GRADUATE

POLICIES
AND
PROCEDURES

Graduate
Division

10/4/2021
 Table of Contents

Contact Us........................................................................................................................................... 3

I. ADMINISTRATION .......................................................................................................................... 4
A. The Role of the Graduate Division ................................................................................................ 4
B. The Role of Graduate Council ....................................................................................................... 4
C. The Role of the Faculty Graduate Advisor .................................................................................... 5

II. ADMISSIONS .................................................................................................................................. 5

A. Admissions Policy .......................................................................................................................... 5
B. The Application Process................................................................................................................. 9
C. Admission Decisions .................................................................................................................... 14
D. Readmission ................................................................................................................................. 16

III. FELLOWSHIPS AND GRANTS ..................................................................................................... 16

A. Graduate Student Support at UCI................................................................................................. 17
B. Fellowships .................................................................................................................................. 17
C. Pre-Doctoral Fellowship Policies ................................................................................................. 18
D. Research Support.......................................................................................................................... 22

IV. ACADEMIC APPOINTMENTS AND GRADUATE STUDENT EMPLOYMENT ................... 22

A. Graduate Student Teaching Appointments................................................................................... 22
B. Graduate Student Researcher Appointments (GSR and GSAR) .................................................. 23
C. Other Employment Issues ............................................................................................................ 31

V. ENROLLMENT AND REGISTRATION POLICY: STUDENT STATUS...................................... 35

A. Academic Residence Requirements ............................................................................................. 35
B. Enrollment Policies and Procedures ............................................................................................. 36
C. Registration Policy ....................................................................................................................... 39
D. Doc2A Definition & Guidelines .................................................................................................. 44
E. Nonresident Supplemental Tuition Reduction for Nonresident Doctoral Students ..................... 44
F. Intercampus Exchange Program................................................................................................... 45

VI. ACADEMIC STANDARDS FOR STUDENTS .............................................................................. 46

A. Progress toward Degree ............................................................................................................... 46
B. Graduate Standards for Grading ................................................................................................... 54
C. Removal of Deficient Grades and Repeat of Courses .................................................................. 57
D. Examinations ................................................................................................................................ 57
E. UCI Academic Senate Policy on Academic Honesty................................................................... 58
F. Individual Development Plans ..................................................................................................... 58
G. Graduate Mentoring and Advising Policy .................................................................................... 58

VII. STANDARDS AND REQUIREMENTS FOR GRADUATE DEGREE PROGRAMS ................. 62

A. Second Advanced Degrees ........................................................................................................... 62
B. Language Requirements ............................................................................................................... 63
C. Academic Advisement and Evaluation ........................................................................................ 63

2
 D. Written Expectations for Research Units and Individual Development Plans .............................. 64
E. Language Policy for Examinations and Theses/Dissertations...................................................... 64
F. Conflict of Interest ....................................................................................................................... 64
H. The Master’s Degree .................................................................................................................... 69
I. Transfer of Credit ......................................................................................................................... 71
J. The Doctoral Degree .................................................................................................................... 72
K. Change of Degree Title/Program/Level/or Academic Unit.......................................................... 76
L. Degree Conferral .......................................................................................................................... 77

VIII. GRADUATE STUDENT SERVICES ........................................................................................... 78

A. Program Overview ....................................................................................................................... 78
B. Graduate Resource Center (GRC) ................................................................................................ 78

IX. GRADUATE DIVERSITY PROGRAMS ........................................................................................ 78

A. General Program Overview .......................................................................................................... 78
B. Diversity Fellowship Eligibility ................................................................................................... 79
C. Fellowship Nomination Procedures ............................................................................................. 80

Contact Us

3
I. ADMINISTRATION

A. The Role of the Graduate Division

The Graduate Division encompasses all post-baccalaureate advanced degree programs at UCI and all
graduate students, exclusive of the M.D and J.D. programs. In addition, the Graduate Division
oversees all post-doctoral training programs and personnel at UCI, exclusive of the medical intern
and medical resident programs conducted by the School of Medicine. The Dean of the Graduate
Division is responsible for the administration of graduate and post-doctoral study at UCI in
accordance with academic policies established by the Academic Senate via the Graduate Council.

The Graduate Division serves as the campus-wide advocate for the advancement of graduate
education and strives for standards of excellence, fairness, and equity in all graduate programs at
UCI. To fulfill this mission, the Graduate Division:

• Facilitates programmatic activities which help develop and promote academic quality through
strategic planning, policy development, and effective resource allocation.
• Articulates the views, needs, and priorities of graduate education within the context of general
policy and budget development to ensure that academic goals properly inform campus-wide
decision making.
• Facilitates communication among schools, departments, and administrative offices to ensure that
the academic policies established by the Academic Senate’s Graduate Council are implemented
through efficient and rational administrative procedures.
• Protects the general welfare of graduate students and postdoctoral fellows in all areas of concern,
including, but not limited to, financial support, apprentice personnel conditions, academic
progress, intellectual property, equal opportunity, and sexual harassment.
• Administers appropriate regulatory activities designed to ensure campus-wide and UC system-
wide accountability aimed at ensuring academic quality standards and other institutional policies
and regulations related to graduate students and postdoctoral fellows.
• Encourages timely completion of graduate degrees by monitoring student degree progress,
encouraging faculty advising and mentoring, and ensuring fair and equitable treatment of all
students. Provides campus-wide student services that facilitate academic progress, as well as
professional development.
• Enhances access, representation, and the educational experience of underrepresented students in
order to achieve the University's diversity objectives. Develops institutional initiatives to
enhance the pool of qualified applicants and, by implementing Graduate Council policies,
ensures the academic excellence of entering students.
• Works with the Graduate Council to develop local graduate education policies. Provides
information, institutional data, and analysis of issues impacting graduate education to support
the Council's policy functions, and recommends new policies. Implements Graduate Council
policies and provides outcome assessment and analysis.
• Works with the Council in evaluating new program initiatives and assessing continuing
programs.
• Provides central administrative services that help sustain and improve the quality of graduate
education.

B. The Role of Graduate Council

The Graduate Council is a standing committee of the Academic Senate, Irvine Division, charged
with reviewing and regulating graduate education within the framework of Academic Senate

4
 regulations. The Graduate Council reviews all proposals for new degree programs and carries out,
on behalf of the Academic Senate, mandated periodic reviews of existing graduate programs.
Representatives include members of the Academic Senate, the Graduate Dean (ex officio), three
graduate students, and a Library representative. There is a monthly meeting schedule during the
academic year. One Council member is appointed campus representative to the UC System-wide
Academic Senate Coordinating Committee on Graduate Affairs (CCGA).

The Graduate Council sets policies and standards for admission to graduate student status;
determines eligibility for fellowships and assistantships; establishes policies relating to graduate
degrees; approves changes in degree requirements; establishes procedural rules for graduate study;
sets policy for satisfactory academic progress, graduate student course loads, transfers of academic
credit, part-time study, and leaves of absence.

C. The Role of the Faculty Graduate Advisor

The Faculty Graduate Advisor is the official faculty representative of the Graduate Dean in matters
affecting graduate students in the Faculty Graduate Advisor's academic unit. A close working
relationship is established between the Advisor and the Graduate Division. The Graduate Dean is
dependent upon the experience and judgment of Graduate Advisors, and upon their
recommendations, in matters requiring the Graduate Dean's action. The Graduate Division staff
provides information to the Advisors on a continuing basis and responds to requests for special
assistance.

The Faculty Graduate Advisor is responsible for supervising graduate study in their department and
for ensuring that each graduate student is assigned an individual faculty advisor and mentor. In
many academic units, the advisor is instrumental in the appointment and supervision of graduate
student Teaching Assistants, Associates, Readers, and Tutors. In most schools, there is also an
Associate Dean for Graduate Studies who coordinates many of the functions which affect graduate
students. This faculty member works in conjunction with their academic dean and department
chairs.

II. ADMISSIONS

A. Admissions Policy

1. General Policy

Admission to graduate study at UCI is by authority and action of the Graduate Dean according
to Academic Senate regulations and policies established by the Graduate Council of the
University of California, Irvine. The Graduate Dean has delegated authority for direct admission
of students to the academic units, except in cases where applicants who do not meet the basic
requirements for graduate admission (e.g., unsatisfactory grade point average, bachelor's degree
requirements, etc.). Admission to a specific graduate program is made by recommendation of a
particular departmental graduate admissions committee, which serves as the agent of the faculty.
The chief academic administrator of the department or school may limit the number of
admissions for budgetary reasons, and may return to the admissions committee any
recommendation that is not consistent with the rules of the faculty. The Graduate Dean
authorizes admission actions consistent with Academic Senate regulations and University policy.
The staff of the Graduate Division is available for assistance and consultation in the admission
process.

5
 The basic requirements for admission are adequate preparation for successful graduate study,
and suitability of academic objectives for the specific program. Educational Testing Service's
(ETS) Graduate Record Examination (GRE) scores are not required of applicants applying to
most graduate programs; however, some graduate program may still require GRE scores. See
individual graduate program requirements for details. In certain biological/medical fields,
Medical College Admission Test (MCAT) scores can be substituted for GRE scores with the
approval of the Graduate Dean. Graduate Management Admission Test (GMAT) or GRE scores
are required for applicants to the Paul Merage School of Business, except for Executive MBA
(EMBA) and Health Care MBA (HCEMBA) applicants. A non-refundable application fee is
required of all applicants. An application fee waiver may be available to certain domestic
applicants. Further information and current fees are available on the Graduate Division website.
The academic unit and the Graduate Division evaluate applications for admission with specific
assessment of official transcripts of previous academic work, letters of recommendation, the
results of the GRE or GMAT tests, and the applicant's "Statement of Purpose". Individual
graduate programs may require other materials such as examples of previous work.

The other major factors considered by the departmental graduate admissions committee are the
applicant's: (1) previous academic performance at an institution with degree standards equivalent
to those of the University of California; (2) academic preparation for the graduate curriculum;
(3) intellectual capacity; (4) motivation and maturity; and (5) specific areas of academic interest.
An applicant may be denied admission because of a lack of strength in any of the first four areas,
or because the program does not match the applicant's interests in terms of focus and/or
academic resources. Please note that the requirements listed in this document (e.g., at least a 3.0
undergraduate GPA for graduate admission) are minimum standards, and individual programs
have the prerogative to apply more stringent requirements.

A 3.0 grade point average is the minimum requirement for admission to graduate study, but a
lower GPA may be accepted by exception when balanced by other positive indicators of
potential. Even a recognized bachelor's degree is not an absolute requirement. As an exception,
students of unusual intellectual achievement may be admitted without having earned an
undergraduate degree (see Section A. 2. Exceptional Admissions below).

The number of applicants each year who meet the minimal requirements for admission is
substantially larger than the number that can be supported by the available university resources.
A fundamental principle is that University of California graduate programs are not required to
accept all applicants who meet a minimum standard, nor must they fill the available spaces on a
first-come, first-served basis. The objective of each departmental graduate admissions
committee is to admit the applicants who are best qualified and whose interests and expertise
best match that of the academic program.

2. Exceptional Admissions

All exceptional admissions must be reviewed by the Graduate Dean before admission is granted.
Exceptional admissions are required for: low undergraduate GPA (even for students with
graduate degrees); lack of a U.S. bachelor's degree equivalent, and/or lack of official transcripts
verifying the award of the degree; lack of Graduate Record Examination (GRE, if required by
the graduate program), or GRE score older than five years( if required by the graduate program);
lack of Graduate Management Admission Test (GMAT) scores, if required; lack of Test of
English as a Foreign Language (TOEFL) or International English Language Testing System
(IELTS) scores; low TOEFL or IELTS scores; or TOEFL or IELTS scores more than two years
old for students whose primary language is not English.

6
 For exceptional admissions, the exception form with justification for exceptional admission, as
well as the Admissions Committee Recommendation (ACR) form should be completed and
forwarded to the Graduate Division, along with supporting documents. Following review by the
Graduate Dean, the department will be notified of the Graduate Dean's decision. The letter of
admission (or denial) will then be sent to the applicant by the department or school to which the
applicant applied.

3. Waiver of Standard Graduate Admission Requirements

a. Low Grade Point Average

Infrequently, recommendations are received from academic units to admit someone with a grade
point average below the required 3.0. It is possible to admit an applicant with a low grade point
average who may appear to be highly qualified based upon recent GRE or GMAT standardized
scores and/or research or professional experience. A request for an exception to the minimum
GPA of 3.0 must be made in writing from the program to the Graduate Dean. The individual
may be admitted only with approval of the Graduate Dean.

b. The Bachelor's Degree

On extremely rare occasions, recommendations are received from academic units to admit
someone who does not have a Bachelor’s degree or its equivalent. It is possible to admit a very
highly qualified person to graduate standing by waiving this established requirement provided
the following criteria are satisfied:

1) Inappropriateness of requiring the applicant to complete an undergraduate program because

of: unusual intellectual maturity; conflicting responsibilities which would unreasonably extend
the amount of time required; and a significant level of achievement in a specialization related to
the graduate program of interest.

2) Demonstrated ability to do graduate level work, as evidenced by: GRE or similar test scores;
published papers or other examples of work in a related area; adequate preparation in foundation
areas; and letters of recommendation.

3) Evidence of having attained a depth and breadth of intellectual development equivalent to an

undergraduate education, including a specialization comparable to an undergraduate academic
major. This should be determined by such means as are deemed academically appropriate by the
Graduate Dean. It might include a review of the applicant's related work and evaluation of any
teaching or research experience by an ad hoc advisory committee composed of regular faculty
members. Waiver of the bachelor's degree requirement must be approved in advance and in
writing by the Graduate Dean before admission. Exceptions must be reported to the Graduate
Council.

c. The Graduate Record Examination (GRE), Graduate Management Admission Test (GMAT)

While the GRE (or GMAT for applicants to MBA programs) administered by the Educational
Testing Service, (ETS), is not required as part of the formal application for admission to
graduate study, some graduate programs may still require it as part of the application. If
required by the graduate program, scores for tests taken five or more years previously can be
used only if approved by the Graduate Dean.

7
 Departmental graduate admission committees are urged to consider GRE/GMAT scores only as
appropriate and relevant to the particular field of study and only as one of a number of indicators
of potential for success in graduate study. Where English is not the primary language of the
applicant, TOEFL or IELTS scores may provide supplementary information. Alternative
GRE/GMAT tests, and testing situations, are provided by the Educational Testing Service for
applicants with disabilities or health-related needs on request. It is possible, given other
indicators of potential for success in graduate study, to formally admit an applicant with the
provision that GRE/GMAT scores are submitted prior to matriculation or within the first quarter
after registration.

For those applicants seeking admission to the School of Business’s M.B.A. programs who have
completed graduate medical degree programs from accredited U.S. educational institutions, the
GMAT requirements may be waived. Applicants who meet the criteria above, and have been
awarded degrees of M.D., D.O., D.P.M., D.D.S., or D.D.M., will not be required to take the
GMAT to qualify for admission to the M.B.A. programs. For currently enrolled M.D. students
interested in applying to the M.D./M.B.A. Joint Degree Program, the MCAT, along with the
completion of three years of medical school training in good standing and passage of the United
States Medical Licensing Exam (USMLE) Step I, currently serve as a waiver for the GMAT
entrance examination usually required for application to the M.B.A. program.

On rare occasions, it is possible to waive the GRE/GMAT requirement for graduate programs
that require it, provided that substantial evidence of achievement in graduate work in a
recognized academic institution can be provided. The criterion applied in such cases is either:

l) Completion of at least two full years of post-baccalaureate coursework exclusive of credit for
thesis or independent research, with superior scholarship; or 2) prior formal advancement to
candidacy for a Ph.D. Requests for these exceptions must be submitted in writing to the
Graduate Division.

d. Demonstration of English Language Proficiency

All graduate applicants, except those who have earned an undergraduate degree from an
institution at which English was the sole language of instruction according to the World Higher
Education Database, are required to demonstrate English proficiency for admissions
consideration. An applicant who has not earned an undergraduate degree from an institution at
which English was the sole language of instruction according to the World Higher Education
Database are required to submit TOEFL or IELTS scores for admission consideration.

4. Second Advanced Degrees

The University of California generally discourages the duplication of advanced degrees. At the
same time, it recognizes that a professional degree does not duplicate an academic degree, and
that the holders of either an academic or professional degree may have the pressing need to earn
another degree in an area different from that of their first academic endeavors.

The Graduate Dean has delegated the authority to admit students for a second Master's degree in
an unrelated discipline to the academic units. If a program wishes to admit a student for a
second Master’s degree in the same discipline or a related field, the program must request an
exception. These requests must be made in writing to the Graduate Dean and should include
strong justification for admitting the applicant for a second Master’s degree in the same

8
 discipline or a related field, as well as a statement assuring the Dean that there will be no
duplication, transfer, or waiving of coursework.

[Example: If a student with an MS in Civil Engineering applied to UCI for an MS in

Environmental Engineering, it would require an exception to admit them. However, if the same
student with an MS in Civil Engineering applied to UCI for an MA in History, this would not
require an exception.]

Admission for a second Ph.D. is only by exception to policy and must be approved by the
Graduate Dean; however, such requests are rarely granted. All requests must be made in writing
to the Graduate Dean and should include strong justification for admitting the applicant for a
second Ph.D. It must also be accompanied by a statement assuring the Graduate Dean that the
applicant's first Ph.D. is in an unrelated area, and that there will be no duplication, transfer, or
waiving of coursework.

5. Non-degree Graduate Admission

Although students are ordinarily admitted to a UC graduate school only for the purpose of study
leading to an advanced degree, international Education Abroad Program (EAP) students are an
exception to this rule. These are non-degree seeking students who attend UCI for one to three
quarters of study.

B. The Application Process

1. Requirements for All Applicants

a. Application Fees

A non-refundable application fee is required for all applicants. Applications cannot be

processed until the application fee has been received. The application fee is devoted to the
administrative cost of processing all applications received, and is non-refundable under any
circumstances.

1) U.S. Citizens and Lawful Permanent Residents of the U.S.

A non-refundable application fee may be paid by MasterCard or Visa credit card, check or
money order. The check or money order should be made payable to "UC-Regents" and
submitted with the application fee form to the Graduate Division. The applicant's name and
application number should be printed on the check or money order.

The application fee may be waived for certain applicants in this category. Check the Graduate
Division website for details.

2) All other Applicants

The application fee may be paid by MasterCard or Visa credit card. Due to the difficulties
involved in handling foreign checks, the UCI Cashier's Office will only accept international
money orders or international bank drafts in U.S. dollars drawn on a U.S. bank. Please note that
all international drafts must have the name, address and complete AB routing numbers of the
U.S. bank imprinted on the draft.

9
Cash cannot be accepted.

Mail application fee forms and check or money order as described above to:
Graduate Division
120 Aldrich Hall
University of California
Irvine, CA 92697-3180

b. Transcripts

One official transcript of all previous post-secondary academic work must be submitted. Some
programs require a second transcript. Please check with your program prior to submission.
Transcripts should be sent directly to the UCI academic department by the Registrar of the
issuing institution. When students have final work in progress at the time of the first application,
a final official transcript covering that work and certifying the award of any degree must be
received before the student is officially enrolled. In such situations, the student is admitted
provisionally, pending receipt of official transcripts reflecting award of the bachelor's degree.

c. Graduate Record Examination Scores

GRE scores is not required for admission to graduate study at UCI; however, some graduate
program may still require scores as part of the application. GMAT scores are required for
applicants to the School of Business, except for applicants to the Executive MBA (EMBA) and
Health Care Executive MBA (HCEMBA) program. In addition, some graduate programs
require GRE Subject Test scores in the area of specialization. The applicant must request that
the Educational Testing Service (ETS) report scores directly to the UCI Graduate Division,
institutional code number 4859. The applicant does not need to indicate a department when
making the request with ETS. Test scores that are more than five years old may be accepted only
if approved by the Graduate Dean.

d. Letters of Recommendation (LOR)

Three letters of recommendation, preferably from professors or instructors in the proposed field
of study, are required. As a result of federal and state legislation, letters of recommendation are
open to inspection by the applicant, unless a voluntary statement waiving the applicant's right of
access to the letter of recommendation is submitted with the letter. The waiver statement must
be on a separate document: no statement about confidentiality can appear on a letter itself, which
is used by a departmental graduate admissions committee. The LOR and waiver process is
normally via the online application system; paper LORs are accepted, as well, and forms for this
purpose are available on the Graduate Division website.

e. Statement of Purpose

The Statement of Purpose provides important guidance to the departmental graduate admissions
committee in their decision-making process. It is important for assessing whether the applicant's
academic objectives can reasonably be satisfied in the graduate program to which admission is
sought.

f. Individual Program Requirements

10
 Individual program requirements must be consistently applied to all applicants to a single
program, but may vary from program to program. Typical individual program requirements
include, but are not limited to, samples of previous academic work, writing samples, statements
about research experience or foreign language competence, and portfolios of artistic or creative
endeavors.

e. English Proficiency

All graduate applicants, except those who have earned an undergraduate degree from an
institution at which English was the sole language of instruction according to the World
Higher Education Database, are required to demonstrate English proficiency for
admissions consideration.

English Proficiency Tests Accepted for Graduate Admissions

The TOEFL is administered by the Educational Testing Service (ETS). Test scores that are more
than two years old are not acceptable.

TOEFL Score Requirements for Admission Consideration:

• A minimum score of 80 is required on the TOEFL iBT.

IELTS
English language proficiency may also be demonstrated by passing the Academic Modules of
the International English Language Testing System (IELTS) exam. Test scores that are more
than two years old are not acceptable.

IELTS Score Requirements for Admission Consideration:

• An overall minimum score of 7 for admission, with a score of no less than 6 on any
individual module.

2. Special Requirements for International Applicants

a. Application

Applicants who are not citizens or permanent residents of the U.S. are subject to all standard
UCI admission requirements. In addition, they must provide satisfactory evidence of English
language proficiency to complete their application, and evidence of financial support in order to
obtain the necessary visa document, e.g. the I-20 form for the F-1 student visa or DS-2019 form
for the J-1 student visa. Note that this visa document is issued by the International Center at
UCI. The International Center requires completion of the I‐20/DS‐2019 Request for New
Graduate Students. This form allows UC Irvine to issue an I‐20/DS‐2019 for students to apply
for an F‐1 or J‐1 student visa. This form should be sent to a student’s admitting academic
department.

Special care should be exercised when admitting international students. It is unfair to the
applicant to recommend admission in the absence of clear evidence that there are sufficient
English language skills and financial resources, as well as background in the discipline, to
ensure success in the graduate program. Many students underestimate both the time and the

11
financial resources required for completion of a graduate degree at UCI. Some international
applicants may also misinterpret encouraging communication as a firm contract with regard to
admission and/or financial support.

International applicants are urged to apply at least four months prior to the stated application
deadline dates, or as early as possible after the online application is available. Graduates of
recognized academic institutions outside the U.S. ordinarily should have completed degree
programs representing a minimum of 16 years of schooling with at least 12 years at the
elementary and secondary school level. Applicants holding only professional diplomas or higher
certificates in accounting, business, physical education, or health education from universities or
technical and vocational schools should not apply. Members of professional associations, such
as the Institute of Chartered Accountants, are not qualified for graduate standing unless they also
hold recognized university-level degrees or titles.

b. Evaluation of International Credentials

The international applicant is expected to have completed the equivalent of a U.S. bachelor's
degree with a satisfactory level of scholarship. Academic units are responsible for this
assessment. The Graduate Division provides training to academic unit staff on determining
equivalency of foreign credentials and offers support in the foreign credential evaluation process
during the admissions cycle. Upon request by the academic unit, the Graduate Division can
provide an additional review of international transcripts and other credentials, and provide a
supplemental evaluation which states equivalency to U.S. degrees and measures of academic
standing according to established guidelines for the particular international educational system.
For purposes of campus admissions requirements, academic units need only determine that an
applicant has the equivalent of a 3.0 GPA and it is not necessary for academic units to determine
an exact U.S. GPA equivalent unless the applicant does not meet the 3.0 threshold. This
evaluation can be provided only in relation to formal applicants for graduate study at UCI, and
only on the basis of official credentials provided as part of a formal application.

Only general information about bachelor's degree equivalency can be provided to a prospective
applicant prior to application; for specific credential evaluation prior to application, inquiries
may be referred to independent professional agencies that provide this service for a fee. Such
evaluations are advisory only, and may not be accepted as the sole basis of admission actions.

c. Foreign Academic Records

One set of official records from foreign institutions should be sent directly to the UCI academic
unit to which the applicant is applying. All applicants are required to submit official records
from each academic institution attended after secondary school. Official records are original
documents, issued by the institution, which bear the actual signature of the registrar and the seal
of the issuing academic institution. True copies, facsimiles, or photocopies will be accepted
only if the photocopies themselves have been personally signed by an academic or public
official who has certified that they are exact copies of the original documents. Each certified
copy must also bear the seal and title of the authorizing official. Uncertified photocopies are not
acceptable. American embassies or consulates are not authorized to certify academic records.

d. Required Records

Unless academic records and diplomas are issued in English by the institution, the official
records in their original language must be submitted with an authorized, complete, and exact

12
 English translation. All official academic records must show the dates of applicant's enrollment;
all subject or course units, credits, or hours; and grades in each subject. If rank is determined by
the results of comprehensive examinations, records should show the examination date and
applicant's scores, rank, class, and division. All records must include a complete description of
institutional grading scales or other standards of evaluation with minimum and maximum
grades/marks indicated. The applicant must also submit official evidence of the conferral of all
degrees, diplomas, or professional titles and the date of the formal conferral (month and year).
These certificates should indicate the exact name of the degree, diploma, or title as it is known in
the country of origin and not in American terms. If the applicant is applying prior to the end of
the applicant's final year of study, a supplementary record showing completion of all remaining
coursework and evidence of the award of the degree must be sent as soon as it is available. If
applicant has also attended a university in either Canada or the U.S., including any campus of
the University of California including the Irvine campus, the applicant must have the registrar of
each institution send an official transcript. Records submitted to UCI will not be copied,
returned to the applicant, or sent elsewhere.

f. Verification of Financial Resources

International applicants are required to certify that they possess sufficient funds to cover all fees,
transportation, and living expenses for the first year of their studies at UCI. Students who have
been admitted for graduate studies at UCI must complete the
I‐20/DS‐2019 Request for New Graduate Students and submit it to the admitting academic
department if the student requires an F-1/J-1 student visa. Upon completion of these forms, and
thorough review by the admitting department, paperwork is submitted to the International Center
for review and document issuance. This process takes 15 business days; incomplete information
may require longer processing times. International applicants who have deferred admission must
submit updated documents and forms and an updated financial verification statement before visa
documents can be issued. All inquiries regarding verification of financial support or visa
documents should be directed to the International Center.

3. Application Deadlines

Each academic program has its own deadlines; some are as early as December 1, while others
may accept applications until March 1 or thereafter. Many programs have earlier deadlines for
students interested in financial support. Potential students are advised to consult with the
academic unit of interest to determine their deadline. International applicants are strongly
advised to submit their applications as early as possible.

Please note that late applications will be considered on a space-available basis only. Fellowship
and other financial support will depend on funding availability.

Primary Application Window:

The online graduate application will be available: September 1 through March 1. It will close
earlier for those individual programs whose deadline is earlier.

Deadline for academic programs to make primary admission offers: April 1.

Preferred Deadline for applicants to submit Statement of Intent to Register (SIR): April 15

Secondary Application Window:

13
 The online graduate application will be available for those programs that want a secondary
application timeframe: April 15 through June 1.

Deadline for departments to make secondary admission offers: June 30.

Graduate Division staff will process admissions: June 10–June 30.

Deadline for admitted students to submit SIR: July 15.

4. Graduate Programs with Individual Application Processes

a. Paul Merage School of Business Programs

Applicants applying to the UCI Paul Merage School of Business are required to submit a
separate online application; the Merage School has a separate application process.

b. School of Medicine Programs

Applicants applying to the UCI School of Medicine are required to submit a separate online
application; the medical school has a separate application process.

c. School of Law Programs

Applicants applying to the UCI School of Law are required to submit a separate online
application; the law school has a separate application process.

C. Admission Decisions

1. General Policy

A major responsibility of the Graduate Dean, in cooperation with the Graduate Advisors and the
Departmental Graduate Admissions Committees of the individual graduate programs, is to
ensure that each applicant receives fair, reasonable, and timely consideration in the admissions
process. When a graduate program admits an applicant, a binding contract has been entered into
by the University. The utmost care should be taken that such actions are appropriate and in
accordance with campus policy. Graduate Division staff reviews all admission actions on behalf
of the Graduate Dean. Programs will be notified immediately when it is determined that such
actions do not follow required procedures.

2. The Admissions Committee Recommendation (ACR)

When a decision has been reached to admit an applicant and the applicant has been notified, the
ACR form should be carefully completed and promptly forwarded to the Graduate Division with
a copy of the admission letter, letters of recommendation, and an official transcript(s). The ACR
form is available at the Graduate Division forms page. As ACR packets are received by the
Graduate Division, the Admissions staff will review ACRs to confirm admissibility. Once
confirmed, the applicant will officially be admitted, at which time the applicant will receive a
congratulatory e-mail with a link to complete the Statement of Intent to Register (SIR) and other
pertinent information.

14
 Admission by exception is made by the Graduate Dean. The letter of admission may be sent by
the department to the applicant only after notification of the Graduate Dean's approval. The
Exception Request Form, including a justification for the exception, is submitted to the Graduate
Dean along with the entire ACR packet. This information will be used by the Graduate Dean in
reviewing the recommendation, and must be completed for applicants with an undergraduate
GPA below 3.0, or where other exceptional circumstances apply.

It is important that a decision is made on each application and communicated to the applicant
within a reasonable period of time, but at least 30 days before the beginning of the quarter to
which admission is requested. The experience of most graduate programs indicates that early
offers of admission result in success in the competition for outstanding applicants.

While only the Graduate Division can officially admit an applicant, the academic units should
take action on all other open files by coding them as Denied (D), Incomplete (I) or Withdrawn
(W). All applicants whose application was denied should be notified in writing by the
department.

3. Provisional Admission

An applicant may be admitted provisionally, pending receipt of items such as final transcript
showing awarding of a bachelor's degree and/or official GRE scores (if required by the graduate
program), or other requirements. However, applicants may not be admitted provisionally
pending receipt of TOEFL scores unless an unofficial score has been submitted. While students
will be allowed to enroll provisionally, all provisions of admission must be satisfied within the
first 4 weeks of the second quarter of enrollment. Academic holds are placed on a student’s
enrollment if the provision is not satisfied and the student may be prevented from enrolling in a
subsequent quarter.

4. Conditions of Admission

The graduate program may attach specific conditions to admission, such as the satisfaction of
certain coursework requirements during the first academic year. Students may not be admitted
with the condition that they obtain a particular score on the GRE or GMAT examination. It is the
graduate program's responsibility to notify the student of conditions at the time of admission. A
copy of the written notice should be sent to the Graduate Division. Conditions attached to
admission should not be construed as probation; i.e., graduate students are not admitted "on
probation".

5. Denials

a. Notice of Denial

If the academic program denies admission to an applicant, a denial notice should be sent to the
unsuccessful applicant as soon as possible after a decision is made. The department should code
the application as D (Denied) in the system.

b. Denial - Application Incomplete

Where there is not sufficient information for action by the Departmental Graduate Admissions
Committee in time to allow admission for the specific requested quarter, the academic
department should code the application I (Incomplete).

15
 c. Appeal of Admissions Decision

To learn more about the factors that led to the decision to deny admission, the applicant should
contact the specific graduate program. An applicant who then wishes to appeal the decision
should contact the Graduate Dean; the Dean has final authority to decide admissions appeals. In
cooperation with the academic unit, any complaint that due process was not accorded, or that the
result was in some way affected by illegal bias, will be carefully investigated. The Dean will
review the earlier recommendation of their Departmental Graduate Admissions Committee and
determine the next course of action. Should the Dean determine admission may be reconsidered,
the academic department will be contacted, and asked to re-review the applicant's file again.
Note that there is no guarantee of a different outcome. Whether or not the earlier
recommendation is changed to favor admission of the applicant, the result is communicated to
the applicant via letter sent by the Graduate Division.

6. Deferral of Admission/Postponement of Matriculation

When an applicant has been admitted to pursue graduate study at UCI, a request for deferral of
admission is considered a request for admission to a later quarter. The request for deferral must
be made in writing to the academic program and will be reviewed by the Graduate Advisor or
Graduate Admission Committee Chair. Deferrals may be granted for a maximum of three
quarters following the original quarter of admission at the discretion of the academic program.
The deadline for requesting a deferral of admission is the end of the second week of classes in
the quarter of initial admission. Deferral letters will be sent to applicants by the academic unit.

D. Readmission

A student who has previously withdrawn from UCI, or whose student status has lapsed, may request
readmission by submitting a new Application for Graduate Study. Readmission is not guaranteed.

Payment of the non-refundable Application Fee is required. A new statement of purpose and
transcripts of any additional academic work completed since first admitted to UCI must be
submitted, and submission of new letters of recommendation is advised.

All applications for readmission are subject to the same careful review as those of new applicants. If
readmitted, a student's previous academic work will be applied toward the requirements for an
advanced degree only with the approval of the program Graduate Advisor and the Graduate Dean. A
readmitted student must satisfy the academic requirements in effect at the time of readmission and
may be required to satisfy certain requirements a second time, including course requirements and
formal advancement to candidacy. A readmitted student will be expected to complete at least one
additional academic quarter in residence before receiving an advanced degree, which will be
conferred no earlier than the second quarter following readmission. Prior to formal readmission, the
applicant should be advised in detail about the requirements which must be satisfied for completion
of the advanced degree, and in most cases, a timetable for completion should be established. The
Graduate Division should be consulted if there is any doubt about the requirements. A copy of the
letter conveying the correct and complete advice to the applicant for readmission should be sent to
the Graduate Division with the ACR.

III. FELLOWSHIPS AND GRANTS

16
A. Graduate Student Support at UCI
Financial support is available to most graduate students at UCI. Types of support include, but are
not limited to, fee fellowships, nonresident supplemental tuition fellowships, stipend support, student
loans, merit-based fellowships, diversity fellowships, and academic student employment performing
teaching and/or research assistance. This section will discuss the various fellowship opportunities
afforded to UCI graduate students. For information concerning employment, please refer to Section
IV on Academic Appointments and Graduate Student Employment.

B. Fellowships

1. Types of Block Allocation Fellowship Support

UCI's fellowship funds are administered by the Graduate Division in close cooperation with the
academic units. The Graduate Dean makes annual block allocations of fellowship funds to the
academic units, via the respective academic dean; funds are then distributed to the academic
units who have discretion over awarding fellowships to their graduate students. Fellowship
awards may be in the form of payment of fees/tuition and/or nonresident supplemental tuition,
and/or a stipend.

a. Fee/Tuition Fellowships

Fee/tuition fellowships pay all or a part of a student’s assessed fees/tuition, exclusive of

nonresident supplemental tuition.

b. Nonresident Supplemental Tuition (NRST) Fellowships

1) Ph.D. students who are U.S. citizens or permanent residents of the United States may be
awarded nonresident supplemental tuition (NRST) fellowship support on the basis of
outstanding scholarship for a maximum of one year (three quarters). Students who are U.S.
citizens or permanent residents of the United States are expected to establish California
residency prior to their second year of study.

2) International Ph.D. students who have demonstrated outstanding scholarship and academic
progress may receive nonresident supplemental tuition fellowship support. Following
advancement to candidacy, international doctoral students will not be assessed NRST for a
period of up to three consecutive calendar years. Any such student who continues to be
enrolled or who re-enrolls after three years will be charged the full NRST that is in effect at
that time. Quarters on Leave of Absence or Filing Fee count toward the allowable three
calendar years.

c. Stipend Fellowships

Stipends may be provided in any amount; it is suggested that stipends should be at least
equivalent to the salary a student would earn as a TA or GSR/GSAR if the student will not be
receiving support via employment.

d. Dissertation Fellowships

Dissertation Fellowships provide support to outstanding continuing graduate students in order to

facilitate timely completion of a high quality dissertation. Awards are made directly by the
academic unit or by the Graduate Dean. These awards are intended to relieve the Fellow from

17
 service obligations for full-time attention to dissertation completion; therefore employment may
be either limited or prohibited while receiving a dissertation fellowship. Awards may be for one
quarter, two quarters, or three quarters and are not renewable past one year.

1) Dissertation fellowship stipends should be at least equivalent to the salary a student would
earn as a TA or GSR/GSAR; in addition, these fellowships will cover regular student
fee/tuition costs, exclusive of nonresident supplemental tuition.

2) Dissertation fellows may not hold any employment appointment during the fellowship
period, depending on the restrictions of the award.

3) Nominees must already have formally advanced to candidacy for the Ph.D. Successful
completion of the Ph.D. is expected no later than three quarters after the fellowship tenure;
certain dissertation fellowships may require completion within one quarter after the
fellowship award period.

2. Special Fellowships

The Graduate Division offers a number of different fellowships that are merit-based and are generally
for continuing graduate students with special qualifications. Funding is provided through internal
Graduate Division resources or endowments and is awarded via a competitive process to students who
meet specific criteria for the respective award. Awards normally pay all or part of student fees/tuition,
and/or a stipend. Awards in these categories may in some cases be in addition to departmental
support. A list of these fellowships is found on the Graduate Division website.
Nomination/application instructions and eligibility criteria vary.

3. Extramural Fellowship Information and Advising

The Graduate Division receives information about extramural fellowship and grant
opportunities, and provides assistance to students who wish to apply for support from federal
agencies, foundations, and other non-University sources. From time to time special notices of
fellowship competitions administered by the Graduate Division will be distributed via e-mail.
Each year, the Graduate Division offers workshops for graduate students interested in various
extramural fellowship programs. Visit the Graduate Division website for more information.

The Graduate Division also subscribes to an electronic grant database: Pivot. Pivot combines
the most comprehensive, editorially maintained database of funding opportunities worth an
estimated $66 billion with a unique database of 3 million pre-populated scholar profiles.
Information on extramural awards is available on the Graduate Division website.

C. Pre-Doctoral Fellowship Policies

This section describes campus policies and procedures related to graduate student fellowships or
scholarship awards that are administered by the University. These may include both University
(intramural) and extramural fellowships depending upon the type of award.

1. Definition of Intramural Fellowship

An intramural fellowship is defined as a University funded award that is offered to a graduate

student formally admitted for graduate study in a Doctoral or Master's program. University
funded fellowships or scholarships are awarded primarily on the basis of outstanding scholarly

18
 achievement and promise. Awards are offered by the academic units to enable graduate students
to pursue study leading to an advanced degree without requiring any service obligations.
Fellowships are not to be used in lieu of employment compensation for services performed by
the student to the University. An intramural fellowship award may include a stipend, student
fees/tuition, summer research support, payment of nonresident supplemental tuition (NRST), or
a combination thereof. Additional support may be provided to a student through on-campus
employment offered by the department or via extramural support. (See Section IV, Academic
Appointments and Graduate Student Employment.)

2. Definition of Extramural Fellowship

An extramural fellowship is defined as an award that is funded by sources external to the

university and intended to financially support a graduate student formally admitted for graduate
study in a Doctoral or Master's program. Extramurally funded fellowships, grants, or
scholarships are awarded primarily on the basis of outstanding scholarly achievement and
promise. Awards are typically funded by federal or state agencies, benefactors of UCI, or other
entities separate from UCI. Institutional awards, commonly in the form of federal grants, are
awarded to a specific academic unit for student support. Traineeship appointments and
fellowship recipients are decided at the academic unit level. Examples are the Department of
Education GAANN, NIH/PHS training grants and NSF Research Traineeships.

UCI serves in a custodial role and usually administers the funding including payment to the
student. An extramural award may include a stipend, student fees/tuition, summer research
support, payment of NRST, or a combination thereof. If consistent with the external agency's
guidelines, additional support may be provided by the student's department via intramural or
university fellowship or employment.

3. Responsibility
Campus policies and procedures related to University administered fellowships or scholarships
are under the jurisdiction of the Graduate Council and the Graduate Dean. Nominees for these
awards are evaluated on the basis of criteria established by the Graduate Council in consultation
with the Graduate Dean. Individual academic units are authorized to make awards directly to
students from their annual block fellowship allocation and other sources. However, final
responsibility for University administered fellowships (intramural and extramural) and for the
establishment and monitoring of policies and procedures related to their administration rests
with the Graduate Division.

4. Criteria for Awards

a. Admission to Graduate Study

Fellowship nominations and award letters for students applying for graduate admission must be
preceded by formal admission by the academic program and the Graduate Division. Under
certain conditions, the admission letter may contain a fellowship offer. The student's academic
unit can provide further information.

b. Full Time Graduate Student Status

Award recipients must register (enroll and pay fees/tuition) at UCI by the established deadline
each academic quarter, and devote full time (12 quarter units) to graduate study and/or research

19
 in the field for which the award is made. Fellowship support will not be given to students with
part-time status.

c. Leave of Absence

A graduate student may not retain a fellowship while on leave of absence. Deferment of
fellowship offers to a different quarter than that quarter originally offered may not be allowed.

d. Non-degree or Filing Fee Status

Graduate students in non-degree status are not eligible for fellowship support. Similarly,
graduate students may not receive fellowship support while on Filing Fee status, except during
the summer.

5. Responsibility of Successful Nominees

Newly entering students who receive an award must:

a. Accept or decline the award offer by April 15 in accordance with CGS guidelines (see 6
below) or notify their academic unit if they cannot meet this deadline.

Both newly entering and continuing students who receive an award must:

b. Students who are U.S. citizens or U.S. Permanent Residents must submit a Free Application
for Federal Student Aid (FAFSA) to the designated processor (as indicated in the
application) whether or not they believe they qualify.

c. Students who are non-U.S. citizens are required to complete and submit tax-related
information via the GLACIER System.

d. Register at UCI each quarter and devote full-time (12 quarter units) to graduate study and/or
research during the tenure of the award; and

e. Earn a letter grade of B, S, or above in all courses completed during each of the three most
recent quarters of enrollment.

f. Earn no more than two Incomplete (I) grades during each of the three most recent quarters of
enrollment.

g. Earn a cumulative GPA of 3.0 or higher during each of the three most recent quarters of
enrollment.

h. Make satisfactory academic progress toward the degree objective.

6. Council of Graduate Schools in the United States Resolution

As a member of the Council of Graduate Schools in the United States, UCI subscribes to the
Council's resolution concerning graduate fellowships which states:

20
 "Acceptance of an offer of financial support* (such as a graduate scholarship, fellowship,
traineeship, or assistantship) for the next academic year by a prospective or enrolled graduate
student completes an agreement that both student and graduate school expect to honor. In that
context, the conditions affecting such offers and their acceptance must be defined carefully and
understood by all parties. Students are under no obligation to respond to offers of financial
support prior to April 15; earlier deadlines for acceptance of such offers violate the intent of this
Resolution. In those instances in which a student accepts an offer before April 15, and
subsequently desires to withdraw that acceptance, the student may submit in writing a
resignation of the appointment at any time through April 15. However, an acceptance given or
left in force after April 15 commits the student not to accept another offer without first obtaining
a written release from the institution to which a commitment has been made. Similarly, an offer
by an institution after April 15 is conditional on presentation by the student of the written release
from any previously accepted offer. It is further agreed by the institutions and organizations
subscribing to the above Resolution that a copy of this Resolution or a link to the URL should
accompany every scholarship, fellowship, traineeship, and assistantship offer."

*This Resolution applies to offers of financial support only, not offers of admission.

7. Conditions of Awards

a. Limitation of Fellowship Stipends

The Graduate Dean, in consultation with the Graduate Council and the student's home
department, determines the appropriate level of intramural fellowship stipends to be awarded
from University fellowship funds.

b. Supplementation Policy

With prior approval of the Graduate Dean, graduate student fellowships or traineeship stipends
administered by the University may be supplemented subject to the following provisions:

1) Continued full-time satisfactory progress toward the degree objective is required. Any
traineeship must be related to the student's academic program.

2) All limitations, rules, and stipulations of the particular fellowship or traineeship by the
outside agency or sponsor must be honored.

3) If employment is in applicable teaching title codes, any appointment is subject to the

terms and conditions of the collective bargaining agreement between the University of
California and the UAW.

4) Students receiving Dissertation Fellowships and some Diversity Fellowships are subject
to limitations or prohibition on employment. Any such restrictions will be noted in the
award letter terms and conditions.

5) For students eligible for both a University funded fellowship and an extramural
fellowship, the University funded portion of the award will be limited to an amount
which, together with the extramural award, brings the total amount to the maximum
University funded fellowship award. If the extramural award provides for payment of
fees and/or tuition, the extramural award takes precedence over University funded
fellowships and remission for those expenses.

21
 6) There is no specified limitation on extramural fellowship awards. The Graduate Dean
will review the level of extramural fellowships awarded and consult with the Graduate
Council in those cases where the award may appear excessive.

7) However, limitations on accepting employment or other support while receiving support

from an extramural fellowship award may exist. Please refer to the respective extramural
award conditions and guidelines.

D. Research Support

In evaluating research support vis-à-vis fellowship support, note that campus policy requires the
remission of all fees/tuition and nonresident supplemental tuition, if applicable, for GSRs/GSARs
appointed at least 25% time for the entire quarter. Remission expenses are to be debited to the salary
funding source. Under most circumstances, fellowships may not be used to pay fees and/or tuition
when a remission-eligible appointment exists. See Section IV.B.3. GSR and GSAR Appointment
Benefits.

IV. ACADEMIC APPOINTMENTS AND GRADUATE STUDENT EMPLOYMENT

A. Graduate Student Teaching Appointments

(Teaching Assistant, Teaching Associate [Associate In], Reader, and Tutor)

Experience as a teaching assistant is considered an important component of the graduate educational

experience. Many graduate programs require students to serve as teaching assistants, and almost all
programs expect graduate students to serve in a teaching capacity sometime during the course of
their graduate programs.

The primary teaching responsibility of the University of California is vested in the faculty. Graduate
student teaching responsibilities generally include assistance in such activities as
classroom/laboratory teaching, leading discussion groups, office hours, conferences with students,
preparation of materials for instruction, proctoring examinations, and correcting student papers and
examinations. Academic appointment criteria for graduate students, as stated in this guide, are
minimum University standards and requirements. Individual academic unit faculty retain the
prerogative to apply stricter standards for teaching appointments within their academic unit.

NOTE: UCI Academic Student Employees (ASEs) appointed as Teaching Assistants, Teaching
Associates (Associate Ins), Readers, and Tutors are covered by a collective bargaining agreement
between the Regents of the University of California and the Student Workers Union, International
Union, United Automobile, Aerospace and Agricultural Implement Workers of America (UAW).

Academic Student Employee Titles (ASEs)

A. Teaching Assistant
An academically qualified and registered graduate student in full-time residence chosen for excellent
scholarship and for promise as a teacher, who is assigned to assist in the delivery of instruction under
the active supervision of a faculty member. A majority of graduate students who perform
instructional functions are assigned to the Teaching Assistant title.

Responsibilities

22
 • Assist the supervising faculty member by conducting discussion, laboratory or quiz sections that
supplement faculty lectures
• Grading assignments or examinations
• May provide input into the development of assignments or exams, and hold office hours

The final responsibility for the content of the course rests with the supervising faculty member. A
Teaching Assistant is not independently responsible for the instructional content of a course,
selection of assignments, planning, examinations, and determination of student grades or decisions
on grade appeals; and is not assigned full instructional responsibility for an entire course.

B. Teaching Associate (Associate In)

An academically qualified and registered graduate student in full-time residence employed
temporarily to teach a lower-division course. A graduate student, upon recommendation from the
department head, may be assigned an upper-division course or course section (non-graduate level
course only) with the written approval of the Graduate Dean and the UCI Academic Senate’s
Subcommittee on Courses. Such approval must be obtained in writing prior to the student beginning
their assignment/appointment.

Responsibilities

• Assist in the instruction of any lower-division course or

• May be assigned to conduct the entire instruction of a lower-division course

All instructional activities of graduate student Teaching Associates are to be supervised by a faculty
member. A Teaching Associate with extensive teaching experience may be presumed to require less
direct supervision.

C. Reader
An academically qualified and registered graduate student (or qualified undergraduate student may
be employed when graduate students are not available) employed as a course assistant. A Reader
will not be given the responsibilities customarily assigned to Teaching Assistants.

Responsibilities

• Grading of homework, papers, laboratory reports, or examinations and

• Holding of office hours to respond to students’ questions about such assignments

D. Tutor
An academically qualified and registered graduate or undergraduate student who provides tutoring to
individuals (one-on-one) or small groups of students.

Responsibilities

• Facilitate independent learning and

• Assist students in understanding course materials.

B. Graduate Student Researcher Appointments (GSR and GSAR)

23
Experience as a graduate student researcher is considered central to the preparation for a future
career whether in an academic or research environment. Depending on the field, students may begin
work in research under the direction of a faculty advisor at various times following admission. Pre-
dissertation and dissertation research are all guided by the same principles concerning ethical issues
and classified or proprietary research.

Responsibility for conducting research at the University of California is vested in the faculty. In
some fields, graduate students may serve as research assistants on sponsored research grants or
contracts under the guidance of a faculty member. The degree to which the research performed by a
student is independently conceived and conducted will vary depending on both the nature of the field
of research and the sponsorship. Academic appointment criteria for graduate students, as stated in
this manual, are minimum University standards and requirements. Individual academic unit faculty
retain the prerogative to apply stricter standards for research appointments within their academic
unit.

NOTE: UCI Graduate Student Researcher appointments are covered by University academic
personnel policies.

1. Graduate Student Researcher

An academically qualified and registered graduate student, enrolled full-time, who performs
research related to his or her degree program in an academic department or research unit under
the direction of a faculty member or authorized Principal Investigator. The Graduate Student
Researcher may or may not collaborate in the publication of said research.

2. Graduate Student Assistant Researcher

An academically qualified and registered graduate student, enrolled full-time, who performs
research under the supervision of a Principal Investigator on a research project which is not
related to the student’s degree program.

Academic Qualifications for ASEs and Graduate Student Researchers:

1. Enrollment Requirement:

For new and continuing graduate students:

• Enrollment in at least 12 units (full time) during the current quarter

ONLY Readers and Tutors employed at 25 percent time or less may be enrolled part time.
(max. 8 units)

• Combined campus wide employment of no more than 50 percent time (220 hours of
assigned workload) or less during any academic quarter.

2. Grade/GPA Requirement:

For continuing graduate students, during each of the three most recent quarters of enrollment:

• Completion of 8 units or more of upper division or graduate level credit courses.

24
 • A letter grade of C, S, or above in all courses completed.
• No more than two incomplete (I) grades except where stricter school policies apply.
• A cumulative GPA of 3.1 or higher for Teaching Assistants (TA) and Teaching
Associates (Associate In)
• A cumulative GPA of 3.0 or higher for Graduate Student Researchers (GSR), Graduate
Student Assistant Researchers (GSAR), Readers and Tutors
• Satisfactory academic progress toward the degree objective
• For Readers only: Should have taken and received at least a letter grade of B in the
course or equivalent for which the student is being recommended for appointment

Additional Academic Qualifications/Limitations for Teaching Assistants and Teaching

Associates

1. Teaching Assistant/Associate Quarter Limit

Teaching Assistant/Associate appointments may not exceed 12 quarters prior to advancement to

candidacy. Students must advance to candidacy towards their Ph.D. in order to be employed as
a Teaching Assistant/Associate beyond 12 quarters. Teaching Assistant/Associate appointments
cannot exceed 18 quarters total per student. Any quarter in which the student is appointed and
compensated, at any amount/rate or percent time, is counted toward this maximum. This policy
applies irrespective of whether a student enrolls in more than one academic program. Under no
circumstances will a 19th quarter exception be granted.

2. Doc2A Definition & Guidelines

(Updated by Graduate Council 12/2013)

By definition, a Doc2A student is enrolled more than nine (9) quarters past their advancement to
candidacy for the Ph.D. The Doc2A quarter count begins with the quarter immediately following
their advancement to candidacy date. The university does not receive state funding for students
who are in Doc2A status nor are they included in official enrollment counts. Graduate students in
Doc2A status may be appointed to GSR/GSAR titles at the hiring department’s discretion,
provided they meet academic qualifications including enrollment and grade/GPA requirements,
and are making satisfactory academic progress; and to ASE titles at the hiring department’s
discretion if they are within the 18-quarter service limit for Teaching Assistants and Teaching
Associates; meet academic qualifications including enrollment and grade/GPA requirements; and
meet English language proficiency requirements for Teaching Assistants and Teaching Associates
(for international and U.S. permanent resident students who are not citizens of countries where
English is the primary or dominant language).

3. English Language Proficiency Requirements

(Updated by Graduate Council 3/2021)

An instructor’s ability to communicate effectively in English is critically important to the

success of students in meeting learning outcomes. Accordingly, all graduate students, except
those who have earned an undergraduate degree from an institution at which English was the
sole language of instruction according to the World Higher Education Database, are required to
demonstrate oral English proficiency before they are appointed to Teaching Assistant or

25
 Teaching Associate titles. The aforementioned exception will apply only when the
undergraduate degree has been earned within five years prior to admission to a graduate program
at UCI.
Campus-approved Tests

• TOEFL iBT (Internet-based Test of English as a Foreign Language)

Minimum score: 26 on the speaking section
The TOEFL iBT is administered by ETS at authorized test centers around the world.
Scores are valid for two years after the test date.

• IELTS (International English Language Testing System)

Minimum score: 8 on the speaking section
There are IELTS test locations in more than 140 countries. Scores are valid for two years
after the test date.

• TOEP (Test of Oral English Proficiency)

Minimum score: 5
The TOEP is administered by the Program in Academic English at UCI. Scores are valid
for the duration of the time a student is enrolled at UCI.

• SPEAK (Spoken Proficiency English Assessment Kit)

Minimum score: 50
The SPEAK is administered by the Humanities Studio at UCI. Scores are valid for the
duration of the time a student is enrolled at UCI.

The Graduate Division must receive official score reports from the testing centers and validate
that minimum scores have been achieved before departments may extend offers of Teaching
Assistant or Teaching Associate appointments.

*For those graduate students required to demonstrate English proficiency at the time of
admission and who have an official TOEFL iBT or IELTS score report on file, a passing score in
the Speaking section will remain valid for Teaching Assistant or Teaching Associate
appointments for the duration of the time a student is enrolled at UCI.

Exemptions
Students who have received an undergraduate degree in an institution with English as its sole
language of instruction and who are more than five years beyond degree may request an
exemption to the policy; such exemption requests will be considered by the Program in Global
Languages & Communication.

Students appointed to Teaching Assistant or Teaching Associate positions for advanced language
courses where the entire course is conducted in a language of instruction other than English are
exempt from the English language proficiency requirement in this policy.

Limitations and Remediation

If the head of a unit or appropriate delegate finds sufficient grounds to believe that any graduate
student appointed as a Teaching Assistant or Teaching Associate does not have spoken English
proficiency adequate for undergraduate instruction, they must require the student to undertake a
remediation process, in consultation with the Program in Global Languages & Communication
and approved by the student’s academic unit, prior to additional appointment as a Teaching

26
Assistant or Teaching Associate. Such a determination should be made on the grounds of
inadequate proficiency alone (as indicated in student evaluations, faculty observations, or the
like). This remediation process will be required regardless of how the student was initially
certified for oral English proficiency (that is, regardless of earning an undergraduate degree at an
institution where English was the sole language of instruction or by achieving a passing score on
one of the tests noted above).

Academic Unit Responsibilities

If the academic unit awards a Teaching Assistant or Teaching Associate appointment to an
incoming graduate student who fails to be certified in English proficiency, the unit must honor
its financial commitment to the student even though the student will not be allowed to serve as a
Teaching Assistant or Teaching Associate. It is therefore advisable for units that expect
incoming graduate students to serve as Teaching Assistants or Teaching Associates in their first
term either to require those students be certified prior to awarding Teaching Assistant or
Teaching Associate appointments, by passing one of the tests noted above, or to make the
Teaching Assistant or Teaching Associate appointment conditional upon certification and upon
meeting all other academic qualifications for employment. Units must provide clear notification
of these conditions in their financial support offer letters to incoming students. Units are strongly
encouraged to include the following or similar language in all financial support offer letters:

A condition of all fellowships and Teaching Assistant/Associate and Graduate Student

Researcher appointments is that the student maintain satisfactory academic progress, be
continuously enrolled as a full-time graduate student, and meet all other university criteria
(including but not limited to adequate English language competency for Teaching Assistant or
Teaching Associate appointments) to receive campus-based funding. Continued employment is
also contingent upon satisfactory performance as a Teaching Assistant/Associate or Graduate
Student Researcher.

4. Teaching Associate Additional Qualifications

In addition to the general and basic qualifications for Teaching Assistants and Teaching
Associates, all of the following additional qualifications apply for appointment as a Teaching
Associate:

1) A master’s degree or equivalent training.

2) At least one year of teaching experience (such as that of a Teaching Assistant) within or
outside of the University.

To teach an upper division course, a Teaching Associate must meet the following additional
requirements:

1) Advancement to candidacy for a Ph.D. degree.

2) Within normative time-to-degree.
3) In advance of the appointment, written approval from the Graduate Dean and the UCI
Academic Senate's Subcommittee on Courses.

Benefits for Graduate Academic Student Employees (ASEs)

a. Teaching Assistants, Teaching Associates, Readers and Tutors

27
For graduate students who are appointed as Teaching Assistants and Teaching Associates at 25%
time (110 hours of assigned workload) or greater, and for graduate students who are appointed
as Tutors and Readers for a guaranteed minimum of 110 hours of assigned workload within the
respective quarter’s service period, the following benefits apply:

 Payment of the Graduate Student Health Insurance Program (GSHIP) premium.

 Partial fee remission: 100% of the sum of the Student Services Fee and Tuition components
of a student’s assessment. Note that this does not include payment of Nonresident
Supplemental Tuition.
 Remission of $100 per quarter to partially cover campus-based fees (effective with the
academic term beginning January 2019).
 Defined Contribution Plan (DCP) coverage in accordance with UC Retirement Plan.
(Summer employment only)
 Childbirth Accommodation Leave (salaried ASE positions ONLY) and Childcare
Reimbursement.
 Eligible ASEs may receive up to six weeks of paid Childbirth Accommodation Leave.
 Eligible ASEs may request reimbursement for qualified childcare expenses. Please see the
Graduate Division website for the maximum quarterly amount of reimbursement.
Information on these and other employment-related benefits is contained in the ASE
contract.

1) Tutors and Readers

Graduate students who are appointed as Tutors and Readers for less than 110 hours of assigned
work, but subsequently complete 110 hours or more of work during the quarter will be entitled to
reimbursement of the GSHIP premium and the partial fee remission, if paid from personal
resources. If a graduate student’s fees/tuition and/or GSHIP were previously paid as a
fellowship by the academic unit, upon completing 110 hours of work, the academic unit will be
given an accounting credit for the costs associated with the partial fee remission and/or GSHIP
as applicable. In no case will a student receive a direct cash payment if s/he did not incur any
out-of-pocket expense related to fees or GSHIP; nor will the unit receive a credit for GSHIP if
the student waived participation in the program.

NOTE: After completion of 110 hours of assigned work during the service period by a
graduate student Tutor or Reader, whose appointment notification letter did not guarantee a
minimum of 110 hours of work, the academic unit is required to provide the following to the
Graduate Division:

• A written request via email for reimbursement to the student or an accounting credit to the
department, signed by an appropriate departmental designee/authority, which includes the
student’s name and both the employee and student identification numbers.

The Graduate Division will review the request for reimbursement or accounting credit, approve
it for processing, or contact the requesting department for clarification, if needed.

Teaching Appointment Periods and Limitations

The maximum academic student employee appointment limitation is 50% time (220 hours of
assigned workload) during any academic year quarter. The assigned workload determines the
percent of time of the appointment.

28
If a graduate student has more than one appointment, the combination of all campus-wide
appointments (including By Agreement appointments) may not exceed 50% time during any
academic quarter. This workload includes specific required training (with the exception of
pedagogy courses for which enrollment of the Teaching Assistant or Teaching Associate may be
required), time in the classroom, preparation time, grading, proctoring and office hours. Readers
and Tutors are compensated on an hourly basis. Assigned workload is measured by how many
hours the University could reasonably expect an ASE to satisfactorily complete the work
assigned. (Related Documents: APM 110(40); APM 410-17b; APM 410 Appendix A; APM 420-
17c; Student Worker Guidelines (UCI/HR Compensation); 8CFR214.2fq)

NOTE: When hiring a student from another academic unit, it is the hiring unit’s responsibility
to coordinate with the student’s home department to determine eligibility for the appointment
and to ensure that the student is not precluded from accepting employment because of other
support, academic ineligibility, or other employment limitations.

Selection and Assignment

Among the considerations in departmental decisions regarding appointments of academic

student employees (Teaching Assistants, Teaching Associates, Readers, and Tutors) is
undergraduate student demand for courses, the availability of funds, and budgeted FTE (full-
time equivalent) positions. Since the needs and resources of academic units vary, there is a
considerable variation from one academic unit to another in the length and percentage of time
for which students may be appointed.

a. Campus-Wide Posting of Appointment Opportunities

By March 15th of each year, anticipated employment opportunities for Academic Student
Employees (ASEs) for the following academic year will be submitted by employing departments
and posted on a central campus website.

b. Appointment Notification
Individuals offered an academic student employee appointment will be provided with written
notification in spring quarter or as soon as practicable after hiring decisions are made.

c. Supplemental Documentation
At least 30 days prior to the commencement of a term, or as soon as practicable thereafter, the
ASE will be provided with supplemental documentation, including:

• faculty member or supervisor to whom the individual will report;

• the location where the work will be performed, if known;
• the class assigned, if applicable;
• the duties that may be required and;
• other information deemed appropriate by the University that was not included in the
initial appointment notification.

The University will provide notice when the above referenced duties are changed significantly.

d. Training and Orientation

All required training and orientation is considered part of the workload for the term, with the
exception of pedagogy courses in which an ASE may be required to be enrolled. The University
may require an ASE to satisfactorily complete required training to begin or to continue their

29
appointment. The University may require that an ASE, who has not satisfactorily completed
required training, repeat the training without it counting as workload.

2) Graduate Student Researchers (GSR) and Graduate Student Assistant Researchers

(GSAR)
1. Step Progression within Titles

The Graduate Student Researcher title consists of 10 salary steps. Since inherent differences
exist in academic disciplines at UCI, this policy provides flexibility to academic units. Each
academic unit has the direct responsibility for establishing and implementing a written plan that
ensures equitable compensation and treatment for all graduate students appointed to research
positions within their unit.

A copy of the school’s written plan(s), and any subsequent revisions, must be placed on file
with the Graduate Division. An "academic unit" is defined as a “School” or “functional school
equivalent,” but may be further re-defined as a “department”. The academic units retain the
authority to administer all graduate student appointments within their unit. GSR/GSAR salary
information is available on the Academic Personnel website.

The Graduate Student Assistant Researcher title consists of two salary steps. Progression may
be made from Level I to Level II depending on the student’s research experience as determined
by the employing unit.

2. Conditions of Appointment

To clarify the nature and conditions of graduate student researcher appointments, the Graduate
Council requires that each spring quarter all academic units provide the following:

• Display departmental policies and criteria for the selection, appointment, and
assignment of graduate student researchers.
• Make explicit the extent to which continuing graduate student researchers in good
standing may expect continued support. Continuing students should be notified
during spring quarter regarding expected employment status for the upcoming
academic year. Departments have an obligation to provide notification as early as
possible to students whom they will be unable to support.
• Send an offer letter in writing to graduate student researchers that outlines the nature
and conditions of their appointment. The acceptance of an offer of employment is a
binding agreement between the graduate student and the employing department.

3. GSR and GSAR Appointment Benefits

• Campus policy regarding GSR/GSAR fee and tuition remission applies to all students
employed in the GSR/GSAR series with an appointment of at least 25% time for the
entire quarter. Each eligible student’s total assessed fees/tuition (and nonresident
supplemental tuition, if the student does not qualify for California residency status),
must be paid as a condition of their GSR/GSAR appointment. Charges are to be
debited directly to applicable extramural awards or other appropriate funding
source(s) paying the student’s salary when the student registers each quarter. This
policy takes precedence over all other types of student appointments.

30
 • Specifically, this policy also requires that, unless prohibited by the funding source, all
GSR/GSAR fee and nonresident supplemental tuition remission payments must be
debited to the same funding source that funds the GSR/GSAR’s salary and other
benefits. Since all GSR/GSARs must be treated equally under this plan, campus
funding sources (including departmental, fellowship, and other funds) must fund the
remission for all eligible GSR/GSARs whose salaries are paid from General UCI
Funds. Only if the sponsor generally prohibits remission of student fees may other
University funds be used to fund the remission benefits.

NOTE: The term “fees” is intended to include all graduate student fees/tuition as
listed on the Registrar’s website; i.e., Student Services, Tuition, GSHIP, and
miscellaneous campus-based fees.

 Childbirth Accommodation Leave and Childcare Reimbursement for GSR/GSARs

appointed at 25% time or more for the entire quarter.
 Eligible GSR/GSARs may receive up to six weeks of paid Childbirth Accommodation
Leave.
 Eligible GSR/GSARs may request reimbursement for qualified childcare expenses. Please
see the Graduate Division website for the maximum quarterly amount of reimbursement.

4. GSR and GSAR Appointment Grievances

Graduate Student Researchers who have concerns related to their appointments should consult with
the faculty member in charge of the research activity. If the problem is not resolved by informal
discussion it should be brought to the attention of the Department Chair and, if necessary, the
Associate Dean or Academic Dean of the respective school. If no resolution can be achieved at the
school level, concerns should be brought to the attention of the Graduate Dean.

The Graduate Dean investigates the student’s concerns or grievances and determines appropriate
resolutions. When circumstances warrant, every effort will be made by the Graduate Dean to
protect the confidentiality of the student raising the concern. In cases in which informal procedures
do not resolve the conflict, Section 140 of the Academic Personnel Manual (APM) provides formal
grievance procedures for Graduate Student Researchers and Graduate Student Assistant
Researchers.

C. Other Employment Issues

1. Exceptions to Policy

General Guidelines:

Requests for any exceptions to academic and personnel policies affecting a student’s
appointment eligibility must be requested in advance by the hiring department chair/head or
graduate advisor.

All exception requests must be submitted in writing with appropriate signatures for review by
the Graduate Dean. A complete justification and explanation of all relevant facts must be
included. Exception requests are reviewed on a quarter-by-quarter basis. The written exception
request must include all items as indicated on the checklist at the Graduate Division Forms page.

31
2. Teaching Associate (Associate In) Requests

Upon written recommendation from the department chair/head or graduate advisor, a graduate
student appointed as a Teaching Associate (Associate In) may be assigned to teach an upper-
division course or course section with the written approval of the Graduate Dean and the UCI
Academic Senate’s Subcommittee on Courses. If the hiring department is not the graduate
student’s home department, the request must also be approved by the appropriate authority, i.e.,
department chair/head or graduate advisor within the home department. Requests generated from
the Schools of Biological Sciences, Engineering, Humanities, ICS, Medicine, Social Ecology, or
Social Sciences must also be approved and signed by the school’s Associate Dean for Graduate
Studies.

The written request must include all items as indicated on the checklist at the Graduate Division
Forms page, be addressed to the Graduate Dean and the Subcommittee on Courses, and be
forwarded to the Graduate Student Employment Analyst (120 Aldrich Hall, Zot 3180) for
consideration/approval. If approved by the Graduate Dean, the request will be forwarded to the
UCI Academic Senate’s Subcommittee on Courses for review and notification of the decision to
the hiring department. Sufficient time, i.e., 5-6 weeks minimum, is required for the approval
process. Final approval must occur prior to the issuance of an appointment notification to the
graduate student and prior to the beginning of the teaching assignment.

3. Service Limitations

During any academic year quarter, a graduate student may not be appointed in any capacity by the
University of California beyond a maximum of 50% time. The purpose of this University-wide
policy is to limit the amount of time graduate students devote to University activities that do not
lead directly to the successful completion of their academic degree program requirements in a
timely manner. (Related Documents: APM 110 (40); APM 112 (39); APM 410-17b.; APM 410
Appendix A; APM 420-17c.; Student Worker Guidelines (UCI/HR Compensation); 8CFR 214.2f9)

Graduate students are encouraged to voluntarily participate in worthwhile University or community

activities such as student government, but they must make satisfactory progress toward their
primary academic degree objectives. Before accepting additional obligations (compensated or
not), graduate students are urged to consult their Graduate Advisor or the Associate Dean of their
academic program.

4. Late and Retroactive Appointments

It is expected that ASEs and GSRs/GSARs will be appointed to relevant titles no later than the
beginning of the quarter.

Exception letters will be required if a department wishes to appoint a graduate student

retroactively, two weeks or more beyond the start of the normal service period. A written
exception request should be addressed to the Graduate Dean and forwarded to the Graduate
Student Employment Analyst (120 Aldrich Hall, Zot 3180), and must be approved prior to
entering the appointment into the University’s payroll system. An exception is not required for a
retroactive fund change. Consult your Contracts and Grants Officer if the retroactive fund
change is against an extramural fund source and applies to over 120 days ago.

Exception requests resulting from a delay in grant funding cannot be approved. Any late
appointment exception requests must be infrequent and will be reviewed on a case-by-case basis.

32
5. Appointments between Academic Sessions

Graduate students, other than those receiving agency-restricted fellowship or training grant
stipends, may be appointed full-time between academic year sessions (quarters) or during a
summer recess. During these periods, aggregate compensated UC employment in a given month
may not exceed 100% time. (Related Documents: APM 110 (40); 8CFR 214.2f9)

6. Employment of Part-Time Graduate Students

Preference for employment will be given to full-time graduate students (enrolled in 12 units or
more). Part-time graduate students (enrolled in 8 units or less) may be appointed as Readers,
Tutors, or in other appropriate titles, but combined campus-wide employment cannot exceed
25% time (110 hours of assigned workload) during any academic quarter.

7. Employment of Graduate Students Participating on Training Grants

a. Student Employment
It is recognized that trainees may need to seek part-time employment coincidental to their
training program to further offset their expenses or to meet academic degree requirements. The
academic units may provide additional funds in the form of employment (as salary and
applicable fee/tuition remission) for services such as a TA, GSR, Reader, etc. but only on a
limited part-time basis. UCI's Graduate Council defines limited part-time basis as employment
not to exceed 75% time over the three quarters of an academic year; e.g., 25%-time for the fall,
winter, and spring contiguous quarters would result in the maximum limit. Aggregate
employment shall not exceed 75% for one academic year session.

b. Student Compensation Paid from Research Grants

Training grants may not be used to fund student employment. If a student supported on a
training grant is also employed on another research grant, the project must be separate and
unrelated to the research funded by the training grant. Such employment may not interfere with,
detract from, or prolong the student’s training program.

8. Employment of Students Registered in Self-Supporting Programs

Graduate students registered in self-supporting programs may be hired as an ASE. Self-

supporting students should only be considered in the event that it is impossible to identify and
appoint 1) a qualified PhD student, not necessarily in the same school or discipline; and 2) a
qualified state-supported master’s student, not necessarily in the same school or discipline.
Self-supporting students must meet the same academic standards as state-supported graduate
students hired as TAs. Students must also meet the same English proficiency requirements as
state-supported students in order to be appointed as a TA. Note that waiving the English
proficiency requirement for admissions purposes does not exempt a student from meeting the
TA requirement for English proficiency.

Self-supporting students serving as TAs must undergo the same TA training as state-supported
graduate students and demonstrate that they have a sufficient teaching foundation (i.e.,
TAPDAP).

Funding source for ASE salary and remission

33
 Salary and remission should be covered by the hiring unit.
• If the self-supporting student will be an ASE for an SSGPDP, then the salary and
remission must be paid with self-supporting program revenues or other discretionary
funding sources available to the program.
• If the self-supporting student will be an ASE in a state-supported program, then the salary
may be charged to the regular TA instructional salary funding source; however, remission
must be paid from other discretionary funds.
• In no case shall remission costs be paid by campus TA remission budget allocations.

ASE Fee remission

• The fee remission paid on behalf of a self-supporting student will be paid as all other
remission is paid, i.e., as a fee credit posted to the student’s Student Billing System (SBS)
account. Under no circumstances will the funds be provided directly to the student. The
amount of fee remission is equal to the amount of remission paid on behalf of a student in
a state-supported program for the Tuition and Student Services components of a student’s
fee assessment.
• The remission should be based on in-state remission and should not include NRST.
• As with a student in a state-supported program, if the student in a self-supporting
program is charged and does not waive out of GSHIP, the GSHIP amount will be
included in the fee remission. In no case will fee remission exceed the total charges the
student pays to the SSGPDP.
• If the fee remission total exceeds the total program fee(s), the remission will be reduced
accordingly.

9. Employment of Students Registered in the Medical Doctorate Degree Program

Due to the academic rigor of pursuing a Medical Doctorate (M.D.) degree, students registered in
the program are not eligible for appointments in student employment titles.

10. Employment of Graduate Students from Other UC Campuses

If eligible, graduate students from other UC campuses may be employed at UCI. These UC
graduate students could include visitors, intercampus exchange students, or those enrolled in a
multi-campus program. No graduate student from another UC campus is permitted to begin an
appointment that has not met all of the applicable academic criteria and completed the process
outlined below:
• Written approval from the student’s home department.
• Written approval from the home campus and UCI Graduate Division.
• Verification that the graduate student has registered and paid appropriate fees at the home
campus is required prior to commencement of employment at UCI.

Verification that student meets UCI academic criteria (see Academic Student Employee
Titles (ASEs)

• Submission of an exception request, if appropriate

11. Taxation of Student Wages

34
 Compensation or wages for a Graduate Student Researcher, Graduate Student Assistant
Researcher, Teaching Assistant, Teaching Associate (Associate In), Reader, and Tutor are paid
through the University payroll system and are subject to federal and state tax withholding.

12. Academic Credit for Supervised University Teaching

For academic units that appoint graduate student Teaching Assistants, the Registrar has assigned
appropriate course codes and listed a 399 course titled “University Teaching” in the Schedule of
Classes. Although use of such a course is not required, it is recommended that graduate students
who engage in supervised University teaching (under the supervision of a member of the UCI
faculty) enroll for one to four units of 399 credit per quarter only when this activity is part of the
student’s training. All University Teaching (399) courses are graded on a
Satisfactory/Unsatisfactory basis only.

13. Volunteers & Other Titles

Students performing the duties of an ASE (Academic Student Employee) must be appropriately
appointed in an ASE title and compensated through the Irvine payroll system for their time and
effort. Students may not perform ASE duties while appointed in other academic or staff titles, or
as volunteers. Additionally, the stipend from a fellowship may not be used as a substitute for
salary for an academic appointment.

V. ENROLLMENT AND REGISTRATION POLICY: STUDENT STATUS

A. Academic Residence Requirements

1. Academic Year
(Irvine Regulations [IR] SR 688, 690, and 694)
According to University of California academic policy, a graduate student is considered to be in
residence during an academic quarter only if at least four units of academic credit are earned in
regular upper-division undergraduate or graduate-level courses. Except in cases where off-
campus study conforms with Senate Regulation 694, which addresses UC requirements for
higher degrees, and is approved by the Graduate Dean in consultation with the student's
respective academic unit, no graduate student will be recommended for any degree who has not
completed at least one year of residence.
2. Summer Session

For a candidate for a doctorate degree, and in accordance with UC regulations, residence during
a Summer Session may be counted only under either of the following conditions: (1) enrollment
in two consecutive six-week Summer Sessions, which 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 level coursework as given in a regular term; or (2) enrollment in a 10-week
Summer Session, which 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
quarter. For a candidate for a Master's degree, the same basic criteria apply except that the two
six-week Summer Sessions need not be consecutive.
3. California Residency and Nonresident Supplemental Tuition

All new graduate students, and students returning from one year of academic leave of absence,
are required to complete and submit a Statement of Legal Residence to UCI's Registrar's Office

35
 to determine their official residency status. Questions about California residence and
nonresident supplemental tuition should be directed to the UCI Residence Deputy in the
Registrar's Office at (949) 824-6124 or [email protected]. More information about California
Residency classification is available at the Registrar’s website.

B. Enrollment Policies and Procedures

1. Full-Time Enrollment/Registration

Full-time academic registration is generally expected of all graduate students at the University of
California. Full-time registration is defined as 1) payment of applicable University fees/tuition;
and 2) enrollment in at least 12 units of upper-division or graduate-level academic coursework in
a given quarter, including credit for supervised research or teaching occurring during the
academic year. (During the summer, full-time registration is defined as payment of applicable
University fees and enrollment in at least six units of upper-division or graduate level academic
credits.) However, continuing UCI graduate students are generally considered to be enrolled
students between successive spring and fall quarters. Graduate students may enroll in lower-
division courses with the approval of their faculty academic advisor, but such courses are not
considered to be part of any graduate program and will not count toward satisfying degree
requirements. Full-time academic registration during regular academic quarters is required of all
graduate students holding University-administered fellowships.

NOTE: The campus's budgetary allocation in support of graduate education is calculated on the
basis of Full-Time Equivalent (FTE) enrollment at the end of the third week of the quarter and
for three years following advancement to candidacy. Academic units should therefore strongly
encourage their students to register no later than the end of the third week of classes. Failure to
do so will result in reduced student funding for UCI as well as a lapse of status for the student.
Graduate advisors are further encouraged to give careful consideration to the validity of reasons
for student requests for leave of absence or Filing Fee status before recommending approval.
(Section V. C. Registration Policy).

Course Load Limitations: Graduate students should not enroll for more than 12 units per quarter
in graduate level coursework, or 16 units in upper-division courses, or a proportionate number in
combination. Course loads in excess of 16 units of graduate level and/or upper-division credit
must be approved in advance by the student's graduate advisor.

2. Part-Time Enrollment/Registration

In most instances completion of an advanced degree at UCI requires full-time study. However,
UCI recognizes that a legitimate need may exist for part-time study, and it may be allowable
under certain circumstances, if academically feasible. Part-time status generally applies to
enrollment in part-time master's degree programs. However, on the recommendation of the
academic unit, students admitted to a Ph.D. program may be approved by the Graduate Dean for
part-time status on an ad hoc basis for up to three consecutive quarters.

Requests for part-time status must be submitted in writing to the Graduate Dean and signed by
the Departmental Faculty Graduate Advisor (some schools require, in addition, the signature of
the Associate Dean for Graduate Studies in the academic unit).

36
UCI policy defines part-time enrollment at the graduate level during the academic year as
enrollment in one to eight units. Within the guidelines and limitations listed below, graduate
students may petition for part-time status. If approved, students will pay UCI the full Student
Services Fee, all student activities fees, the health insurance (GSHIP) premium, one-half the
Tuition, and one-half the Nonresident Supplemental Tuition (if applicable). Students on part-
time status, if applicable, will pay only one-half of the Professional Degree Supplemental
Tuition. (NOTE: The Professional Degree Supplemental Tuition is not applicable for students in
the EMBA, FEMBA, or HCEMBA programs in the School of Business or the Master of
Advanced Study in Criminology, Law and Society in the School of Social Ecology as these
programs charge a single Program Fee.)

a. Guidelines to Establish Part-Time Eligibility

A completed petition for the Reduced Fee Part-Time Study Program approved by the
Departmental Faculty Graduate Advisor (and Associate Dean, if required by the school), and
a memo from the Graduate Advisor in support of the request must be submitted to the
Graduate Dean. The memo should include:
• A brief explanation of the motivation for the part-time status request
• A statement of how part-time status might impact the student's progress toward degree,
and steps to be taken to minimize any negative impact; and
• An indication of when part-time status would, if approved, begin and end (e.g., fall-
spring).
• To be effective for that academic quarter, the Petition must be received by the Graduate
Division no later than noon on Wednesday of the third week of classes. There are no
exceptions to this deadline.

b. Part-Time Limitations and Related Policies

1) Purpose: Unless enrolled in an approved part-time master's degree program,
approval of part-time enrollment status may be granted only for reasons of occupation,
family responsibilities, health, or professional development.

2) Citizenship: Ordinarily, graduate students who are not citizens or permanent

residents of the United States are not eligible for part-time enrollment because of
overriding federal regulations governing student visa status. Please contact the UCI
International Center for further information. International students who are eligible to
petition for part-time status are required to obtain written approval by the UCI
International Center prior to submitting a request to the Graduate Division.

3) Fellowships: All University fellowships require full-time enrollment in graduate

level courses. For extramural fellowships, students must refer to and adhere to the
individual agency guidelines established by the sponsor; if the sponsor does not specify
then campus policies apply.

4) Academic Appointments: Part-time status may affect academic

appointments/employment. Please see Section IV, Academic Appointments and Graduate
Student Employment, for more information.

5) Satisfactory Academic Standing: Students must be within time-to-degree limits for

their program and must be making satisfactory academic progress.

37
 6) Student Loans: All students considering applying for part-time status should be
cautioned that, in most instances, they will no longer be eligible for deferment of student
loan repayment obligations. It is the student's responsibility to discuss this matter with
their loan agency.

7) Student Housing and Other Services: Part-time status may affect eligibility for
student services, including student housing. Students living on-campus who are also
interested in part-time status should check with their housing office.

8) Maximum Time: Petitions for part-time status may be requested for a maximum of
three consecutive quarters. To continue after a third quarter on part-time status, the
student must submit a new petition by the respective quarter deadline and obtain an
exception to policy.

9) Enrollment Limits: If the student exceeds the approved part-time enrollment limit of
eight units, the student will be billed by UCI for the balance of the respective quarter's
full-time student fees/tuition (including nonresident supplemental tuition, if applicable)
and will not be permitted to register for a subsequent quarter until the required
fees/tuition are paid in full.

3. Lapse of Status: Did Not Enroll

At UCI, graduate students are expected to remain continuously enrolled in their degree program
while progressing toward their degree. Students who have failed to maintain their graduate
student status will be notified in writing by the Graduate Division. A lapse of status will occur
under any of the following conditions:

a. If a student fails to register (i.e., pay fees and enroll in units) by Friday of the third week
of classes.
b. If an academic leave of absence, or permission to pay the Filing Fee in lieu of
registration, has not been submitted and approved by the student's department and
Graduate Division.
c. If a student fails to comply with any provisions of admission to UCI.

Final notification of lapse of student status will be sent to the student and the academic unit at
the beginning of the fourth week of classes. Students wishing to re-enroll retroactively within
the same quarter must provide Graduate Division with a completed readmission petition which
requires payment of a Readmission Fee and applicable signatures, as well as a written exception
request signed by their Department Chair/Program Director and Associate Dean for Graduate
Affairs requesting reinstatement and justifying the request for change in student status.
Approval of such requests is rare and is given under truly exceptional circumstances only. In
most cases, students wishing to re-enroll will be required to submit a new Application for
Graduate Study.

4. Lapse of Status: Readmission

Prior to resuming graduate study at the University, a student who previously withdrew, or who
failed to meet the continuous registration requirement, must request readmission from the
academic program and the Graduate Division by submitting a new Application for Graduate
Study with the full, non-refundable application fee applicable at that time. However, graduate
students who were not enrolled within the previous two years should submit, in addition to the

38
 completed application form, an updated statement of purpose, and transcripts covering all
academic work since their last enrollment at UCI.

Readmission of former UCI graduate students without academic standing may be granted only
by the Graduate Dean and only upon recommendation by the academic unit, and is not
guaranteed. If readmitted, a student’s previous academic work may be applied toward the
requirements for an advanced degree only with the approval of the faculty graduate advisor and
the Graduate Dean. Previous academic work is less likely to be applied if a significant period of
time has elapsed since the student was enrolled. A readmitted student must satisfy the academic
requirements in effect at the time of readmission and must satisfy certain requirements a second
time, including formal advancement to candidacy. A readmitted student will also be expected to
complete at least one additional academic quarter in residence before receiving an advanced
degree, which will be conferred no earlier than the second quarter following readmission.

5. Enrollment in University Extension

If a graduate student wishes to enroll for graduate academic credit in a University Extension
course while registered or while on an approved Leave of Absence, the student's proposed
program of study must be approved in advance by the Graduate Dean with the written
recommendation of the student's faculty advisor. See Section VII. H. Transfer of Credit, for
information on transfer of credit for courses taken in University Extension.

6. Withdrawal

a. Withdrawal between Quarters

A student who plans to withdraw after completing all academic work for the latest quarter of
enrollment should submit a written notice of intent to the Graduate Division and to their
department as soon as the decision to withdraw has been made. The student has two options in
such cases: (1) to file a Withdrawal form with the Graduate Division; or (2) to apply for an
academic leave of absence. A student in good academic standing who intends to re-enroll after
missing no more than three consecutive quarters is encouraged to consider a leave of absence.

b. Withdrawal after Enrollment and Fee Payment

A student who decides to leave the University after paying fees and enrolling for a regular
academic term must file the Withdrawal form with the Graduate Division. If unable to do so in
person because of emergency or serious illness, the student should notify the Graduate Division
by mail or e-mail ([email protected]) as soon as possible so that timely assistance may be provided.
Failure to do so will result in the assignment of failing grades in all courses in which the student
is enrolled, and will jeopardize further academic standing. Note that students who withdraw after
paying fees for the quarter are subject to the Registrar’s Schedule of Refunds.

c. Withdrawal Without Approved Academic Leave of Absence

A student who withdraws, but has not been granted an academic leave of absence by the
Graduate Dean, must apply for readmission in order to resume graduate study at UCI.

C. Registration Policy

1. Continuous Registration Policy

39
 A graduate student is expected to register for each regular academic session (fall, winter, and
spring quarters) until all requirements for an advanced degree or credential have been
completed, including final examinations and the submission of an approved thesis or
dissertation. Registration at UCI consists of two separate steps: 1) payment of applicable
student fees/tuition; and 2) enrollment in applicable units. Both steps, payment of fees and
enrollment in classes, must be completed for the student to be officially registered. Registration
may be accomplished online via WebReg.

2. Registration Procedures
Detailed registration procedures are outlined at the Registrar’s website. Students are personally
responsible for ensuring that their course enrollment is correct and completed, and have their
fees paid, no later than the end of the third week of each quarter. Unless granted an official
Academic Leave of Absence or approval to pay the Filing Fee in lieu of registration, a graduate
student who does not register for any quarter will be considered to have withdrawn from the
University, and their respective fee assessment will be cancelled by the Registrar. In such cases,
student status and candidacy for any degree will lapse, and any student wishing to continue with
their graduate studies at UCI will be required to apply for readmission.

3. In-Absentia Registration

Students may apply for in absentia status if the following criteria are met: the research or
coursework is of a nature that makes it necessary to be completed outside of California (or, in
some cases by exception, within California but outside the Southern California area e.g. not
residing/working in Orange, Los Angeles, Riverside or San Diego county) for at least one full
academic term; the work away from the UC campus is directly related to the student’s degree
program as evidenced by UC faculty approval; the work involves only indirect supervision
(correspondence or review of written work) from UC faculty during the in absentia period; the
work involves no significant collaboration with UC faculty during the in absentia period.
Doctoral students who want to register in absentia for a second academic year must reapply. A
health insurance fee, non-resident tuition (if applicable), professional school fees (if applicable),
and reduced Educational and Registration Fees; as well as the Associated Graduate Students
(AGS) fee, are charged to all students registered in absentia.

While on In-absentia status, policy normally requires students to enroll in 12 units (typically for
dissertation research or independent study courses), and pay the required quarterly fees/tuition.
However, students on In-absentia status pay a reduced rate of 15% of the combined University
Student Services and Tuition fees, as well as the AGS fee and GSHIP, if applicable.

The procedures for enrolling are the same as for regular students who are in-residence on
campus. If In-absentia registration is approved by the academic department and the Graduate
Dean, the Graduate Division will send notice of an In-Absentia Waiver to the UCI Student
Billing System. The student will then be billed for the fees/tuition due, with the Waiver
appearing on the student’s Zotbill as a credit. It is the student’s responsibility to ensure fee
payment by the deadline established by the Registrar and to submit all applications and petitions
in a timely manner to ensure that their fees are assessed appropriately and prior to all deadlines.

4. Academic Leave of Absence

A Leave of Absence (LOA) may be granted for up to one academic year (3 quarters) if,
following review of the student's academic record, it is deemed consistent with the student's

40
academic objectives and progress toward degree. Written approvals are required from the
Faculty Graduate Student Advisor and/or the school's Associate Dean for Graduate Affairs (both
signatures are required in the Schools of Biological Sciences, Engineering, Humanities,
Medicine, Social Ecology, Social Sciences and ICS), and the Graduate Dean. It is important that
applications for LOA status be submitted to the Graduate Dean (120 Aldrich Hall) prior to the
beginning of the quarter for which approval is sought.

a. Purpose
An LOA is intended to cover the temporary interruption of the student's academic program. The
reason(s) for requesting an LOA must be consistent with University policy and guidelines as
outlined below, and with the student's academic program guidelines.

b. Eligibility Guidelines
A leave may be granted when a student plans to be away from the University of California for
one of the following reasons:

1) Serious illness or other temporary disability.

2) Concentration on an occupation not directly related to the student's academic
program.
3) Responsibilities related to family obligations.
4) Temporary interruption of the student's academic program for other appropriate
reasons.

c. Limitations to LOA

LOA policy does NOT apply under the following circumstances:

1) If a student will be absent from the campus and outside California while continuing
to pursue graduate research or scholarly activity. (Students engaged in such activity
outside California must register In-Absentia.)
2) If a student must leave the academic program for more than three quarters. Under
such circumstances students should withdraw and apply for readmission at the time they
expect to resume graduate study at UCI.
3) If a student requests such action retroactively.
4) If a student has not completed at least one quarter of graduate study at UCI.
5) If a student has not demonstrated satisfactory academic progress. (Please refer to
Section VI. A. Progress toward Degree.)

d. Procedures for Requesting an Academic Leave of Absence

A request for an LOA requires submission of a Graduate Division Academic Leave of Absence
form. The form should be submitted to Graduate Division (120 Aldrich Hall) prior to the
registration deadline for the quarter requested. A request for leave submitted after the end of the
third week of classes will be granted by exception only.

In those cases where the fees have been paid, a Withdrawal form, available from the Registrar's
Office or Graduate Division (120 Aldrich Hall), must also accompany the LOA form in order to
obtain a refund.

e. Other Policies Relevant to LOA

41
 1) Academic Appointments and Employment: A student on an approved leave may not
hold student academic appointments (Teaching Assistant, Graduate Student
Researcher, Reader, etc.) or other student employment titles.

2) Degree Requirements: A student on leave cannot take qualifying examinations for

advancement to candidacy or final examinations for the degree, nor pursue their graduate
studies on the UCI campus in any other manner. A student may not receive academic
credit for work done at another institution during the leave period unless an exception is
approved in advance by the Graduate Dean.

3) Fee Refunds: If fees have been paid for the quarter the leave is requested, the LOA
form, as noted above, must be submitted together with a Withdrawal form. Students
must indicate on the Withdrawal form, under Reason for Withdrawal, “LOA”. The
refund schedule is printed on the back of the Withdrawal form. The effective date for the
refund is the date the form is submitted to the Graduate Division (120 Aldrich Hall). Note
that the GSHIP premium will be refunded only if the Withdrawal form is submitted
before the first day of the quarter.

4) Filing Fee Restriction: Immediately following an LOA, students are required to

register. They will not be eligible to be on Filing Fee status.

5) Financial Support: While on an academic LOA, a student is not eligible for

University fellowships, University research grants, or financial aid support. In addition,
the student will, in most cases, lose eligibility for deferment of student loan obligations.
It is the responsibility of the student to contact their loan agency to verify their loan status
before applying for academic LOA.

6) Health Insurance: A student on leave will not be covered by the graduate student
health insurance (GSHIP) program unless the student self-pays for continued coverage.
Students should contact Student Health at (949) 824-5301 or refer to their website.

7) Housing: LOA status may affect eligibility for student housing. Students living on
campus who are contemplating an academic LOA should check directly with their
housing office for more information.

8) International Students: In accordance with visa restrictions, a student who is not a

permanent resident or citizen of the U.S. is not permitted to take an academic LOA. Any
exception to this policy requires written approval by UCI's International Center as
indicated on the LOA form. Following receipt of such approval the form must then be
submitted to the Graduate Division (120 Aldrich Hall).

9) Library Privileges: A student on leave will lose library privileges. Students should
contact the library for more information. In some cases, special arrangements can be
made with the library to maintain privileges.

5. Filing Fee Status

UCI's Academic Senate policy on Filing Fee status applies to students who have completed all
requirements for a terminal Master's or Doctoral degree and are ready for the formal submission
of their thesis or dissertation, or the final, formal examination. The Filing Fee may be paid in

42
lieu of registration for only one academic quarter or summer during the student's entire graduate
career, irrespective of how many graduate programs students enroll in. Students applying for
Filing Fee status must be registered in the preceding academic session. A Filing Fee will not be
accepted immediately following an academic LOA.

a. Establishing Eligibility for Filing Fee Status

To establish eligibility to pay the Filing Fee, the student must submit a Graduate Division Filing
Fee Petition. The Petition must be approved by the departmental Faculty Graduate Advisor and
the Chair of the thesis or doctoral committee and must certify that all other requirements for the
degree have been met. Students in the Schools of Biological Sciences, Engineering, Humanities,
ICS, Medicine, Social Sciences, and Social Ecology, also need to obtain the signature of their
Associate Dean for Graduate Affairs. International students, in addition, must secure approval
from the International Center to go on Filing Fee status. It is important that applications for
Filing Fee be submitted to the Graduate Dean prior to or at the very beginning of the quarter.

The completed Filing Fee form should be brought to the Cashier's Office with a check made out
for one-half of the Student Services fee. The form should then be submitted to the Graduate
Division for final approval/processing.

Note: Students in Self-Supporting Graduate Professional Degree Programs (SSGPDPs) are only
eligible for Filing Fee status if they have already enrolled for their program’s full normative time
and paid the entire program fee.

b. Limitations on Use of University Services While on Filing Fee Status

While on Filing Fee status a student may seek faculty involvement for a final reading of his or
her dissertation or thesis. A student may also take the final oral examination. However, students
may not pay the Filing Fee if they are still doing research or if any other use of University
facilities or faculty time is anticipated. Additional restrictions while on Filing Fee status include
the following:

1) Loss of eligibility for University administered financial assistance.

2) Loss of student services such as health services, including health insurance (GSHIP).
Students may, however, arrange to self-pay.
3) Possible loss of student housing or library privileges. Students are encouraged to
contact the Housing Office and Library for more information.
4) Loss of eligibility status for UCI academic or student appointments.
5) Loss of eligibility in most cases for deferment of student loan repayment obligations.

If, after paying the Filing Fee, the student finds it necessary to use the educational facilities of
the University in any way other than those described in this section, the student must cancel the
Filing Fee and register for full-time status. Further, if all requirements are not completed during
the quarter for which the Filing Fee was paid, the student must register for full-time status for
any subsequent quarter. To do so the student must contact the Graduate Division in order to be
reassessed fees for the next quarter.
Students wishing to earn a degree over the summer must be enrolled in units or on Filing Fee
status. All summer Filing Fee requirements and policies are similar to those stated above with
the exception of the items listed below. You can find the summer Filing Fee form on the
Graduate Division website.

43
 • The student applying for Filing Fees status in summer must have been registered in the
preceding spring academic quarter.

• For summer Filing Fee only, students may receive fellowship support or UCI
employment while on summer Filing Fee.

• Students registered and covered with GSHIP for spring quarter and on Filing Fee status
during summer: maintain GSHIP coverage, student housing and library privileges
through the end of summer.

• Note: Students in Self-Supporting Graduate Professional Degree Programs (SSGPDPs)

are only eligible for Filing Fee status if they have already enrolled for their program’s
full normative time and paid the entire program fee.

6. Terminal Master's Students

Students pursuing a terminal master's degree may not continue to register as a graduate student
subsequent to a degree award unless formally admitted to a doctoral program. To be considered
for admission to a doctoral program, the student must submit a new Application for Graduate
Study.

D. Doc2A Definition & Guidelines

(Updated by Graduate Council 12/2013)

By definition, a Doc2A student is enrolled more than 9 quarters past their advancement to candidacy
for the Ph.D. The Doc2A quarter count begins with the quarter immediately following their
advancement to candidacy date. The university does not receive state funding for students who are in
Doc2A status nor are they included in official enrollment counts. Graduate students in Doc2A status
may be appointed to GSR/GSAR titles at the hiring department’s discretion, provided they meet
academic qualifications including enrollment and grade/GPA requirements, and are making
satisfactory academic progress; and to ASE titles at the hiring department’s discretion if they are
within the 18-quarter service limit for Teaching Assistants and Teaching Associates; meet academic
qualifications including enrollment and grade/GPA requirements; and meet English language
proficiency requirements for Teaching Assistants and Teaching Associates (for international and
U.S. permanent resident students who are not citizens of countries where English is the primary or
dominant language).

E. Nonresident Supplemental Tuition Reduction for Nonresident Doctoral Students

(International Students)

Nonresident doctoral students who have advanced to candidacy are eligible for a 100% reduction in
the non-resident supplemental tuition (NRST) for a maximum of three consecutive calendar years
including time on leave of absence. The reduction in NRST begins with the first academic term
following advancement to candidacy, and is based on the prevailing NRST rate for the year it is
applied. Any nonresident student who continues to be registered, or who re-registers following the
three-year maximum allowance, will be charged the full NRST rate that is in effect at that time of
enrollment. The student must be advanced to candidacy as of the first day of the quarter to qualify
for the NRST reduction. A nonresident student is eligible for the reduced NRST for only one
doctoral degree when he or she is enrolled at the University.

44
F. Intercampus Exchange Program

1. What is Intercampus Exchange?

Through the Intercampus Exchange Program graduate students may take advantage of unique
educational opportunities at another University of California campus. Students may also take
courses on more than one campus of the University in the same academic session. The program
is reserved for those students whose graduate study may be enhanced by work with
distinguished faculty or use of facilities and resources accessible only on another UC campus.
2. Eligibility for Intercampus Exchange

Students must have completed at least one quarter of graduate study at the University and be in
good standing (3.0 cumulative GPA) to be eligible to apply for Intercampus Exchange.
Approvals by the departmental graduate faculty advisor, the host department(s), and the Deans
of the respective graduate offices are required.

3. Procedures

Application forms for the Intercampus Exchange Program are available on the Graduate
Division website and should be submitted to the Graduate Division at least four weeks before the
beginning of the quarter for which Intercampus Exchange is desired. If approved, the exchange
student pays fees and enrolls at UCI (see a. and b. below) by the published deadlines, and then
enrolls at the host campus. Fees at the host campus are waived. Students earn credit toward
academic residence requirements at UCI, while the host campus provides library privileges and
other student services. The exchange student is responsible for complying with the policies,
procedures, and deadlines of the host campus Registrar. Although eligible for all regular student
services, the exchange student is a visitor, and not formally admitted to graduate study at the
host campus.

a. Financial Aid and Intercampus Exchange

The Registrar reports student status to financial aid lending institutions on a quarterly basis. If a
student's record does not show full-time enrollment, the lending institution may set in motion the
process for repayment of the student loan. Students who enroll in courses on two campuses in a
given quarter, and in fewer than 12 units on each of the two campuses during that quarter, will
not be considered full-time students even if the total number of units is 12 or more unless they
enroll in a "place-holder course" at UCI. The place-holder course numbers are listed by campus;
please contact the Graduate Division to obtain the applicable place-holder course number. The
student should identify the appropriate course number, pay fees and enroll online using WebReg
before the second week of classes.

4. Joint (Intercampus) Degree Program Students

Students in joint/intercampus degree programs should also enroll and register as Intercampus
Exchange students when they are taking classes on a participating campus other than UCI.
There may be some important exceptions to the regular policy on intercampus exchange,
including additional services that may be available on the participating campus, and a more

45
 streamlined enrollment/registration procedure. Students should consult with their home
department/program or the Graduate Division for more information.
5. Coursework Credit

A report of academic work completed will be transferred to the student's academic record on the
home campus. Direct arrangements between faculty members on the two campuses involved are
encouraged, in order to ensure that courses, seminars, or facilities will be available to meet the
student's needs. Whether or not the coursework at the host campus applies toward the student's
program requirements is at the discretion of the Faculty Advisor/Associate Dean for Graduate
Affairs of the student's academic unit. Therefore, the student should consult with the appropriate
individual(s) prior to enrolling in a given course.
If a graduate student undertakes coursework through Intercampus Exchange in the quarter in
which the degree award is expected, and if that coursework is to be applied toward degree
requirements, the degree can be conferred only when the approved credit for the coursework is
posted to the student's UCI academic record. In such circumstances, to avoid delays or problems
in the degree award process, the student should contact the Registrar of the host campus and
order a transcript of the work completed to be sent directly to the Graduate Division. The
student should also notify the Graduate Division in writing that the transcript has been requested.

VI. ACADEMIC STANDARDS FOR STUDENTS

A. Progress toward Degree

1. Satisfactory Progress

A graduate student is expected to maintain satisfactory progress toward an approved academic

objective as defined by the faculty of the program, and in accordance with policies of the
Graduate Council and the University. It is important that the academic record of the student be
assessed each quarter to confirm satisfactory progress. The academic unit should inform the
Graduate Division by contacting the Enrolled Student Affairs Officer of any action taken with
regard to a student's academic record, and should provide copies of any related correspondence
between the department/program and the student.

Satisfactory progress is determined on the basis of both the student's recent academic record and
overall performance. The criteria for determining satisfactory progress toward degree are
outlined below. Student records should be reviewed with special attention to the following
criteria:

• GPA - the student must maintain at least a 3.0 cumulative grade point average.
• Normal Time to Degree – the student must advance to candidacy and complete the degree
within the limitations established by UCI’s Graduate Council (March 2004). A student
exceeding the maximal time to degree shall be deemed not to be making satisfactory
progress toward their degree; moreover, they shall not be eligible to receive University
resources (e.g., financial aid, TA-ships, housing, etc.). Per UCI’s Graduate Council,
beginning with students entering in fall 2010, the Graduate Dean will not permit students to
enroll past their programs’ maximum time to degree (June 2009). Any exception request
must be made in writing directly to the Graduate Dean and will be considered in cases
involving extenuating circumstances beyond the student’s control. The exception request
must include a plan and timeline for completion of the degree, must be signed by the

46
 student’s program advisor and Associate Dean, and must be submitted at least one quarter in
advance of maximum time to degree. Note that leaves of absence of up to three quarters and
time allotted for parental leave are not counted toward a student’s normative or maximum
time to degree. Normal Time to Degree for each graduate program is listed in the General
Catalogue and on the Graduate Division website.
• Grade Reports - all I, W, or NR grades should be reviewed and appropriate action taken as
needed.
• P/NP - no courses graded "Pass" are to be included as part of the advanced degree program,
nor are they to be considered as satisfying academic criteria for University-administered
fellowships and academic appointments/employment.
• Enrollment Units - students must be enrolled for at least 12 graduate or upper-division units
of credit each quarter, including credit for supervised teaching and research, unless part-time
status or an academic leave of absence has been approved in advance by the Graduate Dean.
In cases of approved part-time status, enrollment in eight (8) or fewer units of credit toward
the degree is expected each quarter.
• Distribution of units - the number of upper-division and graduate-level units of credit
completed toward degree requirements each quarter should be at least eight and no more
than 16 units, unless an exception has been approved..
• Residency - time in residence prior to advancement to candidacy for the Ph.D. or
professional doctorate degree should be within acceptable limits (ordinarily, no more than
four years).

2. Unsatisfactory Progress

A graduate student who has not demonstrated satisfactory academic progress is not eligible for
any academic appointment/employment, fellowship support or other awards.

a. Criteria for Determining Unsatisfactory Progress

• An overall grade point average below 3.0; or

• A grade point average below 3.0 in two successive quarters; or
• Fewer than 24 units completed and applicable toward the advanced degree requirements in
the last three quarters; or
• Failure to complete required courses or examinations satisfactorily within the period
specified by the graduate program; or
• Failure to pass a required examination in two attempts; or
• Failure to progress academically within the Normal Time to Degree framework specified for
the student’s graduate program; or
• The appropriate faculty committee's evaluation that there has not been satisfactory progress
toward completion of the thesis or dissertation.

NOTE: Unsatisfactory academic progress may be determined on the basis of explicit

requirements such as those outlined above. However, the professional judgment of the faculty,
upon review of all graduate work undertaken by the student, is paramount, and the faculty of a
particular academic unit may establish more restrictive criteria for satisfactory academic
progress. Programs should outline the additional criteria in a handbook or a program website that
is easily accessible to the student.

b. Notice of Unsatisfactory Progress

47
 It is very important to give students an early warning of potentially unsatisfactory progress.
Faculty advisors must be direct and clearly communicate orally and in writing with students
demonstrating academic difficulties at the earliest possible time, and must keep a written record
of all such communications. Notices of potential unsatisfactory progress, which should include
placement on academic conditional status, must be sent in writing to the student; a copy must
also be retained in the academic unit files and another copy sent to the Graduate Dean (120
Aldrich Hall). The written communication must include specific details on areas that
require improvement, provide an outline and a timeline for future expectations of
academic progress, and set meeting dates to maintain continuity in advisement; and state
the consequences if the student does not meet the requirements within the time provided.
To ensure due process, programs should maintain documentation of subsequent actions taken by
the student and/or program after the student has been notified. The purpose of the notice of
potential unsatisfactory progress is to provide the student with a period of time (usually at least
one academic quarter if practical) in which to make the necessary improvement in their
academic status, and successfully complete their graduate study.

If requested by the academic unit to do so, the Graduate Dean will also send a notice of potential
unsatisfactory progress to the student.

3. Academic Disqualification Policy (Amended by Graduate Council 11/2015)

Section I. Definitions

A. Disqualification vs. Dismissal

Disqualification means that, for one or more of the academic reasons listed below, a student
is no longer eligible to continue graduate study in his/her graduate program at the University
of California, Irvine. The term “dismissal” should not be confused with “disqualification.”
Dismissal is an administrative action resulting in removal from graduate study based on
behavior or conduct. Authority to terminate student status as a result of disciplinary
proceedings rests with the Dean of Students.

1. “Graduate Dean” means the Dean of the Graduate Division at the University of
California, Irvine.

2. “Graduate Advisor” means the graduate student’s faculty advisor.

3. “Associate Dean” – means the Associate Dean of Graduate Studies for the student’s
degree granting School

4. “Academic Conditional Status” –Prior language also used was ‘Academic

Probation.’

Section II. Academic Disqualification

A. General Policy.

1. Recommendation for Disqualification. If a graduate student’s Graduate Advisor

determines that a graduate student is making unsatisfactory academic progress as
determined by any of the factors noted in this section, the Graduate Advisor shall consult
with the appropriate faculty and administrators for that degree granting unit (e.g.
Associate Dean, Chair, Thesis Advisor, etc.) before drafting a letter to notify the graduate

48
 student in writing that he or she has been recommended for academic disqualification.
The letter will be vetted and approved at the School level by the Associate Dean and sent
to the student. A copy of the letter will then be sent to the Graduate Dean.

2. Disqualification by Graduate Dean. After consultation with the graduate student’s

academic unit faculty, the Graduate Dean may disqualify a graduate student because of
unsatisfactory academic progress as determined by any of the factors noted in this
section. Should the Graduate Dean determine that disqualification is warranted under this
section, the Graduate Dean shall notify the graduate student in writing of the
disqualification determination.

3. Withdrawal by Mutual Agreement. In those cases in which the graduate student and
the academic unit mutually agree to the termination status, either to end graduate study
with a Master’s Degree or to simply withdraw from graduate study, then the academic
unit and/or graduate student may independently notify the other of this mutual agreement.
In all such cases, the department shall provide the Graduate Division a copy of the mutual
agreement to terminate. The department shall direct that notice to the Enrolled Student
Affairs Officer at 120 Aldrich Hall.

4. Grounds for Placement on Academic Conditional Status

a. Events Triggering Automatic Placement on Academic Conditional Status. The
following events result in a graduate student’s automatic placement on Academic
Conditional Status:
i. A graduate student’s grade point average for any term is less than 3.0,
calculated on all of the letter graded upper division and graduate courses
completed while registered as a graduate student at the University of California.
ii. A graduate student’s cumulative grade point average is less than 3.0,
calculated on all of the letter graded upper division and graduate courses
completed while registered as a graduate student at the University of California.
iii. A graduate student earns a grade of B- or less in a course.
iv. A graduate student accumulates a combination of more than eight units of “I,”
“U” and/or “F” grades in total.
b. Events that May Lead to Academic Conditional Status at the Discretion of the
Associate Dean:
i. Graduate students with this status will be notified by the appropriate faculty
and administrators for their degree granting unit (e.g. Associate Dean, Graduate
Advisor, Thesis Advisor, and/or Chair, etc.) that they are not making satisfactory
progress in their research or coursework (e.g. failing a comprehensive/prelim
exam, not advancing to candidacy, not passing a language requirement, or other
program requirements). The additional criteria that may result in a student being
placed on academic conditional status should be outlined in a handbook or a
program website that is easily accessible to the student.
ii. Graduate students who are beyond the maximum time to degree for their
respective program.

5. Procedure for Notifying Graduate Students of Placement on Academic Conditional

Status. When graduate students are placed on Academic Conditional Status, the Associate
Dean of their School shall send each graduate student a letter informing the student that
he/she is on Academic Conditional Status and indicating the requirements for returning to
good academic standing and a specific timeline for doing so. Details of what is required will

49
be specific to the program and the individual student’s progress. To ensure due process,
programs should maintain documentation of subsequent actions taken by the student and/or
program after the student has been notified.

6. Grounds for Disqualification

a. Automatic Disqualification from Further Registration. A graduate student is
automatically disqualified from further registration if, at the end of any term, the
graduate student’s grade point average for that term is less than 2.0. For automatic
disqualifications, the standard disqualification procedures do not apply and cannot be
appealed.
b. When Academic Conditional Status Leads to Disqualification from Further
Registration. A graduate student who has been placed on Academic Conditional
Status is subject to disqualification if any one or more of the following events occur:
i. A graduate student has completed two consecutive terms on Academic
Conditional Status; for instances where the condition of returning to satisfactory
academic progress is to repeat, or take for the first time, a course that is offered
during a time that exceeds two consecutive terms, exceptions may be made and
notified to the Graduate Dean
ii. During a graduate student’s term on Academic Conditional Status, the
graduate student fails to improve his/her grade point average as stipulated in the
Associate Dean’s warning letter.
iii. If after one term on Academic Conditional Status because of an excessive
number of units of combined “I,” “U” and/or “F” grades, the graduate student
fails to make up the required number of such units stipulated in the Associate
Dean’s warning letter or accumulates further units of “I,” “U” and/or “F” grades,
disqualification will result.
c. Disqualification from Further Registration upon Recommendation of the
Associate Dean.
i. General Rule. The Graduate Advisor may also recommend to the Associate
Dean and appropriate faculty and administrators for that degree granting unit
(e.g. Chair, Thesis Advisor, etc.) the disqualification of a graduate student who is
not making satisfactory progress toward the degree objective even if the graduate
student’s grade point average is above 3.0.
ii. Grounds for Recommending Disqualification based on Unsatisfactory
Progress. Unsatisfactory progress may result from failure of a program’s
preliminary or comprehensive examination, failure to meet published timelines
for completion of the degree, failure to meet deadlines imposed on the individual
graduate student, or failure to make adequate progress in research or creative
work. Unsatisfactory progress will also result when a Ph.D. student is unable to
secure a faculty advisor or if the student’s advisor/advisee relationship is
terminated and the student is unable to secure a new faculty advisor within a
specified period of time.
iii. Notification to Student. If the Graduate Advisor determines that a graduate
student is not making satisfactory progress toward the degree objective, a letter
will be sent to the graduate student informing him/her of the lack of satisfactory
progress. This letter will be drafted by the Graduate Advisor in consultation with
the appropriate faculty and administrators for that degree granting unit (e.g.
Chair, Thesis Advisor, etc.) and ultimately approved by the Associate Dean of
Graduate Studies. The School will provide a copy to the Graduate Dean.

50
 iv. Opportunity to Cure. Once the graduate student has received formal written
notice, the graduate student should be given at least one quarter, if practicable, to
remedy the lack of progress identified in the Graduate Advisor’s report.
Notwithstanding the foregoing, the graduate student will not have an opportunity
to cure if the reason for the disqualification recommendation is one of the
following:
1. The graduate student fails a program examination beyond the number
of attempts the program allows for
2. A MAT or Credential student is dismissed from a student-teaching
placement.

Section III. Detailed Disqualification and Appeal Procedures

A. Authority. Regulation 904 of the Academic Senate of the University of California reads
as follows: “Disqualification of graduate students is at the discretion of the Dean of the
Graduate Division concerned.” With the advice of the Graduate Council, the Graduate Dean
has adopted the following policies and procedures.

B. Procedures for Disqualification

1. Recommendation for Disqualification by Associate Dean. If a graduate student’s

Graduate Advisor determines that a graduate student is making unsatisfactory academic
progress as determined by any of the factors noted in Section II of this policy, a letter will
be sent to the graduate student informing her/him of the lack of satisfactory progress.
This letter will be drafted by the Graduate Advisor in consultation with the appropriate
faculty and administrators for that degree granting unit (e.g. Chair, Thesis Advisor, etc.)
and ultimately approved by the Associate Dean. The School will provide a copy to the
Graduate Dean. To ensure due process, programs must also provide the Graduate Dean
with all documents relevant to the disqualification case.

2. Graduate Dean’s Notice to Student: If the Associate Dean recommends in writing to

the Graduate Dean that a graduate student be disqualified, the Graduate Dean, the
administrative officer with final responsibility for disqualification, will inform the student
in writing via an email to the student’s UCI email account, of receipt of the
recommendation to disqualify.

3. Graduate Student’s Right to Present Case. As a component of the notice to the

student and contained in the same written communication, the graduate student shall have
the right to present his or her case to the Graduate Dean in writing within 14 calendar
days of the date of the Notice. The notice shall state that the Graduate Dean’s review will
commence after the 14-day period has elapsed.

4. The Graduate Dean Review: After the 14 day period, whether or not the student
submits a case in writing to the Graduate Dean, the Graduate Dean will carefully review
the graduate student's academic record and all materials related to the student’s academic
progress, as well as any information that may be provided by the student.

5. Notification of Decision by Graduate Dean. Unless there are indications of

procedural error or other substantive mitigating factors to explain the student's
unsatisfactory record, the Graduate Dean will notify the student in writing of the intent to
disqualify.

51
The Notification of Decision will state that the student has 30 calendar days from the date
of the Notification of Decision to appeal the Graduate Dean’s decision. If the graduate
student does not respond or withdraw from his or her respective graduate program within
30 calendar days of the Graduate Dean’s notification of intent to disqualify, the Graduate
Dean shall send a final written notice of academic disqualification to the graduate
student. There will be a notation placed on the student’s transcript stating that the student
was academically disqualified. A graduate student who has been disqualified will not be
allowed to register in any graduate program at the University of California, Irvine
including the original graduate program or any other graduate program, without approval
of the academic unit and the Graduate Dean.

6. Graduate Student's Right to Appeal. The graduate student shall have the right to
appeal his or her case. If the graduate student wishes to appeal the Graduate Dean’s
decision, the graduate student must request an appeal in writing within the 30 calendar-
day period. The student’s written appeal must be sent to the Graduate Dean, and the
Graduate Dean will forward the appeal to the Graduate Council for review.

Once the graduate student has submitted an appeal, should the graduate student choose to
withdraw before a decision is reached, the appeal process stops, and the appeal becomes
void. The option to withdraw terminates on the date that the Graduate Dean sends the
Final Determination Notice to the graduate student.

7. Grounds for Considering Graduate Student’s Appeal. Student appeals will be

considered only if based upon specific criteria as follows: (1) procedural error; (2)
verifiable evidence of personal bias; or (3) judgments based on non-academic criteria 1.
Disagreements over evaluation of academic quality are not an appropriate basis for an
appeal.

8. Graduate Student’s Status during Appeal Period.

While the appeal is being considered, the student has two options. A) The student can
withdraw from the program, which results in a “W” on the student’s transcript, rather
than a disqualification notation. This option to withdraw terminates on the date that the
Graduate Dean sends the Final Determination Notice to the graduate student. B) The
student must maintain his or her registration status, if eligible to do so, based on grade
point average and other requirements. In either case, if during the appeal process the
student’s status lapses (i.e., the student fails to, or is ineligible to, register), the
disqualification and appeal process will terminate.

The Graduate Council will assign the case to their subcommittee on academic
disqualification which will review the appeal, collect additional material if necessary and
make a recommendation to Graduate Council. Graduate Council will then vote on a
decision. The recommendation and vote will be conducted with only voting members
present as well as the Graduate Council Analyst who serves as the record keeper for the
Council minutes. The Graduate Council’s decision will be implemented by the Graduate

1 Complaints relating to discrimination on the basis of any protected status by law or UC Policy
shall be referred to the Office of Equal Opportunity and Diversity (“OEOD”), and the matter will
be held in abeyance until OEOD has completed its investigation. OEOD shall report its findings to
the Graduate Dean.

52
 Division Dean who will notify the student and all relevant parties involved. The Graduate
Dean shall formally communicate the final decision to the student, and all parties
involved, in writing.

9. Final Determination Notice. Upon receipt of the Graduate Council’s decision in

writing as to the disposition of the case, the Graduate Dean shall formally communicate
the final decision to the student in writing. The Graduate Dean’s final notice to the
student will include: (1) the basis for the decision; (2) its effective date; and (3) the nature
of the recommendations of the Graduate Council. For students seeking J.D. or M.D.
degrees, the disqualification and appeals process will be according to the written
procedures adopted by the Schools of Law and Medicine, respectively.

C. Due Process Requirements. To ensure that a decision to disqualify a graduate student

from an academic program is just, the following due process requirements must be met:

1. Departmental and program policies must be clearly stated in writing, and a copy
provided to all graduate students in the program upon acceptance into the graduate
program or within the first few weeks of the graduate student's first quarter of enrollment
in classes.

2. Information on University and campus policies affecting graduate students must be

provided to all graduate students in the program. Most of these can be found on the UCI
Website and the UCI General Catalogue.

3. Academic standards must be uniformly applied.

4. Modification of a graduate program's policies undertaken to improve its offerings or to

exercise its educational responsibilities must be submitted to the Graduate Council for
approval in accordance with Academic Senate policy.

5. Graduate students must be promptly informed of any such modifications as described

above, and should be allowed, whenever appropriate and feasible, to complete work
under standards in place at the time of their initial enrollment in the program. Academic
units should contact the Graduate Division Student Affairs Officer to determine the
appropriateness of requiring enrolled graduate students to meet new standards.

6. Grades must accurately reflect a graduate student's performance in each course,

including research units.

7. An attempt must be made to discover if a graduate student lacks the academic

qualifications to complete a graduate degree program as early as possible in the graduate
student's academic career. If a graduate student’s physical or mental disability is affecting
their degree progress, the graduate student should be referred to the Disability Services
Center.

8. The graduate student must be given early written notice of potentially unsatisfactory
academic progress and a specific period of time, if practicable, in which to correct all
deficiencies. The written notice must also state the outcome should the graduate student
fail to correct the deficiencies by the stated deadline(s).

D. Appeal Timeline. The following time requirements apply to the appeals process:

53
 1. Timeframe for Graduate Student’s Appeal of Graduate Dean’s Initial
Disqualification Decision. Once a graduate student receives the Notification of Decision
from the Graduate Dean, the Graduate Dean shall give the graduate student 30 calendar
days from the date of the Notification of Decision to appeal the decision or to withdraw
from the graduate program. The graduate student must request an appeal in writing.

2. Grounds for Appeal. If the graduate student chooses to appeal within the 30 calendar
day period, the graduate student may do so only on the basis of one or more of the
following specific criteria: (1) procedural error; (2) verifiable evidence of personal bias;
or (3) judgments based on non-academic criteria.

3. Process for Considering and Resolving Appeal. If a graduate student submits a

timely appeal to the disqualification decision, the Graduate Dean shall forward the appeal
file to the Graduate Council. The Graduate Council will assign the case to their
subcommittee on academic disqualification which will review the appeal, collect
additional material if necessary and make a recommendation to Graduate Council.
Graduate Council will then vote on a decision. The recommendation and vote will be
conducted with only voting members present as well as the Graduate Council Analyst
who serves as the record keeper for the Council minutes. The Graduate Council’s
decision will be implemented by the Graduate Division Dean who will notify the student
and all relevant parties involved. The Graduate Dean shall formally communicate the
final decision to the student, and all parties involved, in writing.

4. Content of Final Determination Notice to Graduate Student. The Graduate Dean

shall include the following information in the final disqualification notice to the student:
(1) the basis for the decision; (2) its effective date; and (3) the nature of the
recommendations of the Graduate Council. For students seeking J.D. or M.D. degrees,
the disqualification and appeals process will be according to the written procedures
adopted by the Schools of Law and Medicine, respectively.

5. Limits on Graduate Student’s Right to Withdraw in Lieu of Disqualification.

Once the graduate student has submitted an appeal, should the graduate student choose to
withdraw before a decision is reached, the appeal process stops and the appeal becomes
void. The option to withdraw terminates on the date that the Graduate Dean sends the
Final Determination Notice to the graduate student.

E. Procedure if Graduate Student does not Appeal. If the graduate student does not
respond or withdraw from his or her respective graduate program within 30 calendar days of
the Graduate Dean’s notification of intent to disqualify, the Graduate Dean shall send a final
written notice of academic disqualification to the graduate student. There will be a notation
placed on the student’s transcript stating that the student was academically disqualified. A
graduate student who has been disqualified will not be allowed to register in any graduate
program at the University of California, Irvine including the original graduate program or
any other graduate program, without written approval of the admitting academic unit and the
Graduate Dean.

B. Graduate Standards for Grading

For a graduate student, only the grades A+, A, A-, B+, B, and S represent satisfactory scholarship,
and only coursework in which these grades are received may be applied toward degree requirements

54
(see 2, Academic Unit Exceptions, below). If the student has a grade point average of at least 3.0 in
all courses applicable to the degree, one UCI course in which a grade of B- is earned may be
accepted by the petition process in partial satisfaction of the degree requirements. Graduate students
may not apply courses graded Pass/Not Pass toward any degree or satisfactory progress
requirements. A grade point average below the B level (3.0 on a 4.0 scale) is not satisfactory, and a
student whose grade point average is below that level is subject to academic disqualification. The
minimum grade point average standards, as stated in this manual, are minimum UCI requirements.
Individual academic unit faculty retains the prerogative to apply stricter standards for graduate
students within their academic unit.

1. Course Repetition

Courses in which a grade below a B, or a grade of U, was received may be repeated only once.
Only the most recently earned grades will be used in computing the student’s grade point
average for the first eight (8) units of repeated graduate coursework. Thereafter, both the earlier
and later grades are averaged.

2. Academic Unit Exceptions

In the case of those graduate programs in which the faculty has adopted, and the Graduate
Council has approved, a special grading standard, courses in which the grade of B-, C+, and C
were assigned will be accepted in partial satisfaction of degree requirements. Such exceptions
must be noted in the Graduate Degree Program Summary for that program. A copy of the
program summary is available in the academic unit and in the Graduate Division (contact the
Enrolled Student Affairs Officer). Please note that a cumulative grade point average of 3.0 is
required for all degree awards.

3. Individual Exceptions

With the approval of a student's Graduate Faculty Advisor and the Graduate Dean, a course in
which the student received a grade of C+ or C may be accepted in partial satisfaction of the
requirements for an advanced degree. Such exceptions are rarely granted. Whenever possible,
the student should repeat the course for satisfactory credit toward the degree.

4. Pass/Not Pass (P/NP)

The grade Pass (P) is applied to undergraduate coursework only. It is equivalent to C level work
or better, and does not represent satisfactory scholarship for a graduate student. The grade P is
not considered as meeting the academic criteria for satisfactory progress, for university-
administered fellowships, or for academic appointments/employment. If a graduate student
chooses the option of P/NP grading, it is assumed that the course is an elective that does not
have any significant relationship to the student's progress in the graduate program. A graduate
student may elect P/NP grading for one course only (a maximum of 4 units) per quarter. Under
no circumstances will courses taken P/NP count toward unit and degree requirements for any
graduate degree program.

5. Satisfactory/Unsatisfactory (S/U)

A grade of Satisfactory (S) is equivalent to a grade of B (3.0) or better. No credit is given for a
course in which a grade of Unsatisfactory (U) was assigned.

55
 A student cannot self-elect S/U grading. The S/U grading is assigned by the instructor and may
be assigned to all participants in a graduate course with the approval of the Graduate Council in
accordance with Academic Senate regulations. Similarly, with the consent of the academic unit
involved and approval by the Graduate Council, individual study and research or other
individual graduate work may be evaluated by means of the grades Satisfactory or
Unsatisfactory.

6. In Progress (IP)

"In Progress" is a transcript notation restricted to sequential courses extending over two or more
quarters, and for which use of the IP notation has been approved by the Graduate Council and
the academic unit. It indicates satisfactory progress, and should not be assigned if the level or
the progress of the work to date is not satisfactory. Upon completion of the last quarter of the
course sequence, the grade for the final quarter is assigned for all quarters of the sequence. No
course credit is given until the student has completed the entire sequence.

If a student who was assigned the provisional notation IP for one or several quarters of a course
sequence fails to complete the sequence, the instructor may assign a final grade and request the
Registrar to replace the IP with that final grade on the permanent record. In the event that no
action is taken to replace the IP with a final grade, the IP will be changed to an Incomplete (I) --
see below -- at the end of the third quarter following the quarter in which it was originally
assigned, or at the end of the quarter immediately preceding award of the degree, whichever
comes first. Only quarters in which a student is enrolled will be counted in determining the time
at which an IP is changed to an I.

7. Incomplete (I)

The grade Incomplete (I) may be assigned when a student's work is of passing quality but is
incomplete for good cause. The student must make arrangements with their instructor to
complete the coursework within a period of no more than 12 months following the term in which
the grade Incomplete was originally awarded, or prior to the end of the quarter immediately
preceding award of the degree, whichever comes first. The instructor is not obligated to allow
the maximum time period. The student should not reenroll in the course to make up the
Incomplete.

Incomplete (I) grades will convert to a failing grade (F), not pass (NP), or unsatisfactory (U),
whichever is appropriate, after remaining on the student's record for 12 months, as governed by
Irvine Academic Senate Regulation IR A345.

The number of Incomplete grades accumulated by a student should be monitored and limited
carefully, and should be removed as soon as possible. Incomplete grades are an important factor
in evaluating academic progress as well as in determining eligibility for employment. The
maximum amount of time that an instructor may allow for making up incomplete work is no
more than 12 months following the term in which the grade Incomplete was originally awarded,
but stricter limits may be applied. When work is completed within the time allowed, the student
should ask the instructor to submit a change of grade notice to the Registrar. The general
procedure is to process such requests with the approval of the Associate Dean for Graduate
Affairs of the school in which the course was offered. If not made up within the time allowed,
an I grade will convert to a failing grade (F), not pass (NP), or unsatisfactory (U), whichever is

56
 appropriate and is recorded permanently. This is then used when computing GPA to determine
whether the student meets the minimum GPA requirement for graduation (3.0).

8. No Report (NR)

The NR notation is made on a student's permanent record in those cases where the student's
name appears on the official class roster but the instructor did not turn in a grade for the student.
The NR notation is applied under extenuating circumstances only: specifically, if the student and
instructor have not reached agreement on the work, or, if a student misses a final exam, and the
instructor does not have a chance to talk with the student before grades are due. Under these
circumstances, the instructor may not be able to give a grade based on the material the student
has completed.

A student who receives an NR transcript notation should immediately contact the instructor to
arrange for the removal or replacement of the notation. The NR may be removed from the
student's record by the action of the instructor providing that the assignment of the NR was due
to a clerical or procedural error. Depending on the circumstances, the instructor may request
that the Registrar change the NR to a grade (including the grade Incomplete), or remove the
entry for that course altogether from the permanent record.

If no action is taken to remove the NR from the permanent record after one quarter of
subsequent enrollment, or at the end of the quarter immediately preceding award of the degree,
whichever comes first, the NR notation will be changed to an F or NP (UCI Academic Senate
Regulation A345 [G2]).

9. Withdrawal (W)
In accordance with UC Irvine Academic Senate Regulation 440, the Registrar will record on a
student's permanent academic record a W notation for each course the student drops at any time
after the end of the sixth week of instruction in a quarter. Courses in which a W has been
entered on a student's transcript will be disregarded in determining the grade point average. In
general, W notations are not considered in determining a student's satisfactory progress.
However, if a student accumulates a significant number of W notations, they may become a
significant factor in this regard.

C. Removal of Deficient Grades and Repeat of Courses

Repetition of courses not authorized to be taken more than once for credit is limited by Academic
Senate policy. A graduate student may repeat a course in which a grade below B (3.0) or a grade of
Unsatisfactory was received one time. Only the most recently earned grade is used in computing the
student's grade point average for the first eight units of repeated work. Thereafter, both the earlier
and the later grades are averaged. All credit units attempted and grades received remain part of the
permanent record of the student.

D. Examinations

1. Scheduling of Examinations

Ordinarily, examinations that are required for an advanced degree, including language and
comprehensive examinations and qualifying or final examinations for the Ph.D. or professional
doctorate degree, may be given only during an academic session for which the student has
registered. However, with the approval of the graduate committee of the academic unit, such

57
 examinations may be given between the end of any academic session for which the student was
registered and the beginning of the next regular academic session.

2. Repeat of Critical Examinations

In accordance with Academic Senate policy, a graduate student shall have the option of taking a
second examination in the event of unsatisfactory performance on a critical examination.
Included are the first-year comprehensive examination, comprehensive examination for Master's
degrees, the Ph.D. qualifying examination, the Ph.D. candidacy examination, and the final
examination on the Ph.D. dissertation. The second examination may have a format different
from the first, but the substance should remain the same. A student whose performance on the
second attempt is also unsatisfactory, or who does not undertake a second examination within a
reasonable period of time, is subject to academic disqualification. A third examination may be
given only with the approval of the departmental graduate committee and the Graduate Dean.

3. Credit by Examination

Because of the nature of graduate degree requirements, the credit by examination option is not
normally used by graduate students. Graduate level courses cannot be completed through the
credit by examination option.

E. UCI Academic Senate Policy on Academic Honesty

(Approved by the Irvine Division on 6/2/88, revised 12/12/96; revised 10/12/00)

The consequences of failing to uphold the academic honesty policy is published in the UCI General
Catalogue and in the UCI Academic Senate Manual.

Students are expected to become familiar with this policy. Students who fail to uphold their
fundamental academic obligation are subject to consequences that might range from lowering a
grade to campus-wide sanctions, up to and including dismissal. Examples of conduct that fall under
the aegis of the policy on academic honesty include, but are not limited to, plagiarism, cheating,
stealing of exams, falsifying the record of their work, or collusion in such dishonest activities. When
faculty suspect academic dishonesty, they need to follow due process guidelines and investigate their
suspicions promptly and fairly. Minimally, due process requires that suspected students be given
clear and prompt notice of the suspicion and the opportunity to confront or rebut the evidence that
gave rise to the suspicion. Some procedures for implementing the policy can also be found in the
UC-UCI document Policies Applying to Campus Activities, Organizations, and Students.

F. Individual Development Plans

(approved by the Graduate Council 1/11/18)

Doctoral and MFA students are required to complete annual Individual Development Plans (IDPs)
in consultation with their faculty advisor. Programs may use the Graduate Division IDP template or
modify the document to include additional questions relevant to the discipline.

G. Graduate Mentoring and Advising Policy

(Revised version approved by the Graduate Council 4/13/17)

Introduction

58
A mentor-mentee relationship is based on trust and discretion. Good mentoring involves treating
students respectfully and fairly providing reliable guidance, and serving as a role model for
upholding the highest ethical standards. The Graduate Council recognizes that faculty mentoring of
graduate students, both academic and professional, is a necessary and integral part of the graduate
experience. There is a distinction to make between being a mentor and being an advisor—a mentor
is someone who is attentive to the professional future of the student, while an advisor is someone
who directs the student on what steps are needed to graduate. Both, however, exhibit characteristics
that span beyond formal classroom instruction and can be found in one individual together or
distributed across multiple supporters. In this document, the term “Graduate Advisor” will be used to
reference the faculty member charged by an academic unit with directing a graduate program. Each
graduate program has at least one Graduate Advisor. The term “Faculty Advisor” will be used to
reference an individual student’s thesis chair, dissertation chair, or capstone project advisor. It is
common for the faculty advisor to also serve as a student’s mentor. In this case, the faculty advisor
shares wisdom, technical knowledge, guidance, and support that helps students understand how to
succeed in their graduate program, excel in their field of study, and to recognize and choose among
career options. Some departments may enhance mentoring beyond the role of the faculty advisor
through incorporating peer mentoring, professional development workshops, and other activities.
While it is necessary to have one primary faculty advisor, contemporary views of mentoring suggest
that multiple mentors may be beneficial to mentees’ study, reading, research, writing and career
development.

Because disciplines and programs face their own unique challenges, we recommend that each
graduate program define their own best practices in terms of mentoring and develop their own set of
guidelines for both faculty and graduate students. Understanding that both the mentor and mentee
play an active role in this relationship is a vital first step; both should be aware of the following
guiding principles regarding this relationship:

• Mentors and students should discuss and come to a clear understanding of their expectations,
clearly defining roles and responsibilities.
• Either party has the right to terminate the mentoring relationship if not seen as satisfactory,
despite genuine attempts at conflict resolution. However, departments may require students to
have a primary faculty advisor at all times to remain in the program.
• The relationship should enable shared decision-making regarding the mentee’s professional
development, incorporating both individuals’ points of view.
• Meetings should be held in an appropriate environment where both parties feel they can
speak freely.
• Commitments made should be honored. Both parties should be considerate of each other’s
time and provide as much notice as possible when cancelling or rescheduling meetings.
• Information shared in mentoring meetings is subject to standard rules of professional
confidence.

Role of Faculty

Regardless of the program or department-specific model, it is expected that each student receives
advising and mentoring. It is the responsibility of each graduate program’s faculty to advise and
monitor the academic progress while encouraging the professional development of each student.
Faculty should be attentive to the future of their students and serve as advocates on their behalf
when appropriate. Guidelines for advising and mentoring are provided below.

Advising

59
• In coordination with program staff, faculty advisors guide students through degree
requirements by providing a clear map from the very beginning. This includes defining a
timeline for completing coursework requirements and qualifying examinations.
• Faculty advisors assist students through the thesis and/or dissertation process. This includes
providing advice on timely initiation and completion, topic choice, acquiring sources of
funding, committee formation, etc.
• Faculty advisors clearly evaluate the strengths and weaknesses of their student’s research and
ensure that the grades assigned for independent study are consistent with the student’s
performance.
• Faculty advisors provide regular and timely feedback on the progress of students, including
constructive criticism on progress. Individual Development Plans (IDP) can be used as a tool
to help facilitate these discussions.
• Faculty advisors must meet quarterly with students not making satisfactory progress to
evaluate their progress.
• Faculty advisors foster the development of communication skills, written and oral, as it
pertains to the students’ particular area of study.

Mentoring

• Mentors provide constructive advice and guide the professional development of students.
• Mentors affirm students’ pursuit of health and wellness, as well as professional skills beyond
research which are necessary to career success.
• Mentors encourage students’ participation in appropriate professional meetings of national
and regional groups and societies.
• Mentors share their resources and networks, as appropriate, to facilitate interaction with other
scholars, both on campus and in the wider professional community.
• Mentors assist with applications for research funding, fellowship applications, and other
applications specific to the program or discipline.
• Mentors provide career guidance, assistance in the preparation of a CV and/or resume,
coaching for job interviews, and writing letters of recommendation in a timely manner.
• Mentors direct graduate students to various career resources available at the Graduate
Resource Center (GRC) and UCI Career Center (workshops, career fairs, etc.)
• Mentors recognize that there are a variety of career options available to their students and
encourage students to explore multiple career paths.

Role of Graduate Students

It is essential that graduate students see themselves as partners in the mentoring relationship. As
mentees, graduate students should:

• Be aware of their own mentoring needs and how they can change through their graduate
tenure. Changes should be discussed with their faculty advisor and/or mentor in a timely
manner.
• Proactively seek out mentorship; be aware of advertised workshops and resources. Keep in
mind that one faculty advisor may not be able to satisfy all needs.
• Recognize that their mentoring needs must respect their mentor’s other responsibilities and
time commitments.
• Be aware of, and meet, the deadlines associated with the degree program and develop a plan
to accommodate to them.

60
 • Maintain and seek regular communication with their mentor(s), especially their primary
faculty advisor.
• It is the responsibility of each graduate student to establish an advisee/advisor relationship
and formally secure a faculty advisor by the time of their advancement to candidacy.

Role of the University

• New faculty orientations should include a discussion of the importance of graduate student
mentoring.

Role of the Program/Academic Unit

• Graduate programs must assign an initial graduate advisor to each graduate student at the
time of first enrollment. For doctoral students, the graduate advisor must be a faculty
member. For master’s students, the graduate advisor may be a faculty member or staff
member.
• Annual reviews must be conducted for every graduate student. Students should be provided
with timely written feedback following this annual review.
• Share information concerning program-specific mentoring policies with all faculty.
• Academic units should be encouraged to provide training on implicit bias, mentoring, and
conflict resolution as appropriate for their faculty, staff, and students.

Best Practices to Consider for Programs/Academic Units

• Develop a program mission statement that establishes mentoring as a core component of the
graduate student experience.
• Read and become familiar with Graduate Policies and Procedures so that the criteria for
monitoring satisfactory progress is clear.
• Hold an orientation for all new graduate students, where program requirements, including
normative and maximum time-to-degree, are clearly outlined and provided in writing.
• Provide graduate students with a program handbook.
• Create multiple mechanisms for faculty mentoring such as faculty-graduate student lunches,
rotating faculty mentors within a graduate program, and increasing opportunities for
enhancing professional socialization.
• Effective peer-to peer and near-peer mentoring can complement faculty mentoring. Faculty
guidance for such programs enhances effectiveness.

Principles for Programs/Academic Units

• Remember that all faculty share responsibility for graduate student mentoring.
• Positively reinforce good mentoring practices with rewards and incentives.
• Keep an open mind and show respect for the individuality of students and their different
needs and goals.
• Respect students’ family responsibilities and be cognizant of students who may need extra
support when having a child, raising a child alone, returning to school after child-rearing,
carrying for an elderly parent, etc.

These guidelines were developed using the following document:

Mentoring Guidelines, Graduate Council, University of California, Merced Division

61
VII. STANDARDS AND REQUIREMENTS FOR GRADUATE DEGREE PROGRAMS

Students must satisfy the degree requirements outlined in the General Catalogue that are in effect at the
time they first enroll in a graduate program. If the degree requirements are subsequently revised, the
academic unit may, where appropriate, give students the option to meet the new requirements. A student
who withdraws from a program, or loses student status for other reasons for more than three quarters, will
be bound by the degree requirements in effect at the time of readmission unless otherwise stipulated and
agreed to in writing by the academic unit and approved by the Graduate Dean; students are also required
to re-advance to candidacy. A student who defers admission or who changes to another program must
meet the requirements in effect at the time of first registration.

Most requirements for graduate degree programs are determined by the academic unit that offers the
degree. However, the Graduate Council, on behalf of the Academic Senate, has approval authority over
all graduate programs (with the exception of the M.D. and J.D. degrees) on the Irvine campus. In
addition, the Office of Academic Affairs at UCI, the UC-wide Coordinating Committee of Graduate
Affairs, the Office of the President, and the Committee on Post-Secondary Education are also involved in
setting standards, reviewing, and approving new graduate programs on the UC campuses.

A. Second Advanced Degrees

The University of California discourages the duplication of advanced degrees. At the same time, it
recognizes that a professional degree does not duplicate an academic one, and that the holders of
either an academic or professional degree may have the pressing need to earn another degree in an
area different from that of their first endeavors.

If admitted for a second graduate degree, students will be held to all the usual degree requirements
and University regulations pertaining to fees, examinations, advancement to candidacy, residency,
etc. Courses already applied to any previously earned graduate degree cannot be applied toward the
requirements of the second degree.

1. Second Master's Degree

In accordance with the policy approved by the Graduate Council, the Graduate Dean has
delegated the authority to admit students for a second Master's degree in an unrelated discipline
to the academic units. If a program wishes to admit a student for a second Master’s degree in the
same discipline or a related field, the program must request an exception. These requests must be
made in writing to the Graduate Dean and should include strong justification for admitting the
applicant for a second Master’s degree in the same discipline or a related field, as well as a
statement assuring the Dean that there will be no duplication, transfer, or waiving of coursework.

[Example: If a student with an MS in Civil Engineering applied to UCI for an MS in

Environmental Engineering, it would require an exception to admit them. However, if the same
student with an MS in Civil Engineering applied to UCI for an MA in History, this would not
require an exception.]

2. Second Ph.D.

Admission for a second Ph.D. is rarely granted, and must be handled as an exception to policy
and approved by the Graduate Dean. All requests must be made in writing to the Graduate Dean
and should include strong justification for admitting the applicant for a second Ph.D., as well as

62
 a statement assuring the Dean that the applicant's first Ph.D. is in an unrelated area and that there
will be no duplication, transfer, or waiving of coursework.

B. Language Requirements

Completion of language or alternate skill requirements, if part of the graduate program, may occur
any time prior to completion of all other degree requirements unless otherwise specified by the
program. However, it is preferable that they be satisfactorily completed before a student advances to
candidacy. The graduate program may decide how the examinations are to be given. The Graduate
Division must be advised in writing of the type of test taken and the date passed. If an alternate skill
requirement approved by the Graduate Council in lieu of a foreign language is satisfied, this should
also be indicated in writing.

C. Academic Advisement and Evaluation

Graduate programs must establish well-defined criteria for completion of degree requirements and
must keep students updated on all changes to rules, policies, and procedures. Departments must
prepare a written document of the requirements and distribute it to all graduate students. For first
year graduate students, formal evaluation should occur at the end of their first and third quarters of
attendance. Continuing evaluation is required at least annually thereafter. This provides
encouragement and support to those students making acceptable progress and, most importantly,
may avert potential problems with students who are not maintaining satisfactory progress toward
their degree.

While each academic unit is encouraged to develop its own process of student evaluation and
advisement, it is generally accepted that certain elements are essential:

• Within the context of each course in which the student enrolls, an evaluation of the student's
performance by the instructor.
• For those students engaged in research activities, frequent evaluation and advising on an
informal basis by the supervising member of the faculty.
• Continuing supervision of dissertation work by the primary faculty advisor with progress
evaluated and discussed with the student on at least a quarterly basis.
• An overall evaluation of each student's academic progress that is conveyed to and discussed with
the student, preferably each quarter, but at least once each academic year. An annual evaluation
ordinarily is the joint responsibility of the Departmental Faculty Advisor and the assigned
Faculty Advisor or the Chair of the student's graduate committee, where applicable. An
evaluation must: (1) include a brief review of the student's work to date, with particular attention
to the period since the last report; (2) describe the student's progress toward the degree; (3)
identify any areas in which improvement is recommended or required; and (4) establish
academic objectives for the following period.
• Identification of a departmental representative whom the student may consult as a disinterested
party.

Each student should also have an advisory committee established by the graduate program that will
be responsible for the guidance of that student in the course of his or her period of study. The
committee may choose to inform the student in writing of his or her academic progress more than
once per year, and the student may also request additional written evaluations. A copy of this

63
 correspondence must be kept in the academic unit files, with another copy forwarded to the Graduate
Dean via the Enrolled Student Affairs Officer.

D. Written Expectations for Research Units and Individual Development Plans

(approved by the Graduate Council 5/9/19)

Programs are required to provide a form of written research expectations or a syllabus for master’s
and doctoral students enrolled in graduate research units. The written research expectations should
state how student research performance is assessed and graded. Expectations should be devised by
participation by students and faculty in individual programs.

Additionally, doctoral and MFA students are required to complete annual Individual Development
Plans (IDPs) in consultation with their faculty advisor. The IDP is a tool that aids in communication
between the student and faculty advisor, goal-setting and assessing progress towards those goals on a
regular basis. It is intended as a mentoring document and not an evaluative tool. Programs may use
the Graduate Division IDP template or modify the document to include additional questions relevant
to the discipline.

E. Language Policy for Examinations and Theses/Dissertations

English is to be the language of instruction and examination for graduate courses at UCI, unless the
subject matter includes foreign language content. Similarly, examinations that satisfy specific degree
requirements, such as qualifying/candidacy examinations and thesis/dissertation defenses will be
conducted in English, except for the portions of the examination where the subject matter makes a
different language specifically appropriate.

Students must seek permission to write their thesis/dissertation in a language other than English. To
do so, immediately after advancement to candidacy, the candidate must submit a letter to the
Graduate Dean, approved by the thesis/dissertation chair, committee, and department chair. All
members of the candidate’s thesis/dissertation committee must have a reading knowledge of the
language presented in the thesis/dissertation. There must be legitimate reasons for substituting
English with a foreign language such as subject matter, special primary audience, publication
arrangements, academic position in a foreign country, historical or literary value, or principal
language(s) used in the documents to be analyzed and interpreted. Inability to write in English is not
a valid reason. If the thesis or dissertation is approved to be written in a foreign language, the
candidate must submit two abstracts. One must be in English. The other must be written in the
language of the thesis or dissertation. Moreover, the thesis/dissertation defense will be conducted in
English, except as determined by subject matter. See the UCI Thesis and Dissertation Manual for
information about the preparation of manuscripts.

F. Conflict of Interest (Approved by the Irvine Division on 5/11/00)

1. Definition

For the purposes of this document the term "conflict of interest" refers to instances where faculty
may have a financial conflict of interest as defined in Section 028 of the Academic Personnel
Manual (APM), adopted April 26, 1984, and in APM 025/50. Information on this and other
types of conflicts of interest or on student grievance procedures are described on the UCI Office
of Research website and in the University of California publication entitled Policies Applying to
Campus Activities, Organizations, and Students. The complete Academic Senate Policy on
Conflict of Interest and Graduate Education is published in the UCI Academic Senate Manual.

64
2. Objective

The policy on financial conflict of interest establishes mechanisms to protect the academic
interests of a graduate student in the event that a faculty mentor, thesis or dissertation advisor or
member of a student’s committee may have a conflict of interest relating to a project on which
the student may be working. Such a conflict of interest may result from the faculty member
having a financial interest in a project on which the student is working, whether sponsored or
unsponsored. The intent is to apply the policy only to those situations in which a financial
conflict of interest is perceived to be potentially harmful to the academic interests of the student.
The graduate student, the faculty mentor/advisor, a departmental representative (either the
graduate advisor or chair), or the campus Conflict of Interest Oversight Committee can initiate
the procedures to deal with the perceived conflict of interest. The procedures must also be
considered in conjunction with the Academic Senate-Irvine Division regulations governing the
doctoral committee and the candidacy committee.

3. Summary of Mechanism

When a graduate student, the faculty mentor/advisor, graduate advisor, departmental chair, or
the campus Conflict of Interest Oversight Committee (COIOC) identifies a conflict of interest, a
departmental representative should be notified in writing. The departmental representative, who
may be the Departmental Faculty Graduate Advisor or department chair, will then examine the
potential impact upon the student. If there is a potential for harm to the student, then an
additional faculty member, termed the “Oversight Member”, will be appointed, by the Graduate
Dean, to the student's advisory and/or master's/doctoral committee to insure the faculty conflict
does not impact upon the academic interests of the student.

4. The Graduate Division

The Graduate Division provides written information on conflict of interest policies and
procedures to all academic units and students on the Ph.D. Form I Advancement to Candidacy
document and on the Advancement to Candidacy and Final Report form for master's students.
The information on the document includes: the definition of conflict of interest as it pertains to
graduate education; a description of the nature of potential conflicts of interest and brief
examples; describes the possible harmful effects on the academic interests of the graduate
students; provides a list of University resources that can be consulted, and includes a statement
to be signed by the department chair, departmental graduate faculty advisor, and the graduate
student to acknowledge their awareness of the conflict of interest issue. At any time, the student
can also seek the advice of one of the identified campus-wide resource persons, who include the
Graduate Dean, the Associate Graduate Dean, the Conflict of Interest Administrator in the
Office of Research at (949) 824-0012, or the UCI Ombudsman (Multipurpose Science
Technology Building 205 MSTB).

Oversight Member: If the Chair, Research/Thesis Advisor or other member of the committee
has a financial interest in an outside entity that carries the possibility of a conflict of interest that
is potentially harmful to the graduate student, an Oversight Member must be appointed in
addition to the general members of the respective committee.

65
 Role of the Oversight Member: The Oversight Member shall participate on all student research
advisory and/or thesis committees. An additional role of the Oversight Member is to be fully
cognizant of the issues related to the possible conflict of interest and its potential impact on the
student, and to be fully cognizant of the UCI resources available should a conflict of interest
problem arise.
Appointment of an Oversight Member: The Graduate Dean shall select the Oversight Member
from a list of three nominees agreed upon by the student, the faculty research/thesis advisor, and
the departmental representative. The departmental representative shall submit a written request
to appoint an Oversight Member to the Graduate Dean no less than two weeks prior to the date
of the exam to allow a reasonable time for review. This request should include background
information describing the circumstances of the possible conflict. The Graduate Dean will retain
sole authority to appoint the Oversight Member. No exceptions to this requirement will be
considered.

Note: Areas of assigned responsibility are further defined in the UCI Academic Senate policy
statement dated May 11, 2000 and entitled "Policy and Procedures for Implementation of
Academic Senate Policy on Conflict of Interest and Graduate Education.”

1. Conflict of Interest Wherein a Student is Conflicted

It is possible there may be instances where a student may be the conflicted party. These would
include instances involving a student who holds a financial interest in an outside entity that may
have an interest in a project on which the student is or may be working toward a graduate
degree. In such cases it is important to consult with the campus Conflict of Interest Oversight
Committee or the Graduate Dean.

G. Committee Membership Appointment Procedures

The qualifications of all committee members must be evaluated and approved by the academic unit*
Chair or designee. When the membership of the proposed committee conforms to Senate policy as
defined in this regulation, the Graduate Dean, on behalf of the Graduate Council, may delegate to the
academic unit the authority to appoint, evaluate, and approve the committee. When the proposed
membership deviates from this policy, as in the case of non-voting Senate members, faculty holding
professorial titles at other Universities or non-Senate faculty with equivalent scholarly standing, or
when appointment of an Oversight Member is perceived to be necessary, a request for an exception
or nomination must be submitted in writing to the Graduate Dean.

*NOTE: Definitions of Academic Unit

a) Department.
b) If "a" fails, Interdisciplinary Program.
c) If "a" and "b" fail, the graduate program which oversees the student’s progress.
d) If “a”, “b” and “c” fail, the School.
In cases where multicampus programs are involved, the same definitions will apply across all
campuses relevant to the program.

Non-voting Senate members, faculty holding professorial titles at other Universities or non-
Senate faculty with equivalent scholarly standing will be considered on an exception-only
basis. The Dean of Graduate Division retains sole authority to grant these exceptions, which
must be submitted in writing by the Chair of the academic unit at least two weeks prior to the
scheduled exam, and must be accompanied by a curriculum vitae of the individual for whom the

66
 exception is being requested. A list of the faculty holding primary or joint appointments with the
student's department or academic unit may be required by the Dean of Graduate Division.

Duties and Responsibilities

It is the responsibility of the Chair of the academic unit, the Departmental Faculty Advisor, Mentor
or Associate Dean for Graduate Affairs as appropriate, and the Chair of the Thesis, Candidacy or
Doctoral Committee to:

1) Inform the student regarding the policy on Thesis, Candidacy or Doctoral Committees --
including full disclosure of issues pertaining to possible conflict of interest that is potentially
harmful to the student;

2) to provide graduate students with a policy statement on such possible conflict of interest prior to
the student designating a research topic, forming a graduate committee, or being employed as a
research or teaching assistant, whichever comes first; and

3) Ensure that the Academic Senate policies are followed. In the case of a doctoral student
advancing to candidacy, should these Senate policies not be followed the student will be
required to retake the Qualifying Exam.

Membership

a. Master’s Thesis Committee Plan I (See IR 830, amended March 2010)

The Master's Thesis Committee is comprised of three voting members of the University of
California Academic Senate -- not necessarily the Irvine Division -- or by equivalent scholarly
standing, by exception. A majority of the committee, but not necessarily all, shall be affiliated with
the program.

Chair: The Chair of the committee shall always hold a primary or joint academic appointment in the
academic unit/program (see above for Definitions of Academic Unit) supervising the master's
program and must be a voting member of the UC Academic Senate; no exceptions will be granted
for this position.

General Members: Non-voting Senate members; faculty members from other universities; or non-
Senate faculty with equivalent scholarly standing will be considered for general membership on the
committee on an exception basis only. Academic Senate members from UC’s other than the Irvine
Division do not require an exception; however, a CV is required for verification.

Oversight Member: See Conflict of Interest (Section 4).

b. Candidacy Committee – Regulation 918

The Candidacy Committee is comprised of five faculty who are voting members of the University of
California Academic Senate or by equivalent scholarly standing, by exception. Candidacy committee
members need not necessarily be from the Irvine Division, but a majority and not all must hold
primary or joint appointments in the student’s department. If the student is not affiliated with an
individual department, a majority of the committee must hold either primary or joint appointments
with the academic unit granting the doctoral degree.

67
The Chair: The Chair of the Candidacy Committee must hold either a primary or joint appointment
in the student’s department (or academic unit) and must be a voting member of the UC Academic
Senate. No exceptions to these requirements will be considered.

General Membership: At least two members in addition to the Chair must hold either a primary or
joint appointment in the student’s department or academic unit. The requirement that a majority of
voting members hold appointments in the student’s department or academic unit may be waived
under exceptional circumstances. Non-voting Senate members, faculty members from other
universities, or non-Senate faculty with equivalent scholarly standing will be considered for general
membership on the committee on an exception only basis. Exceptions will be granted by the Dean of
the Graduate Division.

The Outside Member: One member of the Candidacy Committee, designated the "outside member,"
must be from the Irvine Division and may not hold either a primary or joint appointment in the
student's department or academic unit. The outside member represents the faculty at large. The role
of the “outside member” is to serve as an unbiased and independent judge of both the quality and
fairness of the exam. It is therefore desirable that this individual be familiar with the student’s
research field. No exceptions to these requirements will be considered.

The Oversight Member: See Conflict of Interest (Section 4).

c. Doctoral Committee – Regulation 920

a. Dissertation

The Doctoral Committee shall supervise the preparation and completion of the dissertation and
the final examination.

b. Membership

The Doctoral Committee is comprised of three voting members of the University of California
Academic Senate -- not necessarily the Irvine Division -- or by equivalent scholarly standing, by
exception. A majority of the committee, but not necessarily all, shall be affiliated with the
program. At least one member of the student's committee must hold a primary appointment in
the student's department.

The Doctoral Committee is nominated by the Candidacy Committee with the concurrence of the
candidate, the Doctoral Committee Chair, and the Academic Unit Chair or designee, on the
Ph.D. Form I.

1) Chair: The Chair of the Committee shall always hold a primary or joint academic
appointment in the academic unit/program supervising the doctoral program; no exceptions will
be granted for this position. The Chair of the Doctoral Committee is the member of the graduate
program faculty responsible for providing primary guidance of the student's dissertation.

2) General Members: Non-voting Senate members; faculty members from other universities; or
non-Senate faculty with equivalent scholarly standing will be considered for general
membership on an exception-only basis. Academic Senate members from UC’s other than the
Irvine Division do not require an exception, however, a curriculum vitae is required for
verification.

68
 3) Oversight Member: See Conflict of Interest (Section 4).

H. The Master’s Degree

1. Residency Requirement

A minimum of three quarters in academic residence is required prior to the award of most
master's degrees, including the Master of Arts in Teaching (MAT) and the Master of Advanced
Study (MAS) degrees. Six quarters in academic residence are required for the Master of Fine
Arts degree programs (with the exception of Drama, which requires nine quarters) and the
M.B.A. programs in the School of Business. A minimum period of study of one quarter in-
residence must intervene between formal advancement to candidacy and the conferring of the
Master's degree (SR 682).

2. Curricular Requirements

The requirements listed herein are the minimum required by the University of California. Most
master's degree programs require additional work. Detailed information on specific degree
requirements can be found in the UCI General Catalogue, and on individual department
websites. Students are responsible for fulfilling requirements in effect the year in which they are
admitted. If an academic program changes degree requirements, under certain circumstances, the
student, with the approval of the faculty advisor and school's associate dean for graduate affairs,
may opt to accept the new requirements

The following regulations of the Academic Senate, Irvine Division, apply to curricular
requirements for students in Master's programs.

a. Coursework Requirements and Thesis and Examination Options

(Irvine Regulations [IR] 805/810/830/835)
1) (IR) 805 Master's Degree Options
The master's degree is attained by: Plan I, the Thesis option, or Plan II, the Comprehensive
Examination option. A program may offer the option of one or both plans with the approval of
the Graduate Council. Each of these plans has minimum coursework requirements, but
programs may impose additional requirements.

2) (IR) 810 Course Requirements

The minimum course requirement for the master's degree is given below. This requirement may
be waived or reduced only on the recommendation of the academic unit in which the degree is
earned and with the approval of the Graduate Dean.

Plan I (Thesis)
In addition to the thesis, a minimum of 28 quarter units in approved courses is also required, at
least 20 of which must be earned in 200 series graduate-level courses exclusive of credit given
for thesis research and preparation. A general examination is also required.

Plan II (Comprehensive Examination)

In addition to the comprehensive examination, a minimum of 36 quarter units in approved
courses, at least 24 of which must be from graduate-level courses in the 200 series.

3) (IR) 830 Master's Degree Requirements: Thesis Committee: Plan I

(Approved by Irvine Division May 11, 2000)

69
 Under Plan I a thesis is required. A committee of three faculty members recommended by the
academic unit* shall approve the subject, pass on the content of the thesis, and administer the
general examination. Usually the Chair of the committee directs the work.

3. Submission of Thesis

The submission of the thesis is the last step in the program leading to the award of an advanced
degree. All theses submitted in fulfillment of requirements for advanced degrees at UCI must
conform to University regulations with regard to format and method of preparation.

Students should consult the UCI Thesis and Dissertation Manual for guidelines for writing and
submitting theses/dissertations. Students are encouraged to attend the quarterly information
sessions that discuss manuscript preparation and filing procedures.

An original Master’s Final Degree Paperwork form with committee signatures and other
signatures (as appropriate) must be submitted to the Graduate Division with all other final
degree paperwork. The manuscript submitted electronically via ETD should not include a
signature page.

4. Deadline for Filing

The advanced degree manuscript is expected to be submitted by the deadline in the quarter in
which the degree is to be conferred. Friday of the tenth week of classes is the deadline for
submitting theses and dissertations during each quarter. Those students who complete
requirements and submit theses after the end of the tenth week of classes and prior to the start of
the subsequent quarter will earn a degree for the following quarter, but will not be required to
pay fees or enroll in units for that quarter. In such cases, to avoid payment of fees, the
manuscript, all forms and degree paperwork must be submitted prior to the first day of the
quarter in which the degree is to be earned. These deadlines are published on the Registrar’s
website.

5. Public Access

In accordance with UC and UCI policy, all approved thesis/dissertation manuscripts

automatically become available for public access and circulation as part of the UCI Libraries
collections. The exception is if a student has requested an embargo of public access to their
thesis for a period of up to six years.

4) (IR) 835 Comprehensive Examination (Plan II)

A final comprehensive examination, the nature of which is to be determined by the academic

unit and approved by the Graduate Council, is required of candidates following Plan II. The
content of the exam represents a capstone requirement that integrates the intellectual substance
of the program.

b. Advancement to Candidacy

In accordance with University of California policy, students must be advanced to candidacy for
their degree prior to the beginning of the final quarter of enrollment. An Application for
Advancement to Candidacy initiated by the student and approved by the academic unit should be
submitted to the Graduate Dean before (preferably 30 days before) the opening of the quarter in

70
 which the degree is expected. The Application must be accompanied by petitions for any course
credits that have not already been approved by the Graduate Dean.

Deadlines for submission and approval of the Application for Advancement to Candidacy are
published each quarter. If the student has not advanced to candidacy before the beginning of the
quarter in which all requirements are completed, the degree will not be conferred until the end of
the following quarter. When the student is formally advanced to candidacy, the student and the
academic unit are notified.

c. Final Report for the Master’s Degree

It is the graduate program's responsibility to insure that the course requirements of the graduate
program have been met prior to submitting the Final Report for the Master's Degree to the
Graduate Division. Substitutions within the graduate student program of study do not need to be
approved through the Graduate Dean unless they affect minimum University and program
requirements for the Master's degree.

If the student has satisfied all requirements except for satisfactory completion of the final
quarter's coursework, the department should complete the certification and return it to the
Graduate Division prior to receipt of final grade reports. The Graduate Division will verify final
grades with the Registrar. The department is consulted if there is any doubt about conferral of
the degree.

Students earning a master’s by Plan I, the thesis option only use the Application for
Advancement to Candidacy to advance for the master’s. When the student submits the thesis
either by paper submission to the Library Archives or to the Graduate Division for the electronic
submission, part of the required paperwork at time of submission is the Master’s
Thesis/Signature Page Report on the Final Examination for the Master’s Degree. This form
requires signatures from the department as well as the thesis committee certifying completion of
all requirements.

I. Transfer of Credit

The General Petition may be used for purposes of requesting transfer of credit by currently enrolled
students only.

1. Policy

Transfers of credit toward master's degree requirements are governed by University regulation
(UC Senate Regulation 726 and UCI Senate Regulation 825) and policy summarized in the UCI
General Catalogue.

Transfer of credit towards the master’s degree requirements is only allowed for master’s students
and for doctoral students who are earning a master’s degree en route to the Ph.D. Doctoral
students earning a master’s en route can only transfer, not waive, coursework that overlaps with
the Ph.D. degree requirements.

a. If official transcripts of academic work are not already in the student's file, they must be
submitted as part of any petition for transfer credit or course substitution of degree
requirements.

71
 b. No petition for transfer credit is needed for work completed as a regular graduate student in
UCI regular academic sessions, at other campuses through Intercampus Exchange, or in UCI
Summer Sessions, including Summer Sessions prior to a student’s first registered quarter
following formal admission to a UCI graduate program.
2. Procedures

a. Petitions for transfer of credit should be submitted as soon as possible after first enrollment
as a UCI graduate student or completion of the academic work for which transfer credit is
requested. All petitions for transfer credit must be supported by official transcripts of the
work completed, and sent directly to the Graduate Division (Attn: Enrolled Student Affairs
Officer) by the issuing institution.
b. Up to one-half the total units earned during regular academic quarters at another graduate
division of the University of California, graduate courses taken with University of California
Extension through concurrent enrollment (Concurrent enrollment means that the student
took regularly offered UC courses but registered and paid for them through University of
California Extension), or graduate courses taken as an undergraduate at UCI that were not
applied to another degree. In this instance, the transferred units may reduce the number of
required 200-level units for the degree. Students are still required to meet the minimum
academic residency of three quarters for the master’s degree.
c. Up to one-fifth the total units required may be transferred from any one or a combination of
the following: University of California Extension (only for courses that are not regularly
offered UC courses), another institution, or Summer Sessions at another UC campus. In this
instance, the transferred units do not reduce the number of required 200-level units for the
degree.
d. Semester units will be transferred at 1.5 times the quarter unit value.
e. In all cases, transfer credit may be allowed only for graduate-level work taken after
awarding of the Bachelor's degree or when taken as an undergraduate in excess of both the
unit and major requirements for the Bachelor's degree. If units were earned during
undergraduate study, a letter from the institution is required stating coursework was not used
towards the Bachelor’s degree. No transfer of credit will be accepted for work applied
toward the requirements of another graduate degree.
f. No transfer credit will be allowed for any course in which a grade below B or the equivalent
is assigned.
g. No transfer credit may be given for work completed while currently enrolled, or on an
academic leave of absence, without prior written approval of the departmental faculty
graduate advisor and the Graduate Dean.
h. Under no circumstances will grade credits be transferred.

J. The Doctoral Degree

1. Residency Requirement

In accordance with University of California policy, a minimum of six quarters in academic

residence is required prior to awarding the Ph.D. Typically, a longer period of study, four to six
years, is required for completion of all degree requirements. It is the responsibility of the
academic unit to inform the student upon admission to the program of the expected degree time.
If a student does not meet the departmental expected degree time, not including the first three
Academic Leave of Absence quarters, a letter is sent to the student and to the department
requiring that the student contact her/his Faculty Advisor and set a completion date.

2. Teaching Requirement

72
 Most graduate programs require all graduate students pursuing the Ph.D. to acquire teaching
experience at the post-secondary level under faculty supervision. This requirement is usually
satisfied by appointment as a Teaching Assistant or Teaching Associate in undergraduate
courses. Refer to the section entitled Academic Appointments and Graduate Student
Employment (Section IV) of this document for definitions, responsibilities, and requirements
related to teaching titles.

International and permanent resident graduate students who are not citizens of countries where
English is either the primary or dominant language as approved by the UCI Graduate Council,
who wish to be considered for appointment as a Teaching Assistant or Teaching Associate, must
pass an approved oral English proficiency examination.

3. Waiver of Coursework

Graduate courses taken toward a graduate degree at another institution cannot be transferred for
credit toward a Ph.D. degree at UCI. However, a course requirement may be waived if a similar
course was taken at another institution. Waived courses reduce the number of courses required
to fulfill the Ph.D. degree. The General Petition should be used for all requests for waivers of
coursework. To obtain a waiver, the academic unit should submit a full description of the course
including a syllabus and a copy of the student's transcripts along with the Petition to the
Graduate Division for review and approval. For students earning a master’s degree en route to a
PhD, please see Transfer of Credit policy for details. Students earning a master’s degree en route
can only transfer and not waive courses that overlap with the master’s degree.

4. Advancement to Candidacy

A student advances to candidacy for the Ph.D. upon successfully demonstrating a high level of
scholarship in full-time study at the Ph.D. level, and upon completing all preparatory work and
demonstrating readiness to proceed to the dissertation phase. A complete description of the
policy on advancement to candidacy and advancement committees is provided below. Also
refer to UCI's Policy on Conflict of Interest and Graduate Education.
a. Irvine Regulation (IR) 915 Advancement to Candidacy (Revised: Approved by Irvine
Division May 11, 2000)

Graduate students are nominated for advancement to candidacy for the Ph.D. degree in a
particular field by the academic unit responsible for advanced degrees in that field.
Students are advanced to candidacy if they pass by unanimous vote an oral examination
administered by a Candidacy Committee.

Duties and Responsibilities

The Candidacy Committee is charged with determining the fitness of the student to proceed with
the doctoral dissertation through a formal Qualifying Examination. The examination should
evaluate both general preparedness in the discipline, and specific competence to pursue the
proposed dissertation topic. In its deliberation, the Committee ordinarily will review the
student's academic record, preliminary examinations and evaluations by other faculty. The
Committee may conduct any other examination it deems appropriate.
The Committee ordinarily will review an outline of the proposed dissertation project, and will
determine by oral examination the student's competence in that area. When, by unanimous vote,

73
 the Committee decides the student is qualified for the dissertation phase, it shall recommend
advancement to candidacy to the Graduate Council via the Graduate Dean.

Following its formal appointment, the Committee is free to adopt whatever procedures it deems
appropriate to conduct the Qualifying Examination for candidacy, subject to the rules of the
program and those specified below:
• Administration of the Qualifying Examination must conform to the policies established by
the Graduate Council.
• The student must be given adequate notice of the content, form and time of the examination.
• The Committee must meet to decide upon the procedures to be followed, and the student
given an opportunity to comment upon the selected procedures.

Voting Procedures

Before voting upon its recommendation for or against candidacy, the Committee, as a whole,
shall meet with the student, and any member of the Committee will have the right to pose
appropriate questions to the student. If it decides to do so, the Committee may conduct part of
the examination on an individual basis; e.g., the student may meet with each member in turn.
However, the Committee must conclude its examination when convened with the student
present.

Conduct of the Exam

Although the formal Qualifying Examination for candidacy ordinarily is conducted in a single
day, the Committee may meet intermittently over a longer period, and may decide to reexamine
the student on one or more topics after a specified interval. When the Committee meets to
conduct the oral Qualifying Examination, it must report to the Graduate Council via the
Graduate Dean within 30 days. The final vote and recommendation of the Committee must be
unanimous and unequivocal. A recommendation that a student not be advanced is subject to
conditions described herein.

Procedure for Validating and Recording Results

Upon completion of the Qualifying Examination, the results should be submitted to the Graduate
Division on the Ph.D. Form I. The Ph.D. Form I must be signed by all committee members at the
time the candidacy examination is concluded. Prior to convening a student committee for an
advancement to candidacy exam, the Departmental Graduate Faculty Advisor, the department
chair, and the graduate student must sign the Statement on Conflict of Interest form which is
included in the Ph.D. Form I. If the unanimous recommendation of the Committee is favorable,
the student must pay the Advancement to Candidacy Fee to the campus Cashier's Office that will
validate the Ph.D. Form I. The student must then submit the Ph.D. Form I to the Graduate
Division. The date the student submits the signed and validated form will be the official date of
advancement. The candidate and graduate program will be notified of formal advancement and
the appointment of a Doctoral Committee.

5. Lapse of Candidacy

Candidacy for the Ph.D. will lapse automatically if the student loses graduate standing by
academic disqualification or failure to comply with the University policy on continuous
registration. A readmitted student who was a candidate for the Ph.D. must again advance to

74
 candidacy and thereafter enroll as a candidate for at least one academic quarter before the Ph.D.
will be conferred.

6. Final Examination

If a final examination is required by the graduate program, the Doctoral Committee supervises
that examination, the focus of which is the content of the doctoral dissertation. Ordinarily, the
final examination will be given just prior to the completion of the dissertation and while the
student is in residence during a regular academic session, and will be open to all members of the
academic community. Administration of the final examination is subject to the policies of the
Graduate Council governing critical examinations. This policy is outlined in Section VI. D.
Examinations, of this document.

Upon completion of the final examination (if required) and approval of the dissertation, the
Doctoral Committee recommends, by submission of Ph.D. Form II, Signature Page/Report on
Final Examination the conferral of the Ph.D. subject to final submission of the approved
dissertation for deposit in Special Collections Archives for paper submission or to the Graduate
Division for electronic submission. The Committee recommendation must be unanimous.

7. Dissertation

The submission of the dissertation is the last step in the program leading to the award of an
advanced degree. All dissertations submitted in fulfillment of requirements for advanced
degrees at UCI must conform to certain University regulations and specifications with regard to
format and method of preparation.

Students should consult the UCI Thesis and Dissertation Manual for guidelines for writing and
submitting theses/dissertations. Students are encouraged to attend the quarterly information
sessions that discuss manuscript preparation and filing procedures.

The Doctoral Committee certifies that the completed dissertation is satisfactory through the
signatures of all Committee members on the signature page of the completed dissertation. The
doctoral committee chair is responsible for the content and final presentation of the manuscript.

a. How to File
Paper Submission

After the dissertation has been approved by the committee, two copies are submitted with the
appropriate forms to the Special Collections and Archives ([email protected]) in the Langson
Library, Room 525, who accepts it for deposit in University Archives.

Electronic Submission

UCI encourages Doctoral students and Master’s students to submit their dissertation or thesis
electronically via the UMI ETD system. All required and optional paper forms need to be
submitted to the Graduate Division, 120 Aldrich Hall. Additional information is available at the
Graduate Division website.

b. Deadline for Filing

75
 The advanced degree manuscript is expected to be submitted by the deadline in the quarter in
which the degree is to be conferred. Friday of the tenth week of classes is the deadline for
submitting theses and dissertations during each quarter. Those students who complete
requirements and submit dissertations after the end of the tenth week of classes and prior to the
start of the subsequent quarter will earn a degree for the following quarter, but will not be
required to pay fees or enroll in units for that quarter. In such cases, to avoid payment of fees,
the manuscript, all forms and degree paperwork must be submitted prior to the first day of the
quarter in which the degree is to be earned.

c. Public Access

In accordance with UC and UCI policy, all approved thesis/dissertation manuscripts

automatically become available for public access and circulation as part of the UCI Libraries
collections. The exception is if a student has requested an embargo of public access to their
dissertation for a period of up to six years.

K. Change of Degree Title/Program/Level/or Academic Unit

1. Change of Degree Level within an Academic Unit (Master's to Ph.D.)

A student who was admitted to the master's degree program may be considered by the unit's
graduate affairs committee for subsequent admission to Ph.D. status. If the committee decides
not to accept the student for study leading to the Ph.D., the Dean, Director, or Chair of the
academic unit offering the degree must notify the student in writing. If the committee accepts the
student for doctoral studies, the recommendation must be transmitted in writing to the Graduate
Dean, who has the authority to approve and formally recognize the change to doctoral status.
Notification must be sent via the Change of Degree Level form along with two letters, one from
the advisor and another professor providing funding support. Only at that time will the student be
eligible to register as a doctoral student.
International Students: Because of visa sponsorship requirements, an international student
ordinarily must provide verification of financial resources prior to formal recognition of doctoral
student status.

2. Change of Degree Level within an Academic Unit (Ph.D. to Master's)

A student admitted for the Ph.D. degree, who, in the judgment of the unit's graduate affairs
committee should not continue past the master's degree, must be notified in writing by the Dean,
Director or Department Chair of the academic unit offering the degree. A copy of the letter must
be sent to the Graduate Dean. In some cases a doctoral student may choose to leave the program
with a master's degree only. It is the responsibility of the academic unit to notify the Graduate
Division via the Change of Degree Level form so that the student's record may be updated to
reflect the student's degree status.

3. Change of Degree Program (Major) Within an Academic Unit

Within the same academic unit, the unit's committee that oversees graduate affairs for a change
of degree program may consider a student's request be admitted to a different program. If the
committee approves such a change, the Change of Major petition should be transmitted to the
Graduate Dean. Upon recommendation of the committee, the Graduate Dean will ordinarily
approve and formally recognize the change.

76
 4. Change of Degree Title and Academic Unit

A current student who wishes to transfer to a graduate program offered by a different academic
unit should first consult with the Faculty Graduate Advisor of the desired program or unit. The
student must also submit an application for admission to the program. The student must indicate
on the application their most recent quarter of enrollment at UCI.

The receiving unit may require the student to submit additional information, such as current
letters of recommendation and a current transcript, as necessary and appropriate. If the student
is not admitted by the academic unit that the student seeks to enter, formal notice should be sent
to the student with a copy to the Graduate Dean and the student's current academic unit.

If the unit's graduate affairs committee recommends acceptance of the student, a copy of the
formal admission letter must be sent to the Graduate Dean and the student's current academic
unit. However, if the student seeks an advanced degree from the initial program, all
requirements for that degree must be completed before the change of program or unit
becomes effective.

Students transferring from one program to another must also complete a Withdrawal form
available through both the Graduate Division and the Registrar's Office. For "reason for
withdrawal," the student should write "transfer from _____ to ____." The student must sign and
date the form and submit it to the Graduate Division to complete the transfer process.

L. Degree Conferral

1. Registration Requirements

Master's and doctoral degrees are conferred at the end of the academic quarter in which all
requirements have been satisfied, subject to the final approval of the Graduate Council.
Ordinarily, a graduate student will be registered for the quarter in which all degree requirements
are completed and the degree is to be conferred. If all degree requirements (including
acceptance of the dissertation or thesis by the librarian and completion of all required
examinations) are completed before the first day of the regular academic quarter in which the
degree is to be conferred, and the student was registered for the previous regular quarter,
registration fees and enrollment are not required. Students who do not meet this second
submission deadline may be eligible to pay a Filing Fee in lieu of registration under certain
circumstances. (See Section V.C.5. on Filing Fee) Unless payment of a Filing Fee or an
academic leave of absence is approved, a graduate student must register each quarter until all
degree requirements are completed.

If a student does not complete the necessary courses by the end of the quarter in which degree
conferral is expected, or does not attain the required level of scholarship, registration for the next
regular academic session is mandatory; otherwise, student status and candidacy for the degree
will lapse. Once status lapses, the degree can be conferred only after readmission of the student,
followed by at least one quarter of registration and reinstatement to candidacy.

2. Certification of Degree Award

The Graduate Division notifies students by mail of formal degree conferral at the end of the
quarter in which the degree is conferred if requested by the student. As soon as all degree
requirements are completed, the student may submit a Degree Certification Request form. The

77
 Letter of Degree Certification bears the Graduate Dean's signature stamp and University Seal
and is the equivalent of the diploma or the official academic transcript posting for employment
and career advancement purposes. The student may request one copy for personal use, or for
direct transmission to another educational institution or employer. While there is no charge for
this service, only one official Letter of Degree Certification is provided for each degree.

VIII. GRADUATE STUDENT SERVICES

A. Program Overview

While recognizing that quality faculty and excellent curricula are key factors that shape institutional
progress and reputation, we must also promote a positive campus climate that enhances the graduate
educational experience at UC Irvine. In addition to monitoring the quality and academic progress of
graduate students, the Graduate Division plays a critical role in providing support services necessary
to ensure that academic success is possible. This includes counseling students about a range of
personal, financial, and academic matters, providing up-to-date information about graduate studies at
UCI, and disseminating clear information on degree requirements and graduate school policies and
procedures.

B. Graduate and Postdoctoral Scholar Resource Center (GPSRC)

The Graduate Resource Center provides coordinated services, events, programs, information and
support to the UC Irvine graduate and postdoctoral scholar community. The GPSRC also serves as a
meeting place in which to study, relax and network with fellow students. The GPSRC facilitates
student development and enrichment activities such as the Campuswide New Graduate Student
Orientation and is host to a number of workshops on funding, work-life balance, academic and
professional development, and writing throughout the year.

IX. GRADUATE DIVERSITY PROGRAMS

UC Irvine Graduate Council Diversity Statement

Diversity is critical to the success of graduate education and is a key priority for our campus. Diversity
enhances excellence by opening programs to talented and accomplished individuals who represent and
reflect a rich tapestry of perspectives and identities. Having diverse graduate populations also ensures that
a broad range of approaches, questions and solutions are incorporated into scientific inquiry, scholarly
study, and artistic creativity. Our commitment to an equitable education environment for all is crucial to
our continuing capacity to be a national model for inclusive excellence. Graduate Council, therefore,
strongly encourages all programs on campus to develop and implement initiatives, such as supportive
mentoring, to enhance diversity and to create an inclusive and equitable climate for graduate study.

A. General Program Overview

Diversity is an essential component of excellence in all aspects of the mission of UCI: teaching,
research and service. The University of California's longstanding goal is to achieve a student body
and faculty that reflect the diversity of the state, inclusive of those traditionally under-represented in
various academic disciplines and of all cultural, linguistic, geographic and socioeconomic
backgrounds. To achieve academic excellence, the university places a high value on a diverse
graduate student population because diversity is critical to promoting lively intellectual exchange
and the variety of ideas and perspectives that are essential to advanced research. In addition,
graduate students form the pool of future academic leaders.

78
 The Graduate Division has developed a comprehensive program designed to serve under-represented
students. Participants must be U.S. citizens or permanent residents selected from groups whose
participation in higher education is and has been historically low.

The program focuses on five major areas: outreach, recruitment, retention, financial support, and
graduation. It encompasses program development and support services. The overall goal is to
develop and implement strategies that promote a positive academic environment that supports the
completion of master's and doctorate degrees.

In order for the University of California to continue to sustain its diversity goals, we have initiated
strategic planning for effective outreach, recruitment and retention programs. These programs
include, but are not limited to:

• Recruitment
o Structured recruitment at local and national events geared towards underrepresented students
o Participation as a member of the Southern California Forum for Diversity in Graduate
Education planning committee
o Assistance to academic units that seek additional support in developing or adjusting their
existing recruitment methods
o Supporting major on-campus graduate diversity recruitment events
o Coordinating summer research and graduate preparation opportunities for diverse
undergraduate and master’s students interested in doctoral education at UC Irvine
• Retention
o The Graduate Division is home to the federally funded FIPSE Comprehensive grant,
DECADE (Diverse Educational Community and Doctoral Experience) which supports
recruitment and retention of traditionally underrepresented minorities and women
underrepresented in their disciplines.
 Competitive Edge Summer Research Program for entering Ph.D. students who qualify
as a DECADE participant. This program provides faculty mentorship in an 8 week
summer pre-entry format designed to introduce students to their new campus.
o Programming through the Graduate Resource Center that is open to all students and targets
professional, academic, career and personal development.
o Various peer mentorship and student groups are provided as a forum for students to engage
other students, take on a leadership role and become engaged in their campus

Central to the success of these programs is the willingness of academic programs and their faculty to
systematically evaluate and improve their recruitment and retention strategies. The resources
provided by the Graduate Division are intended to facilitate departmental flexibility in developing
student support offers that are both competitive and successful in attracting the best diversity
students, and in retaining these students and facilitating their success. To address these needs, the
Graduate Division has established a pool of supplementary funds that will be available to
schools/departments for their involvement in a comprehensive UCI outreach plan in support of their
diversity recruitment and retention efforts, including the opportunity to partner in the development of
multi-year fellowship support packages.

B. Diversity Fellowship Eligibility

Nominees for any diversity fellowship must be U.S. citizens or permanent residents. Awardees must
be admitted to graduate study in a full-time program leading to a Ph.D., except for the Graduate
Opportunity Fellowship where M.F.A. students are also eligible. Students beyond UCI’s expected

79
 time-to-degree for their discipline are ineligible to receive diversity fellowships. Eligibility
requirements vary. Therefore, it is essential that the guidelines for each fellowship be reviewed.
Fellowships are awarded only to first-year students entering a graduate program during the fall
quarter admission cycle. Continuing student nominations are considered in a separate competition
during spring quarter (March-May). Faculty advisors are encouraged to review eligibility criteria for
each specific award category.

C. Fellowship Nomination Procedures

The Graduate Division centrally administers diversity fellowships. Nominees will be evaluated on
academic merit and the strength of their diversity qualifications. All potential nominees shall first be
considered by academic units for traditional forms of assistance. Diversity fellowships are only
awarded based on a nomination by the diversity fellow's home school or department.

To assist academic units in the diversity fellowship process, the Graduate Division conducts 2
information sessions each year – both in January. The sessions cover the diversity criteria, changes
to the nomination processes, and funding levels for the coming cycle. Dates for the information
sessions are published each fall.

80