III. Ph.D. Degree Requirements
Summary of Requirements
- Core Curriculum (6 courses)
- Astronomy & Astrophysics Electives (2 courses)
- Additional Electives (3 courses)
- FLASH talk
- Submit first paper
- TA (2 courses)
- Teaching Statement
- Qualifying Exam
- Dissertation & Defense
1. Course Requirements (11 classes in first 2 years)
- Core Curriculum (6 courses)
- Astronomy & Astrophysics Electives (2 courses)
- Additional Electices (3 courses)
1.1 Core Curriculum (6 courses):
The graduate curriculum includes 6 required core courses, which are listed below. Students must pass all six required courses by maintaining a grade of B or higher in five of the required courses and receiving a grade of S (satisfactory) in ASTR 205. ASTR 205 should be taken S/US. All other core classes should be taken ABC/NP. Students will take 5 of these classes in their first year and 1 class (either ASTR 220A or ASTR 233) in their second year.
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Astrophysics I |
5 |
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Astrophysics II |
5 |
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Introduction to Astronomical Research and Teaching |
5 |
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Stars and Planets I |
5 |
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Galaxies and Cosmology I |
5 |
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Observational Astronomy |
5 |
1.2 Astronomy & Astrophysics Elective Courses (choose 2 over first 2 years):
Students must pass 2 elective classes from the following list of 6 courses. These classes are graded S/US. Subject to instructor availability, the Astronomy & Astrophysics department expects to offer each of these classes every 2 years. Students should complete this requirement by the end of their second year.
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Stars and Planets II |
5 |
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Diffuse Matter in Space |
5 |
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Statistical Techniques in Astronomy |
5 |
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Galaxies and Cosmology II |
5 |
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Instrumentation for Astronomy |
5 |
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Adaptive Optics and Its Application |
5 |
1.3 Additional Electives (3 courses)
Students must pass 3 additional elective classes. There are three ways to fulfill this requirement, which are described below. Students have the option of taking these classes ABC/NC or S/US, subject to the requirements of the individual courses. Students should complete this requirement by the end of their second year.
1) Students may take additional classes from the list in Section 1.2.
2) Students may take ASTR 215: Research Practicum for Astrophysics, which is a project-based class that introduces students to topics substantially outside of their primary research area.
3) Students may take courses in other departments that are relevant to an Astronomy & Astrophysics PhD, most often in Physics, Earth and Planetary Sciences, Applied Mathematics, and Statistics. This coursework must cover topics that are not covered in the Astronomy & Astrophysics graduate curriculum or its assumed pre-requisites. The courses must count towards the PhD requirements of the offering departments. The Graduate Program Director approves these courses on a case-by-case basis.
1.4. Course Substitutions:
Generally speaking, courses taken at another institution do not substitute for our core class requirements. In unusual circumstances, electives may be substituted with permission from the Graduate Program Director if they achieve the requirements and pedagogical goals for our elective classes. Graduate courses taken as part of an undergraduate degree are generally not approved as substitutions.
1.5 Pedagogical Justification for Coursework
The Astronomy & Astrophysics PhD program employs a streamlined core curriculum designed to introduce students to the most important topics in Astronomy & Astrophysics. As first years, students learn the fundamental physics of astrophysics (ASTR 202 and ASTR 204) that will help them understand the phenomenological courses that come later. First years will also gain hands-on experience observing at Lick Observatory (ASTR 257) and learn about how to engage in research and teaching in our department (ASTR 205). In alternating years, first and second years will take phenomenological course in either stars and planets (ASTR 220A) or galaxies and cosmology (ASTR 233).
In addition to the core classes described above, students should develop breadth in Astronomy & Astrophysics. In their first and second years, students will take five electives. At least two of these elective should be in the Astronomy & Astrophysics department, ensuring that students have achieved substantial breadth in their discipline. Recognizing that Astronomy & Astrophysics is an increasingly interdisciplinary subject area, the remaining three electives may be taken in Astronomy & Astrophysics or in another department. Recognizing that research is an additional way to achieve breadth, ASTR 215 provides an opportunity for students to explore a project in an area that is substantially outside of their primary research interest.
The following elective courses offered outside of the Astronomy & Astrophysics Department have been approved to meet additional elective requirements:
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PHYS 224/ASTR 224 |
Particle Astrophysics and Cosmology |
5 |
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PHYS 226/ASTR 226 |
General Relativity |
5 |
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Planetary Interiors |
5 |
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Order of Magnitude Estimation |
5 |
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Planetary Atmospheres |
5 |
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AM 275/EART 275 |
Magnetohydrodynamics |
5 |
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Classical Mechanics |
5 |
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Introduction to Non-Relativistic Quantum Mechanics |
5 |
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Advanced Topics in Non-Relativistic Quantum Mechanics |
5 |
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Quantum Field Theory I |
5 |
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Quantum Field Theory II |
5 |
2. Teaching Requirements
- Take ASTR 205 (also described in the Course Requirements section)
- Serve as a teaching assistant at least twice
- Write a teaching statement
2.1 Take ASTR 205
This requirement is also described in the Course Requirements section.
2.2 Serve as a Teaching Assistant (Twice)
Students should serve as a teaching assistant for two Astronomy & Astrophysics courses. Students should TA at least once by the end of the 1st quarter of their 3rd year (most students TA once in their first year, but certain fellowships preclude this). It is recommended that students TA for a professor besides their research advisor and that they TA at least one large lecture class. However, scheduling practicalities may make this impossible.
2.3 Write a Teaching Statement
Students should write a teaching statement documenting their teaching experience and teaching philosophy, similar to the type that would be expected of someone applying for a university faculty job (although students may choose to tailor their statements for other jobs, including industry). The statement will be evaluated by a member of the Astronomy & Astrophysics faculty who will determine if the statement is sufficient for fulfilling this requirement. This requirement may be completed any time during the PhD, but it is recommended that students complete this requirement after they have obtained substantial teaching and mentoring experience from the other requirements.
2.4 Pedagogical Justification for Teaching Requirement
Teaching and communication are important for a successful career in science and in any profession. ASTR 205 teaches students the fundamentals and best practices of teaching. Serving as a teaching assistant gives practical experience in classroom management and in certain aspects of teaching (recognizing that lecturing is not a requirement for TA-ships at UCSC). Writing a teaching statement enables students to synthesize their experiences and teaching philosophy, while also preparing students for future jobs that require teaching.
There are a variety of opportunities for students who would like to strengthen their teaching experience. Examples include serving as a Graduate Student Instructor, mentoring undergraduates in ASTR 9 or summer research, and participating in a workshop sponsored by UCSC's Teaching and Learning Center.
3. Research Requirements
- Work with a Research Advisor
- Complete a First Project
- Give a FLASH talk on the First Project
- Develop and complete a Thesis Project
3.1 Research Advisor
It is required that by the end of Fall quarter of their first year, students will have selected a faculty advisor for their first research project. Students must meet with their advisor at least once per quarter. Weekly meetings are encouraged. Many students match with a research advisor before they arrive. Others sample a range of research opportunities before they make up their mind.
Students may switch advisors during their PhD, although they must have an advisor at all times. Advisors should be full-time faculty members, full-time Adjuncts, or faculty affiliates in the Department of Astronomy & Astrophysics. Some students work closely with a researcher at other institutions, but they must still have a formal advisor at UCSC. In such cases, where the researcher from the other institution acts as a co-advisor, the student will need approval from the Grad Program Director and their UCSC faculty advisor.
3.2 First Project
During their first two years, students are expected to write one lead-author paper based on research conducted at UCSC. A complete draft is due to the faculty at the end of the Spring quarter of the 2nd year and should include:
- All of the sections that will be in the final version of the paper, including a Title, Abstract, Introduction, Observations/Reductions/Methods/Discussion as appropriate, and Conclusions
- Complete paragraphs and writing in all of the sections (outlines are not sufficient)
- All figures, which should be in a publishable form with captions.
- References
- Appropriate formatting for journal submission
- A complete draft does not need to have been reviewed by co-authors and may change between the draft phase and the journal submission phase.
- A complete draft is expected to be submitted to a journal within 6 months
The student’s advisor must endorse the paper draft as complete. The Grad Advising Committee will confirm that the paper draft meets the requirements of a complete draft as defined above. If a draft is not complete by the end of the Spring quarter of the 2nd year, students should turn in the paper in its current state. In most cases, if a student is making reasonable progress, the faculty will grant an extension until the beginning of the Fall quarter of the 3rd year. After this, the normal processes described in IV.C apply.
Within 6 months of submitting the complete paper draft, the paper should be submitted to a refereed journal. In some cases, a non-refereed article may satisfy this requirement (for example, a particularly in-depth SPIE paper). The complete paper draft and the submission to a journal are both department requirements.
3.3 FLASH
FLASH is similar to a colloquium but more informal. Students are encouraged to bring a lunch and listen to research presentations by other Astronomy graduate students, postdocs, faculty, and occasional visitors. All students must give an hour-long FLASH-style talk on the original research they did in their first graduate project at UC Santa Cruz before the end of their second year. The talk should demonstrate understanding of the scientific motivation and astrophysical context of the problem, describe the investigation and present the results. The talk should also demonstrate the ability to communicate research to others. As part of the self-assessment process for the Department Review, the department will arrange to record the student’s research talk, and the student should re-watch their talk and describe ways the talk was successful and ways to improve future talks.
3.4 Thesis Project(s)
In years three and above, students are expected to do original research for their thesis, working in collaboration with their advisor (see Section 3.1). The thesis plan should be agreed on between the student and advisor, then presented and approved at the Qualifying Exam (see Section 4.3). If circumstances change such that the milestones are no longer appropriate, students should restructure the thesis plan in collaboration with their advisor, seeking input from their thesis committee.
In order to keep the committee up-to-date, students should keep a ~1 page written outline of their proposed thesis on record with the department, starting at the time of the Qualifying Exam. The outline should contain, at minimum, proposed titles for each thesis chapter and a brief summary of the work that will be presented in each chapter (summaries may be omitted for the Introduction and Conclusion). The committee should approve this outline and any updates in writing (by email copied to the Grad Advisor, who will keep copies of approved outlines).
A thesis comprises the body of Astronomy research completed by a graduate student during their PhD. Typically a thesis is a number of published (or soon to be published) papers, re-formatted into chapters, bracketed by an Introduction and Conclusion. Each chapter should be based on research that took place while the student was enrolled at UC Santa Cruz and should be principally written by the student. The publications referenced here are usually submitted to refereed journals, although in certain subfields, it is common to include Conference Proceedings when they are the standard venue for publication (e.g. SPIE Proceedings for instrumentation research).
A thesis should comprise 3 or more chapters (bracketed by an Introduction and Conclusion), including the “First Project” paper described in Section 3.2. At least 2 of these chapters should be published. Additional chapters can be unpublished if they include, for example, a paper that is ready to be submitted, a detailed description of research infrastructure developed by the student (e.g. instrumentation, code development, or a widely used observational survey), or a summary of contributions to an unusually large body of co-authored papers.
3.5 Pedagogical Justification for Research Requirement
The Astronomy & Astrophysics PhD program is designed to prepare students to be independent researchers in Astronomy & Astrophysics, or in a related field. A research advisor guides each student’s individual development and provides frequent feedback on each student’s work and career goals. The first project is designed to introduce students to independent Astronomy & Astrophysics research. Students synthesize their work and develop presentation skills when delivering their FLASH talk. The Thesis Project (and thesis defense) are an extension of the First Project and FLASH talk, where students lead a more substantial project that is defined by the student.
The normative timeline set by the department is an important part of preparing students to be independent researchers in Astronomy & Astrophysics. By completing a project in the first two years, students will learn to conduct research at a pace that keeps up with an evolving research landscape, and with project scopes that are compatible with postdocs (3 years), research grants (3 years) and telescope proprietary periods (1-1.5 years). The same logic applies to other research-related requirements (FLASH, the Qualifying Exam, and the Thesis Project).
4. University and Degree Requirements
4.1 Obtaining a Master’s Degree
UCSC Astronomy and Astrophysics PhD students are eligible to obtain a non-terminal master’s degree while making progress toward a doctorate once they have completed all required coursework.
Once a student has completed all course requirements, they may contact the Graduate Advisor to begin steps toward obtaining their master’s degree. The steps toward obtaining the degree are outlined as follows.
Graduate Advisor will review student milestones and determine eligibility for master’s degree. Once the Graduate Advisor has determined eligibility, the student will complete an application for the master’s degree. The application for the master’s degree can be found here: https://graddiv.ucsc.edu/current-students/pdfs/app_mas.pdf
Students who have obtained a master’s degree while still making progress toward a doctorate are eligible to walk in commencement. If a student misses the deadline to participate in commencement, it is still possible for the student to walk in the next commencement ceremony. Please contact the Graduate Advisor if you wish to participate in commencement.
Commencement information can be found here: https://graddiv.ucsc.edu/events/commencement/index.html
4.2 Establishing a Designated Emphasis
Graduate students wishing to obtain a Designated Emphasis (DE) in a related field must do so before undertaking their Qualifying Exam and notify the graduate advisor of this intention and follow the steps outlined in the following DE policy guide: https://senate.ucsc.edu/committees/gc-graduate-council/policies-and-memoranda%20/DesignatedEmphasisPolicy_revised-April-2012.pdf
4.3 Advance-to-Candidacy Exam (Oral Qualifying Exam)
By the end of the third year, students must complete a qualifying examination that presents and defends a proposed thesis topic.
4.4 Qualifying Exam Committee
Students must select four Qualifying Exam Committee members. One member must be outside the department (that is, from another department within UC Santa Cruz, or outside UC Santa Cruz). Committee members should be selected at least two months in advance of the qualifying exam.
- The student's advisor cannot chair the examination committee unless special permission has been granted by the Department.
- The chair of the committee and the outside member must be tenured members of the Academic Senate (or equivalent).
- As an exception, the dean of graduate studies will sometimes approve non-tenured outside members. If the outside member is non-academic, they must provide a CV.
- Faculty from another campus may be from the same or from a different discipline.
Once committee members have been selected, the student must submit the Committee Nomination for Doctoral Qualifying Exam form at least one month in advance of the qualifying exam: https://bpb-us-w2.wpmucdn.com/wordpress.ucsc.edu/dist/4/136/files/2024/09/qe_nom.pdf
If there are issues with the selected committee, students will hear back from the Graduate Division in advance of the qualifying exam date. The student is responsible for discussing and setting the date and time of their oral qualifying exam with their committee, ensuring the date works for all.
4.5 Qualifying Exam
To prepare for the qualifying exam, students should be seeking regular guidance from their faculty advisors. A typical qualifying exam should include the following.
Presentation:
Field in which the thesis is being planned (Context)
What work has been done by student
Outline of planned thesis work
Timeline
Discussion:
Committee’s assessment of thesis suitability
Feedback on scope and timeline
Students should submit the Nominations for Dissertation Reading Committee form to the Graduate Advisor before their Qualifying Exam takes place: https://bpb-us-w2.wpmucdn.com/wordpress.ucsc.edu/dist/4/136/files/2024/09/drc_nom.pdf
Soon after passing the oral qualifying exam, the student’s committee must complete the Report on Qualifying Exam form and submit it to the graduate advisor to be sent to the Graduate Division. Students will either pass or fail the QE exam–the department does not use the honors option listed on the QE Report form: https://bpb-us-w2.wpmucdn.com/wordpress.ucsc.edu/dist/4/136/files/2024/09/qe_nom.pdf
4.6 Dissertation Reading Committee
- The Dissertation Reading Committee (also known as thesis committee) must have a minimum of four readers, the majority of whom must be regular faculty members in Astronomy & Astrophysics (an exception can be made if the primary advisor is in another department, such as Physics or Earth and Planetary Sciences). The chair is usually the thesis advisor and does not need to be a tenured faculty member. A change in the membership of the committee must be approved by the Graduate Dean.
- One is not required to have an external committee member on the Dissertation Reading (thesis) Committee. One is allowed to have an external member on the thesis committee, but this is at the discretion of the student and their advisor(s).
- All documents should be submitted to the graduate advisor who will duplicate the document, place it in the student’s file, and submit it to the graduate division.
Students should initiate a dissertation committee meeting with their committee members at least once annually after the qualifying exam. Please notify the graduate advisor of your meeting date so that dissertation progress can be tracked.
5. Graduation Procedure
After passing the Department Review and the Qualifying Examination based on the previously mentioned requirements, students pursue independent research leading to the doctoral dissertation. Upon completion of the doctoral dissertation, students must pass an oral dissertation defense. For details about preparing for your dissertation defense, applying for your doctoral degree, setting your defense date/time, and submitting your dissertation and title page, please see the Graduation Procedure sections below.
The Graduation Division has also created a checklist to help students track their progress on requirements for graduation here: https://graddiv.ucsc.edu/current-students/pdfs/Dissertation_checklist.pdf
5.1 Application for PhD
To initiate the graduation process, students must complete the Application for the Doctor of Philosophy Degree form found here: https://graddiv.ucsc.edu/current-students/pdfs/app_phd.pdf This form should be sent to the Graduate Advisor to be signed and forwarded on to the Graduate Division. This form must be submitted at the beginning of the quarter in which students plan to graduate.
5.2 Submitting a Dissertation
A completed draft of the thesis must be submitted to the dissertation committee at least two weeks before the date of the defense. The draft should be a static .pdf file (rather than a dynamic overleaf file) and should be in a state that does not require any major updates other than those suggested by the thesis committee at and after the defense.
If the completed thesis is not sent to the committee at least two weeks before the date of the defense, the defense will be rescheduled. Waivers to this policy will be granted only under exceptional circumstances and must be approved by the Department Chair, Grad Program Director, Grad Advisor, and all members of the Thesis Committee.
After the dissertation, a final, updated copy of the dissertation should be submitted to Proquest. This final draft must adhere to the formatting guidelines laid out by the Graduate Division: https://graddiv.ucsc.edu/current-students/pdfs/dissertation-thesis-guidelines.pdf
Deadlines for thesis submissions by quarter can be found in the UCSC Academic and Administrative Calendar here: https://registrar.ucsc.edu/calendar/academiccalendar.html
5.3 Dissertation Defense Date
Students should set the date and time for the dissertation defense in collaboration with their thesis committee members, ensuring the date works for all. The defense itself must occur at least two weeks before the campus deadline for thesis submissions in that quarter. The public talk portion of the defense should be advertised to the department two weeks in advance of the defense.
Students should contact the Grad Advisor way in advance to reserve the room, add to the Astro Event Calendar, and provide the information to the Grad Advisor so an announcement can be made two weeks prior and week of.
5.4 Dissertation Title Page
On the day of the student’s defense, they must obtain original signatures for the Title Page from all faculty on their committee. The signing of the Title Page confirms that all requirements for the doctoral degree have been met. The Graduate Division requires the submission of the dissertation Title Page prior to the deadline listed in the academic calendar: https://registrar.ucsc.edu/calendar/academiccalendar.html
Title Pages and full dissertations should be submitted to the Graduate Advisor or directly to the Graduate Division. If a student submits these documents directly to the Graduate Division, the student should forward copies of the documents to the Graduate Advisor to be stored in the student’s file.
5.5 Proquest
It is a requirement that your thesis be submitted to Proquest prior to the last day of the quarter in which you plan to graduate (and sometimes earlier in the Spring quarter if you intend to participate in Commencement). Your dissertation must adhere to all editing guidelines which can be found here. You can access the Proquest service here: https://www.etdadmin.com/main/home
5.6 Exit Interview
All graduating students are asked to participate in an exit interview with the Graduate Advisor and/or Department Manager. Responses are anonymous and help inform program improvements. Exit interview questions cover:
Coursework
Research
Advising
Professional Development
Community
Funding
Overall Experience
Other comments
Commencement
Commencement information is posted to the Graduate Division website here.
To participate in commencement, you must submit your dissertation and Title Page by the deadline listed in the academic calendar: https://registrar.ucsc.edu/calendar/academiccalendar.html
You must also register for commencement in order to participate. Please check the Graduate Division website for updated information about the registration deadline.
5.8 Degree Timeline
The department has established five years as the normative time to degree. Normative time is the elapsed calendar time, in years, that, under normal circumstances, will be needed to complete all requirements for the Ph.D.
A one-year extension may be granted if funding is available. Funding support will not, in general, be provided beyond six years. Exceptions for extension beyond six years will be granted only for exceptional extenuating circumstances, and will be decided upon by the department chair in consultation with other members of the voting faculty.
