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Policy Statement Approved by the Graduate Council Regarding Qualifying Examinations for the Doctoral Degree

1. The Purpose of the Examination. The examiners should satisfy themselves, by unanimous vote, that the student is clearly expert in those areas of the discipline that have been specified for the examination, and that he or she can in all likelihood design and produce an acceptable dissertation. The examination will ordinarily consider a number of studies and points of view and the criteria by which they may be evaluated.

   Some programs expect students to present a topic for the dissertation as part of the Qualifying Examination (although the examination should not be limited to such a topic). Others do not. In those that do not, students may be expected to have in mind one or two areas from which the dissertation might be developed and to answer questions on its potential significance and possible design.

2. Scheduling the Examination. The student is advised to confer with the chair when he or she is prepared to set the date of the examination so that necessary arrangements can be made. If the student's health or personal situation makes it too difficult for him or her to take the examination as scheduled, it is incumbent on the student to make this known before the examination so the chair can arrange for a postponement.

3. The Oral Component. The oral examination of candidates for the doctorate serves important professional functions. Not only teaching, but the formal interaction with one's students and colleagues at colloquia, annual meetings of professional societies and the like, often require the ability to synthesize rapidly, organize clearly, and argue cogently in an oral setting. To fulfill his or her professional responsibilities adequately, the holder of the doctorate will frequently be called upon to display these skills, and it is consequently necessary for the University to ensure that a proper examination is given incorporating them. Please note, however, that a possible adjustment may be made on the basis of campus policies for cases in which an otherwise able individual is prevented from meeting an oral requirement by a physical handicap. It is recommended that the Graduate Division be consulted before such adjustments are made.

4. Responsibilities of the Outside Member. The "outside" member of a Qualifying Examination Committee is responsible for seeing that overall standards of quality and equity appropriate for the award of the doctorate are being met. The Graduate Division relies on the "outside" member for assurance that comparably high and humane standards are being applied in Qualifying Examinations in all degrees programs. In addition, the "outside" member lends "the necessary balance and independence needed to ensure that the student's mastery of the subject matter is both broad and comprehensive" (Graduate Adviser's Handbook), and, in some programs, contributes an area of knowledge to a student's examination topics. Graduate Adviser Chairs should take special care in recommending "outside" committee members to the Dean of the Graduate Division; in the event of a split vote on a Qualifying Examination, the Administrative Committee of the Graduate council will take special cognizance of the view of the "outside" member.

5. Voting Procedure. Before the examination begins, the chair should remind members of the examining committee about voting procedures, especially new or non-Berkeley faculty members. In order for the student to pass the Qualifying Examination, the committee must vote unanimously for a Pass. Each committee member's vote should reflect his or her opinion about the overall performance of the candidate, including the candidate's responses to questions asked by other committee members. For detailed information on adjourned examinations, partial failure, etc., please see the Degrees section of the current Graduate Adviser's Handbook. When in doubt about procedural matters, please call the Degrees Office in the Graduate Division at 642-7330.

6. Split Votes. The jurisdiction for ruling on split votes rests with the Administrative Committee of the Graduate Council. Before submitting the results of the Qualifying Examination that eventuated in a split vote, however, the chair should make every effort to bring the committee to a unanimous vote. This may involve extensive discussion among the committee members. If, after adequate discussion, the committee is still split, the chair should ascertain exactly what the areas of disagreement are. Each member of the committee must then write a detailed assessment of the student's performance for submission to the Administrative Committee. The chair's letter should outline the progress of the examination itself, the efforts made to come to unanimous agreement, and the remaining areas of disagreement among the committee members, as well as the chair's own assessment of the student's performance. Faculty are reminded that such letters could eventually be released to the student under provision of the 1972 Federal Family Educational Rights and Privacy Act, current regulations of the Department of Health and human Services, and elements of California public records legislation. The student is not regarded as having either passed or failed the examination until the decision of the Administrative Committee has been made, and no statement to the student should be made by the members of the examining committee other than that the matter has been sent to the Council's Administrative Committee for a final decision.

   June 1992