Policies and Procedures

Graduate School policies and procedures are developed to ensure that high standards for graduate study are maintained at UAB. These policies and procedures are the joint responsibility of the Graduate Council and the Graduate School Dean. The Graduate Council, through consultation with the dean, is responsible for developing academic requirements and describing these requirements through appropriate policies. The dean, through consultation with the Graduate Council or the Advisory Committee of the Graduate Council, is responsible for developing procedures that effectively enforce academic requirements and implement policies.

The Graduate Council, through its Advisory Committee, will review academic requirements, policies, procedures, and Graduate School activities annually and recommend appropriate changes. Changes in academic requirements and related policies will require a majority vote of the Graduate Council. A change in composition or responsibility of the Graduate Council will require a two-thirds majority vote of the Graduate Council.

The following policy statements have been approved by the Graduate Council. Individual programs may set more restrictive standards.

PREAMBLE

SECTION 1 - APPLICATION TO UAB GRADUATE PROGRAMS

Policy 1: General Statement
Policy 2: Categories of Graduate Student
Policy 3: Degree-Seeking Students
Policy 4: Non-Degree-Seeking Students
Policy 5: Completed Application Package

SECTION 2 - ADMISSION STANDARDS

Policy 1: General Statement
Policy 2: Master's Degree Programs
Policy 3: Doctoral Degree Programs
Policy 4: Admission on Probation
Policy 5: Re-admission
Policy 6: Admission of Students Previously Dismissed
Policy 7: Faculty

SECTION 3 - GENERAL ACADEMIC REQUIREMENTS

Policy 1: Graduate Credit
Policy 2: Requirements for Undergraduate Students
Policy 3: Course Numbering System
Policy 4: Time Limitations
Policy 5: Registration
Policy 6: Adding/Changing Courses
Policy 7: Withdrawal From Courses
Policy 8: Credit By Examination
Policy 9: Audits
Policy 10: Leave of Absence

SECTION 4 - GRADING SYSTEM

Policy 1: Letter Grades
Policy 2: Grades in Pass/Not Pass Courses
Policy 3: Temporary Grade Notations

SECTION 5 - CUMULATIVE CREDITS AND GRADE POINT AVERAGE

Policy 1: Semester Hours Earned
Policy 2: Semester Hours Attempted
Policy 3: Quality Points
Policy 4: Grade Point Average
Policy 5: Repeated Courses

SECTION 6 - ACADEMIC PERFORMANCE

Policy 1: Good Academic Standing
Policy 2: Satisfactory Progress
Policy 3: Academic Probation and Dismissal

SECTION 7 - CONDUCT AND APPEAL

Policy 1: Academic Conduct
Policy 2: Non-Academic Conduct
Policy 3: UAB Student Records Policy

SECTION 8 - REQUIREMENTS FOR UAB EMPLOYEES

Policy 1: UAB Employees who enroll in a Ph.D. program
Policy 2: Compliance with institutional and Graduate School policies for student compensation

SECTION 9 - REQUIREMENTS FOR THE MASTER'S DEGREE

Policy 1: Faculty Advisor
Policy 2: Graduate Study Committee
Policy 3: Plan I or Plan II
Policy 4: Transfer of Credit
Policy 5: Additional Program Requirements
Policy 6: Candidacy for Degree
Policy 7: Application for Degree
Policy 8: Thesis
Policy 9: Final Examination
Policy 10: Recommendation for Degree
Policy 11: Award of Degree

SECTION 10 - REQUIREMENTS FOR THE DOCTORAL DEGREE

Policy 1: General Statement
Policy 2: Faculty Advisor
Policy 3: Graduate Study Committee
Policy 4: Minimum Course credit requirements in Ph.D. programs
Policy 5: Registration Requirements
Policy 6: Residence Requirement
Policy 7: Foreign Language or Other Special Tool of Research
Policy 8: Comprehensive Examination
Policy 9: Admission to Candidacy
Policy 10: Application for Degree
Policy 11: Dissertation
Policy 12: Final Examination
Policy 13: Recommendation for Degree
Policy 14: Award of Degree

SECTION 11 - GRADUATE FACULTY

Policy 1: Membership
Policy 2: Qualifications for Appointment
Policy 3: Types of Appointment
Policy 4: Procedures for Appointment
Policy 5: Continuation of Appointment

SECTION 12 - PROGRAM DIRECTORS

Policy 1: Appointment
Policy 2: Authority

SECTION 13 - GRADUATE COUNCIL

Policy 1: Membership
Policy 2: Chair for Meetings
Policy 3: Meetings
Policy 4: Purpose of Meetings

SECTION 14 - ADVISORY COMMITTEE OF THE GRADUATE COUNCIL

Policy 1: Purpose
Policy 2: Membership
Policy 3: Term of Membership
Policy 4: Election of Membership
Policy 5: Chair
Policy 6: Minutes of Meetings
Policy 7: Meetings
Policy 8: New Program Review
Policy 9: Parliamentary Authority

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GRADUATE SCHOOL POLICIES AND PROCEDURES

PREAMBLE

Graduate School policies and procedures are developed to ensure that high standards for graduate study are maintained at UAB. These policies and procedures are the joint responsibility of the Graduate Council and the Graduate School Dean. The Graduate Council, through consultation with the dean, is responsible for developing academic requirements and describing these requirements through appropriate policies. The dean, through consultation with the Graduate Council or the Advisory Committee of the Graduate Council, is responsible for developing procedures that effectively enforce academic requirements and implement policies.

The Graduate Council, through its Advisory Committee, will review academic requirements, policies, procedures, and Graduate School activities annually and recommend appropriate changes. Changes in academic requirements and related policies will require a majority vote of the Graduate Council. A change in composition or responsibility of the Graduate Council will require a two-thirds majority vote of the Graduate Council.

The following policy statements have been approved by the Graduate Council. Individual programs may set more restrictive standards.

SECTION 1 - APPLICATION TO UAB GRADUATE PROGRAMS

Policy 1: General Statement

The Graduate School welcomes applications from all qualified individuals who wish to pursue graduate study at UAB.

Policy 2: Categories of Graduate Student:

Two broad categories of graduate students are recognized: degree-seeking and non-degree-seeking graduate students.

Policy 3: Degree-Seeking Students

Degree-seeking graduate students are those accepted into a specific graduate program to work toward a specific advanced degree. In addition to the completed application form, the application procedure includes the submission of official transcripts, standardized test scores, and letters of recommendation. Each application is reviewed by the faculty of the graduate program to which the applicant has replied, who make an admissions recommendation to the Graduate School Dean or a representative of the Graduate Dean. Specific application requirements can vary by department/program. All programs have a checklist located at (http://www.uab.edu/graduate/graduate-catalog-frontdoor-local-menu/23-students/catalog/68-graduate-program-directory) which includes departmental contact information, specific application requirements, deadlines, etc.

Policy 4: Non-Degree-Seeking Students

The non-degree category serves students who do not wish to pursue a graduate degree at UAB as well as those who wish to begin graduate study before being admitted to a degree program. Not all graduate courses are open to non-degree-seeking graduate students. Although there is no limitation on the amount of credit that may be earned as a non-degree-seeking student, should a student later wish to pursue an advanced degree at UAB, the credit earned while in non-degree-seeking status is not acceptable automatically toward the degree. In no case can more than 12 semester hours earned as a non-degree graduate student be applied toward a degree. Successful completion of courses as a non-degree student does not guarantee admission to a graduate program.

Because of U.S. Immigration requirements, international applicants (i.e., those who are neither U.S. citizens nor permanent residents) cannot normally be considered for the non-degree category unless already residing in the United States. Immigration laws should be consulted to determine eligibility of students. International students wishing to have a nondegree status should do the following: 1) submit an online nondegree application; 2) please submit your visa status to the ISSS Office in order to verify eligibility for part time study (students holding certain visa types are prohibited from engaging in part time study); and 3) submit evidence of bachelor's degree to the Graduate School, for approval.

Policy 5: Completed Application Package

The complete application package includes

(1) the completed online application,

(2) the appropriate processing fee (paid online with a credit/debit card or by mail with a check or money order),

(3) official transcripts from all colleges or universities attended (the applicant must arrange for these to be mailed directly from the issuing institution to the Graduate School Office)

(4) official copies of the applicant's scores on the Graduate Record Examination (GRE) General Test (GRE scores less than 5 years old must also be sent directly from the testing agency to the Graduate School. Some UAB graduate programs require, or are willing to accept, other recognized national tests. Specific program requirements are outlined in the program sections of the catalog.),

(5) three letters of recommendation, preferably submitted online or on the Graduate School Evaluation Form and then mailed directly to the graduate department/program by the person who writes the letter. (For some programs the required number is less.),

(6) (for international applicants only) an affidavit of financial support, and

(7) (for international applicants from non-English-speaking countries only) official copies of the applicant's scores on the Test of English as a Foreign Language (TOEFL) and the Test of Written English (TWE), or the International English Language Testing System (IELTS).

Application packages, in general, will not be considered until the package is complete. All documents must be received by the Graduate School Office via the online application system by the deadline as indicated on the program-specific admissions checklist: http://www.uab.edu/graduate/graduate-catalog-frontdoor-local-menu/23-students/catalog/68-graduate-program-directory.

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SECTION 2 - ADMISSION STANDARDS

Policy 1: General Statement

Admission is competitive, and based on an estimation of the ability of the applicant to complete the degree program successfully and on the appropriateness of the program to the applicant's academic or career goals.

Application Review Process

Our admission process has two levels of review. The Graduate School sets general admission requirements, and each graduate program specifies its particular requirements. In general, the Graduate School welcomes applications from students who have earned a bachelor's degree from a regionally accredited academic institution, who have good letters of recommendation, and who have scored well on a recognized standardized test (usually the Graduate Record Examination General Test). Each application is evaluated by the program faculty on the basis of all information available about the applicant. Most of our graduate programs can accommodate only a limited number of students. Admission is usually competitive, and we may not be able to offer admission even to some well-qualified applicants. Admission requirements for individual programs varies by discipline. Normally, successful applicants have usually earned at least a B average in undergraduate coursework. Since it is difficult for us to generalize across the wide range of our graduate programs, students may contact the program to which you are applying to confirm the test score and GPA requirements or expectations. If space is available, some programs may allow contingent admission to applicants who fall short of the standards normally expected.

Applicants for admission will not be processed until all credentials required by the Graduate School have been received. All programs have a checklist located at (http://www.uab.edu/graduate/graduate-catalog-frontdoor-local-menu/23-students/catalog/68-graduate-program-directory) which includes departmental contact, specific application requirements, deadlines, etc. Applications and materials submitted are held for one year; if an admission decision is not made within that time, the records will be destroyed. The applicant is responsible for making sure that all application packet components are received by the Graduate School. The Graduate School assumes no obligation to inform applicants about erroneous or missing credentials. All application materials become the property of the university and may not be released to any other individual or the applicant.

Policy 2: Master's Degree Programs

Although each graduate program sets its own minimum standards for admission, the Graduate School has established guidelines for admission to master's degree programs. These guidelines are as follows:

(1) a B average (computed overall, or alternatively computed over the last 60 semester hours of earned credit) in undergraduate work,

(2) evidence of a bachelor's degree from a regionally accredited university or college in the United States (Degrees from foreign universities and colleges are acceptable, if equivalent to a four-year baccalaureate degree from a U.S. institution. Determination of equivalence is made by the Graduate School at the time of application.),

(3) an acceptable score on the Graduate Record Examination General Test (some programs require or accept scores from other standardized tests), and

(4) previous academic work appropriate to the academic area to which an application is being made.

Note: Faculty who review applications from prospective students are encouraged to consider all components of each student’s application for their program.

Policy 3: Doctoral Degree Programs

Although each graduate program sets its own minimum standards for admission, the Graduate School has established guidelines for admission to doctoral degree programs. These guidelines are as follows:

(1) a B average (computed overall, or alternatively computed over the last 60 semester hours of earned credit) in undergraduate or subsequent graduate work,

(2) evidence of a bachelor's degree from a regionally accredited university or college in the United States (Degrees from foreign universities and colleges are acceptable, if equivalent to a four-year baccalaureate degree from a U.S. institution. Determination of equivalence is made by the Graduate School at the time of application.),

(3) an acceptable score on the Graduate Record Examination General Test (some programs require or accept scores from other standardized tests), and

(4) previous academic work appropriate to the academic area to which an application is being made.

Also, note that some programs require a master's degree before admission to the doctoral program. Because of guidelines set by external accreditation authorities, the requirements for application and admission to certain graduate programs may differ from the above, particularly with regard to the standardized test required. These variations are detailed in the specific sections for each graduate program in the catalog.

Note: Faculty who review applications from prospective students are encouraged to consider all components of each student’s application for their program.

Policy 4: Admission on Probation or with Contingencies

Students not meeting all program admission criteria may be admitted on a contingent basis upon recommendation by the graduate program director and approval by the Graduate School Dean. Refer to section 6.3 for information about the terms of contingent admission.

Students lacking specific qualifications may be admitted to graduate programs contingent on remediation of specific deficiencies within a specified period of time. It is the obligation of program directors to notify the Graduate School Office in writing of the specific terms and deadlines to be met by students admitted with contingencies.

Policy 5: Re-admission

The records of former students who have not registered for and passed at least one course at UAB over a period of one year will be removed from the UAB computerized registration system. Such students must apply for re-admission before they may register again. Degree-seeking students who (1) have been absent one year or more but have registered for and passed at least one course at UAB within the last five years and (2) have not attended any other university or college in the interim and (3) wish to return to the graduate program to which they were earlier admitted may complete the Application for Re-admission to a Graduate Degree Program and pay the required processing fee. To be re-admitted students must meet the degree requirements operative at the time of re-admission. Students who wish to return to the nondegree category after an absence of one or more years must submit a new nondegree application form, together with the required processing fee.

Policy 6: Admission of Students Previously Dismissed

When any individual applies to a graduate program, a major part of the admissions decision involves an estimate, based on the applicant's academic history, of whether the applicant can perform satisfactorily at the graduate level. To be re-admitted, applicants, who have previously been dismissed from a graduate program based on unsatisfactory academic performance must present convincing evidence to the faculty and the Graduate School Dean that a substantial improvement has occurred so that it is probable that the applicant can now perform at the required level in graduate work.

Policy 7: Faculty

To maintain university accountability, UAB faculty and staff who wish to take occasional graduate courses must register for these courses following admission to the Graduate School on the non-degree-seeking basis. Admission of a UAB faculty member as a degree-seeking graduate student requires the concurrence of the applicant's department chair and dean(s), as well as the acceptance into the program required for other applicants to the same program.

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SECTION 3 - GENERAL ACADEMIC REQUIREMENTS

Unless otherwise stated, the policies in this section apply to both degree-seeking and non-degree-seeking graduate students.

Policy 1: Graduate Credit

For purposes of academic accounting, credits expressed in "semester hours" are assigned to each course. The guideline for lecture or seminar courses is that one semester hour of credit is awarded for 13-15 contact hours. Laboratory credit is assigned on the basis of one semester hour of credit for approximately 30 hours of work in the laboratory.

Policy 2: Requirements for Undergraduate Students

UAB undergraduate students may be allowed to enroll in a graduate course with the approval of their advisor, the instructor, the undergraduate program director, or department chair, and their graduate program director. Credits earned by undergraduate students may be applied to either an undergraduate degree or a graduate degree, but not both.

If the student is subsequently admitted to the Graduate School, use of this credit toward a graduate degree requires the approval of the graduate program director and the Graduate School Dean. Credits that have been used toward the bachelor's degree cannot be used a second time toward a graduate degree.

Policy 3: Course Numbering System

The scholastic level of UAB courses is indicated by the century number. Courses numbered 500 and above are graduate and postbaccalaureate courses. Courses numbered 500-599 are available to upper-level undergraduate and beginning graduate students. Courses numbered 600 and above are for graduate students exclusively unless the criteria in Policy 2 are met. Those numbered 600-699 are intended primarily for students at the master's level, with 698 reserved for non-thesis research and 699 reserved for thesis research. Courses assigned numbers 700-799 are primarily for students at the doctoral level, except in the School of Education where the numbers from 700-739 are reserved for courses leading to the degree of Educational Specialist (Ed.S.). The number 798 is reserved for non-dissertation research and 799 for dissertation research. Seminars, practica, individual studies and projects, internships, and residencies will generally carry numbers in the upper range of these centuries.

Policy 4: Time Limitations

Graduate students are generally expected to complete all degree requirements with 5 years of matriculation for master’s students and 7 years of matriculation for doctoral students. One extension of this time limit can be requested when mitigating circumstances preclude completion of requirements within 7 years. The recommendation for an extension should include a plan and timeline for completion. Such requests for doctoral students require the approval of the student’s dissertation committee and graduate program director and must be presented in writing to the dean of the Graduate School for consideration and approval. Courses taken more than 7 years before graduation may not be applied toward a degree without the approval of the graduate program director and graduate dean.

Policy 5: Registration

Students must register for all work to be taken for graduate credit. To be classified as "full time," a graduate student must register for at least six (nine beginning in Fall 2001) semester hours of work each regular term. The university publishes the UAB Class Schedule four times per year, approximately two weeks before the beginning of registration for the approaching term. The Class Schedule lists the courses and other work to be offered and gives full details on prerequisites, registration dates, and procedures, including required signatures. The class schedule will indicate the graduate courses that are offered on a "pass/fail" basis.

Policy 6: Adding/Changing Courses

Adding or changing courses after registration is possible each term until the date specified in the UAB Class Schedule. Procedures are also specified in that publication. There will normally be a processing fee charged for registration changes.

Policy 7: Withdrawal From Courses

Withdrawal from Courses Graduate students are expected to complete courses for which they have registered, unless unusual circumstances require withdrawal. The procedures for withdrawal are specified on BlazerNET. Mere cessation of class attendance does not constitute withdrawal, either academically or for tuition charges. If you must withdraw from a class or classes after the Add-Drop period, the withdrawal request must be made no later than the posted date for all withdrawals. Check the Academic Calendar, https://www.uab.edu/students/academics/academic-calendar, for the appropriate semester to verify the last date for withdrawal. If a student follows the procedures to withdraw in BlazerNET, then a grade of “W” will be entered on the transcript.

Policy 8: Credit By Examination

Students may not earn "credit by examination" at the graduate level.

Policy 9: Audits

Graduate students may audit courses available for graduate credit with the permission of the instructor and payment of appropriate fees; this approval must be secured before registration. Courses taken for audit credit are not counted toward the hours required for full-time status. Provided the instructor’s requirements are met, the course will appear on the transcript with the notation AU. The request to audit form can be obtained online at http://www.uab.edu/graduate/online-forms.

Policy 10: Leave of Absence

Students in good academic standing may request a leave of absence for a period not generally to exceed two years. The request for a leave of absence must be made in writing to the graduate program director and must include the anticipated duration of the leave. A copy of the approved request shall be forwarded to the Graduate School. Students on leave shall not undertake any requirements for the degree.

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SECTION 4 - GRADING SYSTEM

Policy 1: Letter Grades

The grade of A is used to indicate superior performance, B for adequate performance, and C for performance only minimally adequate for a graduate student. Any graduate student completing a course at the 500 level or above with a performance below the C level will receive a grade of F, since the Graduate School does not use the grade of D.

Policy 2: Grades in Pass/Not Pass Courses

With the approval of the graduate program director, a course may be designated as a "pass/not pass course", in which case all students registered for the course are graded on a pass/not pass basis. The grade of P (passing) signifies satisfactory work. The grade of NP (not passing) indicates unsatisfactory work without a penalty being assessed with respect to the grade point average.

Policy 3: Temporary Grade Notations

Temporary notations used by the Graduate School are N for "no grade reported", and I for "incomplete" coursework.

If there is a special circumstance in which an instructor does not submit a grade at the end of a term, a temporary grade of N will be recorded. If no permanent grade has been reported by the end of the following regular term, an F will automatically be entered in the student's academic record.

The temporary notation of I may be reported at the discretion of the instructor to indicate that the student has performed satisfactorily in the course but, due to unforeseen circumstances, has been unable to finish all course requirements. An I is never given to enable a student to raise a deficient grade. This notation should not be used unless there is reasonable certainty that the requirements will be completed during the following regular term, since at the end of that term the I automatically changes to an F. In highly unusual circumstances the student may request an extension of the time to complete the requirements. This request must be submitted in writing in advance of the time when the grade automatically changes to an F since the approval of the instructor, graduate program director, and Graduate School Dean are all required.

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SECTION 5 - CUMULATIVE CREDITS AND GRADE POINT AVERAGE

Policy 1: Semester Hours Earned

The student's "semester hours earned" are increased by (1) earning a grade of C or better in a course for which the student was registered on a regular ("letter grade") basis or (2) obtaining a P grade in a course taken on a pass/not pass basis.

Policy 2: Semester Hours Attempted

The student's "semester hours attempted" are increased by receiving a grade of A, B, C, or F in a course for which the student was registered on a regular basis.

Policy 3: Quality Points

Four quality points are awarded for each semester hour for which the student receives a grade of A, three quality points are awarded for each semester hour in which a B is earned, and two quality points are awarded for each semester hour in which a C is earned. No quality points are added for other grades.

Policy 4: Grade Point Average

The grade point average is determined by dividing the total quality points awarded by the semester hours attempted.

Policy 5: Repeated Courses

Graduate students may be allowed to repeat courses for graduate credit with the permission of the graduate advisor and graduate program director. All courses taken and all grades earned are permanently recorded on the student's transcript. The first time a student repeats a course he or she receives the grade earned for the second attempt. If a course is taken three or more times, all grades after the first are counted. The Graduate School Records Office must be notified of the first repeat at the time of registration because the calculation using the repeat grade is not automatic. Some graduate programs may not allow the Repeated Course policy. Check with your advisor to make sure your program has a repeat policy. Note: Many graduate programs also base retention decisions on programmatic guidelines and not on grade point average.

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SECTION 6 - ACADEMIC PERFORMANCE

Policy 1: Good Academic Standing

For a student to maintain good academic standing in the Graduate School, a grade point average of at least 3.0 (B average) and overall satisfactory performance on pass/not pass courses are required. Satisfactory performance on pass/not pass courses is defined as the earning of at least as many hours of P grades as hours of NP grades combined.

Policy 2: Satisfactory Progress

Each graduate program should establish standards for satisfactory progress toward the degree. Students who do not meet these standards may be dismissed from the specific graduate program.

Policy 3: Academic Probation and Dismissal

Students who are admitted on probation must demonstrate their ability to perform at the level required for graduation by establishing good academic standing at the end of the term when their graduate semester hours attempted equal, or first exceed, 12. Students who do not accomplish this level of performance may be dismissed from the UAB Graduate School.

A degree-seeking or non-degree-seeking graduate student who has been in good academic standing, but who at the end of any regular term fails to meet the criteria to continue in good academic standing, will be placed on probation. Such a student must re-establish good academic standing within the next two regular terms of graduate study undertaken. Students who do not accomplish this level of performance may be dismissed from the UAB Graduate School.

The rules stated above govern university probation and dismissal, administered by the Graduate School. Individual graduate programs may establish and administer program probation and dismissal governed by stricter requirements. In general, a student's retention in a specific graduate program is contingent on the faculty's belief that the student is likely to complete the program successfully. If the faculty ceases to hold this belief, the student may be dismissed from the program.

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SECTION 7 - CONDUCT AND APPEAL

Policy 1: Academic Conduct

The University of Alabama at Birmingham expects all members of its academic community to function according to the highest ethical and professional standards. Students, faculty, and administration of the institution must be involved to insure this quality of academic conduct.

Academic misconduct undermines the purpose of education. Such behavior is a serious violation of the trust that must exist among faculty and students for a university to nurture intellectual growth and development. Academic misconduct can generally be defined as all acts of dishonesty in an academic or related matter. Academic dishonesty includes, but is not limited to the following categories of behavior:

ABETTING: helping another student commit an act of academic dishonesty. Allowing someone to copy your quiz answers, or use your work as their own are examples of abetting.

CHEATING: use or attempted use of unauthorized materials, information, study aids, the answers of others, or computer-related information.

PLAGIARISM: claiming as your own the ideas, words, data, computer programs, creative compositions, artwork, etc., done by someone else. Examples include improper citation of referenced works, use of commercially available scholarly papers, failure to cite sources, copying other's ideas.

FABRICATION: presenting as genuine falsified data, citations, or quotations.

MISREPRESENTATION: falsification, alteration or misstatement of the contents of documents, academic work or other materials related to academic matters, including representing work substantially done for one class as work done for another without receiving prior approval from the instructor. Misrepresentation also includes misrepresenting schedules, prerequisites, transcripts, or other academic records.

A student who commits an act of academic misconduct within the context of meeting course requirements will be given the grade of F in the course or on the assignment at the discretion of the department or program in which the misconduct occurred.  Academic misconduct can occur in other contexts as well, such as when taking comprehensive examinations, performing research, preparing manuscripts or generally during the performance of other activities related to the process of satisfying degree requirements.  Under Graduate School policy the program in which the student is enrolled may choose to expel the student from the university on the first offense. Students should consult the policies of their graduate program to determine whether expulsion can occur with a first offense. If, as determined by the records of the Graduate School or the department or program, the act of academic misconduct is a second offense, the student will be expelled from the university. The transcript of a student expelled for committing academic misconduct will bear the statement “Expelled for Academic Misconduct.”

Reporting Academic Misconduct

When a faculty member or another student sees cause to charge a student with academic misconduct, within 7 days of noting the incident that individual will communicate the charge to the department chair or program director of the department or program in which the accused student is enrolled.   The department chair or program director to whom the charge is presented will notify the student of the charge and provide the student with an opportunity to respond. If, at that time, the student cannot refute the charge effectively, the department chair or program director will expeditiously notify the student of the administrative action to be taken.  The notice shall also inform the student of the right to appeal and the steps involved in that process.  Copies of any such communication will be provided to the Academic Dean of the school in which the student is enrolled. 

If the school or department in which the student is enrolled has its own honor code, then the procedures of that honor code must be followed, including any prescribed appeals process.  For dual degree students whose academic misconduct occurs in one of their two schools, the honor code of the school in which the infraction occurred should prevail.

However, if no local honor code exists, the following procedure must be followed.

Right to Appeal and Formation of and Honor Council

If a student is the subject of an administrative action as the result of an academic misconduct violation and wishes to contest that administrative action, he / she may appeal in writing to the Dean of the school in which the student is enrolled. The dean will then convene an Honor Council consisting of five students and three faculty members from various departments within the school.  All of the students chosen to serve must be in good academic standing.

The Honor Council shall elect a chairperson from among the eight members.  The Chair may be either a student or faculty member.  The duties of the Chair include convening the Honor Council, presiding over hearings and communicating with the administration of their school on behalf of the Honor Council.  In all matters, the members of the Honor Council are instructed to treat the information put forward to them in the strictest of confidence.  Breaches of confidentiality are themselves violations of the Student Honor Code and will be treated as such.

Initial Procedures

After being informed of the charges and the failure to reach an informal resolution, the Academic Dean may also attempt to informally resolve the impasse between the student and the faculty member(s).  In the event this attempt is unsuccessful, the Academic Dean shall refer the allegation(s) to the Honor Council.  The Academic Dean will provide the Honor Council with a statement of the allegation(s) against the accused student, a description of the evidence and supporting documents (if available).  The Honor Council shall convene to review the charge and all evidence supporting it.  After review, the Council may either dismiss the allegation(s) on the grounds that insufficient substantiating evidence exists, or support the charges, also based on the evidence.  The Honor Council shall provide notice of the specific charge or of the dismissal of the alleged violation to the accused student by certified mail, return receipt requested, or by hand delivery, and to the Academic Dean.  If substantiated, the statement of the charge shall include a brief summary of the alleged violation and the evidence presented in support of the charge, in enough detail as to allow the accused the opportunity to rebut the charge, and shall provide notification to the accused student of his/her right to a hearing.  The accused student must respond to the charge within five days, unless excused by the Honor Council.  In his/her written response to the Honor Council, the accused student must admit or deny the charge and must formally request or waive his/her right to a hearing before the Honor Council.

Once notice of the specific charge has been provided to the accused student and to the Academic Dean, the Honor Council shall decide on a time for the hearing and any preliminary deadline(s) for the submission of supporting documents and the names of proposed witnesses.  Granting a request from the accused, or from the School, to reschedule the hearing is within the discretion of the Honor Council, but shall not be unreasonably denied.  The Honor Council shall provide written notice to the accused student of the time and place for the hearing, and if witnesses are to be called in his/her defense, ask the student to provide their names  along with a statement describing the testimony of each witness.  The Honor Council shall review any documentary evidence provided by the student in advance of the hearing.

The Hearing

The process shall generally include the following:  (1) call to order by the Chair; (2) introduction of those present; (3) statement of the Charge and possible penalties if the charge is proven; (4) statement of the evidence and testimony in support of the charge, and questioning of witnesses; (5) statement of evidence and testimony in opposition to the charge (rebuttal), and questioning of witnesses; (6) closing statement.  All questioning of witnesses shall be by the Honor Council  unless the Honor Council shall decide otherwise.

A hearing before the Honor Council shall not be bound by formal rules of evidence or judicial rules of procedure.  The Honor Council may hear any testimony or receive any supporting evidence that it deems to be pertinent to the charge.  Both the accused and a representative of the School may be present throughout the hearing.  The accused student shall be afforded a reasonable opportunity to be heard, to question witnesses indirectly through the Honor Council, to rebut adverse evidence, and to make a brief closing statement.  Members of the Honor Council  may ask any questions at any time during the hearing and may elect to disallow or to curtail testimony that the Honor Council  determines to be unnecessarily redundant or not relevant to the issue(s) being heard.  Throughout the hearing, all persons present shall conduct themselves in an orderly manner.

The accused may be accompanied at the hearing by an advisor of his/her choosing, however, the advisor may not participate in the hearing.  The Honor Council shall be responsible for the conduct of the hearing at all times and shall keep a record of the proceedings in a format it chooses.  Hearings before the Honor Council are confidential proceedings and only those persons determined by the Honor Council to have a need to be present shall be included.  Except for the accused (and an advisor if invited by the accused) and the representative of the School, all other witnesses shall be excluded from the hearing room, except when testifying.  No more than one witness shall be called to testify at a time.  The School or the Honor Council may elect to invite UAB Security to be present at an Honor Council  hearing.

As soon as practicable following the conclusion of the hearing, the Honor Council shall meet in private session to consider all of the evidence presented, and shall decide on one of two outcomes. The decision of the Honor Council shall be that the charge is either (1) proven by a preponderance of the evidence or (2) not proven by a preponderance of the evidence.  A vote of six of the eight members shall be required for the charge against the accused to be proven.  Following the vote, the Honor Council shall record the vote and shall provide a brief narrative statement explaining the rationale for their finding(s).  The written decision and rationale of the Honor Council  shall be transmitted to the Academic Dean, by internal communication, upon the conclusion of the Honor Council 's deliberations.  The Honor Council shall notify the accused of the outcome by certified mail, return receipt requested, or by hand delivery.  A decision of the Honor Council in favor of the accused student shall conclude the case.

Penalties for Violation of the Honor Code

Generally, a first violation of the Honor Code shall result in the assignment of a failing grade in the assignment or in the course in which the violation occurred, at the discretion of the instructor.  A notation on the student’s permanent academic record may also be made to indicate that a reduced or failing grade was assigned because of an Academic misconduct violation (e.g., "F, Academic misconduct violation, June 15, 2006"), on the judgment of the Honor Council.  A second violation of the Honor Code shall result in expulsion from the University.  No student may graduate until pending allegations of an Academic misconduct violation have been resolved.  No student expelled from the Graduate School because of an academic misconduct violation shall be eligible for readmission.

If at the end of the appeals process performed at the school  level, the accused student wishes to appeal to the Graduate School Appeals Board, he / she must follow the procedure outlined in this Handbook.  Upon receipt of the appeal from the student, the Graduate Dean will request from the Academic Dean of the school in which the student is enrolled all appropriate documentation accumulated to that point.  The Graduate Dean will then be responsible for maintaining records of all additional proceedings.

Policy 2: Non-Academic Conduct

The university is a community of scholars and learners; therefore, all participants are expected to maintain conduct that (1) facilitates the institution's pursuit of its educational objectives, (2) exhibits a regard for the rights of other members of the academic community, and (3) provides safety to property and persons. Through appropriate "due process" procedures, disciplinary action will be taken in response to conduct that violates these principles. A more detailed description of non-academic misconduct can be found in the student handbook Direction. It is the student's responsibility to be fully aware of the policies and procedures described in Direction. The Vice President for Student Affairs has the responsibility for coordinating policies and procedures regarding students' non-academic misconduct.

Policy 3: UAB Student Records Policy

Federal law guarantees students certain rights with respect to their educational records. It is the student's responsibility to become familiar with the university's stated policies on these rights.

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SECTION 8 - REQUIREMENTS FOR UAB EMPLOYEES

Policy 1: UAB Employees who enroll in a Ph.D. program

I.  UAB employees who enroll in a Ph.D. program and continue to work full time:

A.  Cannot also be a full time student*
B.  Cannot enroll for more than 18 credit hours per academic year (fall, spring & summer)*
C.  Are not eligible to be supported on a training grant as they are not full time students
D.  Cannot be simultaneously supported by a UAB Graduate Assistantship
E.  Thesis or dissertation work may not be initiated until the student enrolls in a program
i.e. data generated by the employee/student prior to enrollment that has been submitted for publication or published cannot be included in a thesis or dissertation
F.  Must meet the same set of program requirements as all other students
G. The dissertation committee is responsible for assuring that these stipulations are met
H. The mentor/employer must acknowledge in writing his/her agreement for the employee to be a part time student while continuing to be a full time UAB employee.  Written acknowledgments must be submitted to the program director and the Grad School.*
I.   Program Director and committee must agree in writing to a protracted course of study*
             
*Stipulations A, B, H and I do not apply to employees of companies which support their
            employees as full time students in a UAB Ph.D. program

Policy 2: Compliance with institutional and Graduate School policies for student compensation

UAB employees who wish to become full time students cannot work more than 10 hours per week outside their commitment to meet the requirements of their predoctoral program

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SECTION 9 - REQUIREMENTS FOR THE MASTER'S DEGREE

Policy 1: Faculty Advisor

Immediately after a degree-seeking student enters the UAB Graduate School, a member of the faculty of the graduate program to which the student has been admitted should be assigned to serve as the student's advisor. This assignment may be a temporary arrangement. The student and the advisor should confer about courses and any special work to be taken on the basis of the student's previous experience and the requirements of the graduate program.

Policy 2: Graduate Study Committee

As soon as possible, a specific plan of study should be developed. Traditionally, graduate study is highly flexible and individualized, and a graduate study committee is appointed, chaired by the student's advisor, to guide the student toward the degree. (Some graduate programs, particularly where flexibility in the course of study is limited by accreditation and other external constraints, do not always use a graduate study committee for Plan II students.) When used, the committee should consist of at least three Graduate School faculty members, one of whom should be from outside the student's graduate specialization and each of whom should be able to bring some relevant insight and expertise to guide the student. Recommendations for graduate study committee membership are submitted by the advisor and the student to the graduate program director, who subsequently submits these recommendations to the Graduate School Dean. Graduate study committee appointments are made by the Graduate Dean, who is an ex officio member of all graduate study committees.

Policy 3: Plan I or Plan II

The Graduate School recognizes two principal paths, known as Plan I and Plan II, that lead to the master's degree. One or the other of these plans may be appropriate in particular circumstances, and in some programs a choice is available.

Plan I requires the completion, in good academic standing, of at least 24 semester hours of appropriate graduate work, plus the presentation of an acceptable thesis embodying the results of original research work.

Plan II may not require research and does not require a formal thesis, but a minimum of 30 semester hours of appropriate graduate work must be completed in good academic standing. Although thesis research is not required as part of a Plan II course of study, the student is often expected to gain insight into the techniques of problem posing and problem solving and to use these insights to prepare a written report.

Where both Plan I and Plan II are available within one graduate program, an early and meaningful choice should be made by the student, in close consultation with the advisor. A change in choice of plans requires the approval of the program director and the Graduate School Dean.

Policy 4: Transfer of Credit

Previously earned graduate credit that has not been applied toward another degree (either at UAB or elsewhere) is eligible for transfer into the student's current degree program. (Ordinarily no more than 12 semester hours of transfer credit can be applied to a degree program.) All transfers must be initiated by the student and require the approval of the graduate program director and the Graduate School Dean. An application for transfer of credit will not be considered until the student has completed at least six semester hours of graduate credit in the current UAB program and is in good academic standing. Once transfer credit has been accepted, it will be included in the calculation of the grade point average in the student's current UAB program.

Graduate credit earned with a grade of B or above while a graduate student is in another accredited graduate school may be considered for transfer. In programs offered jointly by UAB and other universities, all graduate credits earned in the program at a cooperating university are eligible for transfer to UAB. If a student earns credit in one UAB graduate program and is later admitted to another program, unused credits from the previous program are eligible for consideration for transfer into the current program.

Policy 5: Additional Program Requirements

In consultation with the faculty, the director of each graduate program will specify any additional requirements, such as a reading knowledge of a foreign language or a working knowledge of statistics, which are considered essential to mastery of the academic discipline. Such requirements become conditions for the completion of the degree. The program may also adopt a system of examinations that the student must pass at various points in the program.

Policy 6: Candidacy for Degree

Admission to candidacy is a formal step recommended by the student's graduate study committee and approved by the graduate school program director and the Graduate School Dean, acknowledging that the student has been performing well and is likely to complete the degree. In the case of Plan I, admission should occur when the student has obtained an adequate background (although not all coursework need be complete) and has provided the committee with an acceptable proposal for thesis research. Students must be in good academic standing to be eligible for admission to candidacy, and admission must take place no later than one regular term before the expected graduation.

Policy 7: Application for Degree

Each candidate for a master's degree must signify the intention to complete the requirements by a particular graduation date by submitting a completed Application for Degree Form. Because this form is used to check completion of requirements, order the diploma, and enter the student in the commencement program, the form must be received in the Graduate School Records Office no later than 3 weeks into the semester of expected graduation. Students must be registered for at least 3 semester hours of graduate work in the semester they plan to graduate.

Policy 8: Thesis

The thesis required under Plan I should present the results of the candidate's original research and the interpretation of those results. The document should also demonstrate the candidate's acquaintance with the literature of the field and with the proper selection and execution of research methodology.

Signatures of committee members and program directors on the approval form indicate their assurance that they have examined the document and have found that it is of professional quality from all standpints, including writing quality, technial correctness, and professional competency, and that the document conforms to acceptable standards of scholarly presentation. The Graduate School is responsible for ensuring that the final version of the thesis meets the physical standards required of a permanent, published document and for adherence to the requirements stated in the UAB Format Manual (available online at http://www.uab.edu/graduatestudents/current/theses/7299/).

No later than 2 weeks (10 business days) following the public defense, the completed document, as a single PDF on a good quality CD, must be submitted to the Graduate School for final review. Master's students submit the Approval Form, signed by each committee member and the program director. The UAB Publication Agreement form is submitted online. Additional information concerning completing the final steps ofthe publication process is available online http://www.uab.edu/graduatestudents/current/theses/.

Additional assistance is available for students registered for GRD 704 (offered every semester by the Professional Development Program).

If in the opinion of more than one member of the thesis committee, the student has failed the thesis defense, there is no consensus to pass. The chair of the committee shall advise the student that the thesis fails to meet the requirements of the program. Teh chair shall notify the student in writing about the reason(s) for failure. If the student resubmits or submits a new thesis for consideration by his/her graduate program at least two members of the new examining committee shall be drawn from the original committee. If the modified or new thesis fails to meet the requirements of the program, the student shall be dismissed from the graduate program.

In the event that only one of the three committee members dissent, that individual must submit a letter in which he/she outlines the reasons for their dissent to the student's advisor. The advisor and student may then prepare a rebuttal statement that is submitted. along with the letter of dissent, to the advisory or executive committee of the program for review. Teh advisory committee can then decide to accept or rejuect the rebuttal statement. If the rebuttal is accepted, the student is passed on his/her thesis defense. If the rebuttal is rejected, the advisory committee can recommend to the student or advisor potential steps necessary to remediate the thesis and potentially also the work therein, or the committee can recommend that the student be dismissed from the program.

Policy 9: Final Examination

Under Plan I, the final examination should take the form of a presentation and defense of the thesis, followed by an examination of the candidate's comprehensive knowledge of the field. Plan I examinations must be scheduled through the Graduate School. The meeting must be appropriately announced, must be open to all interested parties, and must take place at least 30 days before the expected date of graduation. Plan I candidates must be registered for at least three semester hours of graduate work in the term during which degree requirements are completed.

If in the opinion of more than one member of the thesis committee, the student has failed the final, oral examination, there is no consensus to pass. The chair of the committee shall advise the student that the thesis fails to meet the requirements of the Graduate School. The chair shall notify the student in writing about the reason(s) for failure. If the students resubmits or submits a new thesis for consideration by the Graduate School at least two members of the new examining committee shall be drawn from the original committee. If the modified or new thesis fails to meet the requirements of the Graduate School, the student shall be dismissed from the Graduate School.

Students who fail to submit a completed thesis within one quarter following the final examination will be charged a degree completion fee each quarter. After two quarters students are required to schedule another meeting of the supervisory committee. Exceptions to the policy must be approved in advance of the deadline by the program director or graduate dean.

When Plan II is followed, the final examination should take the form of a comprehensive survey of the candidate's activities in the graduate program. (A Plan II final examination is not used in some graduate programs.)

Policy 10: Recommendation for Degree

The candidate will be recommended for the master's degree to the Graduate School dean by the graduate study committee or the student's advisor and the graduate program director. This recommendation must be received no later than 20 days before the end of the term in which the candidate is expected to complete all degree requirements. The recommendation will be based on evaluation of all work performed, the final examination, and the thesis if Plan I was followed.

The recommendation will automatically be nullified if (1) the remaining courses needed for the degree are not passed, (2) the candidate fails to maintain good academic standing, (3) the candidate fails to remove all temporary grades (I or N) from the transcript, or (4) (if Plan I) the candidate fails to complete the thesis.

Policy 11: Award of Degree

Upon approval by the Graduate School Dean and payment of any outstanding financial obligations to the university, the student will receive the degree from the president of the university.

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SECTION 10 - REQUIREMENTS FOR THE DOCTORAL DEGREE

Policy 1: General Statement

The doctoral degree is granted in recognition of (1) scholarly proficiency and (2) distinctive achievement in a specific field of an academic discipline. The first component is demonstrated by successful completion of advanced coursework (of both a didactic and an unstructured nature) and by adequate performance on the comprehensive examination. Traditionally, the student demonstrates the second component by independently performing original research, which is presented in the form of a dissertation, publicly defended before the university community. In certain doctoral programs, the dissertation may take the form of a major project undertaking, which, although not of a traditional research nature, presents the results of independent study.

The Graduate School also recognizes professional doctorates awarded in preparation for the autonomous practice of a profession. Professional doctorates are accredited programs of study designed to prepare students for the delivery of clinical services. Students in professional doctorate programs must demonstrate competence in clinical practice and scholarship but ate not required to conduct and defend original independent research. In lieu of a dissertation, students in programs designated as professional doctorates are required to demonstrate that they are capable of evaluating existing research, applying it to their professional practice, and expanding the body of knowledge on which their professional practice is based. This requirement is met by the design and conduct of a research or scholarly project submitted in writing and presented formally before the members of the program."

Policy 2: Faculty Advisor

Immediately after a degree-seeking student enters the UAB Graduate School, a member of the faculty of the graduate program to which the student has been admitted should be assigned to serve as the student's advisor. This assignment may be a temporary arrangement. The student and the advisor should confer about the initial courses and any special work to be taken on the basis of the student's previous experience and the requirements of the graduate program.

Policy 3: Graduate Study Committee

As soon as possible, a graduate study committee should be formed to guide the student in a program of courses, seminars, and independent study, designed to meet the student's needs and satisfy program and Graduate School requirements. This committee should consist of at least five graduate faculty members, two of whom should be from outside the student's graduate specialization and each of whom should be able to bring some relevant insight and expertise to guide the student. Recommendations for graduate study committee membership are submitted by the advisor and the student to the program director, who subsequently submits these recommendations to the Graduate School Dean. Graduate study committee appointments are made by the Graduate School Dean, who is an ex officio member of all graduate study committees.

Policy 4: Minimum Course credit requirements in Ph.D. programs

The Graduate School has minimum course credit requirements for students in doctoral programs. Program requirements for course work may exceed the Graduate School minimums. Graduate School minimum requirements are as follows:

1. If entering with a baccalaureate degree:
    a. Completion of 48 credit hours of course work prior to candidacy
    b. Up to 16 credits of the 48 can be as non-dissertation research credits
    c. Up to 10 credits can be as lab rotation, seminar, or directed study credits
    d. Doctoral students must satisfy one of the following: Must complete at least two semesters in candidacy and accumulate at least 24 semester credit hours in 799 dissertation research OR must complete at least two semesters as a student in candidacy and have accummulated at least 12 semester credit hours in other appropriate reesarch-based coursework, which has been approved by the graduate student's program. Courses which have been previously applied toward meeting the requirements of another degree are not eligible to satisfy the research credit requirement. The student's graduate department/program should provide a course planning curriculum worksheet detailing the courses taken which are intended to be used toward meeting degree requirements along with the application for degree.

2. If entering with a previous Masters degree appropriate to the doctoral degree field (Also applies to previously earned M.S., D.V.M., D.M.D., D.D.S., etc.):
    a. Completion of 27 credit hours of course work prior to candidacy
    b. Up to 6 credits of the 27 can be as non-dissertation research credits
    c. Up to 6 credits can be as lab rotation, seminar, or directed study credits
    d. Must complete at least two semesters in candidacy and accumulate at least 24 semester credit hours in 799 dissertation research. OR must complete at least two semesters as a student in candidacy and have accummulated at least 12 semester credit hours in other appropriate reesarch-based coursework, which has been approved by the graduate student's program. Courses which have been previously applied toward meeting the requirements of another degree are not eligible to satisfy the research credit requirement. The student's graduate department/program should provide a course planning curriculum worksheet detailing the courses taken which are intended to be used toward meeting degree requirements along with the application for degree.

Up to 12 credits of course work that have not been applied toward meeting the requirements for an earned degree taken at UAB or other institutions may be used to satisfy these course credit requirements upon approval of the graduate program director and the Graduate School Dean.

The Graduate School requires only 30 semester credit hours for a master's degree. Any credit hours earned at UAB beyond 30 semester credit hours may be applied toward a doctoral degree at UAB.

Policy 5: Registration Requirements

Because the doctoral degree is earned on the basis of satisfactory completion of the comprehensive examination and the dissertation, the Graduate School does not specify any minimum number of courses or semester hours that must be completed for award of the degree. Courses taken at other institutions and in other degree programs may be used to satisfy program requirements upon approval of the graduate study committee and the graduate program director. Doctoral students are expected to be registered for credit each regular term.

Policy 6: Residence Requirement

The usual minimal period in which the doctoral degree can be earned is three academic years of full-time study, or longer if the student has periods of part-time enrollment. The nature of doctoral study requires the closest contact between the student and the faculty of the graduate program, and the individual investigation or other special work leading to the dissertation must be done directly under the guidance and supervision of a full member of the UAB graduate faculty. Therefore, Ph.D. students should be in residence (enrolled) for three full semesters each year including summers during a three year period or collectively a minimum of nine semesters if the student has to take a leave or stop out during the course of their Ph.D. education.

Policy 7: Foreign Language or Other Special Tool of Research

In consultation with the faculty, the director of each graduate program will specify any additional requirements, such as a reading knowledge of a foreign language or a working knowledge of statistics, which are considered essential to mastery of the academic discipline. Such requirements become conditions for the completion of the degree.

Policy 8: Comprehensive Examination

The scholarly proficiency of a doctoral student in the chosen field of study must be evaluated by comprehensive examination. The conduct of these examinations is the responsibility of the graduate program in which the student is enrolled and may consist of individual examinations in several appropriate areas or of a single combined examination. Where both written and oral examinations are given, the written should precede the oral, so that there is an opportunity for the student to clarify any misunderstanding of the written questions.

Students must be registered for at least three semester hours of graduate work during the term in which the comprehensive examination is taken.

Policy 9: Admission to Candidacy

When the student has passed the comprehensive examination, has satisfied any program requirements for foreign language proficiency or special tool of research, and has presented to the graduate study committee an acceptable proposal for research or special study, the committee will recommend to the Graduate School Dean that the student be admitted to candidacy. A student must be in good academic standing to be admitted to candidacy. Admission to candidacy must take place at least two regular terms before the expected completion of the doctoral program.

Admission to candidacy is an important step forward in the student's pursuit of the doctorate. By this step, the graduate committee indicates its confidence that the student is capable of completing the proposed research project and the doctoral program. Since the committee meeting at which candidacy is discussed is so important, it should be scheduled through the Graduate School to allow the dean to attend.

Policy 10: Application for Degree

Each candidate for a doctoral degree must signify the intention to complete the requirements by a particular graduation date by submitting a completed Application for Degree Form. Because this form is used to check requirements, order the diploma, and enter the student on the commencement program, it must be received in the Graduate School Records Office no later than 3 weeks into the expected semester of graduation. Students must be registered for at least 3 semester hours of graduate work in the semester they plan to graduate.

Policy 11: Dissertation

The results of the candidate's individual inquiry must be presented in a written dissertation comprising a genuine contribution to knowledge in the particular academic field. The document should also demonstrate the candidate's acquaintance with the literature of the field and the proper selection and execution of research methodology.

Signatures of committee members and program directors on approval forms indicate their assurance that they have examined the document and have found that it is of professional quality, technical correctness, and professional competency, and that the document conforms to acceptable standards of scholarly presentation. The Graduate School is responsible for ensuring that the final version of the dissertation meets the physical standards required of a permanent, published document and for adherence to the requirements statedin the UAB Format Manual (availbe online at http://www.uab.edu/graduate/theses_dissertation/FormatManual.pdf).

No later than 2 weeks (10 business days) following the public defense, the completed, final version of the committee-approved dissertation, as a single PDF, must be submitted for final review. There is a $65 charge, paid online at the time of submission. This fee covers perpetual archiving and maintenance of the dissertation in the ProQuest/UMI database. Also subnitted online are the UAB Publication Agreement and the Survey of Earned Doctorates. One copy of the signed approval form is submitted to the Graduate School office. additional information concerning completing graduation requirements and the dissertaiton submission and publication process is available online at http://www.uab.edu/graduatestudents/current/theses/.

Policy 12: Final Examination

The final examination should take the form of a presentation and defense of the dissertation, followed by an examination of the candidate's comprehensive knowledge of the field. This examination must be scheduled through the Graduate School to allow attendance of the dean. The meeting must be open to all interested parties, should be publicized on the UAB campus and must take place at least 30 days before the expected date of graduation. Candidates must be registered for at least three semester hours of graduate work during the term in which the final examination is taken.

If in the opinion of more than one member of the dissertation committee, the student has failed the final, oral examination, there is no consensus to pass. The chair of the committee shall advise the student that the dissertation fails to meet the requirements of the Graduate School. The chair shall notify the student in writing about the reason(s) for failure. If the students resubmits or submits a new dissertation for consideration by the Graduate School at least two members of the new examining committee shall be drawn from the original committee. If the modified or new dissertation fails to meet the requirements of the Graduate School, the student shall be dismissed from the Graduate School.

Students who fail to submit a completed dissertation within one quarter following the final examination will be charged a degree completion fee each quarter. After two quarters students are required to schedule another meeting of the supervisory committee. Exceptions to the policy must be approved in advance of the deadline by the program director or graduate dean.

Policy 13: Recommendation for Degree

The candidate will be recommended for the doctoral degree to the Graduate School Dean by the graduate study committee and the graduate program director. This recommendation must be received no later than 20 days before the end of the term in which the candidate is expected to complete all degree requirements. Candidates must be in good academic standing to graduate, with no temporary grades (I or N) for courses required for degree on their transcripts.

Policy 14: Award of Degree

Upon approval by the Graduate School Dean and payment of any outstanding financial obligations to the university, the student will receive the degree from the president of the university.

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SECTION 11 - GRADUATE FACULTY

Policy 1: Membership

Graduate Faculty membership may be granted by the Graduate Dean to faculty members who demonstrate a high level of competence in teaching and scholarship. Graduate faculty membership is required (1) of all individuals teaching courses for graduate credit and (2) of members of graduate study committees.

Policy 2: Qualifications for Appointment

To qualify for graduate faculty status, a faculty member must hold a terminal degree, usually the earned doctorate, in the teaching discipline or a related discipline. In some instances, graduate faculty status may be awarded to faculty members who have demonstrated exceptional scholarly or creative activity or professional expertise, but who may not possess the required academic credentials. Faculty members responsible for the direction of doctoral research must be experienced in independent scholarship. Members of the graduate faculty should demonstrate, by their involvement in institutional activities, their commitment to the academic community and the institution, as well as to their students and their academic disciplines.

Policy 3: Types of Appointment

Regular graduate faculty status is an extension of an individual's academic appointment at UAB. Regular graduate faculty membership is reserved for UAB faculty members who are regularly involved in graduate student training. This includes teaching courses at the graduate level, serving on graduate student committees, serving as graduate student advisors, or chairing thesis and dissertation committees. Adjunct graduate faculty status is granted as an extension of an individual's adjunct appointment in a UAB department. Usually, adjunct faculty members are individuals whose primary work or practice is elsewhere, but who maintain a UAB faculty appointment. Ad hoc status is granted to individuals who serve occasionally on graduate student committees or teach occasional graduate level courses. They do not serve as graduate student advisors and cannot chair thesis and dissertation committees. It is not required that these individuals hold UAB faculty appointments. Ad hoc status is granted for a specific period.

Policy 4: Procedures for Appointment

The process of appointment to the graduate faculty is initiated by a letter of nomination submitted to the Graduate Dean by a responsible administrative officer, usually a department chair. The letter should be sufficiently detailed to permit the Graduate Dean to assess the qualifications of the candidate and should state (1) the nature of the appointment requested, (2) evidence of the candidate's qualifications to conduct graduate education, and (3) the contributions expected from the candidate as a member of the graduate faculty. A current copy of the candidate's curriculum vitae should be attached. If indicators of competence other than the terminal degree in the discipline are used as the basis for appointment, these must be justified.

Policy 5: Continuation of Appointment

Graduate faculty membership is a functional and not an honorary appointment. Continuation of appointment to the graduate faculty should be the result of positive evidence of contributions to graduate education at UAB. Regular evaluation of the contribution of a graduate faculty member to graduate education is the responsibility of program directors and department chairs. When a responsible administrative officer notes no evidence of contribution to graduate education, that officer should recommend discontinuation of the graduate faculty appointment. The Chair of the department where primary appointment is held by a faculty member will provide the Dean of the Graduate School a Memorandum every three years indicating whether they are or are not recommending to the Dean of the Graduate School reconfirmation of each of their faculty holding Graduate Faculty status.  The Graduate School will provide annually to each department chair lists of faculty that hold Graduate Faculty status.  The current graduate catalog should reflect the status of the graduate faculty at the time of revision. 

A member of the graduate faculty may appeal the decision to discontinue the appointment to the Graduate Dean who will appoint a committee of three graduate program directors to review the evidence and make a recommendation. The decision of the Graduate Dean will be final.

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SECTION 12 - PROGRAM DIRECTORS

Policy 1: Appointment

A Graduate Program Director is a faculty member appointed to oversee the administrative aspects of a graduate program. The appointment of a director of a graduate program shall be made by the chair of the department in which the graduate program resides. In the case of interdisciplinary programs that cross departmental and/or school lines, the participating departments shall agree to a written procedure for appointing a program director.

Departments and schools may assign additional responsibilities and authority. In general, however, the graduate program director is expected to do the following:

• Provide leadership to the program faculty to develop and maintain a high quality curriculum and educational environment for students in the program
• Serve as a liaison between the Graduate School and the program
• Convene an admissions committee and manage the review of applications for admission to the program
• Make recommendations to the Graduate School to accept or deny admission to applicants
• Specify contingencies to be met before full admission.
• Oversee advising of graduate students and monitor student progress against a meaningful timeline as defined by program faculty
• Review and approve admission to candidacy
• Review and recommend transfer of credit
• Review and approve requests for leaves of absence
• Review and approve curriculum changes
• Oversee and approve material for the catalog
• Prepare graduate faculty nominations for appropriate approval
• Review and recommend the appointment of thesis and dissertation committees
• Oversee periodic review of graduate faculty appointments
• Oversee comprehensive exams and thesis/dissertation defenses.
• Review and approve applications for graduation
• Represent the program in the Graduate Council
• Prepare internal fellowship/assistantship applications
• Appoint students to fellowships and assistantships and monitor in accordance with the Guidelines for Assistants/Fellows.

Policy 2: Authority

The authority of a director of a graduate program shall be defined by the faculty participating in that program.

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SECTION 13 - GRADUATE COUNCIL

Policy 1: Membership

The Graduate Council of UAB shall be constituted as follows:

1. the director, or designated representative, of each graduate program in the Graduate School;

2. the Graduate School Dean, Associate Deans and Senior Graduate School Staff. The term "program" used above is to signify each approved graduate degree offering, without regard to the UAB unit responsible for its implementation.

Policy 2: Chair for Meetings

The Graduate School Dean shall serve as the Chair of the Graduate Council.

Policy 3: Meetings

The Graduate Council shall meet as required, but at least once each academic year. Additional meetings may be called by the Graduate Dean. A minimum of fourteen (14) calendar days notice to all members is required for each meeting.

Policy 4: Purpose of Meetings

The purpose of Graduate Council meetings shall be to review with program directors and program administrative assistants information about applications and admissions, enrollments, new policies and procedures, and to highlight any significant accomplishments achieved by graduate students or program faculty during the previous year.

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SECTION 14 - ADVISORY COMMITTEE OF THE GRADUATE COUNCIL

Policy 1: Purpose

The Advisory Committee (ADCOM) of the Graduate Council shall be responsible for (a) advising the Graduate School dean with regard to administrative oversight of graduate education and UAB graduate programs, (b) reviewing existing policies and procedures for efficacy and appropriateness, (c) proposing new policies and procedures as needed, and (d) reviewing and approving NISPs and full graduate program proposals for new programs.

Policy 2: Membership

The ADCOM shall be composed of twelve (12) members: one from each of the schools and three from the College of Arts and Sciences. The membership from each school shall be appointed by the Dean of that school. Each member of the Advisory Committee must be a member of the Graduate Council.

Policy 3: Term of Membership

ADCOM members shall be elected for a term of three calendar years and may serve no more than two consecutive terms. To assure continuity, members’ terms are staggered.

Policy 4: Election of Membership

The appointment of representatives to fill expiring terms shall be conducted during the Fall Term of each year.

Policy 5: Chair

The Graduate School Dean shall preside at all meetings and provide leadership for the ADCOM appropriate to ensure that the ADCOM functions in an effective manner.

Policy 6: Minutes of Meetings

A member of the staff of the Graduate School shall be appointed by the Graduate School Dean to record minutes of each meeting and be responsible for posting these minutes to the appropriate section of the Graduate School web site.

Policy 7: Meetings

The ADCOM shall meet as required, but at least once each term. Meetings may be called by a majority of the membership, or the dean of the Graduate School. A minimum of seven (7) calendar days notice to all ADCOM members is required for each meeting. A quorum shall consist of the presence of at least seven (7) members of the ADCOM.

Policy 8: New Program Review

The ADCOM is charged with review and evaluation of proposed graduate programs (NISPs and Full Proposals). Any proposed NISP or Full Graduate Program proposal must be presented to the ADCOM for review and approval prior to submission to the Provost, the ACGD, and ACHE before submission for approval by the University of Alabama System Board of Trustees. The committee members shall evaluate the relationship of the proposed program to the mission of university, the need for the program, and all aspects of program quality, including the participating faculty, curriculum, admissions and degree requirements, facilities and resources, program administration, and plans for program evaluation. A majority vote of the ADCOM is required for approval.

Policy 9: Parliamentary Authority

The rules contained in Robert's Rules of Order (Revised) shall govern ADCOM in all cases in which they are applicable.

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