Prospective Students  |  New Students  |  Current Students  |  International Students  |  Faculty & Staff  |  Alumni & Friends

Home » Policies & Procedures » Guides » Guide to Graduate Policy » F. Degrees: Full Version

F. Degrees

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

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:

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 form should be accompanied, if appropriate, by the student’s foreign language examination (both text and translation) or certification of native fluency, unless the department has already submitted these materials.

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:

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:

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. 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

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

Doctoral Dissertation Committee:

Chair (the first inside member)
Second inside member
Outside member

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/).