Section Four Information For Graduate Students

studies may limit the number of visiting students invited by faculty inany given year.Exchange ProgramsSome academic options have formal exchange programs that theyhave arranged with other institutions. Exchange students musthave a visiting student appointment, and the type of appointment will depend on the agreement negotiated for the particularexchange program. These programs are administered by theoption, and application should be made directly to the GraduateOffice by completing a special form provided for this purpose thatmay be obtained from the Graduate Office website.Graduate ResidenceOne term of residence shall consist of one term’s work of notfewer than 36 units of advanced work in which a passing grade isrecorded. Advanced work is defined as study or research in courseswhose designated course number is 100 or above. If fewer than36 units are successfully carried, the residence will be regarded asshort by the same ratio, but the completion of a greater numberof units in any one term will not be regarded as increasing the residence. In general, the residency requirements are as follows: forMaster of Science, a minimum of three terms of graduate work;for the degree of Engineer, a minimum of eight terms of graduatework; and for Doctor of Philosophy, a minimum of 12 terms ofgraduate work, four of which must be at the Institute.RegistrationGraduate students are required to register for each term of residence, whether they are attending a regular course of study,carrying research, doing independent reading, writing a thesis, orutilizing any other academic service or campus facility.A graduate student must be registered for 36 or more units tobe classified as a full-time student, but course loads greater than 45units are common. A graduate student who registers for less than36 units, or who undertakes activities related to the Institute aggregating more than 62 hours per week (in class, research,and teaching assistantship units), must receive approval fromthe dean of graduate studies. A petition for this purpose may beobtained from the Graduate Office website and must carry the recommendation of the option representative of the student’s majoroption before submission.Graduate students register during a two-week period each quarter. A late registration fee of 50 is assessed for failure to registeron time. Graduate students with a bursar’s bill balance of 1,500or more may have a hold placed on their registration for the subsequent term the day before online registration opens. The holdwill be released once students have paid their bill or worked out asatisfactory payment plan with the Bursar’s Office.Graduate Policies and Procedures285

286Before registering, students should consult with their adviser.An adviser is assigned to each entering graduate student by theoption rep- resentative. In most options, a new adviser is assignedwhen the student begins research. Only members of the professorial faculty may serve as advisers. With the approval of the dean ofgraduate studies, any graduate student whose work is not satisfactory may be refused registration at the beginning of any term bythe division in which the student is doing his or her major work.In registering for research, students should indicate the name ofthe instructor in charge, and should consult with him or herto determine the number of units to which the proposed workcorresponds. At the end of the term, the instructor in charge maydecrease the number of units for which credit is given if he or shefeels that the progress of the research does not justify the originalamount.Students will not receive credit for courses unless they are properly registered. Students themselves responsible for making certain that all grades to which they are entitled have been properlyrecorded. Please note that graduate students who enroll in coursesnumbered below 100 will not receive credit for them unless thecourse(s) is specified in the requirements for a graduate degree asstipulated in the Catalog.All changes in registration must be reported, on drop or addcards, to the Registrar’s Office by the student. Such changes aregoverned by the last dates for adding or dropping courses as shownon the academic calendar on pages 4 and 5. A student may notwithdraw from or add a course after the last date for dropping oradding courses without his or her option’s consent, written approval from the instructor of the relevant course, and the approval ofthe dean of graduate studies.If the withdrawal occurs after Add Day of any term, a W(standing for “withdrawn”) will be recorded on the student’s transcript for all courses in which the student is enrolled. A grade ofW is not included in the computation of the student’s grade-pointaverageAcademic Year and Summer RegistrationMost courses are taught during the three 12-week quarters thatmake up the academic year. However, doctoral-level students arerequired to maintain enrollment throughout the summer quar- ter.They are entitled to at least two weeks’ annual vacation (in addition to Institute holidays), but they should arrange their vaca- tionschedules with their research advisers early in each academic year.Any questions should be referred to the dean of graduate studies.All students in residence must be registered. There is no tuitioncharge for summer research units. To maintain full-time studentstatus, 36 units must be taken in the summer quarter.Graduate Information

SabbaticalGraduate students are required to maintain continuity in registration until all requirements for a degree are fulfilled. This meansthat students must be registered or on an approved leave from theInstitute. Leave for medical or other reasons may be approvedfor up to one year at a time. Return from leave may be subject toconditions and the recommendation of the health and counselingcenter and approval of the dean of graduate studies.In general, international students who hold nonimmigrant visasmust meet with an adviser in the International Student ProgramsOffice to determine the impact that a sabbatical will have on theirvisa status.Detached duty status maintains registration for a student doingresearch at an external location, such as a national laboratory oranother academic institution, for an extended period.Reduced duty status maintains registration for a student whocannot carry a full load due to medical disability or pregnancy.Pregnancy LeaveGraduate students who are pregnant during their studies are provide six weeks of paid leave. Pregnancy leave is a form of medicalleave and requires students complete the medical leave petitionto leave, and return to, their graduate work. If a longer leave isrequired due to medical complications, students may extend theirleave with approval of the dean of graduate studies.Bonding LeaveGraduate students are provided six weeks of family bonding leavewithout pay. Family bonding leave without pay is available to thepartner, if the partner is a graduate student at Caltech. Bondingleave requires submitting a petition for non-medical leave throughthe Graduate office.Petition forms for sabbatical, medical leave, or detached dutyor reduced duty status, may be obtained from the Graduate Officewebsite and must, before submission to the dean of graduate studies, carry the recommendations of the student’s option representative and, where appropriate, the thesis adviser. In case of a lapse instatus, readmission must be sought before academic work may beresumed or requirements for the degree completed.Registration is required for the term in which the thesis defenseis undertaken, with the exception of the first week of each term,but is not normally allowed beyond the last date of the term.Approval of the dean of graduate studies is required for any student seeking to enroll for subsequent terms during the academicyear following the thesis defense. Note that once the degree isconferred in June, further enrollment as a graduate student is notpermitted.Graduate Policies and Procedures287

The dean of graduate studies may place a graduate student oninvoluntary sabbatical if such an action is necessary for the protection of the Institute community or for the personal safety or welfare of the student involved. Such a decision by the dean is subjectto automatic review within seven days by the vice president forstudent affairs.Guidelines for Graduate Student Advising288The relationship between a faculty adviser and graduate studentshould be founded on mutual respect and open communication.Advisers and students should discuss the nature of their workingrelationship early and continue this discussion throughout theirperiod of collaboration to ensure mutually understood and compatible expectations. These discussions should be frequent and open,and should include not only work, research goals, and performancereviews, but also change of status, time for personal and familyresponsibilities, time off, and concerns about academic or work situations. Both the student and adviser have the obligation to initiatemeetings as necessary to ensure the success of therelationship.After achieving candidacy, each Ph.D. student should beassigned a thesis advising committee of three or more facultymembers. This committee should meet informally at least once ayear beginning in the fourth year of graduate study.The graduate student–faculty adviser relationship should beguided by norms of fairness and professionalism. Both faculty andgraduate students should avoid relationships that conflict with theirrespective roles and duties at Caltech. Both are bound bythe prevailing policies prohibiting discrimination and harassment(Pages 70-72 and 93-103). Concerns relating to academic or worksituations should be raised promptly between the persons directlyinvolved, and handled informally if possible. Both students andadvis

Admission to Graduate Standing Application An application for admission can be completed electronically through the Graduate Office website. Admission will be granted only to a limited number of students of superior ability, and appli-cation should be made by the posted deadlines. Completed appli-