dismissed.

Dismissal for Failed Examinations (Comprehensive, Preliminary, and Qualifying Examinations). The Graduate Council requires that students who fail a departmental examination on the first attempt be given an opportunity for reexamination following a reasonable delay for additional preparation. A student permitted to undertake a second examination is not placed on probation while preparing for the retake.

However, in cases of a comprehensive or preliminary examination, if the examining committee, with the concurrence of the Head Graduate Adviser, recommends that no second examination be given and that the student’s status in that department be terminated, the chair of the committee must provide an explanatory letter addressed to the cognizant Associate Dean, in care of the Graduate Services: Degrees Office (318 Sproul Hall, #5900). This would apply in cases where the examination committee’s opinion is that the student’s performance on the exam was so poor that it is unlikely the student will pass in a second attempt within an acceptable period of time.

Note: Departments must appropriately inform students before the examination that it is the program’s policy to possibly not recommend a second examination and that a student not recommended for a second attempt is subject to dismissal.

For the Qualifying Examination, the examining committee, with the concurrence of the Head Graduate Adviser, may also recommend that no second examination be given. If a committee does not recommend a reexamination, a written explanation from the committee chair must be sent to the Graduate Services Degrees Unit in addition to the Report on the Qualifying Examination. For the particular regulations governing the report of a student failing the Qualifying Examination, please refer to Chapter F, “Degrees,” section F2.7 “Exam Failure or Split Vote.”

When a student is dismissed. After the student’s record and the department’s recommendations, if applicable, are reviewed by the Graduate Division, the Graduate Dean sends a letter of dismissal to the student and so informs the department, and the Office of the Registrar. The Graduate Services: Degrees Office requests the Registrar’s Office to block the student from further registration and the Registrar’s Office notates his or her transcript with the following: “Further registration subject to the approval of the Dean of the Graduate Division.” The student is ineligible to apply for readmission to the program from which he or she has been academically dismissed. However, the student is not excluded from applying to another academic program; this program has the right to review the student’s academic records to inform its decision on whether or not to admit the student. When a student is dismissed for reasons of misconduct, however, the student is not allowed to apply for any program in the UC system unless with the express permission of the Chancellor of the UC campus to which the former student wishes to apply.

More information. If you have questions about probation, lapsing and dismissal, please contact the Graduate Services: Degrees Office (318 Sproul Hall,  degrees@berkeley.edu) or the Assistant Dean for Academic Affairs (643-7412). Special requests for probation and dismissal should be addressed to the cognizant Associate Dean  in care of the Graduate Services: Degrees Office (318 Sproul Hall, #5900).

E1.9 Graduate Student Appeal Procedure

The Graduate Student Appeal procedure is to be used by graduate students, other than Juris Doctor candidates, with complaints about dismissal from graduate standing, placement on probationary status, denial of readmission, and other administrative or academic decisions that terminate or otherwise impede progress toward academic or professional degree goals. For graduate students, this procedure may also be used to resolve disputes over joint authorship of research in accordance with joint authorship policies of campus departments or units.

Through the Graduate Appeal Procedure, graduate students have the right to appeal academic or administrative decisions that have resulted in termination or have interfered with their progress toward a degree if the decision is alleged to have been based on the following criteria:

1. Procedural error or violation of official policy by academic or administrative personnel.
2. Judgments improperly based upon nonacademic criteria including, but not limited to, discrimination or harassment on the basis of race, color, national origin, religion, sex (including sexual harassment), gender identity, pregnancy/childbirth and medical conditions related thereto, 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.

Please note that the Graduate Appeal Procedure is distinct from the Berkeley Campus Student Grievance Procedure. The Grievance Procedure also addresses discrimination complaints but not in relation to alleged interference with a student’s academic progress. For information concerning the Berkeley Campus Student Grievance Procedure, please see Division of Student Affairs webpage: http://students.berkeley.edu/uga/grievance.stm.

To pursue an appeal, students must follow the Graduate Appeal Procedure, which is available from the Graduate Services: Degrees Office (318 Sproul Hall), Graduate Deans’ office (424 Sproul Hall), and the Graduate Division website (www.grad.berkeley.edu/policies/pdf/gradappeal.pdf).

Overview of the appeal process. Students must initiate an appeal at the unit level (e.g., school, department, graduate group) at which the disputed action took place within 30 days from the time at which the student knew or could reasonably be expected to have known of the action being appealed. The Graduate Council requires each academic unit to maintain copies of its current internal appeal procedure for information and use by its graduate students. After the student has submitted a unit-level appeal, the unit must make all reasonable efforts at informal and formal resolution, as stated in the Graduate Appeal Procedure, before the student may take the matter to the next level, which is the Graduate Division. Students seeking unit-level resolution are also strongly encouraged to seek the advice of the Ombuds for Students (642-5754) and may also consult with the Graduate Dean’s Office (642-5472). Please see Chapter A, section 1.5 for more information on the Ombuds Office.

How students request the intervention of the Graduate Division. If the student’s unit-level appeal has been denied, within 15 days of receiving that notification, the student must submit a Graduate Appeal Form accompanied by all supporting documentation the student wishes to be considered in substantiation of his or her appeal to the Graduate Division Dean’s Office (424 Sproul Hall #5900). The Graduate Division is not obliged to accept any documentation submitted after the 15-day deadline. The Graduate Appeal Form is available from the Graduate Services: Degrees Office  (318 Sproul Hall), the Graduate Deans’ Office (424 Sproul Hall) and on the Graduate Division website (http://grad.berkeley.edu/policies/pdf/appealform.pdf).

The cognizant Associate Dean will review the appeal and inform the student if the appeal is eligible for review.  If the student’s appeal is acceptable and timely, the student will be informed of the procedures that will be subsequently followed to process the appeal. The student should become thoroughly familiar with the procedures and deadlines explained in the Graduate Appeal Procedure document.  Graduate Division’s Assistant Dean for Academic Affairs  (643-7412)  is available to answer any questions concerning the procedure.

F1. Master’s Degrees

F1.1  Degree Plans

Master’s students pursue Plan I or Plan II, depending on the plans offered by their departments.

Plan I requires a minimum of 20 semester units of upper division and graduate courses, and completion of a thesis. For the 20 unit minimum, the Academic Senate has established that a minimum of 8 units be in 200 series courses in the student’s major subject. However, majors may require more than 20 units; students should check with their academic programs for a listing of all requirements. If the degree requires more than the 20-unit minimum, 40% of the unit total must be 200-level course work.

Plan II requires a minimum of 24 semester units of upper division and graduate courses, followed by a comprehensive final examination or, if approved by the Graduate Council, a master’s project administered by the department. Of the 24 units, Academic Senate regulations state that a minimum of 12 units must be in 200-level courses in the student’s major subject.  However, many majors require more than the 24-unit minimum; students should check with their academic programs for a listing of all requirements. If the degree requires more than 24 units, half of the unit total must be 200-level course work.

Courses in the 300 series or higher do not count toward the unit requirements for either Plan I or Plan II. For either the 20-unit Plan I or 24-unit Plan II, a maximum of 6 units of 299 course work may be used toward fulfilling degree unit requirements. For degree programs requiring more than 24 units, up to 25% of the unit total may be units in 299 courses.  For example, if a master’s degree requires completion of 42 units, 10 units of 299 course work may be used to fulfill unit requirements (10.5 is rounded downward).

The same course work cannot be used toward two different master’s degrees unless that course work has been permitted as part of a concurrent master’s program officially approved by the campus.

Plan I and Plan II Capstones – Group Projects.The Graduate Council has stated that joint or group work is not acceptable as the basis for awarding graduate degrees. Students may collaborate on research projects under the traditional supervision of a faculty guidance committee. However, each student must write a thesis or Master’s Project report that represents a cohesive presentation of the research conducted and is capable of standing independently from the project.  Each student’s work must be evaluated individually.

Degree Requirement Changes.  Departments set their own subject requirements for degrees. However, if departments change requirements, they must inform the Graduate Division for approval before implementation. If the changes are substantive, the Graduate Division will submit them to the Graduate Council for its approval. All students must be informed in writing of any requirement changes and departments must permit students who entered under the former requirements to elect to follow either the new or old rules.

F1.2 Academic Residence Requirement for a Master’s Degree

Academic residence is defined as payment of registration fees and enrollment in at least 4 units in 100 or 200 series courses per required semester of academic residence. The requirements are as follows:

1. Master’s degree — a minimum of two semesters of academic residence..
2. Master’s, two separate degrees — a two-semester minimum of academic residency is required for each degree.
3. Master’s, concurrent degrees – a minimum of two semesters of academic residence.
4. Master’s and doctoral degrees — a minimum of six semesters of academic residence is required to complete both a master’s and a doctoral degree

Academic residency and summer sessions. For a master’s degree, residence during Summer Sessions may be counted under the following conditions:

1. Enrollment in two six-week Summer Sessions counts as one term of residence provided the candidate is enrolled in each session for the equivalent of at least two units of upper division and/or graduate work as given in a regular term (four units total)
2. Enrollment in an eight-week Summer Session counts as one term of residence provided the candidate is enrolled for the equivalent of at least four units of upper division and/or graduate work as given in a regular term.

F1.3 Concurrent Master’s Degree Programs

Concurrent degree programs are combinations of two separate master’s degree programs officially reviewed and approved by the campus. Students are permitted to count a limited number of courses towards fulfillment of both degrees.  Since “double counting” is otherwise not allowed, an official concurrent degree program generally decreases the time required to earn both degrees.  Although requirements for one degree may be completed during an earlier term, the two degrees of the concurrent program are awarded the same semester the second one is completed.

A list of approved concurrent degree programs is provided on the Graduate Division’s Admissions webpage “Graduate Programs and Application Deadlines” (www.grad.berkeley.edu/programs/list.shtml).

F1.4 Transfers of Unit Credit toward the Master’s Degree

Unit credit from Non-UC institutions. A master’s student may transfer up to 4 semester units or 6 quarter units of course work completed as a graduate student at another institution. The units must be equivalent to courses in the student’s graduate program at Berkeley, and the student must have received at least a B in the course(s) and have a grade-point average of at least 3.3 at both Berkeley and the other institution.  However, students cannot use units from another institution to satisfy the minimum unit requirement in 200 series courses or the minimum academic residence requirement. In addition, they may not present course work previously used to satisfy requirements for another degree program at Berkeley or at another in another institution.

Unit credit from another UC campus. The Graduate Division may approve credit for more than 4 semester or 6 quarter units of 200-level courses completed on another UC campus, and will review requests on an individual basis. (For more information, see Academic Senate Regulation 726, www.universityofcalifornia.edu/senate/manual/rpart3.html#rpart3-IIch3.)

Unit credit from Summer Session course work at UC Berkeley and other institutions. An entering student admitted for fall semester might receive unit/course credit toward the degree for UC Berkeley Summer Session courses taken in the immediately preceding summer if the offer of admission was issued by Graduate Admissions before the end of that Summer Session. Transfer of summer session course work completed at another institution is generally not permitted.

Unit credit from Backdated Graduate Standing. Berkeley undergraduates who take graduate course work during their last undergraduate semester may petition to backdate graduate standing in order to receive graduate credit for that course work. Graduate standing may be backdated for only one semester, and students may petition for credit only for the course work that was not required for the undergraduate degree. The Head Graduate Adviser should petition to backdate graduate standing in a memo addressed to the Associate Dean, in care of the Graduate Services: Degrees Office (318 Sproul Hall, #5900).

Unit credit from Concurrent Enrollment with University Extension. Extension courses generally cannot be applied to a Berkeley degree.  Concurrent enrollment gives University Extension students the opportunity to take courses that would not ordinarily be available to these students. It is not intended as a substitute for normal registration by Berkeley graduate students or as a means of accumulating credit toward a Berkeley degree. Exceptions are made to this rule only when there is clear evidence that the student took the courses while a graduate student at another institution and intended to apply those units toward a graduate degree at that institution. However, Berkeley Division Regulation A208 allows UC Berkeley Extension courses carrying the “XB” designation on University Extension transcripts to be accepted for unit requirement and grade-point credit on the Berkeley campus under specific conditions
(http://academic-senate.berkeley.edu/resources/manual.html).

How to request transfer of units from other institutions, University Extension, or backdating for degree credit. Either before or when a student applies for advancement to candidacy, the Head Graduate Adviser must support and explain the basis for the student’s request and specify the units and courses to be credited in a memo sent to the cognizant Associate Dean, in care of the Graduate Services: Degrees Office (318 Sproul Hall, #5900). Additional information is needed for the following:

1. If the request is for backdating, the Head Graduate Adviser’s memo must also be accompanied by a written statement from the student’s undergraduate college (e.g., Letters & Sciences, Engineering, etc.) that the course work was not in fulfillment of an undergraduate degree requirement.
2. For  transfer of summer session course work completed at another institution, the Head Graduate Adviser’s memo must be accompanied by (a) an official transcript from the other school showing that the student was in graduate standing at the other institution and (b) a statement from the other institution that the courses are acceptable toward a master’s degree but were not used at that university.

F1.5 Advancement to Candidacy for a Master’s Degree

Students under Plan II must be advanced to candidacy prior to taking the comprehensive examination and Plan I students must be advanced before filing their theses.

How and when to apply for advancement. By Academic Senate regulation, a minimum period of study of one term must intervene between formal advancement to candidacy and the conferring of the master’s degree. Therefore, for students to be advanced to candidacy, departments must submit to the Graduate Services: Degrees Office (318 Sproul Hall, #5900) the “Application for Candidacy” form no later than the end of the fifth week of classes of the semester in which they expect to receive the degree. The form is available from the Graduate Division website (www.grad.berkeley.edu/policies/forms.shtml), which also posts the deadline dates in the “Deadlines Calendar” (www.grad.berkeley.edu/policies/degree_filing_deadlines.shtml). All students advancing to candidacy under Plan II are included on a list submitted by their department to Graduate Services Degrees. Students advancing under Plan I submit individual applications for candidacy that list the proposed thesis committee.

Required signatures. Every candidacy form must be signed by the Head Graduate Adviser. For students under Plan I, the Chair of the Thesis Committee must also sign the form. After it is signed, departments are advised to photocopy the form if they want a copy for their files.

Advancement and Human Subjects certificate requirement. Students who are using human subjects in their research must complete the “Course in the Protection of Human Subjects” (referred to as the CITI course) available online (www.citiprogram.org) and print out the certificate of completion. This certificate must be submitted with the advancement form.

Review of advancement eligibility. The Graduate Division reviews each student’s application against his or her record to determine eligibility for advancement to candidacy. If the student is eligible, a formal notice of advancement to candidacy will be sent to the student, to the department, and to the thesis committee members (Plan I). If a student is not eligible, the department and the student will be notified that advancement has been deferred. The application will be held for future review once the student has notified the Graduate Services: Degrees Office (318 Sproul Hall, #5900) that the deficiency has been cleared and can be verified.

Preparation for advancement. Master’s students can avoid disappointment and delays regarding advancement by working with their graduate advisers to check the following:

Program. All courses offered for degrees must be approved by the Academic Senate’s Committee on Courses of Instruction. From these approved courses, faculty select the appropriate courses for degree programs. Departments must inform the Graduate Division if they wish to change degree requirements; approval by the Graduate Council may be necessary.

On the advancement form, students list courses needed for the degree, including course work completed and course work planned. For an academic master’s degree, students must show that they will complete the minimum program for their plan (20 units required for Plan I or 24 units required for Plan II in the 100 or 200 series). The units completed must include a minimum of 8 units for Plan I and 12 units for Plan II in the 200 series iin the major subject.  No more than 6 units of a 20-unit Plan I or a 24-unit Plan II program may be research units, except when the Head Graduate Adviser requests special permission and the cognizant Associate Dean approves the request. (If the program requires more than 24 units, up to 25% of the unit total may be research units.)  Units used for one master’s degree cannot be used for another unless they are part of an officially approved concurrent program in which two master’s degrees share a limited number of units. Additional requirements for professional master’s degrees are listed in the announcements of the schools and colleges.

Grading of course work. Two-thirds of all course work (not only those courses required for the master’s program) must be letter-graded, and only courses graded C- or better, or Satisfactory, may be counted toward degree requirements. For more information on Satisfactory/Unsatisfactory grades, please refer to the “Grading” section in the “Course Work, Grading, Probation, and Dismissal” chapter of this guide (chapter E, section 1.3).

Grade-point average. If the grade-point average is above 2.85, the student may apply for advancement to candidacy if current course work is sufficient for the student to achieve the required 3.0.  For the degree to be awarded, the student’s overall grade-point average must be at least 3.0, computed on the basis of all upper division and graduate courses (not only those required for the master’s program), which are taken in graduate standing up through the student’s final semester.

Course deficiencies. The following must be rectified for award of the master’s degree, although a student may be advanced with these deficiencies:

1. Incomplete or In Progress grades for required courses (see chapter E, section 1.3, regarding Incomplete and In Progress grades).
2. Courses to remove academic deficiencies required by the department as a condition of the student’s admission to the degree program. In some cases, course work completed in University Extension may be used to correct deficiencies, but it cannot be counted toward fulfilling unit requirements for the degree.

Foreign language requirement. Students must pass any required departmental language examinations before they are advanced to candidacy.

Thesis Committee (Plan I). Students must have a properly constituted thesis committee of three members, two of whom must be Academic Senate members from the student’s major.  It is preferred, but not required, that students following Plan I have an outside member on the thesis committee, i.e., an Academic Senate faculty member outside the student’s major field. If a proposed committee member does not belong to the Academic Senate, his or her curriculum vitae and bibliography, as well as a statement giving the reason for the selection and why an exception should be granted, must accompany the application. For more information on faculty committees and requesting exceptional appointments, see “Faculty Committees for Higher Degrees” in the section below on “Policies Affecting Both Master’s and Doctoral Students.”

F1.6 Filing a Master’s Thesis (Plan I)

For filing requirements, including information on deadlines, preparing the thesis, registration, and use of human or animal subjects, please see “Instructions for Preparing and Filing Your Thesis or Dissertation” (http://grad.berkeley.edu/policies/guides/) and “Policies Affecting Both Master’s and Doctoral Students” in section F4.1 of this chapter.

Changes in committee membership. Before planning to file their theses, students who wish to change the membership of their thesis committee must be sure that such a change has been approved by the Graduate Division. A student may request a change in committee by submitting a completed Change in Higher Degree Committee form. The Head Graduate Adviser must state the reason for the change and sign the form. The Head Graduate Adviser should consult with any faculty members as appropriate to assure that they are aware of membership changes.  However, the Head Graduate Adviser, rather than any committee member, has the final authority to approve the changes. Forms are available from the Graduate Division website (www.grad.berkeley.edu/policies/forms.shtml).

Library permission form. Each student filing a master’s thesis must also submit a completed “Master’s Thesis Release Form” (www.grad.berkeley.edu/policies/forms.shtml), stating whether or not the student is willing to allow the University Library to supply copies of the thesis to any interested persons immediately, or if permission to do so should be withheld  (for up to two years) while the student applies to obtain copyright.

F1.7 Comprehensive Final Examination (Plan II)

For master’s students under Plan II, each department decides the content and format of the Comprehensive Final Examination, which should cover the knowledge and skills reasonably expected of a master’s degree recipient in the field. A committee of at least two (and preferably three) Academic Senate faculty members should conduct the exam. The exam may be written, oral, or a combination of the two.

Eligibility requirements. Students must be registered or on filing fee status during the term that they take the Comprehensive Final Examination or complete and submit the Master’s Project. The deadline for successful completion of the Comprehensive Exam or the Master’s Project is the last day of the semester in which the degree is to be conferred.  Students registered during the spring semester and who have completed all other requirements may take their comprehensive exam during the contiguous summer but their degree will be awarded in the subsequent fall semester.

How to report results of the Comprehensive Final Examination. At the end of the fall and spring semesters, the Graduate Division sends to departments a list of all Plan II master’s candidates who are advanced to candidacy. The Head Graduate Adviser should indicate whether or not each student has passed or failed the exam, the date of the exam, the date the student filed the Master’s Project if applicable, and whether any of the student’s Incompletes, No Reports, or In Progress grades are required for the degree. The list should be returned to the Graduate Division no later than three weeks after the last day of the semester in which the degree is to be conferred.

F1.8 Completion of Courses for the Degree

Master’s students must finish all courses required for the degree by the last day of the semester in which they expect the degree to be conferred. If students have Incompletes, No Reports, or In Progress grades, the department must indicate on the list of Plan II master’s candidates whether the courses are required for the degree.  For award of the Master’s degree, a student can have no more than one Incomplete per year of the degree program in a non-required course and if the program is longer than two years, no more than two Incompletes total to remain in good standing. For further information, see the section for “Deficiencies” above and the sections for “Incomplete grades” and “In Progress grades” in the “Course Work, Grading, Probation, and Dismissal” chapter of this guide (chapter E, section E1.3).

After completion of requirements for the degree for which they were admitted, students may not register and enroll for a subsequent semester unless they have been previously approved for a new degree goal or a new major (see section F4.3 in this chapter).

F1.9 Master’s Time in Candidacy

Master’s students have six semesters after advancement to candidacy in which to complete requirements for their degrees. If they do not finish in that period, their candidacy will lapse unless the Head Graduate Adviser requests an extension of time that is granted by the cognizant Associate Dean.

Reinstatement of candidacy. A master’s student whose candidacy has lapsed can be reinstated only upon a recommendation from the Head Graduate Adviser to the cognizant Associate Dean. The Head Graduate Adviser must certify that the student’s previously completed course work is still valid. (See “Time Limits on the Use of Courses for Degrees,” section F4.2, for a list of time limits on course work by field and degree goal under  “Policies Affecting Both Master’s and Doctoral Students.”)  In addition, the student’s thesis committee must have approved a final draft of the thesis, or the student must indicate readiness to take the Comprehensive Final Examination to be eligible for reinstatement. Reinstated students must be registered or qualify for Filing Fee status during the semester in which they complete the final requirements for their degree.

Termination of candidacy. Departments may request that the Graduate Division terminate the candidacy of a master’s student if, after a period on lapsed status, the student does not show ability to complete the degree. The Head Graduate Adviser should submit a separate written request for each student recommended for termination, addressed to the Graduate Services: Degrees Office (318 Sproul Hall, #5900). (See “Academic Dismissal” (chapter E, section 1.9).

F2. Doctoral Degrees

Academic benchmarks. Administered by departments, schools, or graduate groups, the doctorate is awarded in recognition of a student’s knowledge of a broad field of learning and for distinguished accomplishment in that field through an original contribution of significant knowledge and ideas. To be eligible to receive the doctorate, the student must complete at least two years (four semesters) of academic residence, pass a Qualifying Examination administered by a committee approved by the Graduate Division on behalf of the Graduate Council, and submit an approved dissertation completed under the guidance of Berkeley Academic Senate faculty members. The dissertation must reveal high critical ability and powers of imagination and synthesis. There are two dissertation plans: 1) Plan B, which is followed by most doctoral programs, requires a three-member committee with a final defense at the discretion of the committee, or 2) Plan A, which requires a five-member committee (three members charged with approving the dissertation who are joined by two additional members for the student’s required final oral defense of the dissertation).  A list showing which programs use Plan A or Plan B appears in the “Graduate Education” section of the General Catalog (http://www.berkeley.edu/catalog).

Unit requirements. Unlike a master’s degree, there are no specific unit requirements for the doctorate. A course of study is tailored to fit the needs of individual students. Departments, schools, and graduate groups may informally recognize that students have completed relevant courses at other institutions, if they wish, but no units will be officially transferred for the doctoral degree, unlike the master’s degree.

Normative time. All doctoral programs of the University of California system have an established length of time for completion of a doctoral program, which is called Normative Time.  Each doctoral program was asked to submits its Normative Time for review and approval by the local Graduate Council and the University-wide Coordinating Committee on Graduate Affairs.

There are two components: NTA – normative time to advancement to doctoral candidacy, and NTIC – normative time in candidacy which begins after advancement and ends when the degree is awarded.  The Graduate Division monitors a student’s Normative Time progress since it affects, among other things, the allocation of new admissions slots for academic programs and is one measure of a program’s ability to successfully conduct its students through the degree program.  For further information, see “Normative Time and Calculation of Normative Time in Candidacy,” section F3.2.

Ad Hoc Interdisciplinary Doctoral Programs. The Graduate Division has established a procedure by which students may elect to pursue an interdisciplinary major of their own design. Fulfillment of academic residency, passage of the qualifying examination, and completion of a dissertation are all required of an ad hoc interdisciplinary doctoral student. Only students who have completed at least two semesters of a doctoral program at Berkeley with a superior academic record may be considered for an individual interdisciplinary major. Further information can be found on the Graduate Division website (http://www.grad.berkeley.edu/programs).

F2.1 Doctoral Degrees with a Designated Emphasis

A “Designated Emphasis” is defined as an area of study constituting a new method of inquiry or an important field of application relevant to two or more existing doctoral degree programs. Students are required to complete the academic work in the Designated Emphasis in addition to all the requirements of the doctoral program.  There are no adjustments made to the normative time of the student’s major when a student undertakes a designated emphasis.

Adding a Designated Emphasis (DE) as a program of study. After admission by the Designated Emphasis, students must complete a “Change of Major or Degree Goal” petition signed by the DE’s head graduate adviser and submit the form to the Graduate Services: Degrees Office (318 Sproul Hall, #5900). Students are required to be admitted to the DE before taking the qualifying examination since the student must have on the examination committee a representative of the DE must be examined in that area of study.

When students also enrolled in a DE are advanced to candidacy, the advancement application must include the signature of the Head Graduate Adviser for the DE to signify that the dissertation committee has an appropriate representative of the DE in its membership.  Prior to filing for the degree, a Final Report for the Designated Emphasis, verifying that all of the requirements for the DE have been met, must be submitted.

Students approved for a DE must include the name of the DE on the title page of the dissertation, following the major name. See “Instructions for Preparing and Filing Your Thesis or Dissertation,” available online (http://grad.berkeley.edu/policies/guides/dissertation/).

List of Designated Emphases. The following Designated Emphases have been approved by the Graduate Council:

• Communication, Computation, and Statistics
• Computational Science and Engineering
• Computational and Genomic Biology
• Critical Theory
• Dutch Studies
• Energy Science and Technology
• Film Studies
• Folklore
• Global Metropolitan Studies
• Nanoscale Science and Engineering
• New Media
• Renaissance and Early Modern Studies
• Women, Gender, and Sexuality

F2.2 Academic Residence Requirement for a Doctoral Degree

Doctoral students must register at Berkeley and complete a minimum of four semesters of academic residence, which is defined as payment of registration fees and enrollment in at least 4 units in the 100 or 200 series per required semester of academic residence. Six semesters of academic residence are required to complete both a master’s and a doctoral degree. A student in a joint doctoral program must pay fees and fulfill enrollment requirements for at least one year at each campus to complete academic residence requirements for the program.

Summer sessions and academic residency. For a doctoral degree, residence during Summer Sessions may be counted under the following conditions: (1) enrollment in two consecutive six-week Summer Sessions counts as one term of residence provided the candidate is enrolled in each session for the equivalent of at least two units of upper division and/or graduate work as given in a regular term (four units total); or (2) enrollment in an eight-week Summer Session counts as one term of residence provided the candidate is enrolled for the equivalent of at least four units of upper division and/or graduate work as given in a regular term. No degrees are awarded for work completed during Summer Session only.

F2.3 Departmental Review Requirement for First-Year Students

Some departments require that all first-year doctoral students be reviewed at the end of their first year of study. Departments with this requirement should inform newly-admitted students  that they will be reviewed.

F2.4 Foreign Language Requirement

Doctoral students must satisfy a foreign language requirement, unless a blanket exemption has been approved by the Graduate Council at the request of the doctoral program. Students should satisfy the requirement as early as possible in their graduate careers, and it must be satisfied before they are eligible to take the qualifying examination.

Acceptable languages. The Graduate Division will accept any natural language with a system of writing (with the exception of English and any pidgin or Creole of which English is the base), if the department or group certifies that 1) the language has scholarly value in the field; 2) the language is integral to the training of a particular student or group of students in the field; and 3) a person qualified to administer the examination is available.  Computer languages are not acceptable for use in satisfying foreign language requirements.

Each student selects the language(s) used to satisfy this requirement from a set of languages certified by the Graduate Council for that department or group. Students may substitute an uncertified language if the Head Graduate Adviser makes such a request based on academic relevance for the student’s research and it is approved by the cognizant Associate Dean.

Options for completing the foreign language requirement. Programs that have a foreign language requirement may select from the following options. They may also establish more stringent requirements.

Option 1. This option requires a reading knowledge of two languages. Students may pass both by examination or one by examination and the other by completing a four-semester (or six-quarter) course sequence with an average grade of B or better.

For one of the two languages, an upper division foreign language course that requires a four-semester (or six-quarter) course sequence as a prerequisite satisfies the requirement. Course sequences of four semesters (six quarters) in a certified language completed at any UC campus also automatically fulfill the requirement for one of the languages. If students take courses at other institutions, the Graduate Division must validate the courses. Students must have completed any foreign language course sequence, whether taken at UC or elsewhere, within four years of admission to Berkeley. If a student completed an appropriate course sequence as an undergraduate, or if the student’s high school or undergraduate institution conducted courses in an approved language, the Head Graduate Adviser should petition the Graduate Division to recognize that student has fulfilled the language requirement. This request should be made at the time the student is admitted to graduate standing at Berkeley.

Regarding the requirement that one or both of the two languages be passed by examination, the Graduate Council directs that a passage of at least 300 words be translated into English within a time limit of 90 minutes, with or without a dictionary at the option of the program faculty. Examinations may be conducted by departments, groups, or any outside testing agency that has been approved by the Graduate Division, such as the Educational Testing Service, which adheres to the Graduate Council’s minimum policy.

Option 2. The student is expected to demonstrate an exceptionally thorough reading knowledge and an adequate knowledge of the grammatical structure of one language. Knowledge is tested by a written examination consisting of a translation of a passage of about 1,000 words on a subject appropriate to the student’s major field of interest. The examination is limited to three hours and the translation is to be made without the aid of a dictionary. The translation must show an accurate comprehension of the meaning of the language text, and since the language text is in the student’s discipline, the translation should use the correct English technical terms.

Option 3. Requirements are as for Option 1, but involve only one language.  Students may pass by examination or by course work.  The examination requires the translation of a passage of at least 300 words into English within a time limit of 90 minutes, with or without a dictionary at the choice of the program faculty.  As in the case of Option 1, examinations may be conducted by a department, a graduate group, or an approved outside agency.  The course work required is a foreign language course sequence of four semesters (or six quarters), whether taken at UC or elsewhere, within four years of admission to Berkeley.  For acceptable exceptions and the timing of requests, see above under Option 1.

Native speakers of a language other than English. Students who are native speakers of a language other than English do not automatically fulfill the requirement; the native language must be appropriate to advanced research in that particular discipline, as shown by important journals and research that has been carried out in that language. Also, students may show evidence of native ability in the language through secondary school or university transcripts. The department must submit a memo to the Graduate Division specifying the language and certifying native ability as well as explaining the language’s relevance to the student’s research.

How to report completion of the foreign language requirement. As soon as a student completes all or part of the language requirement, the Head Graduate Adviser notifies the Graduate Division by sending a memo and the graded departmental exam, if applicable. If the student satisfied the requirement for Option 3 or for one of the two languages for Option 1 by completing a four-semester (or six-quarter) course sequence, the Head Graduate Adviser certifies in a memo that the course sequence was acceptable to the department.  The department must provide a copy of any completed language examination to the Graduate Division when the student is advanced to doctoral candidacy.

How to request departmental changes in the foreign language requirement. Academic Senate regulations allow departments to change or drop their foreign language requirements if that action is approved by the Graduate Council. In 1985, the Graduate Council decided that “a program wishing to change its current foreign language requirement will be expected to notify the Dean of the Graduate Division in accordance with regulation 2001B of the Regulations of the Berkeley Division of the Academic Senate; a program wishing to reduce its foreign language requirement will be expected to present a detailed justification for the proposed reduction” for review and approval by the Graduate Council.

F2.5 Preliminary Examinations

Some doctoral programs require a preliminary examination before the student may apply to take the Qualifying Examination. A preliminary examination is within the purview of the department and may entail the completion of a paper, a series of papers, a written examination, or some other requirement.

Preliminary examination results need not be reported to the Graduate Division with one exception. The Graduate Council requires that students who fail a departmental examination on the first attempt be given an opportunity for reexamination following a reasonable delay for additional preparation, unless the performance on the exam was so poor that it is unlikely the student will pass it again within an acceptable period of time. If the examining committee, with the concurrence of the Head Graduate Adviser, recommends that no second examination be given and that the student’s status as a degree candidate in that department be terminated, the chair of the committee must provide an explanatory letter addressed to the cognizant Associate Dean in care of  the Graduate Services: Degrees Office (318 Sproul Hall, #5900).

F2.6 Qualifying Examination

The Qualifying Examination is administered by the Graduate Division on behalf of the Graduate Council. Approval of the committee membership and the conduct of the examination are accordingly subject to the Graduate Division’s review and approval. The exam is normally held on one day and lasts approximately two to three hours. The Qualifying Examination is an oral exam. A department may require written examinations or papers as prerequisites to the Qualifying Examination, but they are not a component of the Qualifying Examination itself, which is under the purview of the Graduate Council.

The purpose of the Qualifying Examination. The intent of the Qualifying Examination is to ascertain the breadth of the student’s comprehension of fundamental facts and principles that apply to at least three subject areas related to the major field of study and whether the student has the ability to think incisively and critically about the theoretical and the practical aspects of these areas. Some programs expect students to present a topic for the dissertation as part of the Qualifying Examination, but the examination must not be narrowly limited to this topic if the intent of the examination is to be fulfilled. In programs that do not have this expectation, students may be required 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.

The examiners should satisfy themselves, by unanimous vote, that the student demonstrated sufficient command of the three subject areas in addition to showing the ability to design and produce an acceptable dissertation. The examination may consider a number of academic points of view and the criteria by which they may be evaluated.

The Graduate Council’s statement on the purpose and meaning of the Qualifying Examination is available on the Graduate Division website (http://www.grad.berkeley.edu/policies/degrees_office.shtml).

Applying to take the Qualifying Examination. Students should be encouraged to take the Qualifying Examination and be advanced to candidacy as soon as they are prepared. Before endorsing the student’s application to take the exam, however, the Head Graduate Adviser must also be certain that students who are non-native speakers possess the English skills necessary for participating in an oral exam since the Qualifying Examination must be conducted in English.

Students must apply to take the Qualifying Examination no later than three weeks before the examination date to allow the Graduate Division time to review and approve the application. Approval is absolutely required before the exam may take place. Holding the exam before the student and the committee members have been notified that admission to it has been approved will cause its results to be voided. Students must list on their applications at least three subject areas to be covered during the examination. The Graduate Services: Degrees Office is unable to approve applications that do not contain this information. The application is available from the Graduate Division website (http://www.grad.berkeley.edu/policies/forms.shtml).

The student’s foreign language examination or certification of native fluency should not be included with the application, but rather archived in student files at the department. Any exceptions to the language requirement must still be requested from the Associate Dean, however.

Eligibility to take the Qualifying Examination. To be eligible to take the exam, a student must:

1. be registered and enrolled for the semester in which the exam is taken or, if it is taken during the winter or summer intersessions, be registered in either the preceding or the following semester (the exam may be taken up to the last day before the beginning of the next term);
2. have completed at least one semester of academic residence;
3. have at least a B average in all work undertaken in graduate standing;
4. have no more than two courses graded Incomplete;
5. have satisfactorily completed departmental preliminary exam requirements, if applicable; and
6. have completed the foreign language requirement.

Period of eligibility to take the Qualifying Examination. Following approval, a student’s eligibility to take the Qualifying Exam is valid for 18 months. Eligibility continues even if the student fails on the first attempt but is recommended for reexamination. However, if the student does not take the examination during the 18-month period, he or she must file a new application.

Scheduling the examination. The student is advised to confer with the chair of the Qualifying Exam Committee when he or she is prepared to set the date of the examination so that necessary arrangements can be made.  The student should begin this consultation well in advance of the planned exam date to ensure the availability of the examination committee and approval of the examination application by the Graduate Division.  If the student’s health or personal situation makes it too difficult to take the examination as scheduled, or if accommodation for a disability is necessary, the student is required to make this known before the exam so the chair can arrange for a postponement or appropriate accommodation.

Qualifying Examination Committee. Service on a Qualifying Examination Committee is an obligation of membership in the Academic Senate. Departments can require either a four- or five-member Qualifying Examination Committee, but whichever option they choose must apply to all students in the degree program and be on record in the Graduate Division.

The majority of the committee must be in the student’s major field. In the case of a four-person committee, at least two Academic Senate members must be from the student’s major. The chair of the Qualifying Examination Committee must be from the student’s major and a member of the Berkeley Division of the Academic Senate; the chair cannot also serve as chair of the student’s Dissertation Committee. At least one committee member must come from outside the student’s major, and also be a member of the Berkeley Division of the Academic Senate.

For more detailed information on Qualifying Examination Committee membership and exceptional committee appointments, see “Faculty Committees for Higher Degrees,” in the section below on “Policies Affecting Both Master’s and Doctoral Students.”

Conducting a Qualifying Examination. The Chair of the Qualifying Examination Committee is responsible for making sure that the committee administers the exam fairly and follows the procedures outlined in the next section. The committee’s outside member, an Academic Senate faculty member who does not hold an appointment in the student’s major department, serves as the Dean’s representative to observe that the chair fulfills this responsibility and should report any infractions to the Graduate Division. An exam that is not conducted according to Graduate Division guidelines may be invalidated. Both faculty and students should refer to the Graduate Council’s statement on the nature of the Qualifying Examination, available on the Graduate Division website (http://www.grad.berkeley.edu/policies/degrees_office.shtml).

Absence of committee members. The exam must be held with the entire committee present for the length of the exam. If a committee member cannot attend, the exam should be rescheduled or the committee reconstituted. A student may not be examined separately by committee members.

If a committee member’s absence may be resolved by telecommunications (e.g., a conference call, videoconferencing, Skype), the chair should request prior approval for this arrangement from the cognizant Associate Dean, in care of the Graduate Services: Degrees Office (318 Sproul Hall, #5900) .  The distant member must be online for the entire examination and deliberation period and be audible to all present.

If an emergency, such as an illness or an accident, occurs just before the exam, the committee chair should call  Graduate Services Degrees (642-7330), explain the problem, and request permission from the cognizant Associate Dean, inc are of the Graduate Services: Degrees Office (318 Sproul Hall, #5900), to conduct the exam under special circumstances. If an emergency situation also compels a committee member to depart before the exam is concluded, he or she must write a memo to the cognizant Associate Dean, in care of the Graduate Services: Degrees Office (318 Sproul Hall, #5900), explaining the reason for the absence and presenting an opinion of the student’s performance on topics covered during the time the committee member attended the exam. This information and a memo from the chair of the examining committee will be considered in determining  the final results of the examination.

Nonappearance by the student. If a student is not present at the time of the scheduled Qualifying Examination, both the committee chair and the student must submit reports explaining the circumstances to Associate Dean within six working days following the date of the exam. Only the Administrative Committee of the Graduate Council may rule the student’s non-appearance at the scheduled time constitutes a failed examination. Conversely, the Administrative Committee may find that the department, the examination committee, or both acted improperly, and act to monitor a rescheduled examination to ensure proper conduct of the exam.

Adjournment. If a student suffers from illness or psychological stress that prevents him or her from answering questions effectively during the exam, or if there are other problems that prevent the exam from proceeding properly, the chair should recess the examination immediately. The committee should meet without the student to decide whether or not to continue the exam.

If the committee decides that the exam cannot continue under the circumstances, the chair will adjourn the exam without a vote and immediately report the adjournment to Graduate Services: DegreesOffice (642-7330). The chair must explain why this step was taken and give the committee’s recommendation for further action. The committee can recommend that the exam be continued, but no later than 21 days from the date of the adjourned exam. If the exam is not resumed within 21 days, the reason must be reported and the exam may be judged to be a total or partial failure.

The student may be informed of the recommended action by the chair but must also be told that the recommendation must be reviewed by the Administrative Committee of the Graduate Council for approval.  The committee should adjourn the exam only as a last step and only when other attempts to remedy the difficulty have been exhausted (such as a short recess to put the student at ease). Exams should not be adjourned simply because the student’s performance was not of passing quality, unless circumstances beyond the student’s control contributed to the failure. An exam that lasts for more than one-and-a-half hours will be considered a complete examination by the Graduate Council and should not be reported as an adjournment but as a total or partial failure. Committees should never recommend adjournment because a student’s English skills are not adequate for the exam.

Voting procedures. All members of the Qualifying Examination committee must be present to vote on the exam, and each member is expected to vote either “pass,” “fail,” or “partial fail” on the student’s performance during the entire examination. Committees should make every attempt to reach a unanimous decision.

The committee’s final decision should reflect the student’s performance on the exam. A vote to pass the student is only warranted if his or her academic performance was satisfactory and for no other reason. It is also not appropriate to add conditions to the examination verdict related to the dissertation topic, how the research should be conducted, who should be the dissertation chair, or how the student will be supported during the research phase. Moreover, conditions, such as subsequent service as a GSI in a particular course or presentation of a paper at a seminar, cannot be used to substitute for a student’s failure of any part of the examination and will not be accepted by the Graduate Division.  If allowed a retake, the student must be orally examined before the full committee on all portions failed in the first Qualifying Examination.

For details on reporting the vote, refer to the following sections. Instructions for filling out the report form are available in the section “How to report the results of a Qualifying Examination” below.

F2.7 Qualifying Examination Results

An exam which results in either a pass, failure, or partial failure is by unanimous consensus of the Qualifying Examination Committee. If there is no unanimity, the result is a “split vote.” These categories are described below.

Pass. The Qualifying Examination committee unanimously votes that the student passed the examination with scholarship that is at least acceptable.

Failure. A total failure occurs if the Qualifying Examination committee votes unanimously that the student failed the entire examination. The committee either:  1) recommends that the student take a second and final examination on all examination topics; or 2) does not recommend reexamination, the consequence of which will be the student’s dismissal from the program.

If a second and final examination is recommended, the following procedures apply: 1) the committee must submit its “Report to the Graduate Division on the Qualifying Examination” with its recommendation; 2) committee membership for the student’s retake must be the same as for the first exam; 3) the student may not retake the exam until 3 months after the first exam unless an exception is approved by the cognizant Dean (in care of the  Graduate Services: Degrees Office, 318 Sproul Hall, #5900); and 4) a third examination is not permitted. If the committee wishes to suggest preparation for the second examination through additional course work or special tutoring, this must be communicated to the student in writing with a copy to the Graduate Division.

If the committee does not recommend a reexamination, a written explanation by the committee chair must accompany the completed “Report to the Graduate Division on the Qualifying Examination” and sent to the  Graduate Services: Degrees Office (318 Sproul Hall, #5900). If the Graduate Division concurs with the chair’s explanation, the student is sent a letter of dismissal from the program by the Graduate Dean, with a copy to the department.

A partial failure. A partial failure occurs if the Qualifying Examination committee votes unanimously that the student passed some topics but failed others. In this instance, the following apply: 1) a second and final examination is required; 2) the chair of the committee must write a letter to the student, with a copy to the Graduate Division, conveying information about his or her performance (pass, partial fail, or fail) on each of the three subject areas covered during the examination; 3) the committee may choose to examine the student on all topics or only on those failed during the first exam, but must communicate its decision in the letter regarding the student’s performance; and 4) the retake must be scheduled no earlier than three months after the first examination unless an exception is approved by the cognizant Dean (in care of the  Graduate Services: Degrees Office, 318 Sproul Hall, #5900). A third attempt to pass the Qualifying Examination is not permitted.

A split vote. If the Qualifying Examination Committee cannot reach a unanimous decision concerning a pass, total failure, or partial failure, the chair should 1) determine the areas of disagreement; and 2) request that each committee member write, as required, a detailed assessment of the student’s performance for submission to the Administrative Committee of the Graduate Council. These assessments should be sent to the Administrative Committee in care of Assistant Dean Diane Hill (and sent to Graduate Services: Degrees Office, 318 Sproul Hall, #5900). The chair’s letter should outline the progress of the examination itself, the efforts made by the committee to reach a unanimous agreement, the remaining areas of disagreement, and the chair’s own assessment of the student’s performance. Such letters may be released to the student under provisions of the 1972 Federal Family Educational Rights and Privacy Act (FERPA), current Department of Health and Human Services regulations, and California public records legislation.

If the exam results in a split vote, the committee should only inform the student that the matter was sent to the Administrative Committee for a final decision. The student has neither passed nor failed the exam until the Administrative Committee decides the results.

How to report the results of a Qualifying Examination. No later than two weeks after the Qualifying Examination, the committee must send a formal report of the results, signed by all committee members, to the Graduate Services: Degrees Office (318 Sproul Hall, #5900). The Report form can be obtained from Graduate Student Affairs Officers or from the Graduate Division website (http://www.grad.berkeley.edu/policies/pdf/qe_report.pdf).

F2.8 Advancement to Candidacy for a Doctoral Degree

Eligibility for advancement to candidacy. To be advanced to candidacy, doctoral students must:

1. satisfy the foreign language requirement, if applicable;
2. pass the Qualifying Examination;
3. have no more than two courses graded Incomplete;
4. have a minimum 3.0 grade-point-average in all upper division and graduate work taken while in graduate standing;
5. have no more than one-third of  the total units undertaken for the degree be graded on an S/U basis,
6. fulfill any additional departmental requirements, and
7. have secured an appropriately configured dissertation committee.

How doctoral students are advanced to candidacy. When a student has satisfied the eligibility requirements listed above, the student submits the “Application for Candidacy to the Doctoral Degree” appropriate for the student’s plan (Plan A or B) to the Graduate Services: Degrees Office  (318 Sproul Hall, #5900), accompanied by a check made payable to “UC Regents” in the amount of $90. The application form is available on the Graduate Division website (http://www.grad.berkeley.edu/policies/forms.shtml). The Head Graduate Adviser of the student’s major, the Chair of the Dissertation Committee, and, if applicable, the Head Graduate Adviser of the Designated Emphasis must sign this form.

The student must also indicate on the form whether human subjects or animal research will be involved in the dissertation research.  A human subjects protocol must be procured from the Committee for the Protection of Human Subjects before any dissertation research is conducted.  For more information, see Section F4.

The advancement form should be filed no later than the end of the semester following the one in which the student passed the Qualifying Examination. (Students in majors participating in the Dean’s Normative Time Fellowship or Dissertation Completion Fellowship programs must submit the advancement form according to eligibility deadlines.)

Informational packets for new doctoral candidates. When doctoral students are advanced to candidacy, the Graduate Division mails them a packet that includes information on writing a dissertation, finding financial support for research and writing, using campus resources during this new phase of doctoral study, and meeting the requirements that apply if the proposed research will involve human or animal subjects.

F2.9 Normative Time and Calculation of Normative Time in Candidacy

Normative time. The term “normative time” refers to the elapsed time (calculated to the nearest semester) that students would need to complete all requirements for the doctorate and making satisfactory progress toward their degrees. Normative times for doctoral programs have been recommended by program faculty and approved by the Graduate Council. The usual total normative time for doctoral programs is 12 semesters.

Calculation of normative time. There are two components of normative time: Normative Time to Advancement (NTA) and Normative Time in Candidacy (NTIC).

The Graduate Division computes a student’s time to advancement (NTA) from the time a student first enrolled as a graduate student at Berkeley until advancement to doctoral candidacy. For students in a qualified major, delays in applying for advancement to candidacy may jeopardize eligibility for the Dean’s Normative Time Fellowship or Dissertation Completion Fellowship (whichever is applicable, given semester of entry).

Normative time in candidacy (NTIC) is counted from the semester following the one in which the student had formally been advanced to candidacy, not simply the semester following the Qualifying Examination.

Policies that modify calculation of normative time. Students in certain circumstances may request and be granted modifications in the calculation of normative time. These circumstances include:

Students who are parents: The Graduate Council allows certain modifications; for full details, see section F5.1 Graduate Council Student Parent Policies. The modifications for parents are also referred to in sections F3 “Dean’s Normative Time Fellowship (DNTF)” and F3.1 “Dissertation Completion Fellowship (DCF)”.

Students with disabilities: Modifications in normative time are provided to students who have received appropriate letters of accommodation from the Disabled Students Program (DSP). Information about DSP services can be found at http://dsp.berkeley.edu/docs/handbook.pdf. Students facing challenges from vision and hearing impairment, AD/HD, psychological, mobility impairment, speech impairment, acquired brain injury, chronic illness, or other disabilities should consult with a DSP specialist about how to verify their disability and request possible accommodations. Accommodation for students with disabilities is also discussed in section A1.5 “Special Resources for Students with Difficulties”.

Students previously enrolled in master’s programs at Berkeley: Requests for consideration for a “reset” of the normative time clock may be made by:

1. A student who was enrolled at Berkeley for a master’s degree and later pursues a doctoral degree in a distinctly different field.
2. A student who had completed a master’s degree at Berkeley, did not pursue further study immediately thereafter, and returns to Berkeley for doctoral study at least one year later.

In these instances, the student’s head graduate adviser should submit a memo of request to the Graduate Services: Degrees Office (318 Sproul Hall, #5900).

F3. Dean’s Normative Time Fellowship (DNTF)

During the Spring 2001, the Graduate Division created the Dean’s Normative Time Fellowship (DNTF), an incentive program intended to assist students to complete their degrees within the normative time of their majors.  A list of departments and graduate groups that participate in the program and fellowship amounts can be found on the DNTF webpage.

The DNTF program applies for all cohorts in participating doctoral programs through entry in Spring 2010.  Students entering a doctoral program in designated majors from Fall 2010 forward may participate in the new normative time incentive program, the Doctoral Completion Fellowship (DCF), which is detailed in the next section.

The Dean’s Normative Time Fellowship (DNTF) is distributed as follows:

• Students who are advanced for candidacy within the normative times established for advancement within their majors receive a two-semester stipend, plus fees.
• Students who were admitted to graduate study before the 2008–2009 academic year and who are advanced within the following year of their normative time, receive a one-semester stipend, plus fees.
• Students may use the DNTF after advancement to candidacy and before the expiration of normative times for completion of the doctorate in their disciplines. Use of the Dean’s Normative Time Fellowship (DNTF) may be supplemented by a single one-semester GSI, AI-GS, GSR, Reader, or Tutor appointment for no greater than 25 percent time. For students who are eligible for two semesters of DNTF, the 25 percent time appointment may only be taken in one of the two semesters. Continuation of the DNTF program is contingent upon available funding.

DNTF Calculation Exceptions. A withdrawal for research or other academic purposes will count in accrued time as will semesters included in retroactive withdrawals (unless for medical purposes and approved by  University Health Services – Tang Center). Only the following two categories (medical withdrawal and parental accommodation) will not count in DNTF calculations.

Medical withdrawal. A maximum of two semesters of withdrawal for medical purposes, documented by a formal withdrawal, departmental cancellation, or retroactive withdrawal petition, will not count in calculating a student’s eligibility.

Parental Accommodation. As stated in the Graduate Council’s 2007 statement on doctoral student parent accommodation, “A student eligible for the Dean’s Normative Time Fellowship (DNTF) who has been granted a time extension for parental accommodation is entitled to a credit in the normative time calculation. Credit for up to two semesters of parental leave before advancement to candidacy will be granted provided that either 1) the student formally withdraws for that purpose, or 2) the student intends to register to undertake a modified schedule and applies for parental leave status before or at the start of the proposed semester of leave. The Head Graduate Adviser of the student choosing the second option should send a memorandum with this request  to the Graduate Services: Degrees Office (318 Sproul Hall, #5900). Retroactive requests will not be considered.”

F3.1 Doctoral Completion Fellowship (DCF)

The Doctoral Completion Fellowship (DCF) provides an incentive for students in certain graduate programs, to complete their degree within a reasonable time. This is a new fellowship program available to students in participating graduate programs who enter in Fall 2010 or later. It replaces the Dean’s Normative Time Fellowship (DNTF). Students in qualifying programs admitted in Spring 2010 and before remain in the DNTF program.

Normative Time to Degree (from first enrollment to filing the dissertation) can range from 10 to 14 semesters, depending on your major. Within that period, Normative Time has two components: 1) time from first enrollment as a graduate student at Berkeley until advancement to doctoral candidacy; and 2) time in candidacy until the dissertation is filed. Most programs have a Normative Time to Advancement of 4 to 10 semesters. The total Normative Time to Degree is the sum of the Normative Time to Advancement and the Normative Time in Candidacy. Students should check with their department about the normative time for their major.

Students in the following majors may be eligible for the DCF:

African American Studies	Information Management and Systems
Ancient History and Mediterranean Archaeology	Italian Studies
Anthropology	Japanese Language
Architecture	Jewish Studies (with GTU)
Asian Studies	Jurisprudence and Social Policy
Buddhist Studies	Landscape Architecture and Environmental Planning
City and Regional Planning	Latin American Studies
Chinese Language	Linguistics
Classical Archaeology	Medical Anthropology (with UCSF)
Classics	Music
Comparative Literature	Near Eastern Religions (with GTU)
Demography	Near Eastern Studies
Economics	Performance Studies
Education	Philosophy
English	Political Science
Ethnic Studies	Public Policy
French	Rhetoric
Geography	Romance Languages and Literatures
German	Scandinavian Languages and Literatures
Hispanic Languages and Literatures	Science and Mathematics Education
History	Slavic Languages and Literatures
History of Art	Social Welfare
South and Southeast Asian Studies	Sociology

NOTE: The eligible majors were selected using a multidimensional measure constructed from: net stipends received by doctoral students in the program, recourse to loans by students in the program, and challenges with respect to time to degree and completion rate. Eligible majors also had to submit plans for improved advising and professional development. These were reviewed and approved by the dean of the Graduate Division; continuing DCF participation by programs will be based on their effectiveness in degree completion within normative time.

Eligibility

To be eligible for the DCF students must:

• Be advanced to candidacy within the number of semesters established as the Normative Time to Advancement in their major
• Be in good academic standing with a minimum GPA of 3.0
• Have a current, satisfactory annual progress report on file with Graduate Division
• Have participated in PhD completion activities or in other requirements, as directed by their program
• Submit an application for Advancement to Doctoral Candidacy to Graduate Degrees by the deadline date specified for DCF in Dates for Completion of Requirements for Higher Degrees for that semester.

Claiming the DCF Award

Students who qualify may accept the award at their discretion any time between their advancement to candidacy and filing their dissertation or the end of the year Normative Time to Degree (NTD) plus one year. Departments may choose to establish more specific guidelines regarding the timing of the award for their students. Filing of the dissertation is expected to occur before the end of year NTD+1; consequently, no university funding is available after year NTD+1 (except for loans) for students who choose to accept the DCF. The Filing Fee option is available to students at any time they qualify. Note to international students: Doctoral candidates may be eligible for a nonresident tuition waiver for three calendar years after advancement to doctoral candidacy. Beyond that period, non-resident tuition is again owed. EMPLOYMENT LIMITATION: The Doctoral Completion Fellowship (DCF) may be supplemented by a single one-semester GSI, AI-GS, GSR, Reader, or Tutor appointment for no greater than 25 percent time. More information on how to claim your award will be posted on this website as the Fall 2010 entering cohort nears Advancement to Candidacy.

Approved DCF Normative Time Calculation Credits

• A maximum of two semesters of withdrawal for medical leave only (documented by formal petition) will not count in calculating normative time.
• Credit for up to two semesters of parental leave can be granted if 1) the student formally withdraws for that purpose, or 2) the student intends to register to undertake a modified schedule and applies for parental leave status before or at the start of the proposed semester. This request must be endorsed by the student’s Head Graduate Adviser.

Note: Withdrawal for research or other academic purposes does count in accrued time. If no withdrawal form is filed, the interim semesters count in accrued time. Retroactive withdrawals are not permitted for purposes of altering the calculation of Normative Time.

For eligibility questions, contact the Graduate Services: Degrees Office (318 Sproul Hall, 510-642-7330).

For details concerning activating and receiving the award, contact the Graduate Services: Fellowships Office (318 Sproul Hall, 510-642-0672).

F3.2 Dissertation Plans A and B

Students are advanced to candidacy according to the dissertation plan followed by their departments. A list showing which programs use Plan A or Plan B appears in the “Graduate Education” section of the General Catalog (http://www.berkeley.edu/catalog).

Most doctoral programs follow Plan B, which requires a three-member committee to evaluate the dissertation. A final defense may be required at the discretion of the committee.

Plan A requires a five-member committee and a final oral defense (also known as the Final Examination) is mandatory. The first three members of a Plan A committee must approve the dissertation and sign the signature page; the other two committee members may also sign off on the dissertation, but that is optional. Under the direction of the committee chair, the five members administer the student’s final oral defense of the dissertation. A written memo reporting the results of the Final Examination must be sent to the Graduate Services: Degrees Office (318 Sproul Hall, #5900) before the degree can be awarded.

F3.3 Final Report

A Final Report, which verifies that students have completed all requirements except for filing the dissertation, will be sent to departments for each doctoral student at the time the student is advanced to candidacy. Departments are asked at that time to verify by returning to the Graduate Division an endorsed Final Report that all course work and other individual requirements have been completed. From then on, students are under the authority of the Graduate Council rather than that of the individual departments, schools, or groups. The Graduate Council states that “the department must monitor the progress of students, but the completion of the dissertation is the responsibility of the student working with the dissertation committee, which is appointed on behalf of the Administrative Committee of the Graduate Council” (see Appendix S in chapter L of this guide).

If a student’s file does not have a Final Report, the student cannot be placed on the degrees list for award of his or her degree even though the dissertation has been filed.

F3.4 Candidate in Philosophy Degree

Departments who are approved to offer the Candidate in Philosophy (C.Phil.) degree may recommend students for the C.Phil. each semester. Nominated students must 1) already be advanced to candidacy; 2) be candidates in good standing; 3) be eligible for the Ph.D. upon completion of an acceptable doctoral dissertation; 4) possess the intellectual capacity to complete the requirements for the doctorate, according to Academic Senate regulations; and 5)  planning to file for the doctorate during a subsequent semester. The list of students recommended should be sent to the Graduate Services Degrees Unit no later than the end of the fifth week of instruction for the semester in which the degree is to be conferred. The form must include the student’s name, SID, and major, and be signed by the Head Graduate Adviser of the program.  If faculty have any doubts about whether or not a student can complete the requirements, they should not recommend the student for the Candidate in Philosophy degree.

F3.5 Annual Review of Doctoral Candidates

The Graduate Council requires that all doctoral students who have been advanced to candidacy meet annually with at least two members of the Dissertation Committee. The annual review is part of the Graduate Council’s efforts to improve the doctoral completion rate and to shorten the time it takes students to obtain a doctorate.

On the Annual Review Form, available from the Graduate Division (http://www.grad.berkeley.edu/policies/pdf/progress_report.pdf), the student is asked to state what progress he or she has made toward the degree and to itemize the requirements that remain to be completed. Departments that already have similar evaluation procedures in place are not required to use the Graduate Division form. The members of the Dissertation Committee should comment on the student’s progress and objectives. In turn, the student has an opportunity to make final comments. Students who are away from campus may complete the evaluation by mail. Departments should retain the original and forward a copy of the evaluation form to the Graduate Services: Degrees Office (318 Sproul Hall, #5900).

F3.6 Reduction in Nonresident Tuition

The tuition of nonresident graduate students who have been advanced to candidacy for the doctorate is reduced to zero for a maximum calendar period of three years calculated from the semester subsequent to the students’ advancement, whether registered or not. Any student who continues to be enrolled or who re-enrolls after the three-year period will be charged the full nonresident tuition rate that is in effect at the time. (See “Reduced Nonresident Tuition” in the “Registration and Exchange Programs” chapter of this guide [Chapter D, section 1.3].)

F3.7 Lapsing, Reinstatement, and Termination of Candidacy

Lapsing of candidacy. Candidacy for the doctorate is of limited duration. When students are advanced to candidacy, the Graduate Division informs them of the number of semesters that they are eligible to be candidates, based on their major’s Normative Time in Candidacy (NTIC).  If a student exceeds the number of semesters, they are subject to lapsing. However, a student may be lapsed earlier than this period for failure to make sufficient academic progress (see “Early Lapsing” section below).

Lapsing a doctoral candidate  is equivalent to being placed on probation, with the consequence that a student may not hold any academic appointment or fellowship.  (“Probation,” as a specific term, is used for insufficient academic progress before advancement to candidacy.)

The Graduate Division sends each department a list of students who, at the end of that semester, will have exceeded their Normative Time in Candidacy by two years, and are subject to having their candidacy lapsed. The list also names those students whose candidacy will lapse the following year.   Unless the department requests the Graduate Division to approve an extension, the candidacy of students who have exceeded their NTIC will be lapsed at the end of that semester. A student whose candidacy has lapsed for two years may be subject to termination.

Early lapsing. If a student is making insufficient academic progress on his or her dissertation, the department may recommend that a student’s candidacy be lapsed earlier than the expiration of time in candidacy.  If the Graduate Division approves this request, the Graduate Council requires that the department supply the following for the student’s action:

1. the nature of the problem or deficiency;
2. the steps to be taken to correct the deficiency;
3. a reasonable period in which to correct the problem or to show acceptable improvement; and
4. an approximate date on which the student’s record will next be reviewed.

How to request an extension of candidacy. The Head Graduate Adviser may request an extension of the student’s candidacy if the student is otherwise making adequate progress and if the delay can be attributed to factors largely beyond the student’s control (for example, unavoidable problems with the scheduling of experimental facilities or disruption of data collection).

Usually, the Graduate Division approves only one extension of no more than one year beyond the date when the student’s candidacy would lapse. Under exceptional circumstances, which must be fully documented and justified in a memo addressed to the cognizant Associate Dean, the Graduate Division may approve an additional or longer extension.

Reinstatement of candidacy. After a student’s candidacy has been lapsed, it may be reinstated by the Graduate Division if there is evidence that the student has renewed progress toward completing degree requirements and if previously completed requirements, such as course work and the Qualifying Examination, are still valid. (See “Time Limits on the Use of Courses for Degrees” in the section below on “Policies Affecting Both Master’s and Doctoral Students,” section F4.1.)

A department who intends to readmit a student who has been lapsed should request reinstatement of candidacy at the same time as readmission.  Following the successful outcome of  readmission and reinstatement, the student may then register.

How to request reinstatement of candidacy. To request reinstatement of candidacy, the Head Graduate Adviser must send a memo addressed to the cognizant Associate Dean, in care of Graduate Services Degrees (318 Sproul Hall, #5900), verifying: 1) the student is still competent in any required foreign languages; 2) the student must have submitted a dissertation draft to the dissertation committee in a form complete enough that the committee determines its approval and submission to the Graduate Division likely by the next filing date; and 3) the results of the student’s Qualifying Examination are still valid and represent current mastery of relevant fields.

The Graduate Division usually will not accept a Qualifying Examination more than five years old as representing current knowledge unless the student gives other evidence of continuing scholarly activity besides research for the dissertation. This policy is based on the Graduate Council’s belief that the Qualifying Examination and submission of the dissertation are not separate “hurdles” but together form an integrated educational experience for doctoral candidates.

A recommendation for reinstatement may be subject to approval by the Administrative Committee of the Graduate Council.

Termination of candidacy. The Graduate Division may terminate a doctoral student’s candidacy two years after candidacy formally lapses, unless the department requests an extension as described above.

A student’s candidacy also may be terminated if: 1) the student no longer holds the qualifications appropriate for the award of the degree, such as an outdated Qualifying Examination and course work; 2) continued lack of progress indicating that the student will not be able to complete the remaining requirements within the lapse period determined by the Graduate Division and the department; or 3) the student fails to correct within the lapse period determined by the Graduate Division and the department, major deficiencies in a dissertation previously submitted for committee review.

F3.8 Planning for the Dissertation

Each doctoral candidate is responsible for filing with the Graduate Division a dissertation representing his or her own contribution to original scholarship that has been approved as such by an appropriately constituted dissertation committee. For information on dissertation committee membership, see “Faculty Committees for Higher Degrees” in the section below on “Policies Affecting Both Master’s and Doctoral Students.”

The Graduate Council has stated that joint or group work is not acceptable as the basis for awarding graduate degrees. Students may collaborate on research projects under the traditional supervision of a faculty guidance committee. However, each student must write a dissertation that represents a cohesive presentation of the research conducted and is capable of standing independently from the project.

F3.9 Faculty and Student Interaction During the Dissertation Process

Selection of Dissertation Committee members. Both faculty and students alike should be aware of the requirements governing selection of the Dissertation Committee members. For a full explanation of the regulations, please refer to “Faculty Committees for Higher Degrees” in the section “Policies Affecting Both Master’s and Doctoral Students.”

Choosing the Dissertation Chair. A student’s choice of a Dissertation Chair is significant in terms of completing the doctorate. Dissertation Chairs also play an important role by assisting their students in finding satisfying and appropriate career positions. If possible, students should apprise themselves of the history of a potential chair’s working relationships with former students. Head Graduate Advisers should make sure that students are aware that they may change their Dissertation Chair. The Graduate Division will not approve the appointment of a professor as Chair of the Dissertation Committee for a student who also works for the professor in an outside company. The alternative could be to appoint a co-chair.

Selecting a dissertation topic and developing a proposal. The Dissertation Chair should discuss at length with the student the implications of the selected topic in terms of the development of the field and the topic’s significance. After the student chooses a topic, the Dissertation Chair and other members of the Dissertation Committee (and proposal committee, if applicable) should evaluate the dissertation proposal and clearly communicate their evaluation to the student.

Research involving human or animal subjects. Students should be aware that if the research activities involve human or animal subjects, that they must obtain permission from the Committee on the Protection of Human Subjects or the Animal Care and Use Committee.  For more information, see Section F.4.

Writing the dissertation. After the proposal is approved, the Dissertation Chair should meet regularly with the student, possibly once a month, to check on his or her progress. These meetings provide a regular opportunity to discuss any difficulties the student might encounter while writing the dissertation. Students doing field research should write a short progress report every two months.

For the annual evaluation of all doctoral students advanced to candidacy, see Section F3.5.

Faculty career advising. Before the student completes the dissertation, the Dissertation Chair should meet with the student to discuss the student’s career. The chair should point out tactical advantages, such as giving a paper at a professional meeting or publishing articles, if that is customary for the field. The Dissertation Chair should also encourage and help the student acquire teaching experience in the course of writing the dissertation, if the student is planning for a teaching career. The Dissertation Chair should be prepared to write letters of recommendation for the student and to do so promptly. The chair should also be prepared to contact colleagues on behalf of the student and to make phone calls and write additional letters for particular positions.

Submitting sections of the dissertation for faculty review. It is very helpful for the student and the Dissertation Chair to agree in advance on how written material is to be submitted for review. Usually, both the student and faculty assume that the student is making good progress if the student meets mutually determined deadlines. If a student does not meet these deadlines, or if the quality of the work is unsatisfactory, it is the responsibility of the Dissertation Chair (possibly with another member of the Dissertation Committee) to discuss this with the student when these problems arise. Under no circumstances should a student be permitted to complete a dissertation that the Dissertation Chair finds mediocre and that consequently prevents the chair from writing a strong letter of support. Regular review of the student’s work, beginning with the proposal and ending with the final evaluation of the dissertation, can prevent this from happening. Faculty should make clear to the student what needs to be done to correct the problem, and both the dissertation adviser and the student should agree on a plan to make the necessary changes.

When the student submits sections of the dissertation for review, the Dissertation Chair should return the sections and commentary in a timely manner. If the entire manuscript of the dissertation is submitted to a reader, it should be returned within one month. During the semester in which the student plans to file the dissertation, the student should submit the dissertation to the Dissertation Committee at least two months before the Graduate Division filing deadline.

Disagreement regarding acceptability of a student’s dissertation or thesis. (See “Policies Affecting Both Master’s and Doctoral Students.”)

Responsibility of faculty signing dissertations. It is Graduate Council policy that the signature of a faculty member on a dissertation signature approval page or abstract is binding and cannot be withdrawn once it has been given. The faculty member should not sign a dissertation or abstract until he or she is convinced that the student’s work has been completed to the faculty member’s satisfaction.

F4. Policies Affecting Both Master’s and Doctoral Students

Degree award dates. Degrees are awarded twice each year, at the end of the fall semester in December and at the end of the spring semester in May. While students may file any time during a semester, the degree award date remains the same. If a student completes the degree requirements and files in the summer, the degree will be awarded as of the following fall semester.

Registration requirement for filing. Students must be registered or on approved Filing Fee status to be eligible to file for a degree.  Academic Senate regulations state that in order to receive a degree in any given term, all work for the degree must be completed by the last day of the term.

Eligibility requirements for the Filing Fee. To use the Filing Fee in a fall semester, the student must have been registered in the previous spring or summer. Summer Sessions enrollment must be for a minimum of three units. To use the Filing Fee in spring, the student must have been registered in the previous fall. Filing Fee status is not available for Summer Sessions. However, students are permitted to file a thesis or dissertation while registered for Summer Sessions with the degree awarded for the end of the following fall term.

If a student has fees that have not been paid by the end of a semester, the student may be “dropped from the rolls” and removed from the degree list for that semester. If this happens, the student will need to be reinstated as a registered student prior to the degree being awarded (see chapter D in the Registration section, D1.7).

Preparing and Submitting the dissertation or thesis manuscript. All doctoral dissertations and master’s theses are to be submitted electronically. All of the requirements for preparing the manuscript for submission are provided in the dissertation filing guidelines (http://grad.berkeley.edu/policies/guides/dissertation/). Master’s theses filing guidelines are provided separately (http://grad.berkeley.edu/policies/guides/thesis/).

Use of human subjects. If the research for a master’s thesis or doctoral dissertation involves the use of human subjects, the student is required to complete the “Course in the Protection of Human Subjects” (referred to as the CITI [Collaborative Institutional Review Board Training Initiative] course) and print out the certificate of completion for submission with the advancement to candidacy form.  The course is available online (http://www.citiprogram.org).  Students who plan research or development activities that involve human subjects must also have their work reviewed and approved by the Committee for Protection of Human Subjects (CPHS) before they begin their research. Protocols involving human subjects must be filed with the Graduate Services Degrees Unit within six months of advancement, and the research must be carried out according to the Berkeley campus policy.

The Graduate Division will not accept dissertations or theses that include materials obtained or produced without authorization from the CPHS. For more information, contact the Committee for Protection of Human Subjects (phone 642-7461; email subjects@berkeley.edu), or consult the CPHS website (http://cphs.berkeley.edu:7006).

Use of animal subjects. The Animal Care and Use Committee (ACUC) meets monthly to review written animal use protocols for compliance with federal and campus standards. Only individuals with Principal Investigator (PI) status on the Berkeley campus may submit protocols to the ACUC. Thus, any proposed use of animals by a student must be described in an approved animal use protocol for a Berkeley PI. In addition, the ACUC must be notified of any proposed plans to obtain custom antibodies from commercial sources or other laboratories.  The student must submit the approved protocol for animal use to the Graduate Services Degrees Unit within six months of advancement.

The Graduate Division will not accept dissertations or theses that include material obtained or produced without authorization from the ACUC. When they file, students must submit copies of the relevant PI’s annual approval letter from the ACUC for each of the years in which the student conducted animal research. For more information, call the ACUC (642-8855), email acuc@berkeley.edu, or visit the ACUC website (http://www.acuc.berkeley.edu).

Withholding a dissertation or thesis. By default, dissertations are withheld from the UC Berkeley Library & ProQuest/UMI for 2 years. Occasionally, there are unusual circumstances in which students prefer that their thesis or dissertation not be published for a longer period of time. 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 for longer than 2 years, under substantiated circumstances of the kind indicated and with the endorsement and explanation from the chair of the dissertation or thesis committee.

All doctoral students must sign and submit the Dissertation Release Form (http://grad.berkeley.edu/policies/pdf/dissertation_release.pdf) along with their approval page and surveys to 318 Sproul Hall.

Copyright. The University does not provide a copyright service. Students may copyright their work independently through the Library of Congress; more information can be found online (http://www.copyright.gov). Dissertation students may elect to pay ProQuest Dissertations Publishing service to copyright their manuscripts (see Instructions for Preparing and Filing Your Thesis or Dissertation, available on the Graduate Division website (http://www.grad.berkeley.edu/policies/pdf/disguide.pdf).

F4.1 Time Limits on the Use of Courses for Degrees

Students returning to the University after an absence sometimes request to re-enter a graduate program and use units that they completed in the past. The following time limits have been established for use of these units:

Degree	Field	Time Limit
M.S./M.A.	All fields	4 years
Doctoral	Engineering and Science	3-4 years
Doctoral or Professional Master’s	All other fields	5-7 years

F4.2 Change or Add a Major or Degree Goal

Graduate students may petition to change majors, degree goals, or designated emphases or to add them. Students who petition to change majors will count in the continuing and returning category for enrollment allotment purposes but will not count against the department’s admissions allotment. However, these students should be ranked with other applicants to ensure that available slots in the program are not taken up by relatively weak continuing students to the detriment of stronger new applicants. (Note: Law students who took the LSAT for original admission to the Law School and later want to change to a Ph.D. program or add a major to Law are not required to take the GRE.)

How students petition to change or add a major or degree goal. A student who changes from one degree goal to another within the same major must complete a Graduate Petition for Change of Major or Degree Goal. A student who pursues a master’s degree in the same major as the doctoral program for which he or she was admitted does not need to file a petition if the master’s degree is earned along the way to the doctorate.  A student admitted to a doctoral program who does not intend to pursue the doctorate but decides to finish his or her graduate career with the master’s degree in the same major must submit a change of degree goal form, changing the degree goal from the Ph.D. to the master’s degree.

The Graduate Petition for Change of Major or Degree Goal is available from the Office of the Registrar website (http://registrar.berkeley.edu/GeneralInfo/elecforms.html). If changing the degree goal only, the student should complete the petition and submit it to his or her Head Graduate Adviser. If the student is changing majors or adding a major or designated emphasis, the petition must be signed by both academic units. However, the “old” department cannot block a student’s transfer to another major (if that major approves the change) by refusing to sign. The Head Graduate Adviser of the new major forwards the petition and other materials to the Graduate Division with the department’s recommendation. If a petition request is denied, the Head Graduate Adviser of the appropriate department(s) must give a reason for the denial. Approval and denial procedures are the same as those for readmission. (See “Readmission” under  “Registration and Exchange Programs,” Section D1.9.)  If approved, copies of the petition will be sent to the appropriate department and to the Registrar, where the change or addition of major, degree goal, or designated emphasis will become part of the student’s permanent record.  Contact the Graduate Services: Degrees Office (318 Sproul Hall, #5900, 642-7330).

F4.3 Duplication of Graduate Degrees

Students may enroll for a second academic or professional master’s degree if the second degree is in an unrelated field. An applicant who is admitted to a doctoral program that requires a master’s degree to be earned at Berkeley as a prerequisite will automatically be permitted to receive a second master’s degree, even if the applicant has a master’s degree from another institution in the same or a closely allied field of study.

Enrollment in a second doctoral program. It is the policy of both the Graduate Council and the Graduate Division not to approve requests to enroll in a second doctoral program. Exceptions to this policy will be reviewed only if they meet the following guidelines:

1. The second degree program must be in a general area of knowledge distinctly different from the field of the first doctorate. For example, a student with a doctorate in physics could be admitted to a doctoral degree in music or history; however, a student with a doctoral degree in mathematics would not be permitted to add a doctorate in statistics. The Graduate Council views graduate degrees as evidence of broad research training, not as vocational training certificates; therefore, applicants with academic graduate degrees should be able to take up new subject matter on a serious level without taking the time to establish new credentials.
2. Applicants who hold a doctoral degree may be admitted to a professional doctorate or master’s degree program if there is no duplication of training involved.

F4.4 Submitting the Thesis or the Dissertation in a Foreign Language

Special approval from the Graduate Division is required to submit the dissertation or the thesis in a foreign language. If approval is given, an abstract in English must be included with the dissertation or thesis. Requests submitted for approval by the Head Graduate Adviser should be addressed to the cognizant Associate Dean in care of the Graduate Services: Degrees Office (318 Sproul Hall, #5900) before the student begins to write the dissertation.

F4.5 Faculty Committees for Higher Degrees

All faculty committees for higher degrees (Qualifying Examination, master’s thesis, and doctoral dissertation) are ad hoc committees acting on behalf of the Graduate Council, which delegates authority for appointing the committees to the Dean of the Graduate Division.

The role of the Head Graduate Adviser. The Head Graduate Adviser helps students to identify appropriate faculty members for the thesis committee, dissertation committee, Qualifying Examination committee, and other graduate degree committees, and then recommends the appointment of appropriate faculty members to the Graduate Division. For thesis and dissertation committees, the Head Graduate Adviser recommends three members (five members for Plan A doctoral students). Four or five members are recommended for the Qualifying Examination committee, depending on the department (see “Qualifying Examination Committee” in section F2.6). Final approval for committee appointments rests with the Dean of the Graduate Division.

Students and Head Graduate Advisers can help avoid problems with committee appointments by 1) recommending only those faculty who are members of the Berkeley Division of the Academic Senate and thus eligible to serve on graduate degree committees; 2) making sure that the faculty members are available and willing to serve on the committees; and 3) being aware of configuration requirements for higher degree committees and the role of the faculty member within a committee.

For information on how to request an exception, please see the “Exceptions to Policies on Committee Membership” section F5.

F4.6 Academic Senate Status

Members of the Berkeley Division of the Academic Senate include the following titles:

Professor*
Professor of Clinical Optometry
Associate Professor*
Associate Professor of Clinical Optometry
Assistant Professor*
Assistant Professor of Clinical Optometry
Professor Emeritus
Professor in Residence
Professor of the Graduate School (POG)
Acting Professor
Acting Associate Professor
University Professor
Senior Lecturer with security of employment
Lecturer with security of employment

*preferred title for committee appointment

Non-Senate Members include these titles:

Acting Assistant Professor
Adjunct Professor
Senior Lecturer/Lecturer without security of employment
Clinical Professor
Staff Scientist
Visiting Professor
Morrey Professor
Professor from outside UC Berkeley

F4.7 Configuration Requirements for Higher Degree Committees

Master’s Thesis Committee:

Chair (the first inside member)
Second inside member
Outside member (this is preferred, but not required; may be replaced by a second inside member)

Doctoral Qualifying Examination Committee:

Chair (the first inside member)
Second inside member
Third inside or additional members (see below)
Outside member

• Some majors require 4 committee members, 2 of whom must be in the student’s major.
• Other majors require 5 committee members, 3 of whom must be in the student’s major.
• The Chair of the Qualifying Examination Committee cannot serve as the Chair of the Dissertation Committee for the same student.  (However, a student’s Qualifying Examination Committee Chair may serve as a Dissertation Committee Co-Chair if the other Co-Chair is from the same department.)
• There cannot be Co-Chairs for the Qualifying Exam.
• One additional member beyond the required number may be added to the Qualifying Examination Committee.
• Two members beyond the required number may be requested by the Head Graduate Adviser in a memorandum addressed to the cognizant Associate Dean, in care of the Graduate Services: Degrees Office (318 Sproul Hall, #5900).
• If a student is reexamined, the committee for the second examination must be the same as for the first exam.

Doctoral Dissertation Committee:

Chair (the first inside member)
Second inside member
Outside member

• An additional or third inside member may be added but is not required.
• Two co-chairs may replace one chair.
• The Dissertation Chair cannot be the same person that served as Chair on the student’s  Qualifying Examination Committee.  The Qualifying Examination Chair may serve as a student’s Dissertation Co-Chair, however, if the other Co-Chair is a member of the same department.
• A memorandum addressed to the cognizant Associate Dean, in care of Graduate Services: Degrees Office (318 Sproul Hall, #5900), is required to request a committee membership of 5 or more faculty.

F4.8 Role of the Committee Members

The chair. The chair of any graduate degree committee must be a member of the Berkeley Division of the Academic Senate in the student’s major department.  A chair of a student’s Qualifying Examination committee, however, cannot be the chair of that student’s dissertation committee.  (However, a Qualifying Examination committee chair may serve as a co-chair on a student’s dissertation committee if the other co-chair is from the same department.)

If an individual in another instructional unit seems more appropriate as chair in a particular instance, appointment as co-chair can be approved. If there is a compelling academic reason why an individual from another instructional unit should be the sole chair, the Head Graduate Adviser must write an explanatory memo to the cognizant Associate Dean, in care of Graduate Services Degrees, 318 Sproul Hall, #5900.   (In such a case, there is still need for a member outside the student’s discipline, to serve as the outside member or Dean’s representative, and for the student’s major to constitute the majority of committee membership. A fourth member is sometimes added.)

Co-chair. There may be two co-chairs instead of one chair. One co-chair must be a member of the Berkeley Academic Senate in the student’s major. The second co-chair may be a Berkeley Academic Senate member in the student’s major, a Berkeley Academic Senate member outside the student’s major, or an approved non-Academic Senate member.  As stated above, a Qualifying Examination committee chair may serve as a co-chair on a student’s dissertation committee if the other co-chair is from the same department.  Please see the “Non-Senate members as inside members and co-chairs” in section F4.9 below for information about exceptions.

Second inside member. This role must be filled by a Berkeley Academic Senate member in the student’s major, since the majority of the committee is required to be from the student’s department. Please see the “Non-Senate members as inside members and co-chairs” in section F4.9 below for information about exceptions.

Additional member (if requested). Faculty serving in this capacity may be a Berkeley Academic Senate member (in the student’s major or other major), or an approved non-Academic Senate member (in the student’s major, other major, or in exceptional cases, from outside UC Berkeley).

The outside member. One member on all qualifying and dissertation committees (and preferably on master’s thesis committees) must be chosen from outside the student’s major discipline. The importance of the outside member cannot be stressed enough in lending the necessary balance and independence needed to ensure that the student’s mastery of the subject matter is broad and comprehensive. Since the outside member serves as the Dean’s representative, he or she must be a member of the Berkeley Academic Senate. No exceptions will be made.

Graduate group faculty. For students in graduate groups, the Graduate Dean has asked graduate groups to identify those professors who are core members as opposed to those who are affiliated members of the Group and so inform the Graduate Services Degrees Unit. Professors designated as core members, no matter where their home base is located, may serve as chair or inside members on student committees but not as outside members. Those listed as affiliated members of the particular group may serve as outside members. A core member of a graduate group cannot serve as an outside member for any student committee in the same graduate group and a faculty member who serves as an outside member for a graduate group student committee cannot simultaneously serve as an inside member on another student’s committee. A faculty member must be either in one category or another.  An individual may change to core membership if not currently serving as an outside member on any student committee for that graduate group and vice versa.

Joint or affiliated appointments. Faculty members who become associated with other departments through joint or affiliated appointments may serve on graduate student Qualifying Examination or dissertation committees.

Joint appointments: Berkeley Academic Senate members with joint appointments (above-the-line) without regard to the percent time of the appointment (including 0 percent FTE), may serve in the capacity of chair or inside member on committees of students enrolled in that major. They may not serve as designated outside members on committees in that major. Such appointments require Budget Committee review.

Affiliated appointments: Berkeley Academic Senate members may hold temporary (below-the-line) appointments in other departments. They do not participate in or vote on departmental affairs. Budget Committee review is not required. They may serve as outside members for students in that department.  As for all Senate members who do not hold FTE in the department, they may be permitted to serve as chair, co-chair, or inside members by exception. Below-the-line affiliates who are not Berkeley Academic Senate members cannot serve as outside members or chairs of a committee, but they may be considered for appointment as a co-chair or inside member on a committee if recommended by the department. Each case will be reviewed on an individual basis by Associate Dean .

Service by Professors Emeriti or Professors of the Graduate School. These individuals are members of the Academic Senate and, as such, may serve on committees as appropriate.

F4.9 Exceptions to Policies on Committee Membership

Approvals for exceptions to policies on committee membership. Two kinds of approval are granted to qualified persons: 1) particular approval for a single committee, and 2) permanent or “blanket” approval for higher degree committees at a given level.

Requests for particular approval for a single committee are reviewed by the cognizant Associate Dean after initial review by the Graduate Services: Degrees Office (318 Sproul Hall, #5900). Requests should include a curriculum vitae, a bibliography, and a statement that the prospective appointee has the doctorate or its equivalent in research experience and has special and necessary expertise that would facilitate the student’s work and that such expertise cannot be duplicated among the regular faculty. If a non-Academic Senate member has been approved for a single committee earlier and has no blanket approval, a new memorandum is required for each additional request for service on a single committee, but no curriculum vitae need accompany it if the one submitted earlier remains current.

In both cases, if the prospective appointee is not regularly affiliated with this campus, the request is to be accompanied by a statement that the service will be performed without stipend. To avoid any conflict of interest, students are not allowed to pay travel costs and expenses for faculty from other institutions to serve on their committees.

How to request an exception for a single committee. All requests for exceptions for the following must be submitted by the Head Graduate Adviser to the Graduate Services: Degrees Office (318 Sproul Hall, #5900).

Categories for single committee exceptions:

Non-Senate members as inside members and co-chairs. Under certain circumstances, a non-Senate member may be appointed to a committee if the Head Graduate Adviser determines that the individual in question offers expertise not otherwise available among the regular faculty and if the cognizant Associate Dean concurs. There may be no more than one person in this category on a committee. A non-Senate member may be appointed to co-chair a Thesis Committee or a Dissertation Committee if this assignment is shared with a Senate member. A written request from the Head Graduate Adviser is necessary in such cases, to be reviewed by the cognizant Associate Dean . The following administrative policies apply to such appointments:

1. The appointment of regular faculty members from other institutions who are teaching on this campus (i.e., those who hold titles equivalent to the titles in the Berkeley professorial series on their own campuses) is possible on submission of a brief statement by the Head Graduate Adviser regarding the visitor’s affiliation and title and with the assurance that the visitor holds the doctorate and will be present on this campus for a period of time that makes the appointment advantageous to the student.
2. The appointment of regular faculty members from other institutions who are not currently teaching on this campus is possible on submission of a brief statement from the Head Graduate Adviser on the prospective appointee’s affiliation and title and should also include the following: a) that he or she holds the doctorate; b) that the prospective appointee has special and necessary expertise that cannot be duplicated on the Berkeley faculty; and c) that the appointee will serve without stipend.  To avoid any conflict of interest, students are not allowed to pay travel costs and expenses for faculty from other institutions to serve on their committees.

Recommending faculty members from other UC campuses and Stanford. A committee for a higher degree may include one member of the regular faculty belonging to the Academic Senate of any UC campus as a second or additional inside member without special approval from the Dean as long as the majority of the committee is from the student’s major at Berkeley. When the non-UC Berkeley member is not from a northern campus of the University, special attention should be paid to the issue of accessibility. It also should be made clear to the external member that the Graduate Division cannot pay a stipend or travel costs. A regular faculty member from Stanford University does not need the Dean’s approval for appointment as a second or additional inside member, but would need approval if serving in a different capacity on the committee.

Adjunct professors and Clinical Professors. Although adjunct and clinical professors are not members of the Academic Senate, they may be appointed as co-chairs and inside members of dissertation committees if granted an exception.  Permanent or “blanket” approval requests for higher degree committee service for Adjunct Professors and Clinical Professors may also be considered. The Department Chair should request a blanket approval for the individual to serve on higher degree committees when the appointment of an individual is initially proposed to the Committee on Budget and Interdepartmental Relations. (The request for committee membership can be approved for a period of time coterminous with the individual’s appointment as adjunct professor.)  The Committee on Budget and Interdepartmental Relations is then able to act upon this request during the regular review process. However, this approval process can take as long as 3 months. Please note: A copy of the document indicating committee service approval by the Budget and Interdepartmental Relations Committee granted at the time of the person’s employment should be sent to Graduate Services Degrees (318 Sproul Hall, #5900) so that the individual’s committee eligibility may be appropriately noted.

If permanent approval is not initiated at the point of an individual’s appointment, it may be done any time afterward. Such requests are initially reviewed by the cognizant Associate Dean  and then forwarded with a recommendation to the Budget and Interdepartmental Relations Committee for final approval. A request from the Department Chair for an individual’s blanket approval must include a curriculum vitae, a bibliography, and a statement that the prospective appointee has the doctorate or its equivalent in research experience and that his or her qualifications are at least equal to those of regular faculty at Berkeley. The request should state what level of service the individual is to perform: master’s level only or master’s and doctoral level.  All requests for exceptions must be submitted by the Department Chair to the Graduate Services: Degrees Office (318 Sproul Hall, #5900).

Additional exceptions. Exceptions regarding appointment of persons who do not hold the doctorate, or are not members of the Berkeley Division, or are not members of faculty at another institution. These individuals are occasionally permitted to be appointed to higher degrees committees on an exceptional basis after submission of appropriate documentation. Typically, such appointments are of persons who hold an “acting” professorial title, or that of Visiting Assistant Professor, or a title in the professional research series.

Lecturers. Lecturers with Security of Employment are members of the Academic Senate and are eligible to serve on student committee without need of review.  However, they must be reimbursed for their service according to the Unit 18 contract which regulates their employment.  In advance of submitting a request concerning a student committee to the Graduate Division, it is the department’s responsibility to coordinate approval with its dean’s office for whatever compensation is appropriate under the “instructional workload equivalency” section of the Unit 18 contract (Article 24, section A.6). The Office of Labor Relations is available to assist with this determination (643-6001).

Lecturers without Security of Employment are not eligible for “blanket” status, but may serve as a one-time exception on a thesis or dissertation committee if they have 1) an active appointment, 2) the endorsement of the department chair detailing why the Lecturer’s expertise is relevant to the student’s field of study, the submission of a c.v. that includes a publication list that illustrates relevance to the student’s thesis or dissertation, and 3) a statement that the program has received approval from the program’s dean to reimburse the Lecturer in compliance with the Unit 18 contract or that the Lecturer has agreed to serve without compensation.

Reconstitution of committee membership. If a committee must be changed, the student and the Head Graduate Adviser should submit the changes on a Request for Change in Higher Degree Committee petition to the Graduate Division as soon as possible. The Head Graduate Adviser should consult with all parties involved concerning the change before approving the petition and submitting it to the Graduate Division. A committee member who disagrees with being removed from the committee cannot block this action if it is approved by the Head Graduate Adviser.  The petition is available from the Graduate Services: Degrees Office (318 Sproul Hall) and the Graduate Division website (http://www.grad.berkeley.edu/policies/forms.shtml).

Disagreement regarding acceptability of a student’s dissertation or thesis. All members of the Dissertation Committee or the Thesis Committee must approve the student’s work and sign the approval page. Once committed, a signature cannot be rescinded.  If any member doubts the acceptability of the student’s work, the chair must convene the committee to discuss the issues. If the committee reaches agreement on its acceptability, the approval page is signed and filed as described in Instructions for Preparing and Filing Your Thesis or Dissertation, available on the Graduate Division website (http://grad.berkeley.edu/policies/guides/dissertation/).

If the committee continues to disagree, the student’s work is sent to the Dean of the Graduate Division, together with a statement of opinion submitted by each committee member. If all members of the committee reject the student’s work, it is sent to the Dean with a statement to that effect from the committee chair. In all cases of rejection or split vote, the Administrative Committee of the Graduate Council makes the final decision.

F5. Student Records

Policies regarding student records are subject to the requirements of the 1974 Federal Family Educational Rights and Privacy Act (FERPA), current Health and Human Services regulations, state legislation on applicant records (Stull Bill), and the elements of access rights under California public records legislation. In 1977, the Office of the President incorporated the provision of these laws and guidelines into a document entitled “University of California Policies Applying to the Disclosure of Information from Student Records.” This policy was revised in Fall 2002. Each campus was asked to develop its own policy and all campus offices that maintain records on students were asked to develop their own procedures to implement the policy. Each department, school, college, office, program, or entity that maintains student records is required to give public notice of the categories of information designated as directory information (which may be released without the student’s prior consent). Departments or units are not required to include all data elements considered directory information by the campus, but may not designate as directory information anything additional to those elements.

The full text of the campus policy can be found on the Office of the Registrar website (http://registrar.berkeley.edu/GeneralInfo/ferpa.html).

If you have further questions regarding the disclosure of information from student records, please call the Office of the Registrar (642-2261).

Information maintained by the Graduate Division. The information concerning registered graduate students maintained by the Graduate Division falls into two general categories: (1) directory information (unrestricted) and (2) confidential (restricted).  Directory information will be released unless the student has requested that the record be kept confidential.  (See “Right of students to have information withheld” below).

Directory information is as follows:

Name of student
Academic Appointment (confirmation of a “yes” or “no” only)
Address, e-mail
Degrees/honors
Major field of study
Current registration status
University fellowship or grant administered by the Graduate Division (confirmation of a yes” or “no” only)

Note: Inquirers may contact the Office of the Registrar or the Financial Aid Office for information, as appropriate.

All other records, such as general correspondence, educational test scores, reports on examinations, etc., are confidential. Complete records of degree recipients are kept for five years after the degree is awarded and those of inactive students who have not finished their degrees are kept for 10 years after the last semester of registration.

Rights of registered students regarding their records. Registered students are entitled by law and University policy to examine and challenge information maintained about them by campus offices. Specifically, they have the right to:

1. inspect and review records pertaining to themselves in their capacity as students, except as the right may be waived or qualified under federal and state laws and University policies;
2. inspect records maintained by the University of disclosures of personally identifiable information from their student records;
3. seek correction of their student records through a request to amend the records and subsequently, if requested by the student, through a hearing; and
4. file complaints with the Department of Education regarding alleged violations of the rights accorded them by the Federal Act.

Rights of students to have information withheld. A student may request the University not to release personally identifiable information about herself or himself by returning a form which is available from the Graduate Services Office (318 Sproul Hall) or by sending a written request to the Dean of the Graduate Division (424 Sproul Hall, #5900). Other offices on campus, such as the Registrar’s Office and the student’s department, also maintain student records. Each campus unit must be separately contacted should the student want information withheld.

F5.1 Graduate Council Student Parent Policies

In 2007, the Graduate Council approved a policy entitled “Parental Accommodations for Research Doctoral Students.”  The full text is available on the Graduate Division website (http://grad.berkeley.edu/policies/guides/memo-doctoral-parent/).

The Graduate Council of the Academic Senate revised its 2003 policy to urge academic departments to be as generous as possible in accommodating student parents.  The policy establishes minimum standards of accommodation. Research doctoral students who are undergoing childbirth or coping with other serious parenting demands must be granted additional time to meet established deadlines for passing preliminary and/or qualifying examinations and completing their dissertations.  Please see the Graduate Division website for more information (http://grad.berkeley.edu/policies/guides/memo-parent-policies/).

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)

G1. Financial Support and Recruitment

Well-planned programs of financial support are some of the most effective recruitment and retention tools available to departments. The key to a successful funding strategy for both departments and individual students is to use as many of the University’s resources as possible, rather than to rely on one or two traditional forms of support.

Departments are encouraged to plan “packages” of financial assistance, especially for newly admitted students. By offering several years of support — for example, two years of fellowship support (multi-year, block award, traineeship, or departmentally restricted fellowships) and subsequent years of Graduate Student Instructor or Graduate Student Researcher appointments — Berkeley can continue to attract the most outstanding students.

Students are encouraged to be aggressive in their search for funds. The Graduate Division website (www.grad.berkeley.edu) provides much useful information. Graduate Fellowships often offers workshops explaining certain fellowships. The workshops will be announced via email, the eGrad Newsletter or the Graduate Division Calendar. The students who are most successful in finding support tend to be those who investigate the many types of financial assistance available and apply for all the programs for which they are eligible.

Graduate advisers and assistants should inform students that some of the available funding is based on need. To be eligible for awards, including block awards, students who are U.S. citizens or permanent residents must complete the Free Application for Federal Student Aid (FAFSA).

G1.1 Types of Financial Assistance

University-sponsored financial assistance falls into three main categories:

1. Fellowships
2. Academic Appointments
3. Loans

Fellowships

University and external fellowship programs are available to new, continuing, and returning students (domestic and international). Fellowship programs help departments attract and retain the most highly qualified students. Some also aid in enhancing diversity on campus. Details on nominating entering students are included in the Fellowships Handbook, sent to departments in January. Inquiries should be directed to the Graduate Services Fellowships Office (318 Sproul Hall, 642-0672).

Multi-year fellowships for entering students. University-sponsored multi-year fellowships are awarded through an annual campus-wide competition administered by the Graduate Student Services: Fellowships office. Instructions for nominating are included in the Nominations Procedures and Checklist section of the Fellowships Handbook. Inquiries should be directed to Graduate Student Services: Fellowships, 318 Sproul Hall, and 642-0672.

University fellowships and grants for continuing or returning students. Some departments normally hold internal fellowship competitions to select continuing and returning students for receipt of Block and Restricted Endowment awards. The Graduate Division also offers various fellowship programs for continuing students, including a conference travel grant, summer grant, and, for parent students with financial need, a parent grant. For more information, please visit the Fellowships Office web site.

Note: Per Graduate Council’s resolution of April 5, 2000, previously registered graduate students at UCB in any department are considered continuing or returning students and are not eligible for the University multi-year fellowship competition, except those who were admitted for a master’s degree only and received a master’s degree the previous May in Folklore, Asian Studies or Range Management.

External fellowships for entering, continuing or returning students. Many external fellowships are available to entering and continuing students. A list of major external fellowship programs can be found on the Fellowships web page. In addition, a list of web links is also available to assist students in the search for fellowships specific to the student’s field of studies and stage in the degree program.

University and extramural fellowships for international students. International students are not eligible for the federal financial assistance programs available to U.S. citizens and permanent residents. Departments should keep this in mind when advising continuing students and corresponding with prospective international students, who may interpret any encouraging letter from the University as a commitment for admission and financial assistance.
Overall, the cost of graduate school for international students is considerably higher than it is for domestic students. International students in F-1 or J-1 status cannot establish California residency and must pay nonresident tuition except for a three year exemption when advanced to doctoral candidacy.

International students are eligible for some University fellowships and departmental block fellowships. Entering students should follow the instructions in the Graduate Application for Admission and Fellowships. Continuing international students apply directly to their departments.

Some extramural fellowships such as the HHMI International Student Research Fellowships for certain fields of study are open to international students. The Berkeley International Office offers some tuition and fee awards for needy students, as well as grants to students who have a child living with them. Eligibility for these grants is based on financial need and changes in a student’s financial situation. Please visit their web site for more information.

Academic Appointments

Academic appointments provide a substantial source of financial support for Berkeley graduate students. Most financial packages, such as multi-year fellowships, provide academic appointments during the third and fourth year.

Several types of appointments are available to both doctoral and Master’s students:

• Graduate Student Instructor (GSI)
• Graduate Student Researcher (GSR)
• Reader and Tutor

For information on academic appointments policies and procedures, please refer to the Appointments web page

Loans

Most graduate students easily qualify for loans. Student loans are an important resource, but they should be considered as a last resort due to the danger of borrowing too much and accumulating high indebtedness. It is suggested that students actively pursue other funding, such as fellowships, employment, work-study, and outside funding, throughout their academic careers. For more information on loans and work-study, please visit the Office of Financial Aid web site.

Financial assistance for international students. International students are not eligible for the federal financial assistance programs available to U.S. citizens and permanent residents. Departments should keep this in mind when advising continuing students and corresponding with prospective international students, who may interpret any encouraging letter from the University as an offer of admission and financial assistance.

Overall, the cost of graduate school for international students is considerably higher than it is for domestic students. International students in F-1 or J-1 status cannot establish California residency and must pay nonresident supplemental tuition except for a three-year exemption when advanced to doctoral candidacy. In addition, there are fewer sources of financial support and international students lack the safety net of U.S. government-insured student loans, such as William D. Ford (formerly Stafford Loans or Guaranteed Student Loans), which most domestic students can rely on if they need substantial assistance. International students also do not qualify for any financial assistance intended for domestic minority students, no matter what their ethnic background. As a result, they are dependent in large part on assistantships and support from their families or governments.

G1.2 Taxes on Financial Assistance

Virtually all financial assistance to graduate students, except loans, is taxable under the terms of the Tax Reform Act of 1986. Fellowship and grant funds used to pay tuition, fees, and course-related expenses are excluded from taxation, but funds used for living expenses are taxable. It is up to students to claim as taxable the portion of their awards used for living expenses. The University does not withhold taxes from the stipend portions of fellowships.

The University reports awards made to international students to the IRS. Fourteen percent of their fellowship stipends will be withheld as federal tax unless their countries have a tax treaty with the United States that exempts its citizens from withholding.

Tax breaks for graduate and professional students. The 1997 Taxpayer Relief Act includes substantial tax breaks for college students and their families. The Lifetime Learning Credit, equal to 20 percent of the first $10,000 of qualified tuition and fees paid each year, or up to $2,000, is designed for adults who go back to school to upgrade their skills, college juniors and seniors, and graduate and professional students.

To be eligible for the credit, tuition and fees must be paid out of the students (or the student’s family) pocket. Grants, scholarships, or other tax-free educational assistance will not qualify, but loans and gifts will. For example, a Graduate Student Researcher (GSR) with a full fee remission will not be able to use this tax benefit. But a GSR or a Graduate Student Instructor with partial or no fee remissions or a student whose fellowship or grant covers only partial expenses may be eligible to claim a credit on the amount of qualified fees and tuition not covered. The credit is phased out when joint or single filers reach certain adjusted gross income levels. Other restrictions apply. Non-citizens are generally not eligible.

The University will provide students early in the new year with a statement of the eligible fees they have paid. They will file this statement with their tax returns. Graduate students who have children or other family members attending college may qualify for the Hope Scholarship Tax Credit for undergraduate study, and graduate students repaying student loans may qualify for the student loan interest deduction. For more information on the educational provisions of the 1997 Taxpayer Relief Act, see the Billing and Payment Services website

Students will find more information in the following IRS publications online.

Your Federal Income Tax Publication 17

U.S. Tax Guide for Aliens Publication 519

U.S. Tax Treaties Publication 901

Tax Withholding and Estimated Tax Publication 505

Tax Benefits for Education Publication 970

Tax Guide for U.S. Citizens and Resident Aliens Abroad Publication 54

Exemptions, Standard Deduction, and Filing Information Publication 501

Foreign Tax Credit for Individuals Publication 514

Taxable and Nontaxable Income Publication 525

How Do I Adjust My Tax Withholding Publication 919

G1.3 Fellowships

The Graduate Services Fellowships Office is a student services office dealing primarily with graduate students, although outreach and counseling for undergraduates and postdoctoral scholars is common. The unit handles over 600 fellowship funds, each with unique criteria and terms for awarding.

Approximately two-thirds of the graduate student population at UCB receive awards through the Graduate Fellowships Office. These programs include federal, University, endowments, departmental and private foundation awards.

The Fellowships Office:

• Assists department in providing information to students in order to maximize the use of funding packages from University and external sources.
• Supports students seeking extramural fellowships.
• Manages applications, nominations, and awards, both online and through their office at Sproul Hall.
• Provides progress and financial reports to federal agencies, granting foundations, academic programs, the Financial Aid Office, and UCOP, ensuring compliance of fund terms and with Proposition 209, which prohibits some types of preferential financial support.

Restricted Endowment Fellowships. The Graduate Services Fellowships Unit administers some Restricted Endowment Fellowships. It is the responsibility of the Chair of the Department to ensure that recommendations for Restricted Endowment Fellowships meet the terms of the endowment or agency. Generally, these awards must be made to registered and fully enrolled graduate students who maintain a 3.0 GPA. Departmentally restricted funds cannot be used for students on filing fee or to pay professional degree supplemental tuition. Departments now have the option of entering their departmentally restricted awards in GLOW or of continuing to deliver award forms to Fellowships as in the past. Departments who choose to enter awards in GLOW must appoint a data entry person as well as an approver (similar to DSAS). Data entry persons who already have GLOW access do not need further access approval. However, Graduate Fellowships will need to grant access to the approver(s). If your department wishes to start entering awards, please inform the Assistant Director of Fellowships of the data entry person and the approver to ensure that GLOW access is properly set up.

How students receive University fellowship funds. Fellowship stipend payments are normally issued by semester or monthly, depending on the award. The first payment is released no earlier than the first day of the semester. Graduate Division will send fellowship stipend payments to CARS only after the recipient has registered. (Registration is complete when at least 20% of fees/tuition are paid, the student is enrolled in one unit, and there are no active registration blocks.) Funds will be disbursed via Electronic Funds Transfer (EFT) for those who have elected this option (http://eftstudent.berkeley.edu) and whose CARS account is not past due; those who have not opted for EFT will be notified when a paper check is available for pick up.  Students should bring their valid Cal 1 Card and social security number to pick up their checks. Checks that are not picked up within 21 days will be mailed to the student’s local address on file in BearFacts.

Fellowship payment of fees and nonresident supplemental tuition, if applicable, will appear as a credit on the student’s Campus Accounts Receivables System (CARS) fee billing statement.

Electronic funds transfer (EFT). Electronic Funds Transfer is recommended for graduate students. Students may sign up for EFT online (http://eftstudent.berkeley.edu). It is normally activated in 7 business days. If EFT has been previously authorized, it will remain in effect. Please note: EFT for fellowship stipend payments is separate from automatic payroll deposits for GSI/GSR positions. Each needs to be authorized separately.

Terms and conditions of fellowships. Students who receive University fellowships are required to register full time (generally 12 units per semester) and to devote their time to study and/or research in the field in which the award is made, make satisfactory academic progress, and maintain a 3.0 GPA. Students who are receiving a summer stipend as part of their multi-year award are required to register for 3 units during the summer. To be considered registered, one must be enrolled in at least one class, have had at least the first installment of fees paid, and have no registration blocks.

The Graduate Services Fellowships Unit should be informed immediately, in writing, of any changes that may affect the fellow’s award, such as substandard performance, resignation, withdrawal, change of major, etc.

Entering students receiving a national award in addition to a University multi-year fellowship must request a “multi-year fellowship deferral” in writing and indicate the name and award criteria of the outside fellowship. If the total length of support exceeds four years, then one year of the University multi-year fellowship will be relinquished. Exceptions to this policy will be considered by the Associate Dean of Fellowships upon student’s request.

Supplementing fellowships with employment or another fellowship. Fellowships enable students to spend the majority of their time studying, and their need for additional financial assistance should be minimal. Departments and students must adhere to the following fellowship supplemental policies:

Students who are receiving a fellowship administered by the University that will give them at least $14,000 in stipend plus fees, are subject to an employment restriction: students may work up to 25% during the academic year (that is, 25% each term or 50% for one term only). There is no work restriction for the summer term.

Recipients of Graduate Division funding are limited to $31,000 in stipend support per 12-month academic year (Fall, Spring, and the following summer).

University fellowships may be withdrawn or modified if the student received two full Graduate Division fellowships (each composed of a stipend plus fees) or if the student receives more than $31,000 in stipend funding during the 12-month academic year (Fall, Spring, and the following summer). In either case, the combined funding must be approved by the Associate Dean of Fellowships. In addition, students are advised to carefully read any departmental award offer(s) because these awards may have further restrictions regarding the maximum stipend amount rule or holding more than one fellowship.

Students receiving external fellowships must refer to the fellowship terms set by the corresponding agency regarding supplementation.

Graduate Division Summer Grant recipients are further restricted to receiving no more than $6,000 in total support for summer 2013; this $6,000 summer cap includes not only fellowship awards (from the Graduate Division, your department, or external sources), but also salary from summer employment (GSR, GSI, etc.). If a Summer Grant recipient exceeds either of these caps for the 2012-13 year, it is the responsibility of the recipient to notify Graduate Fellowships via email for adjustment of the Summer Grant award.

Traveling fellowships. Continuing students may apply to their departments or the Graduate Division for traveling fellowships. Students who receive traveling fellowships are required to register during the tenure of their awards, even if they are studying or doing research away from campus. If they are outside the state of California, they may be eligible for in absentia registration. Information regarding the in absentia registration status is available here.

Renewal of multi-year fellowships. Every spring, the Graduate Services Fellowships Unit sends departments the certification forms for recipients of the University multi-year and of extramural multi-year fellowships administered by the Fellowships Office, such as the NSF Graduate Fellowship. The Head Graduate Adviser should certify whether or not each student is making satisfactory progress toward the doctoral degree and whether the student will continue on the fellowship for the following year or will be supported by other means, such as a teaching or research appointment. The Head Graduate Adviser should consult with fellowship recipients about their plans for the coming year.

G1.4 Extramural Fellowships

If a student is selected solely by an awarding agency, and the department or Graduate Division has no responsibility for nominating or selecting the student, the fellowship funds for that student may be sent directly to the Financial Aid Office.

The Graduate Services Fellowships Unit maintains a list of extramural fellowships that are administered by Graduate Division on the Fellowships web site: (www.grad.berkeley.edu/financial/deadlines.shtml#extramural).

G1.5 Grant Proposal Advising

The Graduate Division Academic Services Unit assists graduate students in the development of academic skills necessary to successfully complete their graduate programs and prepare for future faculty positions. This unit offers workshops on topics such as academic writing, grant writing, dissertation writing, editing, and preparing articles for publication, in addition to writing groups and individual consultations on these topics. Students should consult the website (www.grad.berkeley.edu/acapro/academic_services.shtml) for a calendar of upcoming workshops, or contact Academic Services (643-9392; academic_services@berkeley.edu) for more information.

G1.6 Financial Aid

Graduate students may apply for need-based loans, emergency loans and work-study through the Graduate Unit of the Financial Aid Office (201 Sproul Hall, 642-0485).  For the most up to date information, please refer to the FAO web site (http://students.berkeley.edu/finaid/graduates/index.htm).

G1.7 Educational Allowance Top-Offs for External Fellowships

Graduate Division offers financial assistance to doctoral students whose external fellowship does not provide sufficient educational allowance to cover the fees and health insurance assessed by the University. The conditions for this assistance and the process by which it is provided are outlined here.

1.  External fellowships that Graduate Division administers, retaining responsibility for disbursement of funds to the student and for financial reporting:
Graduate Division automatically ‘tops off’ the educational allowance provided by the external fellowship in order to pay in-states fees and health insurance. Graduate Division pays non-resident supplemental tuition (NRST) only for the first year and does not pay professional degree supplement tuition (PDST).

Examples of such external fellowships include NSF, Javits, DDRA Fulbright, and HHMI International.

2.  External fellowships that outside agencies administer:
Graduate Division will ‘top off’ the educational allowance provided by an external fellowship to pay in-state fees and health insurance (but not NRST or PDST), provided that

Examples of such fellowships include DHS and Ford Foundation Fellowships.

3.  External Fellowships that do not require an initial written request for “top-offs”
Graduate Division will automatically process a fee subsidy award for the DOE and NDSEG programs. New NDSEG Fellows will receive an award to cover the health insurance balance. New DOE Fellows will receive an award to cover the difference between the fee allowance amount and the CARS assessment amount (excluding NRST or PDST fees). Note: Continuing Fellows will be required to submit a copy of their renewal award letter.

4.  Training grants:
Graduate Division encourages faculty to compete for external grants that include training components for doctoral students. At the time of proposal writing, faculty may contact the Graduate Dean’s Office to obtain a letter of support, with the possibility of a meaningful financial matching contribution from Graduate Division if the proposal is funded.

Graduate Division also provides departments with more than $20M in annual block allocations for support of graduate students; faculty should work with department chairs to request access to these monies. Graduate Division expects that top-off needs for training grant education allowance shortfalls would have a high priority for being funded from the department’s block allocation.

Graduate Appeal Procedure Form (PDF)

H1. Academic Appointments

 As part of their financial support package, graduate students will often hold academic appointments or have other employment on campus. The Appointments Office  monitors and ensures compliance with campus and system-wide policies and procedures for all graduate students who hold academic or staff titles. Graduate Division Appointments adheres to and abides by policies and procedures that have been established by the Graduate Council of the Academic Senate, the Graduate Division, the Academic Personnel Office, and the Office of the President.

Graduate students are subject to Graduate Division policies from the time they are admitted until they receive their final, or terminal, degree.

H1.1 General Information

 

Academic titles. On the Berkeley campus, graduate students are most commonly appointed to the following academic titles: Graduate Student Instructor (GSI), Graduate Student Researcher (GSR), Reader, and Tutor. Acting Instructor-Graduate Student (AI-GS) appointments are much less common and always require the advance approval of Graduate Division and the Committee on Courses of Instruction (COCI) of the Academic Senate.

The titles GSI, AI-GS, Reader and Tutor are covered by a collective bargaining agreement between the University and the United Auto Workers (http://hrweb.berkeley.edu/labor/contracts/BX). GSRs are not covered by this agreement.

All first-time ASEs are required to attend the New ASE Orientation sponsored by the Labor Relations Office and the UAW Local 2165 during the semester of their appointment.

Staff titles. Graduate students may be hired in staff titles in accordance with Staff Personnel regulations.  UC career employees who have become graduate students may maintain their career positions at up to 100 percent time. However, once an employee accepts a student academic appointment or fellowship, he or she becomes subject to UCB’s restrictions governing appointments and fellowships.

UC career employees who become graduate students may also be eligible for the Reduced Fee Enrollment Program.  All questions regarding this program should be directed to Employee Relations and not to Graduate Division.

Course-Work-Only status. Students admitted to the University of California at Berkeley (UCB) on Course-Work-Only (CWO) status (usually through the Education Abroad Program) may not be appointed as GSIs,  GSRs or AI-GS.  However, these students may be appointed as Readers and Tutors.

Academic appointments after completion of degree. Registered and enrolled students who are degree recipients may hold a GSI, AI-GS or GSR appointment through the end of the last month of the semester in which they receive their terminal degree. Thus, recipients of a spring terminal degree may work through May 31, and recipients of a fall terminal degree may work through December 31. If qualified, individuals who have graduated may be appointed as a Reader or Tutor because those titles do not require registration and enrollment as a graduate student*.

Fellowships. The stipend from a fellowship cannot be used as a substitute for salary for an academic appointment.

Volunteers. Students may not hold any graduate student academic title as volunteers. Academic appointees must be appropriately compensated through the Berkeley payroll system for their time and effort.

* A student on filing fee status may not hold a graduate student academic appointment for which registration is required or be hired as a lecturer.

H1.2 New Students

New students entering in the fall semester may begin graduate academic appointments on July 1 if they have submitted a Statement of Intent to Register (SIR) on or before that date. New students entering in the spring semester may begin on December 1 if they have submitted the SIR on or before that date. (New international students cannot do this, however.) If the student has not submitted the SIR on or before July 1 (or December 1), the student may not be hired until the date that the SIR has been submitted. The above is dependent on the student fulfilling all other relevant appointment regulations. New students may begin staff appointments on June 1.

H1.3 Visiting Students

Graduate student academic appointments are usually reserved for UCB students. Certain non-UCB students may be hired if the department has been unsuccessful in recruiting a qualified Berkeley graduate student, or if the visiting student is unusually qualified for the appointment. Only students who are registered and enrolled at another UC campus, students participating in the Exchange Scholar Program, GTU students in a joint doctoral program, are eligible for an appointment.  Hastings College of the Law students may not be appointed as GSIs or GSRs.

UC Intercampus Exchange Program. Graduate students who are registered and enrolled in at least 12 units on another UC campus — even if they are not participating in the UC Intercampus Exchange Program — are eligible to hold graduate student academic appointments on the Berkeley campus, and they may be eligible to receive fee remissions. To hold a fall semester appointment at UCB, a student must be registered and enrolled in the fall term on the other UC campus.

To hold a spring semester appointment at UCB, a student must register and enroll in both the winter and spring quarters or in the spring semester on the other UC campus.

Exchange Scholar Program. The Exchange Scholar Program enables a graduate student enrolled in a doctoral program at one of the participating institutions to study at Berkeley for up to one year.  Exchange Scholar Program students pay fees and tuition at their home campus and are assessed only the Health Insurance fee at UCB.   If  Exchange Scholar Program students have already paid Health Insurance at their home campus, they could apply for a waiver of Health Insurance through University Health Services.

Exchange Scholar Program students may hold graduate student academic appointments on the Berkeley campus and may be eligible for Health Insurance remission with a qualifying appointment.

Current participating institutions are: Brown, Chicago, Columbia, Cornell, Harvard, MIT, University of Pennsylvania, Princeton, Stanford, and Yale.

Graduate Theological Union students. There are two programs between UCB and the Graduate Theological Union (GTU): a casual exchange program open to all students at both institutions in which students register on one campus and take courses on the other (subject to appropriate academic approvals); and two joint doctoral programs offered in Near Eastern Religions and Jewish Studies.

Students in the casual program are not registered at the Berkeley campus and are not eligible to hold GSI, AI-GS, or GSR appointments. They may be appointed as Readers and Tutors, or may be eligible to be appointed as Lecturers. Questions about Lecturer appointments must be directed to the Academic Personnel Office .

Students in a joint doctoral program are eligible to hold GSI, AI-GS, GSR, Reader, or Tutor appointments at UCB.  And if they are registered at UCB the same semester they hold qualifying graduate student academic employment (GSI, AI-GS, GSR, Reader or Tutor), then and only then joint doctoral program students may be eligible for fee remission.

Education Abroad Program. EAP Reciprocal Exchange students attend a UC campus for up to one academic year on a no-fee-exchange, non-degree basis and are admitted to UCB on Course Work Only (CWO) status.    EAP Reciprocal Exchange students are not eligible for GSI, AI-GS or GSR appointments.

They may, however, be appointed as Readers or Tutors.

H1.4 Undergraduate Students

Undergraduate students cannot be appointed as GSRs. Undergraduate students may be appointed as Readers and Tutors. Generally, undergraduate students may not be appointed as GSIs. Exceptions may be approved if a department is not able to recruit any qualified graduate students (including graduate students in other departments) or hire a lecturer to fill an essential GSI position. Hiring units in the College of Letters and Science must follow the college’s procedures in hiring an undergraduate as a GSI.  Any other hiring units must submit a written request of exception to Graduate Division.

Undergraduate candidates for GSI positions must:

1. be registered in the semester in which they are teaching;

2. be enrolled in no fewer than 15 units of course work;

3. have upper division status when they begin teaching;

4. have an overall GPA of 3.0 or higher; and

5. have previously taken the course for which they are being appointed, its equivalent, or a more advanced course, with a grade of A- or better.

Like graduate student GSI appointees, undergraduate appointees who do not speak English as a native language must satisfy the English Language Proficiency requirement before they can teach. See the GSI Teaching and Resource Center for more information. They must also pass the online course on Professional Standards and Ethics in their first semester of teaching.

All departments have a responsibility to provide on-going mentoring and oversight for undergraduates who teach in their units. During the semester in which they are teaching, undergraduate GSIs must be enrolled in a 300-level course or the equivalent, for purposes of training.  And if the GSIship is their first appointment, students must also attend 1) the New ASE Orientation, 2) the Teaching Conference for first-time GSI’s, and 3) complete the online Professional Standards and Ethics Course.

H1.5 Fee Remissions

Fee remissions are considered a benefit derived from a graduate student’s eligible academic appointment to offset either a portion or all of a student’s assessed fees. Fee remissions are fee specific and may only be used to offset specific assessed fees in a student’s CARS account. In addition to fulfilling the academic requirements for each academic title, student appointments must also meet established criteria to be eligible for fee remissions.

Fee remission payment source. Fee remissions are a benefit of employment and like all other benefits of employment, fee remissions are paid by the same source that pays a student’s salary.  The Payroll Office is responsible for the collections process of fee remissions and uses the chart string provided by the hiring unit for payment of the student’s salary to pay the student’s fee remission.

Lawrence Berkeley National Laboratory appointments. Students who have Graduate Student Research Assistant (GSRA) appointments at Lawrence Berkeley National Laboratory (LBNL) must remain at LBNL for the entire semester to be eligible for the fee and SHIP remission. If the appointment is terminated before the end of the semester, the remissions will be canceled and the student will be required to repay the entire LBNL remission which will be assessed in CARS. If the student then begins a GSR appointment on campus at any point after the first day of the semester, that appointment will not be for the entire semester and may not meet the criteria to qualify for the remissions.

Fee remissions in combination with other awards. Occasionally, students receive more than one type of award that is intended to pay fees or fees and tuition for a particular semester. Fee remissions for students with eligible appointments will generally take precedence over concurrent fellowship, departmental awards, and loans. If more than one type of award appears as a credit against fees or tuition in a student’s CARS account, a system-wide set of established rules governs which award is used to pay the assessments. The sequence in which CARS is programmed to accept award credits to offset fees and tuition is generally as follows. Please contact Billing and Payment Services for more information on the CARS priorities:

1. Outside agency awards

2. LBNL remissions from GSRA appointments

3. Fee and tuition remissions from UCB campus appointments

4. Department awards made through the Department Student Award System (DSAS)

5. Fellowship awards

6. Student Loans

7. Student payments

Loss of fee remission eligibility. If a student loses eligibility during the course of the semester due to an early withdrawal, for example, or because the appointment is cancelled; or modified such that it no longer meets the criteria for remissions, the student will be billed in CARS for the entire remission amounts and must repay them.

Intercampus transfers of fee remissions. Graduate students who are registered and enrolled at other UC campuses and hold eligible appointments at Berkeley are also eligible for remissions. However, there is no automatic system for creating the remission and transferring it to the appropriate UC campus. Berkeley hiring units must request an inter-campus transfer of remissions via a financial journal.  Please contact the Appointments Office for more information at (510) 642-7101 or by email at  gradappt@berkeley.edu.

H1.6 GSI Preparation for Teaching

The Graduate Council Policy on Appointments and Mentoring of GSIs describes the responsibilities of GSIs, faculty, and departments in ensuring that GSIs are prepared for teaching. All first-time GSIs are required to attend the Teaching Conference for GSIs on the Friday before classes begin; complete an online course, Professional Standards and Ethics for GSIs, before the end of the third week of teaching; and enroll in a semester-long, 300-level course on teaching in the discipline either prior to or concurrent with the first teaching assignment. Faculty members who teach with GSIs are required to meet with them at the outset of the semester to clarify responsibilities and expectations and to review the course syllabus. Faculty are also required to meet regularly with their GSIs throughout the semester to discuss course logistics and pedagogy and conduct classroom observations of first-time GSIs.

Departments are required to offer a 300-level course on teaching in the discipline. Guidelines for the course are included in the Graduate Council Policy. Departments should provide all GSIs and faculty who are teaching with GSIs a copy of the Graduate Council Policy or the document’s URL each semester. Departments should also review end-of-semester evaluations of GSIs by their students and, in those cases where improvement is needed, outline the steps a GSI should take to improve.  Departments should contact the GSI Teaching and Resource Center if they need assistance in developing their 300-level seminar on teaching. Suggested procedures for conducting classroom observations, materials for faculty on guiding the work of GSIs, and resources for developing a 300-level course on teaching can be found on the GSI Teaching and Resource Center website.

H1.7 Summer and University Extension Teaching Appointments

Summer and University Extension teaching appointments are not included as semesters of teaching for purposes of computing the four-year or six-year teaching limits, nor are they considered in determining the step at which a student should be appointed in the GSI series. Summer and Extension teaching appointments may not be used as evidence of relevant post-baccalaureate teaching experience when proposing early advancement.
All University Extension appointments are administered through University Extension, 1995 University Avenue.  All summer teaching appointments are administered through the Summer Sessions office, 1995 University Avenue.

H1.8 Summer, Winter, and Spring Break Appointments

Graduate students may be appointed up to 100 percent time during the summer, winter, and spring breaks. During the summer break, appointments at greater than 50 percent may begin on the day following the last day of the spring semester, but must end no later than the day prior to the first day of the fall semester. While registration in Summer Session classes is not required to hold an appointment, registration does not preclude appointing students at greater than 50 percent during the summer.  However, continuing students who hold summer academic appointments must either have been registered for the previous spring semester or be registered for the following fall semester. Students who have withdrawn in spring must be readmitted and register for fall before they can hold a summer appointment.

Appointments greater than 50 percent during the winter break may begin on the day following the last day of the fall semester, but must end not later than the day prior to the first day of the spring semester. Official UC Berkeley academic calendars may be viewed online.

 

H1.9 Discipline and Termination of Appointment

 

GSRs: Information regarding discipline and termination of GSRs can be found in APM 150 of the Academic Personnel Manual.

ASEs: Information regarding discipline and dismissal of ASEs – GSIs, AI-GSs, Readers and Tutors – can be found in the UC-UAW contract.

I1. Glossary of Terms

Academic Senate – The Academic Senate at Berkeley is engaged in the planning and allocation of faculty and capital expenditures. Some of the issues that concern the Senate include setting curricular policies and priorities, advocating for its membership on issues of compensation and academic freedom, setting admission standards, and defending rigorous standards of scholarship for its members and for the students at Berkeley. Consult the Academic Senate website (http://academic-senate.berkeley.edu) for more information.

Academic Standing – Students are normally in good academic standing if they are making adequate progress toward the completion of degree requirements; have a cumulative grade-point average of at least 3.0; and do not have an excessive number of incomplete grades on their records.

Advancement to Candidacy – Students in master’s degree programs apply for advancement to candidacy after they have completed half the unit requirements for their degrees. They indicate on the advancement form whether they plan to complete Plan I (20 units and a thesis) or Plan II (24 units and a comprehensive exam). They must submit their formal application no later than the end of the fifth week of classes of the semester in which they expect to receive the degree. Doctoral students are eligible for advancement to candidacy after they have completed the language requirements for their major and have passed the qualifying examination.

Appointments – Graduate Appointments on the Berkeley campus are assigned the following titles: Graduate Student Instructor (GSI), Graduate Student Researcher (GSR), Reader, and Tutor. Other academic titles traditionally held by graduate students, such as Nursery School Assistant and Community Teaching Fellow, are not currently in use at Berkeley.

Comprehensive Exam for the Master’s Degree – Departments decide the content and format of the comprehensive exam required for master’s students under Plan II. The examining committee should be composed of at least two (and preferably three) regular faculty members to conduct the exam, which should cover the knowledge and skills reasonably expected of a master’s degree recipient in the field. The exam may be written, oral, or a combination of the two. Academic Senate regulations require that a student be advanced to candidacy before taking the exam.

Concurrent Program – A concurrent program is the combination of two master’s degree programs, normally on the same campus, in which a limited number of units may be used in common to reduce the time needed to earn both degrees. For a list of concurrent programs at Berkeley, consult the Graduate Division website         (www.grad.berkeley.edu/programs/concurrent.shtml).

Department – A department is an administrative unit with space and resources. A department also includes budgeted faculty members who offer instruction in a titled, specialized discipline, normally affiliated with a school or college. At the graduate level, programs of study lead to the M.A., M.S., and professional master’s degrees, and doctoral degrees. For a list of graduate programs at Berkeley, consult the Graduate Division website (http://grad.berkeley.edu/admissions/list.shtml).

Designated Emphasis – A designated emphasis is a specialization, such as a new method of inquiry or an important field of application, which is relevant to two or more existing doctoral degree programs. Faculty members who wish to offer a designated emphasis must form a Graduate Group to administer the program. Approval by the Graduate Council is required.

Dissertation – Doctoral candidates are required to complete an extensive, original work based on independent research. The dissertation must be approved by a doctoral committee and be filed with the Graduate Division.

Doctoral Committee – The Doctoral Committee facilitates the student’s exams, guides the research and writing, and administers the doctoral defense (if required). The Doctoral Committee typically must be made up of three tenure-track faculty members from within the student’s department, and must include an Academic Senate member from outside the department.

Doctoral Degree – A doctoral degree is awarded in recognition of a student’s knowledge of a broad field of learning and for distinguished accomplishment in that field through an original contribution of significant knowledge and ideas. To be eligible to receive the doctoral degree, the student must complete a minimum of two years of academic residence, pass a qualifying examination administered by a committee approved by the Administrative Committee of the Graduate Council, and submit an approved dissertation completed under the guidance of Berkeley faculty members. The dissertation must reveal high critical ability and powers of imagination and synthesis.

Filing a Dissertation – Doctoral degrees are awarded in December and May. The deadline to file a dissertation is the last working day of the semester.

Filing Fee – The Filing Fee is a reduced fee (one-half of the University Registration fee)  for doctoral students who have completed all requirements for the degree except for filing the dissertation (Plans A and B) and presenting the Final Defense (Plan A). It is also available to Master’s students with no requirements remaining except for filing the thesis (Plan I) or taking the final comprehensive examination (Plan II). The Filing Fee is not a form of registration nor equivalent to registration. If students wish to use University services that are supported by registration fees, they must pay those fees. Filing Fee is available for the fall and spring semesters only.

Graduate Adviser – Graduate Advisers are nominated by Department Chairs and appointed by the Dean of the Graduate Division, who acts on behalf of the Graduate Council. They provide guidance for entering and continuing students concerning the various steps necessary to complete in order to earn their degrees or certificates. Graduate Advisers may sign petitions to add or drop courses (See Head Graduate Adviser).

Graduate Council – The Graduate Council is a committee of the Academic Senate. Composed of 12 faculty members and three graduate students, the Council is responsible for all academic matters related to graduate education on campus. Graduate Dean Andrew J. Szeri works closely with the Council in developing new policies and procedures related to graduate education. One of the major duties of the Council is to conduct periodic reviews of all graduate programs to make sure they are functioning at the highest possible level, and to plan for the future.

Graduate Division – The Graduate Division (www.grad.berkeley.edu) serves as the administrative arm of the Graduate Council by overseeing graduate students’ progress from admission to completion of their degree programs. The Graduate Division offers student services and outreach to guide students through the various steps required for the degree.

Graduate Group – A graduate group is an interdisciplinary academic unit, comprised of a core faculty from two or more existing departments, that offers a degree in a new method of inquiry or field of study that has been approved  by the Graduate Council, the Academic Senate, and Systemwide.  The graduate group is also the academic unit that administers an interdisciplinary designated emphasis approved by the Graduate Council.  An established department is designated to host the graduate group since the group has no funding of its own or administrative support.  There are two exceptions to this:  the Energy and Resources Graduate Group and  Neuroscience Graduate Group.  Both of these graduate groups have a small number of designated faculty FTE and are therefore termed “augmented graduate groups”; they report to the Vice Provost for Academic Affairs and Faculty Welfare.

Graduate Student Instructor (GSI) – The term Graduate Student Instructor (GSI) is synonymous with Teaching Assistant (TA). A GSI must have fulfilled the necessary academic, spoken English language proficiency, and registration and enrollment requirements for appointment. Chosen for excellent scholarship and promise as a teacher, a GSI serves as an apprentice under the active supervision of the instructor in charge of the course. An appointment as a GSI is for one academic year or less. GSI appointments may not exceed half time.

Graduate Student Researcher (GSR) – The term Graduate Student Researcher (GSR) is synonymous with Research Assistant (RA). A GSR is a graduate student at Berkeley who is engaged in research projects related to his or her dissertation under faculty supervision. There are no specific eligibility requirements regarding level of skills or previous experience, which permits departments and organized research units to make GSR appointments at levels appropriate to resources and recruitment needs.

Head Graduate Adviser – The Head Graduate Adviser of an academic unit has a more comprehensive role than graduate advisers. Only the Head Graduate Adviser can sign documents or make requests to the Graduate Division regarding graduate enrollment, degrees, academic progress, and financial aid.

Joint Degree – A joint degree is generally a doctoral degree program offered by two campuses (UC campuses or UC and another institution). A minimum of one-year academic residency (fee payment and enrollment in a minimum of 4 units) is required at each campus. Faculty, courses, and resources are shared in order to offer a broader-based program. Examination and dissertation committees must be composed of appropriate representatives from each campus.

Major Adviser – Also called Dissertation Adviser, a Major Adviser is usually chosen by the student in consultation with the Head Graduate Adviser. The Major Adviser guides a student’s thesis or dissertation research and writing.

Master of Arts – The Master of Arts (M.A.) degree is awarded to students who have satisfied requirements for their graduate program of study by either passing a final exam or submitting an approved thesis completed under the guidance of Berkeley faculty members. The M.A. ranks above a Bachelor of Arts degree but below a doctoral degree.

Normative Time – Normative time is the elapsed time, calculated to the nearest semester, in which students would need to complete all requirements for the doctorate, assuming that they are engaged in full-time study and making adequate progress toward their degrees. Normative times for doctoral programs have been recommended by department faculty and approved by the Graduate Council and the UC Coordinating Committee on Graduate Affairs. Normative time has two components: 1) time from the beginning of the student’s graduate work to advancement to doctoral candidacy (NTA); and 2) time in candidacy until the dissertation is filed (NTIC). Most departments at Berkeley have total normative times of five to six years (10 to 12 semesters).

Probation – Students who are not in good academic standing are considered to be on academic probation or subject to dismissal. Students may also be placed on probation for not meeting departmental requirements or expectations. Probation is intended to provide students whose performance is less than satisfactory with a period of time in which to correct the deficiencies and to raise their performance to a level consistent with the minimum standards set by the Graduate Division. Students on probationary status may register, but they may not hold academic appointments, receive graduate fellowships, or be awarded advanced degrees.

Professional School – A professional school is a separate unit offering professional graduate degrees. The curriculum for professional degrees focuses on preparing students for careers in the practice of the profession as opposed to academic degrees, which are awarded for completion of scholarly or theoretical research. However, some professional schools also offer academic degrees.

Program (also known as a track) – A program is a sequence of course work and supervised study leading to a degree, normally within a department of instruction. The term is used synonymously with field or subfield and also to refer to a subspecialty in which undergraduates or graduates may concentrate their study.

Qualifying Examination – The Qualifying Examination is an oral examination for doctoral candidates and is conducted by four or five faculty members (this varies by major). Students, in consultation with the Head Graduate Adviser, select the three subject areas for the exam as well as the committee members. The exam is usually between two and three hours in length. The purpose of the exam is to ascertain the breadth of a student’s knowledge and preparation. Faculty examiners will judge whether students have the ability to think incisively and critically about both the theoretical and the practical aspects of their major. Some programs expect students to present a topic for the dissertation as part of the Qualifying Exam (although the exam must not be limited to such a topic). Others do not. In those programs that do, 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. In either case, the examiners should satisfy themselves, by unanimous vote, that students have mastered their subject areas and can, in all likelihood, design and produce acceptable dissertations.

Reader – Readers primarily perform duties related to the grading of papers and exams. They may not perform teaching duties assigned to other academic titles.

Thesis – Students completing a Plan I master’s degree are expected to write a report, referred to as a thesis, on the results of an original investigation, in conjunction with the Thesis Committee. Length and style of the thesis vary by department. All theses are filed with the Graduate Division.

Thesis Committee – The Thesis Committee, selected by the student in conjunction with the Head Graduate Adviser, guides the research and writing of the master’s thesis. The committee is made up of three faculty members, at least two of whom must be from the student’s home department. Typically, the committee chair is the student’s research adviser.

Tutor – A tutor provides training to individuals or small groups of students who require additional teaching help. Tutors at Berkeley work under the direct supervision of a faculty member holding an appropriate instructional title.

Optional Eligibility Checklist (PDF)

Policy on Appointments and Mentoring of Graduate Student Instructors

University of California, Berkeley
Graduate Council

(Revised March 5, 2012)

The education and preparation of Graduate Student Instructors (GSIs) at Berkeley are essential to the educational mission of the campus. Faculty supervision and preparation of GSIs improves the preparation of graduate students for their future roles as teachers in academic institutions. The important role that GSIs play in education on this campus also means that effective preparation of GSIs will improve the quality of education at Berkeley.

Definitions

This policy addresses the preparation of all first-time and continuing GSIs. First-time GSIs are those teaching for the first time at Berkeley (even though they may have teaching experience at other universities). First-time GSIs normally assume responsibilities associated with roles (a) and (b) below. Continuing GSIs are all GSIs who have completed at least one semester of teaching as a GSI at Berkeley.

There are four different GSI roles, each giving the GSI a different level of course responsibility. (These roles are not equivalent to GSI steps that are based on experience or advancement to candidacy.)

• Role (a): GSI who teaches secondary sections of a larger course. This is the most common typeof GSI position.
• Role (b): GSI who functions as the instructor of one of a number of courses in which the curriculum is prescribed, but the GSI is responsible for selecting readings, for how the material is presented, and for grading student work. Examples of this may include language, studio, or Reading and Composition courses.
• Role (c): Head GSI who functions as coordinator of other GSIs and/or performs other teaching or administrative duties.
• Role (d): Acting Instructor-Graduate Student (AI-GS) who has sole responsibility for curriculum, textbook, and assigning grades. These appointees are the Instructors of Record in the courses they teach.

Policies

I. Recruitment and Appointment.

The procedures for recruiting and selecting GSIs should be public, transparent, and managed at the department level, rather than be controlled by private arrangements between course instructors and GSIs.

A. At the time of recruitment, the department Chair must make available the criteria required for appointments to GSIships and the criteria involved in determining the selection of GSIs.

B. The Chair is responsible for ensuring that postings are widely circulated within the eligible pool and are in compliance with the ASE contract.

C. The Chair is responsible for making GSI appointments.

II. Guiding Principles Determining Workload.

A. The Chair and the Faculty Adviser for GSI Affairs are responsible for explaining principles associated with workload in accordance with departmental needs and the current union contract.

B. It is the responsibility of the supervising faculty member to ensure that workload is consistent with the appointment percentage.

III. Preparation of GSIs for Teaching.

A. Responsibilities of First-time GSIs

1. Every first-time GSI must attend the Teaching Conference sponsored by the GSI Teaching and Resource Center on the Friday before classes begin. First-time international GSIs (IGSIs) must also attend the International GSI Teaching Conference, scheduled on the Thursday before classes begin in the fall semester. International GSIs who anticipate being appointed in the spring semester must attend the international GSI conference in the fall.
2. Every first-time GSI must successfully complete, no later than the end of the second week of classes, the online course Professional Standards and Ethics for GSIs.
3. Every first-time GSI must either have completed or be enrolled in a 300-level semester-long pedagogy seminar on teaching in the discipline offered by the GSI’s department. The pedagogy seminar may only be taken in another department with the advice and approval of the Faculty Adviser for GSI Affairs in the teaching department and with the consent of the 300-level course instructor in the other department. First-time GSIs who fail to pass the 300-level course must retake and pass the course before they are eligible to teach again.

B. Responsibilities of First-time and Continuing GSIs

1. All graduate students who teach require faculty supervision. At the beginning of the semester, all GSIs in roles (a), (b), and (c) are required to meet with the faculty member responsible for the course to go over the course syllabus, to clarify GSI responsibilities in the course, and, in the case of discussion sections and labs, to discuss the relationship of sections to lecture.
2. First-time and continuing GSIs in roles (a), (b), and (c) must also meet regularly throughout the semester with the faculty member in charge of the course to discuss the logistics of curriculum, assignments, tests, grades, etc., and pedagogical matters related to their teaching of the course or sections of the course.
3. GSIs must abide by other department-specific obligations that may include attendance at lectures or GSI meetings and meeting with faculty mentors to discuss more effective ways of teaching.
4. Continuing GSIs whose 300-level course did not include the development of skills needed to teach Reading and Composition (R&C) courses must enroll in either a 300-level course in another department tailored to the teaching of R&C or the short course taught in the spring by the GSI Teaching and Resource Center prior to or concurrent with teaching an R&C course.

C.  Departmental Responsibilities

1. Departments must include the teaching preparation requirements for first-time and continuing GSIs in GSI letters of appointment and ensure that the requirements are met.

2. All departments that hire GSIs must offer a semester-long 300-level seminar on teaching in the discipline, frequently enough so that first-time GSIs can take the course in or before their first semester of teaching. If a department has fewer than four new GSIs in any given year, the department may make arrangements for the GSIs to take the course in another department. If a department does not plan to offer a 300-level course in the spring semester, GSIs to be appointed in the spring for the first time should be advised to take the 300-level course in the preceding fall.

D.  Responsibilities of Faculty Members who Teach with GSIs

1. All graduate students who teach require faculty supervision. At the beginning of the semester, the faculty member responsible for the course is required to meet with GSIs (roles a, b, and c) to go over the course syllabus, to clarify GSI responsibilities in the course, and, in the case of discussion sections and labs, describe the relationship of sections to lecture.

2. All departments that hire GSIs must offer a semester-long 300-level seminar on teaching in the discipline, frequently enough so that first-time GSIs can take the course in or before their first semester of teaching. If a department has fewer than four new GSIs in any given year, the department may make arrangements for the GSIs to take the course in another department. If a department does not plan to offer a 300-level course in the spring semester, GSIs to be appointed in the spring for the first time should be advised to take the 300-level course in the preceding fall.

IV.  Rewarding Faculty for the Systematic Preparation of GSIs for Teaching

A. Departmental reviews should include an assessment of GSI mentorship in their assessment of faculty teaching performance.

B. Budget Committee reviews should include an assessment of GSI mentorship in their assessment of faculty teaching performance.

V.  Rewarding Faculty for the Systematic Preparation of GSIs for Teaching

A. Departmental Chairs should provide faculty members a copy of these policies or the URL where they are located along with specific department guidelines at the beginning of each semester in which they teach courses with GSIs.

B. A copy of these policies or the URL where they can be located, along with specific department guidelines, should be included in each GSI letter of appointment.

Assistance in developing guidelines for mentoring GSIs can be obtained by consulting the GSI Teaching and Resource Center. Nothing in this policy shall be construed to alter the provisions of the UC-UAW contract.

Quick Summary of Highlighted Changes to Policy on Appointments and Mentoring of Graduate Student Instructors (GSIs)

Prepared by the Graduate Division

Background

At its 2005 March meeting, the Graduate Council made revisions to the Policy on the Appointment and Mentoring of GSIs (2003). Major changes and clarifications have been made in the following areas of the policy:

1. Section C2: 300-level Seminars on Teaching

   First-time GSIs must either have completed or be enrolled in a 300-level semester-long pedagogy seminar on teaching in the discipline offered by the department. In those departments in which a low number of GSIs makes it infeasible to offer such a course, the pedagogy seminar should be taken in another department, with the advice and approval of the GSI’s department and with the consent of the course instructor. The GSI
   Teaching and Resource Center will maintain a list of 300-level courses on its Web site. First-time GSIs who fail to pass the 300-level course must retake and pass the course before they are eligible to teach again.

   The course would normally:

   • be taught by a faculty member;
   • address the practical and theoretical knowledge needed by new GSIs in the specific discipline;
   • have a syllabus that specifies topics week by week, identifies readings, and describes the basis for evaluation
   • have a meaningful number of units and student contact hours (2-4 units);
   • have a course reader or textbooks;
   • have specific assignments for which GSIs are accountable and on which GSIs will be graded.

   Departments are required to apprise the Graduate Division each semester of the name of the faculty member teaching the course and to submit a copy of the 300-level course syllabus to the Graduate Division each time the course instructor changes. The GSI Teaching and Resource Center can assist departments in developing such 300-level courses through consultations, workshops, and grants.

   The 300-level course requirement must be stated in letters of appointment for first-time GSIs.

2. Section C9: Orientation Conference for First-time GSIs

   Every first-time GSI must attend the Orientation Conference sponsored by the GSI Teaching and Resource Center. An Orientation Conference is offered by the GSI Teaching and Resource Center each semester before classes begin. First-time international GSIs (IGSIs) must attend the International Orientation Conference, scheduled before classes begin in the fall semester. Because the IGSI Orientation Conference is only held in the fall, departments should anticipate the spring appointments of first-time IGSIs and instruct them to attend in the fall. The requirement to attend these Orientation Conferences must be included in the GSI letters of appointment.

3. Section D: Assessment of GSIs by Faculty

   1. First-time GSIs should be observed in the classroom by departmentally designated faculty and receive feedback on their teaching. Guidelines and workshops on how to conduct a classroom observation are available from the GSI Teaching and Resource Center.
   2. End-of-semester evaluations of GSIs should be reviewed. A departmentally designated faculty member should meet individually with GSIs whosereviews are below average to set up a plan for improvement of teaching skills. This may involve repeating the department pedagogy seminar, or other appropriate remedial action.

4. Section F: Policy Dissemination

   Departmental Chairs should provide faculty members a copy of these policies along with specific department guidelines at the beginning of each semester that they teach courses with GSIs.

See the full text of the revised policy. A copy of the policy or the URL where it can be located, along with specific department guidelines, should be included in each GSI letter of appointment.

Section 1

Section 1 of this chapter includes selected appendices from the Appendix to the Graduate Adviser’s Handbook that are referenced in Guide to Graduate Policy. The complete Appendix contains detailed policy statements issued by the Graduate Council and the Graduate Division between 1982 and April 2001. Please see your departmental graduate assistant or contact Graduate Degrees (642-7330) if you would like to consult the Appendix to the Graduate Adviser’s Handbook.

Appendix A: Academic Progress Evaluation, Academic Standing, and Appeals Procedures for Graduate Students (November 1982)

Appendix S: New Procedures for Final Report (March 15, 1990)

Appendix AA74: Reduced Nonresident Tuition for Qualified Graduate Students (January 24, 1997)

Appendix AA77: Reduced Nonresident Tuition for Doctoral Students Advanced to Candidacy (April 16, 1997)

Appendix AA88: Departmental Responsibilities Regarding Graduate Council Policy on GSI Appointments and Mentoring (March 9, 1998)

Appendix AA91: Graduate Council Student Parent Policies (May 15, 1998)

Appendix AA92: Changes in DCP/Medicare Policies for Student Employees (May 18, 1998)

Appendix AA100: Late Changes in Study List for Graduate Students (October 22, 1998)

Appendix AA101: Changes in Policies Concerning Readmission (October 26, 1998)

Appendix AA111: Problems of Late Registration by Students (August 23, 1999)

Appendix AA114: Deferral of Admission (October 20, 1999)

Appendix AA120: New Testing Policy for the Oral English Competence of Graduate Student Instructors (December 1, 1999)

Appendix AA122: University Predoctoral Humanities and Regents Intern Fellowships (December 17, 1999)

Section 2

Section 2 of this chapter contains the most recent policy statements issued by the Graduate Council and the Graduate Division.

Appendix 1: Revised Filing Fee Regulations (April 5, 2002 [revised May 28, 2002])

Appendix 1A: Qualifications for the Appointment of Undergraduates as Graduate Student Instructors                 (May 28, 2002)

Appendix 2: Revised Instructions for Fellowship Recipients (August 2, 2002)

Appendix 3: Increase in Graduate Application and Readmission Fee (August 5, 2002)

Appendix 4: Applicant Review and Ranking Procedure (September 16, 2002)

Appendix 5: Appointments and Mentoring of Graduate Student Instructors (May 29, 2003)

Appendix 6: Modification of the Oral English Competence Testing Policy (May 29, 2003)

Appendix 7: Graduate Council Student Parent Policies (Revision of May 1998 statement) (September 2003)

Appendix 8: Academic Student Employee (ASE) Contract – October 1, 2004 Wage Adjustment                        (October 13, 2004)

Appendix 9: Admission and GSI Appointment Scores on the iBT/Next Generation TOEFL (November 8, 2005)

Appendix 10: CITI Requirement for Advancement to Candidacy (December 15, 2005)

Appendix 11: Best Practices for Faculty Mentoring of Graduate Students (Approved by the Graduate Council, March 6, 2006)

Appendix 12: Filing for Graduate Degrees in Summer Session (May 1, 2007)

Appendix 13: Minimum Enrollment Requirements for Graduate Students (May 1, 2007)

Appendix 14: Applications for Graduate Admissions and Fellowships in PDF Format (July 30, 2007)

Appendix 15: Workload Modifications in the New UC-UAW Contract (November 15, 2007)

Appendix 16: Partial Fee Remission for Undergraduate Teaching Assistants (March 10, 2008)

Table of Contents

A. Introduction

A1. How to use this guide

A1.1 Graduate Division Partners

A1.2 Special Resources for Students with Difficulties

B. Admission

B1. Admission Cycle and Policies

B1.1 Admission and Enrollment Allotments

B1.2 Admission Cycle

B1.3 Evaluation of Applicants

B1.4 Redirection of an Application

B1.5 Ranking of Applicants

B1.6 Reporting Admission Recommendations to the Graduate Division

B1.7 Informing Applicants of Admission or Denial

B1.8 Special Categories of Students

B1.9 Documentation of Admission Decisions

B2. Applicant Records

B2.1 Registration of New Graduate Students

C. Diversity

C1. Graduate Council Statement: “Diversity in Graduate Student Recruitment and Selection” — Reissued February 1998

C1.1 University of California Statement on Diversity

C1.2 Faculty Equity Adviser

C1.3 Admission Options

C1.4 Graduate Student Retention

C1.5 Recommended Departmental Retention Efforts

C1.6 Financial Assistance

MEMO: Comprehensive Evaluation of Applicants for Graduate Admission (GRE Letter)

D. Registration and Exchange Programs

D1. Registration

D1.1 Registration and Enrollment Requirements

D1.2 How Students Register

D1.3 Registration Fees

D1.4 Establishing California Residency for Tuition Purposes

D1.5 Registration and Health Coverage

D1.6 Reinstatement as a Registered Student

D1.7 Cancellation of Registration

D1.8 Withdrawal

D1.9 Readmission

D2. Filing Fee

D2.1 Exchange Programs

D2.2 Full-time Status

E. Course Work, Grading, Probation, and Dismissal

E1. Coursework

E1.2 Minimum Course Loads for Certain Student Categories

E1.3 Grades

E1.4 600-Level Courses

E1.5 Academic Standing

E1.6 Departmental Review of Student Progress

E1.7 Academic Probation

E1.8 Dismissal

E1.9 Graduate Student Appeal Procedure

F. Degrees

F1. Master’s Degrees

F1.2 Academic Residence Requirement for a Master’s Degree

F1.3 Concurrent Master’s Degree Programs

F1.4 Transfers of Unit Credit toward the Master’s Degree

F1.5 Advancement to Candidacy for a Master’s Degree

F1.6 Filing a Master’s Thesis (Plan I)

F1.7 Comprehensive Final Examination (Plan II)

F1.8 Completion of Courses for the Degree

F1.9 Master’s Time in Candidacy

F2. Doctoral Degrees

F2.1 Doctoral Degrees with a Designated Emphasis

F2.2 Academic Residence Requirement for a Doctoral Degree

F2.3 Departmental Review Requirement for First-Year Students

F2.4 Foreign Language Requirement

F2.5 Preliminary Examinations

F2.6 Qualifying Examination

F2.7 Qualifying Examination Results

F2.8 Advancement to Candidacy for a Doctoral Degree

F2.9 Normative Time and Calculation of Normative Time in Candidacy

F3. Dean’s Normative Time Fellowship (DNTF)

F3.1 Doctoral Completion Fellowship (DCF)

F3.2 Dissertation Plans A and B

F3.3 Final Report

F3.4 Candidate in Philosophy Degree

F3.5 Annual Review of Doctoral Candidates

F3.6 Reduction in Nonresident Tuition

F3.7 Lapsing, Reinstatement, and Termination of Candidacy

F3.8 Planning for the Dissertation

F3.9 Faculty and Student Interaction During the Dissertation Process

F4. Policies Affecting Both Master’s and Doctoral Students

F4.1 Time Limits on the Use of Courses for Degrees

F4.2 Change or Add a Major or Degree Goal

F4.3 Duplication of Graduate Degrees

F4.4 Submitting the Thesis or the Dissertation in a Foreign Language

F4.5 Faculty Committees for Higher Degrees

F4.6 Academic Senate Status

F4.7 Configuration Requirements for Higher Degree Committees

F4.8 Role of the Committee Members

F4.9 Exceptions to Policies on Committee Membership

F5. Student Records

F5.1 Graduate Council Student Parent Policies

G. Financial Assistance

G1. Financial Support and Recruitment

G1.1 Types of Financial Assistance

G1.2 Taxes on Financial Assistance

G1.3 Fellowships

G1.4 Extramural Fellowships

G1.5 Grant Proposal Advising

G1.6 Financial Aid

G1.7 Educational Allowance Top-Offs for External Fellowships

H. Academic Appointments

H1. Academic Appointments

H1.1 General Information

H1.2 New Students

H1.3 Visiting Students

H1.4 Undergraduate Students

H1.5 Fee Remissions

H1.6 GSI Preparation for Teaching

H1.7 Summer and University Extension Teaching Appointments

H1.8 Summer, Winter, and Spring Break Appointments

H1.9 Discipline and Termination of Appointment

Policy Revision and Updates

I. Glossary of Terms

I1. Glossary of Terms