Procedures for the Graduate Program

This page provides some practical information for students (and faculty) on how to satisfy various requirements, or to otherwise accomplish tasks as part of the graduate program in Linguistics. The following topics are currently covered:

If any questions remain unanswered after reading this document, please contact gradchair@ling.upenn.edu.

Program Overview and Deadlines

Below is a general overview of when a student should complete various steps in the progress toward the PhD, with expected completion in five years. The number of course units is the norm for most students; exceptions are possible under special circumstances.

 Fall Term (ending December) Spring Term (ending May)
Year 1
Register for 4 courses
Two must be foundational, including 530 or 550
Register for 4 courses
Take first language reading exam by end of summer*
Year 2
Register for 3 courses and perform service
Must include remaining foundational courses
Register for 3 courses and perform service
Aim to pass both language reading exams*
Year 3
Register for 3 courses and perform service
Complete first qualifying paper
Register for 3 courses and perform service
Complete second qualifying paper
Must pass both language reading exams* 
Year 4
Aim to defend proposal
Must defend proposal
Year 5 Continue work on dissertation
Aim to complete degree by May or August
(End of five-year fellowship support)

*The "language reading exams" in this schedule refer to the old requirement; the new language requirement must simply be passed by the end of the third year. Other more specific deadlines are identified in the discussion below. 

By University policy, an incomplete grade is assigned at the discretion of the instructor. In particular, incompletes are not generally permitted in foundational courses, where the grade functions as part of the Qualifications Examination. Even when a foundational instructor chooses to assign an incomplete, it must be changed to a grade no later than June 30, or the student will be considered to have made insufficient progress and cannot remain in the program.

Any other type of incomplete should be resolved before the last day of the following semester — that is, May for a Fall course and December for a Spring course. This means that the work must be submitted with sufficient lead time for the instructor to evaluate it and assign a grade. If an incomplete remains more than one semester after the original course, there is a serious risk of losing fellowship support. To facilitate timely completion of coursework, the student should continue to meet at least monthly with the relevant faculty member after the course has ended.

Students should bear in mind that the Dynamics and Semantics sequences are offered in alternating years: Dynamics in academic years beginning with an odd number (i.e. 2013-14, 2015-16) and Semantics in even-numbered years (i.e. 2012-13, 2014-15). This means that whether a student takes a sequence in the first or second year depends on the year of matriculation. Of course, not every student will take both of these sequences, but every student must take at least one in order to meet the foundational requirement.

Only courses at the 400 level and above can count toward a graduate degree at Penn. Students must receive permission from the graduate chair to take any course outside the Department of Linguistics; however, certain courses are pre-approved for our students and do not require special permission. Students should be aware that a grade of B is considered minimally satisfactory at the graduate level; a grade of C indicates unsatisfactory performance. The Provost requires a minimum GPA of 3.0 for all graduate students.

Graduate students are permitted to audit either graduate or undergraduate courses. Since an audited course does not count toward degree requirements, the course can be at any level. The course will appear on the transcript with AUD in lieu of a grade, and no credit units are counted. For example, basic language courses can be taken as official audits as long as the instructor and department allow auditors (see also below). Some departments with large undergraduate enrollments insist that students wishing to audit the course take it for credit, which cannot be counted toward the graduate degree. Students should audit at most one course per semester, and only with the approval of the advisor.

Students with 20 completed course units are registered under dissertation status. Starting fourth-year students should email Amy the name of the faculty supervisor in order to arrange this registration. A student who ends the third year of study with fewer than 20 credits due to unresolved incompletes should resolve them before the start of the fourth year. If any incompletes remain at the end of the summer, the student must present a plan for rapid completion of the work, approved by the advisor, or will be forced to go on leave without fellowship support until successfully reaching the necessary 20 credits.

Residence

All students pursuing a PhD are required by the University to spend at least one full year in residence, i.e. at Penn taking courses full-time. This is a minimum requirement, supplemented by graduate group policies.

The Graduate Group in Linguistics expects that students will be in residence at Penn each semester, throughout the term of their fellowship. This policy is to ensure that the student receives appropriate advising and supervision, and participates in the intellectual life of the Group. Exceptions are, of course, made for the purposes of fieldwork or well-motivated study at another university. Any fellowship student on dissertation tuition who wishes to be absent from the University for more than two weeks during a semester, for any reason, must obtain written approval from the graduate chair; the student's advisor is expected to endorse the request. No student taking courses should be absent during the semester except for brief academic reasons (such as a conference) or a personal emergency; in either case, the student must notify the course instructors and the advisor, and arrange to make up missed material.

The official semester lasts from the first day of classes until the last day of finals, as indicated in the academic calendar. Students taking courses (i.e. those in the first three years) are required to arrive by the first day of the semester, and must certainly remain until the last day of classes; they may leave before the end of finals week if they have completed all coursework for that semester. As noted below, first-time TA's must arrive early for the fall semester to attend a training workshop (usually in late August).

Note that the University policy on leaves of absence includes maternity leave and the care of a dependent; see the page of university policies for details.

Foundational Courses

Students satisfy the University requirement called the Qualifications Evaluation by completing eight foundational courses by the end of the second year with a minimum GPA of 3.0. The University requirement known as the Candidacy Examination (previously called the "Preliminary Examination") is satisfied by additionally completing the qualifying papers by the end of the third year. For more details on these requirements, see the regulations.

Language Requirement

The graduate group has instituted a new language requirement, described below, that applies to all matriculants starting in Fall 2015, as well as to all current students who choose to adopt it. The previous language reading exam is described here.

Students are expected to explore diverse languages as part of their education. To that end, all students must demonstrate meaningful engagement with the structure of a language other than English or (if different) their native language before the end of the third year. This requirement can be satisfied in any of the following three ways. 

  1. Ling 502: Linguistic Field Methods.
  2. A graduate course on the structure of a specific language, approved by the graduate chair.
  3. A qualifying paper or similarly in-depth research that involves independent analysis of language data, approved by the graduate chair and the student’s advisor.

For the last two options, the student is advised to seek approval in advance to ensure that a proposed course or paper topic will qualify, but work that is already completed can also be considered. A minimum grade of B applies to any course used to satisfy the requirement.

Qualifying Papers

The purpose of this requirement is to ensure that students have reached the point of doing independent research, as well as to encourage them on the road to publishing their work. The result should be comparable to a paper at a conference such as NELS or a squib in Linguistic Inquiry. A length of 25 to 30 double-spaced pages is considered reasonable, but the specific nature of the research will affect the appropriate length. Students writing papers for courses are advised to consider in each case if the paper is one that could be revised into a qualifying paper. This strategy is considerably less burdensome than writing an entirely new paper.

A student who has completed most of the work for a qualifying paper in advance of the third year is free to satisfy the requirement early, simply by submitting the abstract and choosing a committee when ready. The exam can be scheduled at any time, as long as it is before the relevant deadline (December for the first QP, May for the second). Students may use an Independent Study course (LING 999) to structure the work for a qualifying paper, with the QP as the semester project.

An abstract of about one page, plus references, must be emailed (in PDF form) to Amy and the graduate chair by the first day of the semester. The faculty who will serve on the evaluation committee must be consulted well in advance of the deadline in order to give them time to read the abstract and give their agreement. A student who fails to submit an abstract for the qualifying paper on time will not be permitted to register, and is in danger of losing fellowship support. 

Because the qualifying papers are a graduate group requirement and function as an exam, they cannot be treated in the same way as research papers for a course; the members of the committee function as representatives of the graduate group in assessing whether the student has demonstrated the abilities necessary to proceed to the dissertation stage. This also means that Amy and the graduate chair must be copied on the email that submits the final paper (and any revision) to the committee members.

Remember that any file emailed to other people should be named in a way that makes sense once it leaves your own computer; for example, the first qualifying paper abstract should not be called "My abstract" but rather "Lastname_QP1_abstract". Include all the relevant information in this file: not just the abstract but the title, the date, and the names of both committee members. 

When the paper is ready, the student submits the final version and arranges a private meeting with the committee to answer questions on the content of the paper, scheduled before the end of the semester in which the qualifying paper is due. The acceptance of the paper is given at the end of this meeting or, if necessary, the 30-day period required for successful revision begins from that date. The faculty committee sends an email to the graduate chair, copied to the program coordinator (Amy), to indicate their approval of the paper, or the need for a revised submission.

Occasionally there may be delays outside the student's control, such as a specific problem in gathering experimental data integral to the paper, or a medical emergency. Under such circumstances, a request for a brief extension may be submitted to the graduate chair in writing, with the approval of both committee members. 

Fellowship Service

The Benjamin Franklin Fellowship requires four semesters of service (normally in the second and third years at Penn). The graduate group requires two semesters of teaching experience, satisfied by serving as a Teaching Fellow (TF) at least twice. Generally speaking, the other two semesters may be teaching or research (as a Research Fellow, or RF). By force of habit, these categories are often referred to as TA and RA (i.e. Assistant rather than the official Fellow), but for tax purposes the official category is Fellow, not Assistant. (For more information about taxes, see the Graduate Student Center.)

The faculty meets once a year, toward the end of the spring term, to determine service assignments for the following year. The following general principles are applied.

  • As a condition of the degree, every student must teach at least two semesters in order to get appropriate classroom experience. Ideally, this means assisting in at least one course with weekly recitation sections (001, 102, 106, 115) or occasional classroom teaching (250, 300), rather than just grading, office hours, and review sessions (103, 120, 210, 230, 270).
  • No student should teach more than three semesters in courses with recitation sections; this leaves at least one semester for a research position or a less intensive teaching assignment.
  • No student should be required to assist in Ling 001 more than twice.
  • To the extent possible, students are assigned teaching or research positions that match their interests and existing abilities.

Students are notified by email of their assignments once the meeting has taken place. First-time TA's are required to attend a three-day TA training session organized by SAS. It is scheduled each year in late August, just before the start of the semester.

Non-native speakers of English are required to take a SPEAK test of English fluency in the semester before they begin teaching; details are provided to relevant students when the time arises.

Students on special fellowship support in their early years (such as IGERT, NSF, Javits) do not have the same service obligations, but are nevertheless required to do two semesters of teaching. The timing of these assignments is worked out according to the individual situation.

Job Appointments

Any student being funded as a Research Assistant or other position on a grant is responsible for ensuring that a proper award letter is prepared, signed, and submitted to Amy by September 1 (for fall term or year-long appointments) or January 1 (for spring appointments). The letter must contain the following information:

  • Name of the grant or other funding source
  • Name of funding source, and University budget code
  • Duration of the appointment (e.g. one semester, 9 months, or 12 months)
  • Monthly or hourly stipend
  • Benefits covered, including tuition and health insurance (specify amounts)
  • Job responsibilities and hours per week (the limit is 20 hours per week)
  • Name and signature of the supervising faculty member
  • Name and signature of the student receiving the funding

A simple alternative to a letter is a form which can be downloaded in pdf (to be printed out and filled in) or as a Word document (with lines to be filled in electronically, then printed).

Amy can help with some of the details, but much of the information must come from the administrator of the grant, or the supervising faculty member. The paperwork to begin payments to the student cannot be processed until this information is submitted; it is therefore in the student's interest to provide the letter in a timely manner. The business office that administers the fund may prefer to send the budget code directly to Amy, who will then complete that line of the form.

Students with funding from the Benjamin Franklin fellowship program are expected to devote themselves full time to study (and, in service years, to teaching or research training). This requirement holds for the ten months in which the stipend is received, from September to June of each academic year. During unfunded summer months, students are free to take outside employment of any sort; but the fellowship rules also apply if the student is receiving summer funding from Penn.

When any student receiving funding (including fellowship or RA) has an opportunity to engage in a part-time job related to his or her studies, permission may be granted for up to 5 hours per week. This permission, granted by the graduate chair for one semester at a time, also requires the approval of the student's advisor (who must affirm that the job will not interfere with the student's progress) and, in a service year, of the instructor or other supervisor of the student's teaching or research activities.

Independent Studies

The course number LING 999 is intended for a student wishing to initiate an independent study project. (If several students are participating in a special course, the appropriate course number is LING 505.) In order to register for this course, the student must provide the following information with his or her signature and that of the faculty member supervising the project.

  • Name: name of student.
  • Email address: email address of student.
  • Supervisor: name of faculty member.
  • Title: name of project, which will appear on the student's transcript.
  • Semester: term in which the course will take place.
  • Description: paragraph describing the purpose of the project, including the question of interest and the method proposed for investigation.
  • Requirements: list of specific criteria by which the student's performance will be evaluated, including frequency of meetings and nature of final paper or project.

See this pdf file for the preferred format; it can also be used as a blank form to be filled in. Submit the signed proposal to Amy for completion of registration. If the supervisor is not a member of the graduate group, the proposal also requires the signature of the graduate group chair.

Dissertation Committee

As students complete their coursework, they should be moving toward a well-defined dissertation topic and deciding on the appropriate faculty to serve on the dissertation committee. This committee normally consists of three faculty members; four members is not uncommon, but more than that tends to be unwieldy. At least two members of the committee, including the chair, must be members of the standing faculty in the graduate group. (This excludes retired Penn faculty.) On approval of the graduate chair, one member of the committee may come from outside the graduate group, or from an institution other than Penn. Students must, of course, invite each person to serve on the committee and notify the graduate chair only after the faculty have agreed.

In paperwork related to the dissertation committee, Penn uses the term "dissertation supervisor" for the person corresponding to the advisor: that is, the faculty member who takes the lead role as advisor in guiding the research. This is also the name that appears on the transcript as the instructor of LING 995, Dissertation registration, and as the supervisor listed on the transcript once the degree is granted. Usually the same individual serves as "chair" of the committee. A student wishing to have co-supervisors must designate one as the supervisor and the other as the chair; other members of the committee are termed "readers". This terminology need not have much effect on interactions with the committee, but knowing the terms will make it easier to understand the constraints imposed by various official policies. Normally the supervisor and the graduate chair are the only faculty who sign the title page of the dissertation, but if the graduate chair has approved co-supervisors, then both can be included on the title page. In that less constrained context, the term "co-supervisor" can be used for both individuals. However, only the official supervisor's name will appear on the academic transcript. If the supervisor is not a member of the Penn standing faculty, the chair must be a different person who is on the standing faculty.

The dissertation committee must be in place, and approved by the graduate chair, before submission of a dissertation proposal. The composition of the committee can be changed at a later date if circumstances require.

N.B. Be careful to distinguish the "dissertation committee" from the overlapping "dissertation proposal defense committee", below. The briefer terms "proposal defense committee" and "proposal committee" refer to the second category.

Dissertation Proposal

Students must defend a dissertation proposal by the end of the the fourth year, which is one year after the completion of coursework. This event should be treated as an exam to determine that the student is prepared to embark on work for the dissertation. To accomplish this goal, the student should begin regular meetings with the advisor no later than the beginning of the fourth year, and a topic for the proposal should be determined by the end of the fall semester. At this point other faculty should be approached to serve as additional members of the dissertation committee.

In consultation with the dissertation supervisor (i.e. the advisor), the student should develop a written proposal of about 20 pages in length. This document normally includes a discussion of the basic issues of interest; what work the student has already done; and how these interim results bear on the likely course of the dissertation research. It should give a clear idea of the questions to be addressed in the dissertation and the research methods that will be used. It is not expected that the proposal will contain definitive conclusions. Rather, it should be written at an early enough stage in the investigation to allow for changes and additions based on feedback from graduate group faculty through the approval process.

A student ready to schedule a proposal defense must contact the graduate chair and provide the (tentative) title of the dissertation, a brief abstract, and the names of the faculty who have agreed to serve on the dissertation committee. (Like all such communications, it is sensible to copy Amy on email messages.) The graduate chair will appoint a proposal defense committee consisting of three faculty members: this committee examines the student, and is distinct from the dissertation committee that is chosen by the student. For this reason, the external members of the proposal committee are not expected to participate in the preparation of the proposal, but simply to evaluate the result.

Several restrictions hold for the proposal defense committee: at least one of the members must be "external", i.e. from outside the dissertation committee; the dissertation supervisor cannot serve on the proposal defense committee; and all members of the proposal committee will normally be members of the linguistics department. The graduate chair will appoint one member to serve as chair of the committee to facilitate the conduct of the proposal defense.

In consultation with the graduate chair and the members of the proposal committee, the student must then take responsibility to arrange a suitable day and location for the proposal defense. This day must be at least two weeks after the written proposal is made available to the community by placing a copy in the Linguistics office and making available an electronic version. The preferred time is during the department's Thursday afternoon colloquium slot; if this is not possible for scheduling reasons, an alternate time (such as Friday afternoon) should be chosen to minimize conflicts with courses or other events. When necessary, room reservations can be made online for IRCS or campus classrooms.

The proposal defense is open to the public. It consists of a presentation by the student of about an hour, followed by about half an hour of questions from the audience. All audience members may ask questions, but the chair must be sure to reserve time for members of the proposal committee to ask questions (most often first). At the end of the question period, the proposal committee meets privately to vote on whether to approve the proposal. The dissertation supervisor participates in this meeting, but does not vote. Other members of the graduate group faculty are also permitted as non-voting observers in the meeting. The student is then informed of the results by the chair of the proposal committee, who also summarizes any recommendations for modification of the dissertation plan.

The best way to ensure approval of the proposal is to work closely with the members of the dissertation committee during its preparation. If the proposal defense committee decides that the proposal is not passing, the chair will prepare a list of specific changes that must be made. The student has 30 days in which to make these changes. The revised proposal is evaluated in its written form, without a second oral presentation. If this revision is still judged by the committee to be inadequate, the student must withdraw from the program.

For students planning to defend a proposal: Meet regularly with your supervisor to ensure that the proposal will be ready to defend. A month before the intended defense, send the graduate chair your title, the name of your supervisor and the other members of the dissertation committee, and a short abstract (one or two paragraphs). The graduate chair will appoint an external member at this time; it is then your job to coordinate a date, time, and room. Two weeks before the event, give a copy of the proposal to Amy and announce the details to penguists with an abstract and a link to an electronic version of the proposal. Include the name of the supervisor (and optionally the other committee members) in the proposal. Once a date is set, e-mail the date to Amy Forsyth, so she can have it added to the "Upcoming Events" on the department web-site.  This will help to avert any conflicts. The day before the defense, send a reminder to penguists.

Dissertation Examination

Students are required to defend the dissertation publicly before it is accepted as part of the requirements for the PhD. University regulations permit this Dissertation Examination (or "dissertation defense") to be based on a non-final draft rather than an essentially completed version. The Graduate Group accepts either approach, except that the Exam must not occur more than six months before the deposit of the dissertation; otherwise a new examination must be arranged. The written dissertation on which the Exam will be based should be provided to the committee members in time for them to read it carefully before the Exam; normally this will be at least two weeks, but the committee should be consulted for more specific deadlines.

Similarly, the date for the Dissertation Examination should be at least two weeks prior to the appointment to deposit the dissertation with the Graduate Division (see below) in order to leave time for any revisions that may be called for. Students planning to graduate in August are advised to schedule an examination no later than May, to ensure that interested members of the community can attend. As with the proposal defense, the student should arrange a suitable day and location for the dissertation defense in consultation with the members of the committee, minimizing any conflict with courses or other events. Announce the information to penguists and e-mail the date to Amy Forsyth so it can be included on the online calendar.

The dissertation defense is open to the public. It consists of a presentation by the student of about one hour, followed by questions from the audience, normally lasting up to an hour. The chair of the dissertation committee (usually the supervisor) runs the meeting. At the end of the question period, the committee meets privately to vote on whether to approve the dissertation. Other members of the graduate group faculty are permitted as non-voting observers in the meeting. The student is then informed of the results by the chair of the committee, who also summarizes any recommendations to be incorporated into the final draft.

As in the case of the original dissertation proposal, the best way to ensure approval of the final dissertation is to work closely with the members of the committee throughout the process. If the dissertation is not approved, the dissertation supervisor, in consultation with the rest of the committee, will make a list of necessary changes in writing, provided to the student within one week of the Exam. Once the dissertation committee and the graduate chair are satisfied that the revised dissertation successfully reflects the changes, the student will be permitted to schedule a new Exam.

If the dissertation is successfully defended early in the semester, the Graduate Division will waive the tuition for that term. (The tuition waiver deadline is always the same as the end of the Drop Period as listed on the University calendar.) The waiver is only for tuition: students are responsible for the general fee, health insurance, and any other charges on their bursar account. Note also that students who are extended the courtesy tuition waiver have one month from the waiver date to make any required revisions and deposit their dissertations in the Graduate Division office.

Graduation

As the dissertation work reaches an end, the student will need to complete various steps to ensure graduation on schedule. The formal diploma ceremony is in May; if graduation is delayed until August, the student can participate in this ceremony only if certain steps are taken by early May, including certification by the committee that the student is expected to be done in time for the August degree. Otherwise August graduates, like December graduates, are invited to the following May ceremony.

Deadlines for applying to graduate are available here, and are strictly enforced by the Graduate Office. See the online details about preparing and submitting the dissertation or master's thesis.)

There are two main steps that you must take care of well in advance:

  • Apply for the degree with the Graduate Office. You must do this quite early in the term in which you wish to graduate; check the list of deadlines for your term. There is now an online application process.
  • Set up an appointment for submission of the dissertation or thesis. (See contact information.) Do this as soon as possible, or you may find it difficult to get an appointment at the desired time.

Before the day of the appointment for submission of the dissertation (or thesis), several forms must be completed, including signatures from faculty members. Sometimes this stage involves logistical problems, so it is very unwise to wait until the last minute. It is the student's responsibility to make the necessary information and materials available in a timely manner.

Form 152 (Acceptance of Dissertation) requires the signatures of the entire dissertation committee as well as the graduate chair. Amy will arrange for the relevant faculty to sign this form, but she must have the final title and the names of the committee members in time to generate the forms and obtain the necessary signatures. The student must submit this information at least two weeks before the appointment to deposit the dissertation; otherwise the form will be processed for the next degree cycle.

The title page of the dissertation (or thesis) requires the signatures of the dissertation supervisor and the graduate chair. The student must provide two copies of the title page according to the approved format. The student can do the footwork to get these signatures, or Amy can do so at the same time she takes care of Form 152, but there must be enough time to connect with people on campus. A student who arrives to find that a necessary faculty member is away at a conference, or simply not on campus that day, will not graduate as planned. This is especially true after classes have ended for the semester; for an August graduation, careful planning and coordination of schedules is necessary. If a member of the committee is not located at Penn, completion of forms will necessitate significant advance planning.

Other required forms will be provided by Amy, such as Form 153 (Certification of Dissertation); the graduate chair will sign this form after reviewing the final printed version of the dissertation, which therefore must be provided in advance of the appointment to deposit the dissertation in the graduate office.

You must ensure that you do not owe any money to the bursar, or else your degree will not be processed. If for some reason you change or cancel your appointment to deposit the dissertation, notify Amy immediately.

Note that the LSA offers a free one-year membership for recent PhD recipients. At Penn, the Vice Provost for University Life offers a wide range of career services.

Graduates should be aware that their accounts on babel (including email and web pages) may remain active for no more than one year after graduation, so they should make arrangements to move materials to a new location during that time.

 

See also this general list of links for University policies affecting graduate students, as well as the Provost's documents on Graduate Supervision and Ethics and Original Research.

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Research Assistant Agreement (ra_agreement.pdf)42.31 KB
Research Assistant Agreement (ra_agreement.doc)45.5 KB
Independent Study (ling999.pdf)25.08 KB