Student Handbook

2020-2021

Be the Answer
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Contents
PREFACE ............................................................................................................................................................... 1

HISTORY AND MISSION ........................................................................................................................................ 1

ACADEMIC FREEDOM AT PARDEE RAND .............................................................................................................. 2

THE PARDEE RAND ENVIRONMENT ..................................................................................................................... 2

PARDEE RAND ORGANIZATION .................................................................................................................... 2

RAND BOARD OF TRUSTEES ........................................................................................................................ 2

PARDEE RAND BOARD OF GOVERNORS ...................................................................................................... 2

FACULTY ...................................................................................................................................................... 3

PARDEE RAND DEVELOPMENT AND FUNDRAISING .................................................................................... 3

PARDEE RAND COMMITTEES ....................................................................................................................... 3

STUDENT LEADERSHIP ................................................................................................................................. 5

ONBOARDING ....................................................................................................................................................... 6

ORIENTATION ............................................................................................................................................... 6

STUDENT IDs ................................................................................................................................................ 7

OFFICE SPACE, COMPUTERS, SECURE LOGIN TOKENS, AND BUSINESS CARDS ........................................... 7

SECURITY CLEARANCES................................................................................................................................ 8

USING THE RAND OR PARDEE RAND AFFILIATION ....................................................................................... 9

STUDENT SUPPORT AND RESOURCES .......................................................................................................... 9

VISA SUPPORT FOR INTERNATIONAL STUDENTS......................................................................................... 9

PEER AND FACULTY ADVISERS ..................................................................................................................... 9

STUDENTS WITH DISABILITIES ................................................................................................................... 10

KNOWLEDGE SERVICES (KS) RESOURCES .................................................................................................. 10

UCLA LIBRARY CARDS ................................................................................................................................ 10

COMPUTING RESOURCES .......................................................................................................................... 11

TUITION, FEES, FINANCIAL SUPPORT, AND RESOURCES .................................................................................... 11

TUITION AND FEES ..................................................................................................................................... 11

TUITION AND ENROLLMENT ...................................................................................................................... 11

TUITION BILLING AND PAYMENT OPTIONS ............................................................................................... 11

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 NONPAYMENT OF TUITION ....................................................................................................................... 12

TUITION REDUCTIONS ............................................................................................................................... 12

TUITION PAYMENT DURING THE DISSERTATION PHASE ........................................................................... 12

SUMMER TUITION ..................................................................................................................................... 12

TUITION REFUND/PAYMENT SCHEDULE ................................................................................................... 13

TUITION SCHOLARSHIPS ............................................................................................................................. 13

INTERNSHIPS .............................................................................................................................................. 13

DISSERTATION AWARDS ............................................................................................................................. 14

FEDERAL FINANCIAL AID (TITLE IV) FUNDS................................................................................................. 14

FINANCIAL AID AND THE COST OF ATTENDANCE ...................................................................................... 14

STAFFORD LOAN ........................................................................................................................................ 15

GRADUATE PLUS LOAN .............................................................................................................................. 15

EXIT POLICY FOR TITLE IV FUNDS............................................................................................................... 15

VETERANS EDUCATION BENEFITS .............................................................................................................. 16

STUDENT TRAVEL ....................................................................................................................................... 16

CONFERENCE TRAVEL ................................................................................................................................. 16

CAREER SERVICES TRAVEL .......................................................................................................................... 17

TRAVEL TO OTHER RAND OFFICES.............................................................................................................. 17

ACADEMIC PROGRAM ........................................................................................................................................ 17

CURRICULUM ............................................................................................................................................. 17

REQUIREMENTS FOR STUDENTS ENTERING IN 2020................................................................................. 17

DISSERTATIONS ......................................................................................................................................... 18

ON-THE-JOB TRAINING (OJT) ..................................................................................................................... 18

RESEARCH, ANALYSIS AND DESIGN (RAD) .......................................................................................................... 18

COMMUNITY-PARTNERED POLICY AND ACTION (CPPA) STREAM ..................................................................... 20

TECHNOLOGY APPLICATIONS AND IMPLICATIONS (TECH STREAM) .................................................................. 21

COURSE INFORMATION AND MATERIALS .................................................................................................. 24

COURSE SCHEDULE .................................................................................................................................... 24

COURSE LOAD ............................................................................................................................................ 24

TEXTBOOKS ................................................................................................................................................ 24

COURSEWORK ............................................................................................................................................ 24

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 PROGRAM REQUIRED COURSES AND STUDIOS ......................................................................................... 24

ELECTIVES .................................................................................................................................................. 25

AUDITING ELECTIVE COURSES ................................................................................................................... 26

COURSE REGISTRATION .............................................................................................................................. 27

CLASS ATTENDANCE .................................................................................................................................. 27

OFFSITE CLASS ATTENDANCE .................................................................................................................... 27

QUALIFYING EXAMINATIONS ..................................................................................................................... 28

SCHEDULE AND PREPARATION FOR QUALIFYING EXAMS ......................................................................... 28

FIRST-YEAR REVIEW .................................................................................................................................... 28

SECOND-YEAR REVIEW ............................................................................................................................... 29

PERIODIC REVIEW ....................................................................................................................................... 29

POLICY AREA SPECIALIZATION .................................................................................................................... 30

INDEPENDENT STUDY ................................................................................................................................. 30

TUTORIALS .................................................................................................................................................. 30

PROPOSAL FOR INDEPENDENT STUDY OR TUTORIAL................................................................................ 31

PROGRESS AND EVALUATION OF INDEPENDENT STUDY .......................................................................... 31

COURSES TAKEN AT OTHER SCHOOLS ........................................................................................................ 32

TUITION-FREE ACADEMIC PARTNERSHIPS................................................................................................. 32

RAND STAFF, RAND MILITARY FELLOWS AND QUALIFIED VISITORS ENROLLING FOR CREDIT .................. 32

REVIEW OF PROGRESS................................................................................................................................ 32

WHAT GRADES MEAN ............................................................................................................................... 32

TAKING COURSES “PASS/FAIL” .................................................................................................................. 33

ACADEMIC STANDING ............................................................................................................................... 33

THE MASTER OF PHILOSOPHY (M.PHIL) DEGREE ...................................................................................... 34

ORDERING OFFICIAL TRANSCRIPTS............................................................................................................ 35

LEAVES OF ABSENCE ................................................................................................................................... 35

LEAVES OF ABSENCE FOR INTERNATIONAL STUDENTS ............................................................................. 36

LEAVES OF ABSENCE AND FINANCIAL AID ................................................................................................. 36

LOCATION MOVES ...................................................................................................................................... 36

ENROLLED BUT LIVING OUT OF THE AREA OF A RAND OFFICE ................................................................. 37

ON-THE-JOB TRAINING (OJT) AND PARDEE RAND ENROLLMENT ...................................................................... 38

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 THE CONCEPT OF OJT ................................................................................................................................. 38

OJT AS AN ACADEMIC REQUIREMENT........................................................................................................ 39

RELATIONSHIP OF OJT TO THE PARDEE RAND FELLOWSHIP ...................................................................... 39

FUNCTION OF THE FELLOWSHIP ................................................................................................................ 39

POLICIES GOVERNING STUDENT FELLOWSHIPS ......................................................................................... 40

WORKING FEWER OR MORE DAYS THAN REQUIRED ................................................................................. 41

FINDING OJT ............................................................................................................................................... 41

UNPAID OJT ................................................................................................................................................ 42

OUTSIDE OJT ............................................................................................................................................... 42

OUTSIDE OJT FOR ACADEMIC CREDIT ....................................................................................................... 42

OUTSIDE WORK AND CONFLICT OF INTEREST ........................................................................................... 43

OJT FOR INTERNATIONAL STUDENTS ......................................................................................................... 43

CURRICULAR PRACTICAL TRAINING (CPT) FOR INTERNATIONAL STUDENTS............................................. 43

OFF CAMPUS EMPLOYMENT ...................................................................................................................... 44

OPTIONAL PRACTICAL TRAINING (OPT) FOR INTERNATIONAL STUDENTS ................................................. 44

MERIT INCREASES ...................................................................................................................................... 45

TEACHING ASSISTANTS (TAs)...................................................................................................................... 45

SELECTION OF TAs ..................................................................................................................................... 45

COMPENSATION FOR TAs .......................................................................................................................... 46

PUBLISHING COMMENTARIES AT RAND ............................................................................................................ 46

RAND-RELATED COMMENTARIES............................................................................................................... 46

STUDENT COMMENTARIES ........................................................................................................................ 46

DISSERTATIONS .................................................................................................................................................. 46

OVERVIEW .................................................................................................................................................. 46

DISSERTATION TASKS AND TIMELINE ........................................................................................................ 47

ABSTRACTS ................................................................................................................................................. 50

PUBLICATIONS THAT UTILIZE FFRDC FUNDING OR OTHER FFRDC RESOURCES ......................................... 50

DISSERTATION QUALITY ASSURANCE ......................................................................................................... 50

SUMMARY OF STANDARDS FOR SCHOLARLY WORK .................................................................................. 50

DISSERTATION WORKSHOPS ..................................................................................................................... 51

THE DISSERTATION COMMITTEE ................................................................................................................ 52

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 OUTSIDE COMMITTEE MEMBERS AND OUTSIDE READERS ....................................................................... 52

THE DISSERTATION PROPOSAL .................................................................................................................. 53

ELIGIBILITY TO PROPOSE A DISSERTATION ................................................................................................ 54

POSTING THE FINAL DISSERTATION ........................................................................................................... 57

PUBLISHING THE DISSERTATION ................................................................................................................ 57

PUBLISHING PORTIONS OF THE DISSERTATION IN PEER-REVIEWED JOURNALS ........................................ 58

PROGRESS REPORTS .................................................................................................................................. 59

MID-COURSE CHANGES IN DISSERTATION PLANS ..................................................................................... 60

CHECKOUT PROCEDURES ........................................................................................................................... 60

FINANCIAL OBLIGATIONS & DEGREE CONFERMENT .................................................................................. 61

DISSERTATION FUNDING RESOURCES ........................................................................................................ 61

SOURCES OF DISSERTATION FUNDING ...................................................................................................... 61

AWARDS OFFERED THROUGH OTHER RAND BUSINESS DIVISIONS ........................................................... 63

COMMENCEMENT AND EXCELLENCE AWARDS......................................................................................... 63

OUTSIDE DISSERTATION FUNDING ............................................................................................................ 65

WITHDRAWING FROM THE PROGRAM .............................................................................................................. 65

TUITION ..................................................................................................................................................... 65

OJT ............................................................................................................................................................. 65

OTHER EXPENSES ....................................................................................................................................... 65

PROMISSORY NOTES .................................................................................................................................. 65

BEYOND THE PHD ............................................................................................................................................... 66

CAREER SERVICES ....................................................................................................................................... 66

THE JOB SEARCH ........................................................................................................................................ 66

ONE- ON- ONE SESSIONS WITH THE CAREER SERVICES DIRECTOR ........................................................... 67

EMPLOYMENT OPTIONS AT RAND FOLLOWING GRADUATION ................................................................ 67

POST-DOCTORAL STATUS AT RAND........................................................................................................... 67

BENEFITS ............................................................................................................................................................ 68

HEALTH INSURANCE ................................................................................................................................... 68

RAND-APPROVED HEALTH CARE PROGRAM .............................................................................................. 69

NON-RAND HEALTH INSURANCE ................................................................................................................ 69

DEPENDENT CARE AND OTHER HEALTH-RELATED INSURANCE ................................................................. 69

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 RAND EMPLOYEE ASSISTANCE PROGRAM (EAP) ........................................................................................ 69

SICK LEAVE POLICY ..................................................................................................................................... 69

PARENTAL LEAVE POLICY............................................................................................................................ 70

PARDEE RAND MEDICAL LEAVES POLICY .................................................................................................... 71

REQUIREMENT TO NOTIFY PARDEE RAND OF A FAMILY OR MEDICAL LEAVE REQUEST........................... 71

REQUIRED CERTIFICATION FOR LEAVES AND CLAIMS ............................................................................... 71

KEEPING PARDEE RAND APPRISED OF STUDENT STATUS ......................................................................... 72

WHEN STUDENTS RETURN TO SCHOOL OR AN APPROVED LEAVE EXPIRES .............................................. 72

PAID TIME OFF AND INSURANCE BENEFITS DURING LEAVE...................................................................... 72

MAINTENANCE OF BENEFITS WHILE ON LEAVE ........................................................................................ 72

MAINTENANCE OF STUDENT STATUS WHILE ON (FULL-TIME) FAMILY AND MEDICAL LEAVE .................. 72

MILITARY LEAVE ......................................................................................................................................... 73

REQUIREMENT TO NOTIFY PARDEE RAND OF A MILITARY LEAVE REQUEST ............................................. 73

MAINTENANCE OF STUDENT STATUS WHILE ON MILITARY LEAVE ........................................................... 73

SECURITY ............................................................................................................................................................ 73

ETHICAL CONDUCT ............................................................................................................................................. 74

PRINCIPLES OF ETHICAL CONDUCT ............................................................................................................ 74

EXAMPLES OF UNETHICAL CONDUCT......................................................................................................... 74

POLICY CONCERNING COLLABORATIVE WORK .......................................................................................... 74

POLICY CONCERNING ATTRIBUTIONS AND CITATIONS .............................................................................. 75

Notice to Students on Unauthorized Sharing of Copyrighted Materials .................................................... 75

Compliance with the Human Subjects Protection Committee (HSPC) ....................................................... 76

NON-DISCRIMINATION ............................................................................................................................... 76

TITLE IX: SEXUAL ASSAULT, DOMESTIC VIOLENCE, DATING VIOLENCE, AND STALKING ............................ 77

TITLE IX GRIEVANCE PROCEDURES: GRIEVANCE PROCEDURES FOR GENDER-BASED AND SEXUAL .......... 77

DRUGS AND ALCOHOL ................................................................................................................................ 77

ALCOHOL AT GRADUATE SCHOOL EVENTS ................................................................................................ 78

PROHIBITED CONDUCT .............................................................................................................................. 78

NOTIFICATION OF DRUG CONVICTION ...................................................................................................... 78

DISCIPLINARY ACTIONS.............................................................................................................................. 78

PARDEE RAND GRIEVANCE POLICY..................................................................................................................... 78

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 OVERALL POLICY ......................................................................................................................................... 78

STATEMENT OF PURPOSE .......................................................................................................................... 79

DEFINITIONS .............................................................................................................................................. 79

TIME LIMITS ............................................................................................................................................... 79

GRIEVANCES RELATING TO EXPULSION ..................................................................................................... 80

INFORMAL GRIEVANCE PROCEDURES ....................................................................................................... 80

FORMAL GRIEVANCE PROCEDURES........................................................................................................... 81

HEARING PROCEDURES ............................................................................................................................. 82

APPEALS ..................................................................................................................................................... 83

REVIEWING COMPLAINTS.......................................................................................................................... 84

RECORD-KEEPING ...................................................................................................................................... 84

FERPA and EDUCATIONAL RECORDS .................................................................................................................. 84

NOTICE FOR DIRECTORY INFORMATION .................................................................................................... 85

EXCEPTIONS TO THE CONSENT RULE ......................................................................................................... 85

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PREFACE
This Student Handbook (Handbook) describes the policies and procedures that govern Pardee RAND’s
operations and activities. The policies contained in this Handbook supersede all previously issued policies on
the same subject matter and any inconsistent statements about Pardee RAND’s policies or benefits, whether
oral or written.

No student handbook can anticipate every circumstance or question that may arise. Accordingly, Pardee
RAND reserves the right to revise, supplement, or cancel any policy or any portion of the Handbook from
time to time, in its sole discretion. None of the policies or statements in this Handbook is contractually
binding on Pardee RAND. Courses of instruction, programs, degree and on-the-job training (OJT)
requirements, tuition and fees, and any other information are subject to change at the School’s discretion.
The policies and procedures set forth in this Handbook will be interpreted and applied consistent with
applicable law.

Students also are subject to and must comply with policies of RAND that are, by their terms, applicable to
Pardee RAND students. RAND policies are available on the intranet and may be revised, supplemented, or
cancelled from time to time, at the discretion of RAND.

HISTORY AND MISSION

The Pardee RAND Graduate School (Pardee RAND or the School) was founded in 1970 as one of the eight
original graduate programs in public policy in the United States with a grant from the Ford Foundation.
Pardee RAND is the only public policy program that focuses exclusively on the Ph.D. and the only program
that is part of a public policy research institute--the RAND Corporation (RAND), where policy analysis was
born. Although Pardee RAND is not part of a university, it is nonetheless committed to the same openness
and support of independent inquiry that characterize graduate study in university settings.

Pardee RAND’s mission is to provide the next generation of policy leaders an unsurpassed education in the
fundamental tools of policy analysis. The School’s overarching goals are:

• To produce Ph.D. graduates whose dissertations make important intellectual contributions to

practical issues and whose careers distinguish them as powerful intellectual influences on public life
through ideas and actions,
• In conjunction with RAND, to develop new lines of teaching and research on some of the world’s
most difficult policy challenges, and
• For the profession as a whole, to help rethink what public policy means in a time when effective
governance increasingly relies on partnerships among government, business, and civil society.

Pardee RAND has identified five key educational objectives for students in the program:

• To understand the purpose of policy analysis and its place within the political process,
• To master the basic methodologies used in policy research: policy analysis, human systems analysis,
and empirical analysis,
• To acquire an in-depth knowledge in at least one of three streams: (1) Research, Analysis, and
Design; (2) Community-Partnered Policy and Action; or Technology Applications and Implications,
and,
• To develop project and professional skills relevant to the selected field of policy analysis.

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ACADEMIC FREEDOM AT PARDEE RAND

Although Pardee RAND is not part of a university, it is nonetheless committed to the same openness and
support of independent inquiry that characterize graduate study in university settings. Within the graduate
school, the principles of academic freedom undergird freedom of inquiry and research, freedom of
instruction and freedom of expression and publication.

THE PARDEE RAND ENVIRONMENT

PARDEE RAND ORGANIZATION

Intellectually, organizationally, and financially, the School is both an integral part of RAND Corporation and an
autonomous entity within the organization. RAND’s research staff provides most of the professors for the
School. RAND’s research programs offer a broad spectrum of research in which graduate students can take
part, applying the tools they acquire in their academic courses. The School draws upon the larger RAND
organization for many support functions, including human resources, finance and accounting, computing, and
library facilities. The School’s ultimate governing body is the RAND Board of Trustees.

Educational policies at Pardee RAND are formulated by the School’s Dean, in collaboration with the
leadership team and the Faculty Committee on Curriculum and Appointments, and in consultation with the
Pardee RAND Graduate School Board of Governors. The Dean reports to the President of RAND and is
responsible to the School’s Board of Governors.

Pardee RAND’s day- to- day operations are the function of a full-time management team that provides
services in the areas of admissions, registration and matriculation, curriculum, student advising, career
services, and student records management. Visit the Staff Directory at the Pardee RAND intranet for specific
staff roles and responsibilities.

RAND BOARD OF TRUSTEES

RAND is governed by a Board of Trustees representing science, the academic community, industry, and the
public. The Board sets basic RAND policy and is kept continually informed of RAND’s strategic plans and the
results of RAND research, as well as of the progress of the School.

PARDEE RAND BOARD OF GOVERNORS

Established in 1998, the Pardee RAND Graduate School Board of Governors (BoG) includes distinguished
leaders in academia, business, and public service—people whose vision and commitment provide advice and
leadership to the School. The BoG meets three times a year, once jointly with the RAND Board of Trustees.
The BoG reviews and provides recommendations to the President of RAND and to the Dean on

• Long-range strategic and financial planning,

• The business plan and annual budget, and
• The organization and programs of the School.

The BoG is elected by the RAND Board of Trustees and has a maximum of 28 members, with representation
as follows: (a) at least three RAND Board of Trustee members or former members, (b) at least five individuals
from academic institutions, and (c) up to 20 individuals from the business and policy communities.

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BoG members who are not RAND Board of Trustee members serve terms of five years, and they may be
reappointed for another five years.

FACULTY
The Pardee RAND Graduate School faculty includes selected members of the RAND staff and visiting faculty
from other institutions. A complete list of Pardee RAND faculty can be found online. Individuals interested in
teaching a course or participating as a dissertation committee chair/member should contact the Assistant
Dean for Academic Affairs. Individuals interested in supervising students on project work should contact the
Associate Dean. Detailed information for faculty can be found at Faculty Policies and Procedures.

PARDEE RAND DEVELOPMENT AND FUNDRAISING

The Development Department in the RAND Office of External Affairs (OEA) supports the overall fundraising
effort at the RAND Corporation. Each RAND unit is assigned a team that oversees the fundraising initiatives
for that unit.

The overall role of Pardee RAND’s Development team is to identify prospective donors and introduce them to
Pardee RAND, as well as steward existing relationships on behalf of the school. The priority is to facilitate
engagement between key stakeholders, students and faculty to help strengthen these relationships on behalf
of the school and RAND.

Representing a wealth of knowledge and a wide variety of industries and policy sectors, Pardee RAND donors
are deeply invested in the success of Pardee RAND students. The Development team provides students with
opportunities to interact with Pardee RAND’s supporters in both formal and informal settings throughout the
year and provides guidance to students on best practices for interaction.

Additionally, Development works with students to provide updates to funders regarding their academic and
professional progress. For more about Pardee RAND’s Development and Fundraising team, please visit their
intranet page.

PARDEE RAND COMMITTEES

The School’s administration is conducted with the participation and assistance of a number of faculty
committees. These are: The Faculty Committee on Curriculum and Appointments, the Admissions
Committee, the First- Year Review Committee, the Second-Year Review Committee, the Qualifying
Examinations Committee, and the Grievance Committee.

FACULTY COMMITTEE ON CURRICULUM AND APPOINTMENTS (FCCA)

The Faculty Committee on Curriculum and Appointments (FCCA) exercises major influence on the curriculum
policy of the School. Historically, the FCCA’s primary responsibility has been to examine proposed new
courses, scrutinize course learning objectives, evaluate proposed syllabi, and review qualifications of
proposed faculty. In addition, the FCCA is responsible for evaluating the quality of teaching in all Pardee
RAND courses.

The FCCA consists of the Pardee RAND Dean, Associate Dean and Assistant Dean for Academic Affairs, four
faculty members elected by the faculty for staggered terms of three years, two faculty members appointed
by the Dean for a period of two years, and two students, both of whom have passed qualifying exams.

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One student is elected by the student body at the beginning of the fall quarter for a term of one year, and
one student is selected by the Dean at the beginning of the winter quarter for a term of two years. All FCCA
members are eligible to serve a maximum of two consecutive terms. For more information about student
representation on the FCCA see the section FCCA STUDENT REPRESENTATIVES.

ADMISSIONS COMMITTEE
The Admissions Committee consists of Pardee RAND faculty members and staff and is appointed annually in
November by the Assistant Dean of Admissions. The Admissions Committee reviews all completed
applications for admission and meets as a group with the School’s deans to make all admissions and wait-list
decisions.

The Dean provides a memorandum of guidance on admissions policy and a document focused on the
importance of diversity in the student body. See the external website for more information about Pardee
RAND’s commitment to diversity.

FIRST-YEAR REVIEW COMMITTEE

The First-Year Review Committee is comprised of the Dean, a subset of the first-year core faculty selected by
the Dean, the Associate Dean, the Assistant Dean for Academic Affairs, Stream Leads and the Registrar. It
convenes to review Pardee RAND students after they’ve completed the core curriculum and the qualifying
examinations. The Committee reviews academic and research records including course grades, qualifying
(and oral, if necessary) exam results, OJT supervisor evaluations, and comments from Pardee RAND staff, and
arrives at a judgment about the student’s academic strengths, weaknesses, and prospects at Pardee RAND.

SECOND-YEAR REVIEW COMMITTEE

The Second-Year Review Committee is comprised of the Dean, the Associate Dean, the Assistant Dean for
Academic Affairs, the leaders of the dissertation workshop, and the Registrar. The Second-Year Review
Committee convenes annually to assess each student’s progress through the end of their second year. The
Committee reviews academic and research records including course grades, number of OJT days completed,
OJT supervisor evaluations, and comments from Pardee RAND staff, and arrives at a judgment about the
student’s academic strengths, weaknesses, and prospects at Pardee RAND.

QUALIFYING EXAMINATION COMMITTEE

The Qualifying Examination Committee is constituted each year by the Assistant Dean for Academic Affairs to
create and oversee the Qualifying Examination. This committee consists of Pardee RAND faculty members
but, in exceptional cases, may include a distinguished researcher who is not a member of the faculty. The
Committee is responsible for writing, administering, and grading the Qualifying Exams.

GRIEVANCE COMMITTEE
A Pardee RAND Grievance Committee may be convened as needed, in accordance with the PARDEE RAND
GRIEVANCE POLICY.

The Grievance Committee consists of five members: The Assistant Dean for Academic Affairs; two Pardee
RAND faculty members selected by the FCCA; one member selected from the student body by the Pardee

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RAND Student Representative Organization; and one additional member selected from the administration,
faculty, student body, or Pardee RAND staff by the other members of the committee.

The committee shall be responsible for making independent and unbiased recommendations to the Dean
regarding a student grievance. The committee is not to play an advocacy role for any one party (i.e., Pardee
RAND administration, students, or faculty members).

STUDENT LEADERSHIP

PARDEE RAND STUDENT REPRESENTATIVE ORGANIZATION

The Pardee RAND student representative organization is dedicated to representing and addressing the
concerns and needs of students. The organization assists students with their professional development, plans
community-building events, and fosters communication between students and the larger RAND community.
When appropriate, the School’s administration seeks comments and input from the student organization
regarding changes in school policies and procedures, and the academic program. The organization is
empowered to convene short or long-term committees to address issues and create initiatives. The student
organization is comprised of elected cohort representatives and one member chosen by the student body on
an at-large basis. It meets regularly with the Assistant Dean for Academic Affairs and the Associate Dean, and
periodically with the Dean. All other staff members are also invited to attend.

Elections for representation on the organization are held at the beginning of fall quarter. Cohort
representatives immediately take office and serve through the academic year. The at-large rep takes office
during the beginning of the winter quarter and serves through the following winter quarter to provide
continuity.

The student representative organization is responsible for coordinating several elections as follows:

• Student representative on the Faculty Committee on Curriculum and Appointments. The elected
student representative documents the content of FCCA meetings. To be eligible to serve as the FCCA
representative, a student must have successfully completed qualifying examinations.
• The Edwin E. and Mary T. Huddleson Outstanding Teacher Award, which recognizes two Pardee
RAND professors for their excellence in teaching and is awarded annually. The selection is based on
an election process involving the entire student body. Recipients are honored during
Commencement. For further information on this award, see COMMENCEMENT AND EXCELLENCE
AWARDS.
• The Teaching Assistant Award, which recognizes one student TA for their outstanding performance.
This student body election is conducted at the end of each academic year. Teaching Assistant Awards
for students supporting an elective course are presented in even years and awards to students
supporting a core course are presented in odd years.

CAREER SERVICES ADVISORY COMMITTEE (CSAC)

The student-run Career Services Advisory Committee (CSAC) collaborates with the Career Services staff to
identify opportunities to develop students’ career-related skills and facilitate an exploration of a variety of
career paths. CSAC coordinates a variety of seminars and other career-oriented activities for students
throughout the year. Past events have included workshops covering such activities as interviewing, resume
preparation, and job search strategy development, as well as visits from alumni and recruiters. All activities

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are designed to expose students to a range of potential career options in areas such as academia,
government, research institutions, consulting, and the nonprofit sector.

OJT BROKERS
The School sponsors the student-run OJT Brokerage that exists to help students navigate the internal market
and provide advice on “best practices” for the job search and for interacting with researchers. OJT Brokers
are selected by the Associate Dean from the pool of applicants for open positions based on the following
attributes:

• An outgoing personality and ability to network effectively,

• Strong organizational skills,
• A track record of getting and keeping good OJT,
• Established social networks with researchers in one or more of RAND's business divisions, and
• The ability to work cooperatively and effectively at all levels of our organization.

Any student who has completed the Qualifying Exams and meets the criteria above is eligible to apply for
open positions, which are advertised as they become available.

INTERNATIONAL DEVELOPMENT SPEAKER SERIES (IDSS)

The International Development Speaker Series (IDSS) is a combination speaker/panel series drawing
international development experts to RAND for learning and discussion. Pardee RAND students established
the series to build a community of RAND researchers interested in international development and to increase
our scholarship in this area.

Students identify, recruit, and convene with speakers and panelists, help run events, and liaise with IDSS’s
sponsoring divisions at RAND. IDSS members are recruited on an as-needed basis based on communication
and organizational skills and a strong interest in and/or connection to international development.

FCCA STUDENT REPRESENTATIVES

The Faculty Committee on Curriculum and Appointments (FCCA) exercises major influence on the curriculum
policy of the School and is comprised of the Pardee RAND Dean, Associate Dean, and Dean for Academic
Affairs, elected and appointed members of the Pardee RAND faculty, and two student representatives. One
student is selected by the Dean; the other elected by the student body. Candidates must have passed
Qualifying Exams, and elections are run by THE PARDEE RAND STUDENT ORGANIZATION .

ONBOARDING

ORIENTATION
New students are introduced to the School and RAND during an orientation program (i.e. Boot Camp) that
takes place before the beginning of classes in the fall quarter. The purpose of the Boot Camp is to orient
students to RAND, introduce program components and provide new students an opportunity to meet with
each other, faculty members and current students. Additionally, new students engage in a series of
immersion activities to prepare them for the upcoming year.

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All new students are invited to attend the RAND-wide New Staff Orientations during their first year of
enrollment.

STUDENT IDs
Pardee RAND student ID cards are automatically issued to enrolled students at the beginning of each
academic year and are commonly used for software, conferences, and various other discounts.

Replacement cards can be ordered by sending an email to the Registrar. Processing time for replacement
cards is five business days.

OFFICE SPACE, COMPUTERS, SECURE LOGIN TOKENS, AND BUSINESS CARDS

All first-year students are assigned to cubicles close to the classrooms and are provided with a laptop
computer for use during their enrollment, a telephone, student business cards, and access to printing and
photocopying. Upon graduation, or in the event the student leaves the program (including during a leave of
absence from the program), or at any other time upon RAND's request, students must return the laptop
computer and any other RAND property in the student’s possession. Students should familiarize themselves
with RAND policies governing the use of RAND equipment and technology resources, including the policy
entitled Use of RAND Personal Computers, Email, the Internet and Other Technology Resources. Students
have access to the RAND library, computing support services, and research seminars, as well as RAND
recreation committee clubs and special events.

OFFICE SPACE
In the first year, students are allocated a cubicle in the Pardee RAND wing. Once students have passed their
qualifying exams, they may be assigned office space among the RAND research staff (floors two through five)
on a space-available basis. This move usually occurs at the end of the second year. Most moves occur during
the summer months.

The School has been allocated single and shared office space on floors two through five, which become
available to students as others complete the program.

Although moves are scheduled during the summer, students may request to move at other times of the year
if circumstances warrant. Requests for midyear moves should be made to the Registrar to be placed on a
move wait list.

Moves from one cubicle to another within the Pardee RAND wing are made only in exceptional cases.

Students who are assigned office space but do not frequent RAND on a regular basis may be subject to
RAND’s Interim Policy on Workspace Utilization for Highly Mobile Employees. In this case, the student may
be required to give up their office space to accommodate another student if there is a need. The student will
be listed as an offsite employee/student and asked to use hoteling space when at RAND.

Students who conduct their oral defense during the summer quarter may be asked to relocate to an assigned
temporary space after the oral defense is conducted to make room for continuing students.

COMPUTERS AND COMPUTING-RELATED EQUIPMENT

Only RAND-supplied laptops may be connected to the RAND network.

7
Pardee RAND provides each student with the following computing equipment during initial onboarding:

• PC laptop computer

• External monitor

• External keyboard

• Laptop docking station

• Two-factor authentication device

• Microphone-equipped headphones

For the 2020-21 Academic Year to accommodate online and socially-distanced learning, students will also be
provided with an iPad, pencil and noise-cancelling headphones. These remain Pardee RAND property and are
subject to the same rules that govern the above equipment.

You are expected to use your initially-assigned equipment for the first 3 1/2 years of enrollment. After that
time, you may opt to replace your laptop with either a RAND-issued PC or MAC laptop for another 3 1/2
years, as long as you remain enrolled.

Notify the Registrar immediately if any of your RAND-assigned computing equipment is lost or stolen.

The RAND information services infrastructure is updated continuously, so the most current information on
topics such as network access, file backups, printing and passwords in available on the RAND Information
Services (IS) Intranet.

Although RAND provides ample online storage and backs up data on RAND computers regularly, it is
important that you also back up your critical data; especially dissertation-related files, in case you are unable
to access the RAND network for an extended time period.

Your computer and storage is configured for your typical expected usage and may not be sufficient for the
needs of data-intensive or classified OJT projects.

Large data sets should be stored on the projects’ servers. Students are responsible for contacting the project
manager and obtaining any necessary information and instructions. Students should be aware of the end of
their lease date and contact either the Registrar or the Student Financial Services Manager about ordering a
replacement and obtaining a project-task number for this purpose.

BUSINESS CARDS
You may order business cards anytime during your enrollment at Pardee RAND. When ordering please use
the approved titles for student business cards of Assistant Policy Researcher and/or PhD Candidate. Cards are
to be ordered in increments of not more than 100. The turnaround time for delivery of cards is 10 business
days. The order form for business cards is available online.

SECURITY CLEARANCES
U.S. citizenship is required to obtain a security clearance. While there is no requirement for students to
obtain or transfer a security clearance, eligible students who expect to do RAND project work requiring a
clearance are encouraged to apply for one early in their career at Pardee RAND.

Eligible entering students are sent information about obtaining or transferring a security clearance prior to
their arrival at Pardee RAND. Any student who subsequently wishes to apply for, or transfer, a clearance

8
should contact the Registrar. If a clearance request is for a specific project, the PI for the project or the
Operations Manager for the Unit should be asked to sign the Security Clearance Request and Justification
form, otherwise the form will be routed to the Associate Dean who is your manager of record for approval

For continuing students, the first step in obtaining or transferring a security clearance is to contact the
Registrar, who initiates a Security Clearance Request and Justification Form. This form is then sent to RAND
Security and Safety in the Washington Office for review. A detailed description of the rest of the process can
be found on the RAND Intranet.

USING THE RAND OR PARDEE RAND AFFILIATION

Students are encouraged to present and disseminate their research. However, they must be careful that
appropriate permissions are obtained prior to dissemination. The appropriate process depends on the
source of the material.

Products Derived from RAND Project Work

For products derived from or related to RAND project work (e.g., presentations, commentary, blog
posts), the student must gain research division approval to create such derivative products. The first
step is to communicate with the project PI. If your project PI has questions, the PI or student may work
with the program manager for the project. Once division approval is secured, students must follow
RAND’s standard review process and adhere to the same policies and procedures established for
commentaries, briefings, or other such products and used by any other RAND Associate. If students are
approved to create derivative products or to present work related to RAND projects, they may identify
themselves as Assistant Policy Researchers at the RAND Corporation.

Products Derived from Student-Initiated Work (Coursework, Dissertations, Work prior to RAND)
For products related to expertise gained prior to RAND, or from Pardee RAND coursework or their
dissertation, students may identify themselves as Pardee RAND doctoral candidates. Formal
publications or commentaries must follow the rules set forth in the Student Publishing Policy.

STUDENT SUPPORT AND RESOURCES

VISA SUPPORT FOR INTERNATIONAL STUDENTS

International Students are accepted in F-1 status at Pardee RAND. Visa support services are provided by the
International Student Advisor. All students must comply with regulations governing their visa status. These
include requirements for full-time enrollment, address change, employment on and off campus, and
passport, visa and travel obligations. Full details can be found at the Pardee RAND intranet Portal for
International Students.

PEER AND FACULTY ADVISERS

The deans assign each incoming student a peer and a faculty adviser.

The Assistant Dean of Admissions matches each incoming student with a peer adviser who provides informal
guidance to help the new student feel at home and navigate their new environment.

9
Each incoming student selects a faculty advisor early in their tenure through a matching process run by the
School. Faculty advisors are typically senior researchers at RAND who have a long history of working with the
school who are paid to engage with students. Their role is to help new students acclimate to the culture at
RAND, make the most of available resources, explore OJT possibilities, assess academic progress and design
remedial strategies as necessary. Students should meet with their faculty advisors at least once a quarter and
may avail themselves of up to eight hours of consultation with their faculty advisor within the first year.
Faculty advisors will keep track of their advisees and will be asked to provide feedback to the First Year
Review Committee on each.

Both peer and faculty advisers are encouraged to link students with other members of the RAND community
who may help them develop their interests and find project work. The Dean, Associate and Assistant Deans,
and Registrar serve as additional resources to students and to advisers.

STUDENTS WITH DISABILITIES

Students with disabilities are entitled to reasonable accommodation by Pardee RAND and the RAND
Corporation. Students seeking reasonable accommodation must contact the Associate Dean, Rachel
Swanger, and their HR representative, Stephen Galanis, informing them of the disability and requesting
accommodation.

KNOWLEDGE SERVICES (KS) RESOURCES

Knowledge Services maintains subscriptions to over 200 databases - many containing full text. If RAND
Knowledge Services does not own the item(s) you need, the item(s) may be requested from another source
through interlibrary loans. Requests can be made through libdoc@rand.org. Course-related and dissertation
materials are provided at NO COST to Pardee RAND students. For OJT related loans, materials can be
requested by providing the appropriate Project/Task number in your request. Regular service fees plus the
cost of the item apply for OJT related requests. All articles and book chapters are delivered electronically to
your RAND email account. Books will be mailed via interoffice mail. Questions? Contact: Sachi Yagyu, x6504
or email: libdoc@rand.org

Additionally, Pardee RAND offers funding for students to purchase books and materials purchase related
specifically to students’ dissertations. The student should work with Knowledge Services to process such
requests for materials.

KS will purchase items (books, book chapters, reports) for students up to a cap of $150 per fiscal year. These
purchases become the student’s property. KS tracks purchases and notifies Pardee RAND if student
expenditure goes over budget. In the event that more funding is required, Pardee RAND administration
reviews the request on a case-by-case basis. If sufficient need is assessed, Pardee RAND will accommodate
the additional budget increase. Students can work with KS to reimburse the School of un-approved
expenditure overages.

UCLA LIBRARY CARDS

Pardee RAND also pays the fee for UCLA Library cards for currently enrolled students. Students may purchase
quarterly library cards and submit their receipt for reimbursement to the Registrar. To obtain a library card,
go to the Front Desk at the Young Research Library and tell them your name and that you are a Pardee RAND
student. Your ID will be required for verification. The librarian will assist you with the online purchasing of
your quarterly library card. You may renew every quarter if you wish. See here for a list of privileges.

10
Keep your receipt for reimbursement. Other questions regarding the use of the UCLA library should be
directed to the Pardee RAND Registrar.

COMPUTING RESOURCES
Students receive copies of program-relevant and course-specific software packages, which are typically
installed on their computers wirelessly. Pardee RAND supplies students with the most current versions of the
software. Students who wish to upgrade or purchase software should fill out a request form and send it to
the Student Financial Services Manager for approval.

RAND’s Information Services department provides a variety of research resources and collaborative tools
which are detailed on the Information Services Intranet page. An introduction to computing at RAND is held
during orientation week.

Students may use RAND’s Analytic Computing Services for dissertation work. Access is authorized in bi-
weekly periods and students should email the Student Financial Services Manager with their requests. This
service may not be used for project work or for classes.

The RAND computing helpdesk, ext. 6000, can answer many general computing questions and help with
connectivity problems.

TUITION, FEES, FINANCIAL SUPPORT, AND RESOURCES

TUITION AND FEES

TUITION AND ENROLLMENT

Students may not enroll in classes, complete dissertation milestones, or engage in OJT unless they have paid
tuition for the term in question, except for summer enrollment, described in the section SUMMER TUITION.
First year students on tuition scholarships are not billed for tuition fees.

TUITION BILLING AND PAYMENT OPTIONS

Tuition rates are set on an annual basis by the School. Pardee RAND strives to keep tuition affordable and has
not raised tuition since academic year 2012-13. However, the School reserves the right to raise tuition in the
future.

Tuition is billed to students at the beginning of the academic year and is payable in two ways:

• In three equal installments, with payment due at the beginning of each academic quarter.
• Through biweekly payroll deduction.

Those paying full tuition will have their payments deducted over the full 26 pay periods of the RAND fiscal
year. Those who have reduced tuition will have their payments deducted over the first 19 pay periods of the
fiscal year, which correspond with the beginning of fall quarter through the end of spring quarter. Students
with reduced tuition may ask to have their tuition deducted over the full 26 pay periods in the fiscal year if
they recognize that if they finish the program before the end of the fiscal year their tuition balance is still due
and payable.

11
Students receive a form from the Student Financial Services Manager at the beginning of each Academic year
asking them to elect a payment option. Students who elect biweekly payroll deduction and wish to have their
tuition deducted over 26 pay periods should note this on the form.

Accounting should be sending monthly statements to students of their tuition balances. During the year,
should questions arise students can request tuition balances from the Student Financial Services Manager.

Students who leave at any time during the year are responsible for the full balance of their tuition due at the
time of their withdrawal. Any balance due is subject to the school’s tuition-refund policy.

NONPAYMENT OF TUITION
If a student does not pay tuition or make formal arrangements for fellowship deductions to cover tuition
before the end of the second week of each academic quarter, he or she will be dropped from the program for
the quarter in question and will be prevented from taking courses for credit in that quarter, performing OJT,
or receiving fellowship payments. For students who are on dissertation status, nonpayment of tuition will be
cause for termination from the program.

Students whose tuition is not paid in full are not eligible to receive grades for courses attended in the current
quarter or to register for courses in a subsequent quarter. Degrees will not be awarded to students whose
tuition is unpaid.

TUITION REDUCTIONS
Tuition reductions are available to students on dissertation status beginning in their third year for a period of
up to nine quarters of enrollment. The Pardee RAND administration reserves the right to deny tuition
reductions to students who are deemed not to be making adequate progress. After three academic years of
reduced tuition, a student must pay increased tuition until the dissertation is completed. For the Academic
year 2020-21 due COVID-19, Pardee RAND is waiving the tuition increase for all continuing students.

TUITION PAYMENT DURING THE DISSERTATION PHASE

Students on dissertation status must be paying tuition at the time they accomplish any major milestone
toward earning their degree. Examples of steps toward completion of the degree include the following:

• Defending the dissertation proposal

• Sending the proposal and the dissertation to an Outside Reader for comments
• Giving the dissertation seminar
• Obtaining final signatures from the dissertation committee

A student may not be engaged in any of these steps of the dissertation process while on leave of absence. All
the above milestones must be completed by the end of the final quarter in which the student is enrolled and
paying tuition.

SUMMER TUITION
Students who pay full tuition for all three academic quarters (fall, winter, and spring) will automatically be
considered enrolled for the summer term in the same academic year and no additional payment is required.

12
Any student who does not enroll (and pay full tuition) in all three academic quarters will not be considered
enrolled in the summer quarter unless that student pays tuition for the summer quarter. Tuition for the
summer quarter will be equal to tuition for one of the academic quarters. If the student has enrolled for
more than two but not quite three full quarters, their summer tuition payment will be equal to the difference
between a full three-quarters of tuition and what they have already paid. Payment of summer tuition will
entitle the student to all the benefits of enrollment, including OJT at RAND, academic credit for outside OJT,
tutorials, office space, laptop computer, and health insurance.

TUITION REFUND/PAYMENT SCHEDULE

If a student withdraws or goes on a leave of absence during the quarter, tuition will be refunded per the
following table. Detailed information may be found in the section WITHDRAWING FROM THE PROGRAM.

Period Percent Refund

First day of class or before 100%
By the end of first week 90%
Second week 80%
Third week 70%
Fourth week 60%
Fifth week 50%
Sixth week 40%
After the sixth week 0%

Tuition is prorated for students enrolling for part of a quarter. The following table shows the schedule of
payment per week of enrollment.

Period Percent Owed

One week 10%
Two weeks 20%
Three weeks 30%
Four weeks 40%
Five weeks 50%
Six weeks 60%
More than six weeks 100%

TUITION SCHOLARSHIPS
Incoming students receive a full tuition scholarship in their first year and partial tuition scholarships in their
second year. Some scholarship funds are available for third year students.

INTERNSHIPS
The Sidney Stern Memorial Trust has provided the Pardee RAND Graduate School with funding to support
external fellowships and internships. The funds are used to support students doing policy analysis for local
non-profit and governmental organizations or pursuing internships at organizations working on policy issues
at the local, state, or federal level. These funds are not available for international internships nor can they be

13
used to support internships at lobbying organizations. Priority will be given to students who demonstrate a
direct linkage to their dissertation, OJT, coursework or future career aspirations. For further information
regarding the program, deadlines and the application process, see Support for External Fellowships and
Internships at the Pardee RAND intranet.

DISSERTATION AWARDS
Pardee RAND has six endowed dissertation awards: the James Q. Wilson Dissertation Fellowship, the John M.
Cazier Dissertation Award in Sustainability, the Anne and James Rothenberg Dissertation Award, the Doris
Dong Dissertation Award, The Charles Wolf Jr Dissertation Fellowship, and the Susan Way-Smith Memorial
Award. Pardee RAND also has other dissertation awards that are given by friends and supporters of Pardee
RAND on an annual basis. All opportunities and the application timeline are announced by the Associate Dean
each year as part of the award competition described in SOURCES OF DISSERTATION FUNDING.

FEDERAL FINANCIAL AID (TITLE IV) FUNDS

All financial aid is dependent on a student’s making satisfactory progress.

Title IV aid through the federal financial aid programs authorized under the Higher Education Act of 1965 (as
amended) include unsubsidized federal Stafford loans and federal Graduate PLUS loans. Title IV funds are
administered on an academic-year basis, and payments to students are typically made at the beginning of
each quarter (fall, winter, and spring) subject to the qualifications outlined in MAINTAINING SATISFACTORY
PROGRESS FOR FINANCIAL AID RECIPIENTS.

First year students receive tuition and a fixed fellowship which covers the Cost of Attendance. As a result,
Pardee RAND students are generally ineligible for federal financial aid in their first year except if they have
extraordinary costs directly associated with enrollment, such as childcare. To apply for federal financial aid,
complete the Financial Aid Request Form and send to the Student Financial Services Manager.

FINANCIAL AID AND THE COST OF ATTENDANCE

The cost of attendance is used to determine the maximum amount of federal financial aid a student is
allowed per academic year. It is determined using a budget that factors the amount of tuition a student pays
plus an average cost of living for the area.* At Pardee RAND, cost of attendance for a single student for the
2020-2021 academic year is reflected in the table below. Actual costs may differ depending on a student’s
circumstances.

Cost of Attendance
Student year Cost of tuition Cost of living Scholarship

1st $26,500.00 $22,352 $48,852 $26,500

2nd $26,500.00 $22,352 $48,852 At least $8650

3rd through 5th $16,500.00 $22,352 $38,852

*Pardee RAND refers to budget averages gathered from the Cost of Attendance Survey administered by the University
of California, Office of the President (UCOP) in determining its Cost of Attendance. The UCLA Cost of Attendance
survey is conducted every three years and results are updated annually based on inflation for non-surveyed years.

14
Students are generally ineligible for financial aid in their first year due to the full tuition scholarship in the
first year. Pardee RAND has limited discretion to allow certain expenses as the basis for increasing the
student’s financial aid allowance. For further information, contact the Student Financial Services Manager, or
check out the Federal Student Aid website.

STAFFORD LOAN
Students who are U.S. citizens or U.S. permanent residents with a Form I-551, I-151, or I-551C (Permanent
Resident Card, Resident Alien Card, or Alien Registration Receipt Card) may apply for a federally guaranteed
Stafford Loan. This is an unsubsidized loan. Loan fees for the 2020-21 academic year are not posted to
studentaid.gov as of the time of print of the student handbook. The online version of the handbook will be
updated as soon as the loan fees have been published.

For loans awarded between July 1, 2019 and July 1, 2020, the interest rate is fixed at 6.08% for the life of the
loan. Fees are 1.062% on or after 10/1/18 and before 10/1/19; and 1.059% on or after 10/1/19 and before
10/1/20.

Students may defer payment on both interest and principle while they are enrolled full-time. The annual limit
for a Stafford loan is $20,500, with a lifetime cap of $138,500.

GRADUATE PLUS LOAN

The Graduate PLUS Loan is a federally backed student loan available to U.S. students only. Students must
apply for their maximum eligibility under the Stafford Loan program before applying for a Graduate PLUS
Loan.

Eligibility for the Graduate PLUS Loan is largely dependent on the borrower's credit rating and history.

The annual interest rate on this loan is currently fixed for the life of the loan at 7.08%. Fees are 4.248% on or
after 10/1/18 and before 10/1/19; and 4.236% on or after 10/1/19 and before 10/1/20. Loan fees for the
2020-21 academic year are not posted to studentaid.gov as of the time of print of the student handbook.
The online version of the handbook will be updated as soon as the loan fees have been published.

The amount a student may borrow is calculated by adding the cost of tuition to a living stipend, which is
referred to as the “cost of attendance.”

EXIT POLICY FOR TITLE IV FUNDS

Students who receive Title IV funds but withdraw, fail, or take a leave of absence from the program will have
funds prorated per the amount of time they were enrolled in that academic payment period. The withdrawal
date is defined as follows:

• The date the student begins the withdrawal process/leave of absence or officially notifies Pardee
RAND of his or her intent, or
• The last date of attendance at a program-related activity by a student who does not notify Pardee
RAND.

Students who are enrolled for more than 60 percent of an academic period (fall, winter, or spring quarter)
are considered to have earned 100 percent of the funds for that period. Unearned Title IV funds are returned
to the appropriate programs in the following order (loan amounts are returned by the student per the terms
of the promissory note):

15
 • Unsubsidized Stafford loan
• Graduate PLUS loan

The Student Financial Services Manager will notify the student of the amount of repayment within 45 days of
determining the student’s withdrawal. Students have 45 days after notification to repay the funds in full or
make satisfactory repayment arrangements with the Department of Education. Payment can be made in full
to Pardee RAND, at which time payment is forwarded to the Department of Education. If no positive action is
taken by the student, eligibility for Title IV funds will be terminated.

Students who change status from full-time to Leave of Absence (LOA) or who graduate must follow the exit
procedures described above. Most students will have a six-month grace period before repayment begins
(dependent on prior loan or consolidation terms). If you have begun making repayments while on LOA and
then return to full-time enrollment, you may complete an In-School Deferment Request.

Students who are unable to meet the OJT requirements to cover their fellowships may be required to pay
tuition from their financial aid checks and reduce their fellowships accordingly.

The School’s TUITION REFUND/PAYMENT SCHEDULE and the Return of Title IV Funds policy are independent
of one another.

VETERANS EDUCATION BENEFITS

Students who are eligible for education benefits from the Veterans Administration should begin by applying
to the VA at http://www.gibill.va.gov. Students should then take their award letter to the Student Financial
Services Manager who will certify attendance. Certification is done on a quarterly basis. Checks from the VA
are sent to Pardee RAND and then disbursed to the student.

STUDENT TRAVEL
The Pardee RAND Graduate School sets aside funding every year to support travel by students. Travel linked
to presenting papers or posters related to their dissertation or OJT research at major academic conferences;
job interviews, or for travel to other RAND offices for dissertation and OJT purposes are covered. Please refer
to these guidelines before making any travel plans. Questions should be addressed to the Program and
Compliance Analyst.

CONFERENCE TRAVEL
The earlier a student submits a request, the more likely it is that funds will be available. Decisions will be
made based on the following criteria:

• Type of participation. Preference is given to presentation of a single-authored paper on a topic

directly related to the student’s dissertation topic.
• Type and quality of conference.
• Availability of support from other RAND divisions.
• Student’s satisfactory progress toward completion of program (See DISSERTATION TASKS AND
TIMELINE)

In cases where a conference provides honoraria or other payment, students must comply with the RAND
Acceptance of Honoraria policy.

16
CAREER SERVICES TRAVEL
A limited amount of funding is available for students to supplement travel costs for interviews.

Requests are handled on a case by case basis. Whenever possible, the organization offering the interview
should pay for the student’s travel.

TRAVEL TO OTHER RAND OFFICES

Funding is available for students to travel to other RAND offices to develop relationships with researchers
related to OJT, and to learn more about RAND clients. These funds may also be used for dissertation
development, though students with dissertation funding may be asked to use those funds instead. To receive
support, students should fill out an OJT/Dissertation Travel Request form.

ACADEMIC PROGRAM
CURRICULUM
The requirements below are applicable to students entering for the 2020-2021 academic year. Students
enrolled in previous years should refer to the Student Handbook for their cohort year regarding curriculum
requirements only. All other policies and protocols discussed in this Handbook are applicable to all students
at Pardee RAND.

REQUIREMENTS FOR STUDENTS ENTERING IN 2020

To receive the Ph.D., students entering in 2020 and later are required to fulfill the following requirements
and adhere to the policies described below. The program requirements are as follows:

• Program course and studio requirements - Students undertake a rigorous interdisciplinary program
curriculum policy analysis, statistics, economics, decision analysis, social and behavioral sciences,
research design, ethics; and integrate their studies through policy design studios. The required
courses and studios are designed to provide students with a broad and solid base from which they
can then begin to tailor their academic experience.
• Stream requirements – Students are admitted to Pardee RAND in a policy engagement stream and
are required to meet their stream’s graduation requirements. The three policy engagement streams
are:
o Research, Analysis, and Design: mastering analytic tools and methods for addressing
complex policy problem
o Community-Partnered Policy and Action: partnering with and working in communities to
effect real and sustainable change
o Technology Applications and Implications: creating technology-focused solutions to policy
problems and understanding the societal implications of changing technology
• Electives – In addition to program and stream course requirements, students must also take 3.5-5
units of electives, depending on stream, for an overall 19.5 unit graduation requirement. To further
their policy analytic skills, students are required to take at least one unit of policy analysis electives.
• Policy Specialization - Students specialize in at least one policy area, such as national security,
health, education, energy and environment, labor and population, economic development, or civil
justice and regulation.

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 • Analytic Concentration (optional) - Students may choose to concentrate their elective coursework in
one of three analytic concentrations: economics, quantitative methods, or social and behavioral
sciences.
• On-the-job Training (OJT) - Outside the classroom, students acquire practical experience as paid
members of RAND research teams.
• Policy-Relevant Dissertation - Students write and defend a proposal and dissertation that combines
analytic rigor and practical utility under the guidance of a committee comprised of RAND faculty and
researchers, and a vetted outside expert.

DISSERTATIONS
Each student shall complete a dissertation. See the section on DISSERTATIONS for a detailed description of
dissertation requirements.

ON-THE-JOB TRAINING (OJT)

All students must complete a minimum of 300 days of on-the-job training to fulfill the academic
requirements for graduation, subject to the policies described in the section ON-THE-JOB TRAINING (OJT)
AND PARDEE RAND ENROLLMENT. The first 200 days of OJT must be completed at RAND; up to 100
subsequent OJT hours may be completed outside of RAND, upon approval by the Associate Dean. Generally,
students exceed 300 days, as after the first year, students must work between 135 and 155 days per year to
retain their full fellowships.

RESEARCH, ANALYSIS AND DESIGN (RAD)

Research, Analysis, and Design courses and activities teach students a diverse set of modeling and analytic
methods, as well as best practices in policy analysis and design. In addition to the program requirements,
RAD stream students have two distribution requirements, electives requirements, and experiential learning
requirements, fulfilled through their elective courses, tutorials, studios, and research projects.

Distribution Requirements

The two distributional requirements discussed below are satisfied through electives or tutorials that students
complete with passing grades. Classes will explicitly indicate in their course descriptions whether they
contribute to satisfying one or both of these requirements, although unit credits cannot be “double counted”
for both distributional requirements.

For courses that do not indicate that they contribute to either distributional requirement, as well as for
tutorials, students may petition via email for the credit from these courses to be counted toward
distributional requirements. This petition requires review and approval by the Assistant Dean for Academic
Affairs and the RAD Stream Lead for course content to satisfy the relevant distributional requirement.

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Modeling Human Systems Distribution (2 units)

Students in the RAD stream develop competencies in modeling human systems by competing at least two full
units in conceptual modeling electives courses, such as:

• Operations Research — dynamic optimization

• Economic Theory — game theory, macroeconomic policy, growth theory, or cost-benefit analysis
• Computational Modeling — agent-based modeling, computational economics, robust decision
making, system dynamics, or simulation
• Qualitative Modeling — gaming, world-building

Operations Research, Understanding Macroeconomic Policy, and Cause-Effect Modeling for Policy Analysis
are offered annually or biennially, and all satisfy one unit of these distributional requirement. Other courses
satisfying this requirement are offered with regularity, with their distributional content indicated in their
course descriptions.

Empirical Analysis Distribution (2 units)

Students develop empirical analysis competencies though at least two units of data collection or analysis
electives courses. These courses may include:

• Econometrics
• Statistics
• Social network analysis
• Machine learning
• Survey analysis
• Comparative historical analysis
• Text analysis

Applied Statistics, a one-unit course offered every Fall Quarter as a follow-up to the required statistics
curriculum and as an introduction to subsequent statistics electives, satisfies one of these Empirical Analysis
Distributional unit requirements, as does the annually offered Data Science course.

Elective Requirements

Students fulfill the remaining 4 units toward their 19.5-unit coursework requirement by choosing among a
variety of electives. These may include traditional courses or tutorials. Elective offerings vary from year to
year depending on student interest and instructor availability. Up to 2 units of this overall 19.5-unit
requirement can be satisfied by tutorials.

Experiential Learning Requirements

There are no additional experiential learning requirements for the RAD Stream separate from the
programmatic requirements. However, RAD Stream students have the option and are encouraged to
participate in inquiry-based studios, which contribute toward their OJT requirements.

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Dissertation Requirements

The dissertation requirements for the RAD Stream coincide with the programmatic dissertation
requirements.

COMMUNITY-PARTNERED POLICY AND ACTION (CPPA) STREAM

The Community-Partnered Policy and Action (CPPA) stream prepares students to work on policy problems in
diverse community settings and with a variety of stakeholders. Building on Pardee RAND’s strong foundation
in policy analysis, students combine rigorous research methods and their understanding of localized context
as they partner with communities to design, implement, and evaluate policies. Students develop and refine
their quantitative and qualitative skills developed in the classroom with extensive field experience gained
through community externships and through their work on research projects at the RAND Corporation.

Course Requirements (4.5 units)

Required courses provide students in the CPPA stream an advanced understanding of how to work in
partnership with communities to address complex, adaptive problems. All CPPA stream students take these
four courses, which total 3.5 of the 4.5 units:

• Engaging Communities in Research (1.0 unit)

• Dissemination and Implementation Research (1.0 unit)
• The Intersectionality of Policy: Race, Ethnicity, Gender, Class and Immigration Status (1.0 unit)
• Current Topics (in the student’s substantive field of concentration) (0.5 unit)

To complete their required 4.5 units, students in this stream also choose from among the following three
courses for an additional 1 unit:

• Policy Making in the State, Regional and Local Environments (0.5 unit)
• Principles of Client-Oriented Policy Analysis (1.0 unit)
• Regional Land Use and Urban Development (0.5 unit)

Elective Requirements (3.5 units)

Students fulfill the remaining 3.5 units toward their 19.5-unit coursework requirement by choosing among a
variety of electives. These may include traditional courses or tutorials. Elective offerings vary from year to
year depending on student interest and instructor availability.

Experiential Learning Requirements - Externships

A key aspect of the CPPA curriculum is student externships. The premise of externships is that place-based
learning and problem solving enables students to understand how to translate research and analysis into
effective action. Further, the externships emphasize that policy development and change must occur in
partnership with communities at all stages of development, from problem identification to policy
development, to policy implementation and evaluation.

Students will participate in at least two community externships. During the externship, students will work in
teams of three or more in the same geographic region, each based with a different community group,
government agency, or non-profit. Prior to the start of externships, Pardee RAND (faculty and students) will

20
work with members of the community to identify local priorities and needs. Students will then be working
with their respective partner organization on the same thematic issue (e.g., homelessness, access to health
care, food insecurity) intended to address identified community priorities.

All Pardee RAND students are eligible to apply for externships, with priority given to CPPA students. The
externships will last for either 5-6 weeks (full time), or 10-12 weeks (part time), with approximately 30 days
of on-the-job training (OJT) support provided to students. CPPA supported OJT will count towards the overall
300 day OJT requirement.

Current externships are available in Sitka, AK and Los Angeles County, CA.

Dissertation Requirements

CPPA stream dissertation committees are required to have two RAND faculty, a community-based member
(with expertise on the community involved in the dissertation), and an external academic member or reader.

TECHNOLOGY APPLICATIONS AND IMPLICATIONS (TECH STREAM)

The Technology Applications and Implications Stream (“Tech Stream”) is designed to blend traditional policy
analysis training with hands-on technology experimentation. This stream seeks to train, and in fact redefine
next-generation policy analysis and action. The Tech Stream combines the same core course and studio
requirements as the other two streams while adding new elements and changing the nature of the
dissertation. The Tech Stream also embraces the cross-cutting themes of ethics, communication, social
justice, and racial equity; experimentation in the stream to directly address or include aspects of one or more
themes is strongly encouraged throughout the curriculum.

Onboarding

The Tech Stream Onboarding process is designed to assess the background of the student along with
exploration of student interests and/or questions about the program. The student will meet with the
Onboarding group during or soon after Bootcamp to discuss possible program trajectories. The conversations
should also address the program themes of ethics, communication, social justice, and racial equity and
explore possible areas of exploration. The group will produce a short document after the meeting
summarizing the conversation and outlining any recommendations.

Course Requirements

• Tech + Narrative Lab Residency (3.0 units)

Tech + Narrative Lab Residency (3 units)

A combination of individual and small group projects in the Tech & Narrative Lab (TNL) will center around a
variety of topics, some rotating each quarter, others having a longer trajectory. The priming content for the
residency will be provided by workshops, which will vary from a few hours to a few days of intensive
exploration of an emerging topic.

The residency includes a documentation aspect in which both the results from the projects, as well as the
processes — acquisition of skills/capabilities, problem framing, experimental methods, and preliminary

21
results — are collected, collated, published, and updated for broader RAND (and possibly public) audiences.
The focus will be on documentation that includes visual language such as video narratives, animation, and
modeling such that students become conversant in a variety of mediums beyond the traditional academic
paper or report.

Cross-cutting themes - Work during the residency will include components that address the program themes
of ethics, communication, racial equity, and social justice. Portfolio artifacts should contain exploration of
these issues relating to the work. Students are encouraged to spend part of the residency work focused
directly on applications of emerging tech in these areas.

The residency periods do not need to be continuous and can be adapted based on student and/or project
needs and other factors.

Elective Requirements

Students fulfill the remaining 5.0 units toward their 19.5-unit coursework requirement by choosing among a
variety of electives. These may include traditional courses or independent study. Elective offerings vary from
year to year depending on student interest and instructor availability.

Experiential Learning Requirements

Covered by TNL Residency, Portfolio, and OJT

Coding (language) requirement

Tech Stream students will have a “programming/code” requirement. This can be fulfilled by coursework
(programming classes) or portfolio item review.

Tech Stream Portfolio

The portfolio is designed to serve as both a vehicle for learning as well as an assessment instrument. Because
the Tech stream has emerging and creative applications of technology for policy at the heart of the program,
it is essential for students to demonstrate their achievement of learning objectives with artifacts — apps,
visualizations, simulations, and so forth — to allow for flexibility, creativity, and innovation.

The Tech stream portfolio requirement follows a phased implementation such that incoming students are
acculturated to the practice of breaking/making artifacts as part of problem exploration and solving. To
facilitate skill acquisition, the portfolio requirement is scaffolded by a mix of traditional classroom
engagements, workshops, hackathons, and other engagements. The portfolio will include at least ten
artifacts, with at least one example from different technology areas. The Tech stream's current technology
areas are the Internet of Things, Artificial Intelligence/Machine Learning, Augmented/Virtual/Mixed Reality,

22
and Digital Gaming. The scoping for the exploration and artifacts is proposed by the student and
reviewed/iterated by the Portfolio Review Committee.

The Portfolio Review Committee is made up from a subset of TNL-associated faculty (e.g. lablet co-leads),
other appropriate RAND researchers, and external tech network members to serve mentoring and review for
student portfolios. This group will work with the student to determine the appropriate number, focus, and
scope of portfolio artifacts, as well as assess the progress and execution of the work. 3-5 members, at least
one external person.

The student will work with the onboarding committee to help formulate the portfolio review committee.
Informal social network to create the larger pool. Committee chosen based on best fit with student area of
interest and should include one or more Lablet co-leads. Regular meetings of committee and student to
review progress. Initial roadmap for student, brief updates identifying any possible issues or suggested
course-corrections after each meeting. The committee should use the Portfolio Evaluation Tool as
appropriate throughout the review process.

Dissertation Requirements

The dissertation for the Technology Stream is intended to satisfy the standard requirements of a dissertation.
Some key goals for the standard dissertation include the demonstrate mastery in the domain of policy
analysis along with the capacity for independent and rigorous research. The dissertation for the Tech Stream
builds upon this through:

• the generation of tech-related original research and artifacts to advance policy analysis through the
development of novel solutions
• creating and demonstrating new tech affordances for addressing policy problems.
• exploring the implications of emerging technology through rapid prototyping

The Tech Stream dissertation works in concert with the portfolio to show depth and breadth of
understanding and action in both policy and technology. The dissertation and portfolio elements together
will contribute to the cross-cutting themes for the PRGS program: ethics, communications, social justice,
racial equity.

23
COURSE INFORMATION AND MATERIALS

COURSE SCHEDULE
Students receive a course schedule several weeks prior to the start of each academic quarter. First year
students are automatically enrolled in required courses by the Registrar. All students register for elective
courses through the Student Information System (Populi) during the designated registration period. The
Registrar enrolls students in Dissertation Research, Tutorials and Independent study.

A minimum of five students is required for an elective course to be offered; otherwise the course is subject to
cancellation or postponement. Auditors do not count toward this minimum number.

COURSE LOAD
A full load is at least three units of courses per quarter plus 65 days of OJT during the first year. During the
second and third years, a full load is two courses, 135-155 days of OJT, and progress toward the dissertation
requirements, as set forth in the section on DISSERTATIONS. First year students are permitted to enroll in
elective courses with express written permission from the Assistant Dean for Academic Affairs, in
concurrence with the Associate Dean, attesting that they are current with their OJT obligations. Students can
make changes to their course schedule (i.e., adding or dropping a course) during the designated add/drop
period through Populi.

TEXTBOOKS
Students purchase textbooks on their own rather than through the School or the RAND Library. The list of
required materials will be communicated by faculty. Some course materials, such as articles, are available
online through the School’s internal website or through the RAND Library’s numerous online database
collections. Other materials needed for courses are available on the School’s reserve shelves in the RAND
Library. Students may check out reserved copies at any time with the assistance of library staff or via the
manual checkout process when staff is unavailable. Instructions regarding the manual checkout process are
posted near the reserves and at the main service counter. Reserve books are available for a four-week loan.
Current course books may only be used within the RAND library.

COURSEWORK
Students entering the program in 2020 must complete at least 19.5 units of coursework, which includes all
core (11.5 units) and selected elective courses. One unit is considered equal to a single 10-week course, with
at least three hours of classroom instruction and six hours of out of class student work.

PROGRAM REQUIRED COURSES AND STUDIOS

The core courses are:

Human Systems

• Social Behavioral Science 1 (1 unit)

• Designing Empirical Research (1 unit)
• Understanding Economic Systems: (2.0 units)
• Social Network Analysis (0.5 units)

Policy Analysis

• Policy Analysis I (1 unit)

• Policymaking in Complex Environments (1 unit)

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 • Tech and Society (0.5 units)

Quantitative Analysis

• Statistics for Policy Analysis I (1 unit)

• Statistics for Policy Analysis II (1 unit)
• Decision Analysis (0.5 units)

Ethics

• Ethics in Policy and Practice (0.5 units)

Policy Design Studios

• Policy Design Studio: Working in Complex Systems (0.5 units)

• Policy Design Studio: Designing Policy Solutions (1 unit)

Optional first year preparatory offerings

• Mathematics for Policy Analysis (1 unit)

• Microeconomics for Policy Analysis (no credit)

EXEMPTIONS
In principle and in practice, students are rarely allowed to exempt core courses. In rare circumstances,
students may petition the Assistant Dean for Academic Affairs to exempt a course. Approval of and
requirements for specific exemptions are determined by the Assistant Dean for Academic Affairs. If granted,
an exempted course counts toward course graduation requirements. Exempted courses do not count
towards the 19.5 unit requirement or appear on student transcripts. Exempted courses appear as waived
courses on the “Student/Degree Audit” tab in Populi.

A complete, up-to-date list of courses appears in the Course Catalog.

ELECTIVES
First year students are not permitted to enroll in elective courses unless they have permission from the
Assistant Dean for Academic Affairs and the concurrence of the Associate Dean attesting that they are
current with their OJT obligations.

Mathematics for Policy Analysis – optional, 1 unit

For students who arrive with only the minimum mathematical preparation (i.e., facility with univariate
calculus and little to no experience with more advanced topics), Pardee RAND offers Mathematics for Policy
Analysis, which begins with a refresher on univariate calculus and then covers topics that will be used in
other courses, including multivariable calculus, foundations of logic, linear algebra, and decision analysis.

Mathematics for Policy Analysis is not required for students who have adequate background in the topics
covered by the course. If taken, Mathematics for Policy Analysis counts toward the courses needed for the
Ph.D. degree.

25
Microeconomics for Policy Analysis – optional, no credit

For students who arrive with minimal or no microeconomics preparation, Pardee RAND offers
Microeconomics for Policy Analysis during the pre-term. This short course covers such topics as
utility/production, motivation, graphs, consumer maximization, first-order conditions, equilibrium, and taxes.
The short course is not required for students who have adequate microeconomics background, and it is
preparatory in nature. It does not count toward the degree requirements.

Policy Analysis Coursework (1 unit--Required)

In addition to the core courses and the electives for the analytic concentrations, students are also required to
take one unit of approved Policy Analysis elective coursework towards their required units.

Analytical Concentration Courses (3 units)

The analytic concentration is optional. Those students who choose to do an analytic concentration must take
at least three units of approved elective courses from one of the following three analytic concentrations:

• Economic Analysis
• Quantitative Methods
• Social and Behavioral Science

Students who choose to complete an analytic concentration should notify the Assistant Dean for Academic
Affairs and the Registrar in writing early in their second year. Changes in an analytic concentration, once
declared, must also be made in writing and sent to the Assistant Dean for Academic Affairs and the Registrar.

Because some electives cover multiple analytic concentrations, students may elect to complete two analytic
concentrations with approval from the Assistant Dean of Academic Affairs. Courses approved for multiple
concentrations may count toward the three-unit requirement for both analytic concentrations. Students may
petition the Assistant Dean for Academic Affairs to have additional elective courses counted toward their
analytic concentration (e.g., a relevant course taken at UCLA, USC, or Pepperdine).

AUDITING ELECTIVE COURSES

Pardee RAND students, RAND staff members, RAND military fellows, and qualified visitors may audit elective
courses with the approval of the professor. RAND staff and military fellows may take courses without paying
additional fees. Qualified non-RAND visitors must pay a fee of $1,000 for a 1-unit course, and $500 for a 0.5-
unit course. The following rules apply to those wishing to audit an elective course.

Pardee RAND administration works with each faculty member to determine:

A. the maximum number of students they will allow to enroll in their class;
B. the maximum number auditors;
C. Requirements for auditing; and
D. any pre-requisites for the course.

Auditors must seek approval to take the course from the instructor.

Upon receiving approval, staff and visitors must email the Registrar with:

A. the instructor’s approval; and

B. attach transcripts as needed for courses with a pre-requisite.

26
Auditors can enroll up to the cap in each class. In cases where the course is oversubscribed, for-credit
enrollees take precedence over auditors. Among potential auditors, priority is given to Pardee RAND
students. Among Pardee RAND students, priority will be given to those who have more seniority.

At a minimum, auditors are expected to attend all classes and to have read all the material beforehand, so
they can participate in class discussions. The Instructor(s) can also decide if they want to impose additional
requirements on auditors.

The Instructor(s) will report to the Registrar whether auditors have fulfilled the auditing requirements or not.
Audited courses will appear on student transcripts.

Please note: Students can take up to 2 credits worth of electives or tutorials for pass/fail rather than for a
grade. This policy is intended to allow students to explore more subject matter in a lower-stake format. We
strongly encourage students to use the pass/fail option before considering auditing a course. Pass / Fail
grades are not factored into the GPA.

Auditors are reminded that they are attending as guests and should behave accordingly. Most students are
taking the course for credit. Auditors are expected to come prepared to fully participate but refrain from
dominating the discussions at the expense of those who are taking the course for credit.

COURSE REGISTRATION
Prior to each quarter, students must register for the courses in which they intend to enroll. The specific
registration period and process will be communicated by the Registrar prior to the start of each quarter. Any
changes to a student’s course load (i.e., adding or dropping courses) will be permitted one week after the
start of classes during the “add/drop” period.

Students may take up to two total units of tutorials and electives and earn a pass/fail grade. If a student
elects to take any classes as pass/fail, an email must be sent to the Registrar before the end of the add/drop
period. The letter grade submitted by the instructor at the end of the quarter will be converted to a pass/fail
grade. Pass/fail grades are not factored into a student’s overall GPA.

CLASS ATTENDANCE
Students are expected to attend all class sessions. If you are unable to attend a class session due to personal
reasons or travel, you must notify the Instructor, cc’ing the Registrar.

OFFSITE CLASS ATTENDANCE

If you who are unable to attend class sessions in person and wish to attend class remotely, you must first
obtain permission from the course instructor and then notify the Registrar at least two business days prior to
the class session. Offsite students attend class in one of two ways:

• All classes have a MS Team set up to facilitate attendance by offsite students.

• Pardee RAND also has a BeamPro remote presence device, affectionately called the “bot”, available
for use in the Pardee RAND environment. Under certain circumstances, students may use it for
remote classroom attendance. Per RAND policy, the device is available only for use within the U.S.; it
may not be used to link to international locations. For the policies governing usage of the device, see
“Using ‘the bot’” on the Policies page of the Pardee RAND intranet.

27
QUALIFYING EXAMINATIONS
Each eligible student must take the qualifying examinations covering all first-year content at the end of their
first year of program enrollment and completion of the first-year curriculum.

The examinations are designed and administered by the Qualifying Examinations Committee (see
QUALIFYING EXAMINATION COMMITTEE), which is convened annually by the Assistant Dean of Academic
Affairs. The exams are designed to be completed within four hours and are scheduled for eight hours
(typically 9:00 a.m. until 5:00 p.m.) The Committee develops the written examinations and obtains
suggestions for questions from other faculty members, particularly those who taught the first-year courses.
The proposed qualifying examinations are tested by a select group of upper-year students. Outside experts
may also be consulted. The exact form of the written examination is determined by the Committee at its sole
discretion.

SCHEDULE AND PREPARATION FOR QUALIFYING EXAMS

Qualifying exams are scheduled in early July typically beginning the first Friday after the Independence Day
holiday in July and continuing through the following Monday, Wednesday and Friday. The first three exam
days are required for all students; after which the Qualifying Exam Committee meets to determine which, if
any, students are required to take the Oral Exam. Students taking the Oral Exam typically do so on the second
Friday of the Qualifying Exam period Students will be notified of the exact schedule of exams and orals each
year.

Examinations from previous years are available for review on the Student Organization TeamSpace site. All
information the committee wishes to convey will be communicated in a written memorandum or in a
meeting convened for all students in advance of the qualifying examinations. Students may not consult the
members of the committee for information beyond what is presented by the committee in the written
memorandum or all-student meeting.

Students are encouraged to secure RAND conference rooms early in the spring quarter if they would like to
take examinations in an area at RAND other than their assigned cubicle. Conference rooms with a seating
capacity of five or less may be reserved for examinations. Students are not permitted to reserve video
conference rooms or any rooms that are typically in high demand. Students are not allowed to share
conference rooms during exams.

Once the exams are in progress, examinees are not permitted to communicate with anyone (one another,
other students, or faculty/staff) about the questions and underlying subjects, except to ask clarifying
questions submitted to the Qualifying Exam Committee via email. Any answers to questions will be shared
with all those taking the examination.

Students are identified by an assigned number during the examination process, so that their identities are
not known to evaluators until after all written answers are evaluated.

The overall results of the qualifying examinations are then determined by the committee after both the
written and oral examinations are completed. All students are notified of their status (pass with distinction,
pass, or fail) in writing by the Registrar.

FIRST-YEAR REVIEW
The First-Year Review Committee is made up of the Dean, approximately three to four first year faculty
selected by the Dean, the Associate Dean, the Assistant Dean for Academic Affairs, the Stream Leads, and the
Registrar. The Committee convenes annually to assess each first-year student’s progress to date after the

28
qualifying exam process concludes. All students are required to provide the committee with a self-
assessment reflecting on their performance in specified areas, including coursework, the Qualifying
Examinations, and OJT. Written feedback from the committee is provided for each student, including
feedback on performance in coursework, qualifying examinations, and OJT during the first year.

Based on the overall assessment, each student is informed of one of the following outcomes:

A. passed the first-year review and may proceed with the program;
B. passed the first-year review with specific qualifications or conditions (e.g., requirements to enroll in
a specific course to address an area of weakness, accelerate involvement in OJT, or retake one or
more portions of the qualifying examinations);
C. did not pass the first-year review and has been advised to take steps to exit the program after the
second year, presumably with the M.Phil. (if those requirements are met); or
D. did not pass the first-year review and has been advised to exit the program immediately.

A student falling into Category B above will be assessed again by the First-Year Review Committee at the end
of their second year to determine if the student has passed all the requirements and conditions and whether
they may proceed with the program.

SECOND-YEAR REVIEW
A Second-Year Review is conducted in the summer of students’ second year to assess each student’s
academic standing. The Second-Year Review Committee is made up of the Dean and approximately three to
four faculty selected by the Dean (typically leaders of the dissertation workshops), the Associate Dean, the
Assistant Dean for Academic Affairs, and the Registrar. The Committee for the 2020-2021 cohort will also
include the Stream Leads. The Committee convenes annually to assess each second-year student’s progress
to date. All students are required to provide the committee with a self-assessment reflecting on their
performance in specified areas, including coursework, the dissertation progress, and OJT. Written feedback
from the committee is provided for each student, including feedback on performance in coursework,
dissertations, and OJT during the second year.

Based on the overall assessment, each student shall be informed of one of the following outcomes:

A. passed the second-year review and may proceed with the program;
B. passed the second-year review with specific qualifications or conditions (e.g., demonstrated progress
in dissertation, accelerate involvement in OJT, etc.);
C. did not pass the second-year review and has been advised to take steps to exit the program after the
third year, presumably with the M.Phil. (if those requirements are met); or
D. did not pass the second-year review and has been advised to exit the program immediately.

PERIODIC REVIEW
After the second year, student progress is monitored on an ongoing basis by the Registrar and the Deans.
Students who exhibit signs of stalled progress may be asked to provide self-assessments on their
performance in specified areas including coursework, dissertation progress and OJT. Feedback may also be
sought from their professors, committee and OJT supervisors.

The goal of these reviews is to assist students in completing the program by identifying any gaps in
preparation for their dissertation and their future career.

29
POLICY AREA SPECIALIZATION
Each student is required to complete a Policy Area Specialization, typically in an area in which RAND has
substantial expertise and active research. The policy area chosen should be directly related to the student’s
dissertation. At a minimum, those areas include defense and national security, health, education, civil
justice, regulation, labor and population, energy and environment, science and technology, and economic
development. There is flexibility in the precise wording of these specializations on a student-by-student basis
(e.g., public health or healthcare versus “health”). A student may petition the Dean for permission to
undertake a specialization in an area other than those mentioned above.

To complete the required Policy Area Specialization process, a student must complete each of the following:

• at least 50 days of OJT directly related to the chosen area of policy specialization; and
• an Independent Study with a specialist (faculty member, RAND researcher, or outside expert)
covering in depth a topic in the chosen area of policy specialization, and

Once these steps are completed, a Policy Specialization Checklist Form should be completed, signed, and
submitted to the Assistant Dean for Academic Affairs for approval.

INDEPENDENT STUDY
As preparation for their dissertation, students are required to complete one Independent Study with a
specialist covering a topic or topics in their chosen area of policy specialization. Each student must propose
an individual Independent Study and coordinate with an authorized supervisor to oversee the proposed
work. The student may choose a Pardee RAND faculty member, a RAND researcher, or a specialist outside of
RAND to supervise the Independent Study. The Independent Study should be used by students to buttress
their knowledge of their chosen area of policy specialization and to move toward completion of their
dissertation. It is appropriate to use the Independent Study as the basis for the literature review or
background section of the dissertation. For this reason, students are encouraged to select potential
dissertation committee members to supervise their study. The Independent Study is an integral part of a
student’s dissertation and does not count toward the graduation requirement of 19.5 units of coursework.

TUTORIALS
Tutorials are an additional learning opportunity based on an approved arrangement between individual
students and Pardee RAND faculty members or qualified members of the RAND staff. Unlike the Independent
Study, which is limited to one student and designed specifically around that student’s dissertation, more than
one student may participate in the same tutorial. Tutorials cover scholarly or theoretical literature, explore
analytical tools, or engage in comparisons across place or time.

Tutorials are designed to enable students to:

• pursue advanced study beyond that which is offered in our courses and workshops;
• enhance scholarly or theoretical dimensions of their dissertations; and/or
• draw on the rich set of intellectual and analytic resources at RAND beyond those covered in the
courses and workshops.

Courses at other universities, or in some cases, online courses, are eligible to be counted as tutorials with
permission from the Assistant Dean for Academic Affairs.

Tutorials may be designed as either a full (1.0) or a half (0.5) unit of credit. Only one tutorial (regardless of
credit) may be taken per quarter. No more than two units of tutorials may be counted toward the doctoral

30
degree requirement. Tutorials may count towards an analytic concentration with approval of the Assistant
Dean for Academic Affairs. Tutorials may be taken for a grade or pass/fail. However, there can be no more
than two credits worth of pass/fail combined between tutorials and electives in a student’s program.
Pass/fail grades are not factored into a student’s overall GPA. Students who wish to take a Tutorial on a
pass/fail basis should indicate this in their Tutorial proposal. The grading proposal must state clearly the
criteria used to earn a grade of Pass

PROPOSAL FOR INDEPENDENT STUDY OR TUTORIAL

Developing Independent Study projects or Tutorials and proposing them to faculty members for supervision
is the responsibility of the student. However, for Independent Studies when the supervisor is chosen because
he or she has substantive knowledge of the policy area in which the student plans to conduct their
dissertation, students may consult the supervisor on the list of books and articles that should be included in
the course. Once the student and faculty supervisor have reached an agreement, a jointly signed proposal
describing the study should be sent to the Assistant Dean for Academic Affairs for approval. The proposal
must contain:

• a brief outline of the purpose and relevance of study,

• the plan for conducting the study (as appropriate),
• the proposed reading list,
• a schedule of meetings including proposed agendas,
• a precise date for completion,
• description of the final deliverable, and
• a grading preference (pass/fail or letter grade).

Independent Studies are pass/fail. Tutorials can be pass/fail or taken for a grade.

Projects may not begin prior to approval of the proposal by the Assistant Dean for Academic Affairs.

Once the project is approved, the Assistant Dean for Academic Affairs will forward a copy to the Registrar.

PROGRESS AND EVALUATION OF INDEPENDENT STUDY

The Independent Study or Tutorial supervisor’s responsibilities include adhering to a regular schedule of
meetings, supervising progress, and evaluating both progress and the final deliverable. The study’s product
usually takes the form of a paper or a completed model (demonstrating mastery of an analytical tool) as the
basis for evaluation.

FACULTY PAYMENT FOR INDEPENDENT STUDY

Upon submission of the final grade to the Registrar, Independent Study/Tutorial supervisors will be provided
a small honorarium as compensation for his or her role. The current honorarium is $500 for a half-unit
tutorial and $1,000 for a full-unit tutorial or Independent Study.

Faculty may be compensated an additional amount for Tutorials with more than one student, but the total
compensation cannot exceed that paid for a regular elective course. The current honorarium for each
additional student is $250 for a half-unit Tutorial and $500 for a full-unit Tutorial or Independent Study.

31
COURSES TAKEN AT OTHER SCHOOLS
With approval from the Assistant Dean for Academic Affairs, students may receive credit for graduate- level
courses taken concurrently at other universities. Courses considered for credit must be germane to a
doctoral degree in Policy Analysis and cover material not included in the Pardee RAND curriculum.

Approved non-Pardee RAND courses are recorded as either graded or pass/fail Tutorials on a student’s
academic transcript. Typically, a four-unit, quarter-long course counts as a one-credit course and a three-unit,
quarter-long course counts as a half-credit course.

TUITION-FREE ACADEMIC PARTNERSHIPS

Pardee RAND partners with the UCLA Luskin School of Public Affairs and with Southwestern Law School
whereby eligible Pardee RAND students may take courses at no additional cost. At all other universities,
students are responsible for all costs related to taking approved courses. Please consult the Pardee RAND
Registrar for details on how to enroll.

RAND STAFF, RAND MILITARY FELLOWS AND QUALIFIED VISITORS ENROLLING FOR
CREDIT
RAND staff, military fellows, and qualified visitors may also enroll in elective courses for graduate credit. In all
instances, prior approval from the instructor is required. If the elective has a prerequisite, a transcript is
required. Once approval has been obtained, the prospective student should send an email including the
instructor approval and, if the course has a pre-requisite a copy of the transcript, to the Registrar. Once
approval is obtained, qualified staff and visitors complete registration. All individuals enrolled in a course for
credit have priority over all auditors.

Payment of $1,000 per 1-unit course is required for qualified visitors, and $500 for a 0.5-unit course. There is
no charge for RAND staff and military fellows.

REVIEW OF PROGRESS

WHAT GRADES MEAN

Grades at the School are interpreted as follows:

A Mastery of the material at a distinguished level

A– Excellent performance with minimal weaknesses
B+ Competent performance
B Passing grade that connotes only a satisfactory level of performance
B– Passing grade considered weak performance for a doctoral student
C+ Lowest passing grade, conveying minimal understanding of course content
C Failing grade; course credit is not earned

32
Grades are not allocated according to a “curve.” Students who receive a grade of C in a course will not
receive credit for that course toward their degree. A C grade in a core course requires a student to re-take
and pass the course. A grade of C or below in a course is superseded by a higher grade if obtained when the
course is taken a second time. A grade of incomplete must be made up by the end of the quarter
immediately following the quarter in which it was received, or the student does not receive credit for it and
the “incomplete” will remain on the transcript. A course that is dropped during the add/drop period does not
appear on the transcript. Courses that are dropped after the add/drop period will appear on the transcript as
withdrawn.

TAKING COURSES “PASS/FAIL”

The School permits students to take a small portion of their elective coursework on a pass/fail basis. This
exception to normal grading policy is designed to provide students who are successfully meeting program
requirements with additional flexibility as they balance their effort between coursework, dissertation, and
project work.

To be eligible to take courses on a pass/fail basis, a student must have successfully passed qualifying
examinations.

Students may register for up to two units of elective courses (including Tutorials) on a pass/fail basis.

Elective Courses

Students who register for a course on a pass/fail basis must meet all course requirements (reports, papers,
examinations, attendance, etc.) and are graded in the manner specified in the course syllabus.

Instructors are not informed of students who enroll in classes on a pass/fail basis. After the instructor
submits final grades, the Registrar assigns a grade of pass or fail as follows: Any grade of C+ or above is
recorded as a Pass (P), while a Fail (F) is recorded if a student receives a grade of C in the class.

Pass grades are not counted in the grade point average. Fail grades are counted in the grade point average.

Students have until the end of the second week of a course to take the class pass/fail. This notification
consists of an email to the Registrar stating that they want to be graded on a pass/fail basis.

Tutorials

Students who wish to take a Tutorial on a pass/fail basis should indicate this in their Tutorial proposal. The
grading proposal must state clearly the criteria used to earn a grade of Pass

ACADEMIC STANDING
Academic standing is judged in terms of grades, OJT performance and progress toward completing the
dissertation. A student in good standing maintains at least a B average in completed coursework. A grade of C
or below in a course is superseded by a higher grade if obtained when the course is taken a second time.

A student whose grades fall below a B average and/or is deemed to not be making adequate progress toward
the degree (at the Dean’s discretion) is subject to dismissal from the program at any time, regardless of years
completed.

Students who fail to meet their academic OJT requirements or consistently perform below expectations may
be subject to dismissal from the program at any time, regardless of years completed.

33
SATISFACTORY PROGRESS TOWARD DISSERTATION COMPLETION
Students are expected to complete their dissertations by the end of their fifth year. Students who do not
meet this deadline will be asked by the Assistant Dean for Academic Affairs to provide a written statement
approved by their Committee Chair including a timeline which lays out their plan for completion and clarifies
any obstacles they are facing and how they will surmount them. This statement and timeline will be
evaluated by the Assistant Dean and the Associate Dean who may ask for amendments to the
timeline. Students may be approved to proceed, at that point, or asked to meet with the Dean for further
discussion about their continued status in the program.

Students who fail to abide by the agreed upon timeline may be asked to take a leave of absence or withdraw
from the program.

MAINTAINING SATISFACTORY PROGRESS FOR FINANCIAL AID RECIPIENTS

Students receiving federal financial aid in the form of Title IV funds must be in good academic standing and
making progress toward completion of their degrees. The standards for satisfactory progress are detailed in
the handbook in the sections ACADEMIC STANDING and SATISFACTORY PROGRESS TOWARD DISSERTATION
COMPLETION. Any student whose financial aid is in jeopardy due to a failure to make satisfactory progress
may petition the Assistant Dean for Academic Affairs by submitting a report of extenuating circumstances.
Final evaluation of sufficient progress will be made by the Dean, in consultation with the Associate Dean and
Assistant Dean for Academic Affairs. Students failing to make satisfactory academic progress may lose their
eligibility for financial aid, which includes the return of previously issued funds.

For students enrolled in core classes, financial aid checks will be released when grades for the previous
quarter have been received (for the winter and spring quarters). For students beyond the first year, financial
aid checks will be released each quarter after confirmation of satisfactory progress from the Associate Dean
and Assistant Dean for Academic Affairs.

THE MASTER OF PHILOSOPHY (M.PHIL) DEGREE

The degree of M.Phil. in Policy Analysis will be awarded to all candidates who have passed all required
qualifying examinations and who have also fulfilled the following requirements:

• completion of at least 15 units of quarter-length courses with grades of C+ or higher, including all the
core curriculum;
• completion of at least 200 days of OJT at RAND; and
• payment of tuition and fees for two full academic years
• for students departing the program the masters degree will be conveyed if they have met the above
requirements and satisfied all other outstanding debts to RAND and the School.

M.PHIL. diplomas are issued to all eligible students during the summer and winter quarters and can be
requested by students once all requirements have been completed. The diploma will be dated the last day of
the quarter in which the requirements were fulfilled.

34
ORDERING OFFICIAL TRANSCRIPTS
To order official transcripts students must email the Registrar a request that will be processed within two
business days. The request should include where the transcript is to be sent. Students may print their own
unofficial transcripts directly from Populi.

LEAVES OF ABSENCE
A student may take an approved Leave of Absence (LOA) provided that the Dean determines that the leave of
absence is for appropriate reasons and that the student is committed to completing their dissertation. While
on an approved leave, the student transitions to non-tuition payment status. Pardee RAND also provides Sick
Leave, Family and Medical Leave, Parental Leave, and Military Leave. See the sections SICK LEAVE POLICY,
PARDEE RAND FAMILY AND MEDICAL LEAVES POLICY, Pardee RAND’s Parental Leave Policy and MILITARY
LEAVE for descriptions of the policies governing those leaves.

The following privileges and services are suspended for students on LOA status:

• RAND office space

• Use of a RAND laptop computer
• Phone and other RAND facilities and services, including computing support,
• RAND/UCLA library privileges,
• Health insurance (except COBRA),
• OJT or consulting at RAND,
• Credit for outside OJT,
• Credit for coursework taken during the period of LOA (including courses, tutorials, or courses taken
outside Pardee RAND),
• Presentation of dissertation seminars,
• Pardee RAND student identification card,
• RAND access card, and
• RAND parking lot access tag.

Students with tuition and/or OJT debt are required to sign a Promissory Note for the repayment of their debt
at the start of their leave of absence and are expected to make regular payments on that debt as a condition
of their approved leave.

Students moving to Leave of Absence status must complete the same Exit Checklist as required of graduating
students before formally leaving the program.

Students may be on LOA for up to three years. At any time during this period, the student can resume active
status unconditionally.

After three years on LOA status, students are automatically converted to “withdrawn” status. Those who are
on withdrawn status must petition the Dean to resume active status. Upon resuming active status, tuition
must be paid at the current rate. Students with eligibility for reduced tuition (up to 9 quarters) may pay
reduced tuition for the number of quarters for which they remain eligible.

Students enrolled for 5 years or more (15 quarters) in the program will pay the current rate for students.

NOTE: Prior to going on leave, students receiving donor funding of any kind must contact the Pardee RAND
Development staff to establish a strategy to keep their funders informed of their progress in the program.

35
LEAVES OF ABSENCE FOR INTERNATIONAL STUDENTS
International students’ eligibility for LOA is subject to current applicable U.S. government regulations. F-1 visa
holders cannot stay in the United States while on LOA. An absence from the United States of more than five
months results in automatic termination of the student’s status by the United States Customs and
Immigration Service (USCIS). If a student’s visa is suspended, the student must obtain a new I-20 from Pardee
RAND and re-enter the U.S. with a new program start and finish date.

LEAVES OF ABSENCE AND FINANCIAL AID

Students who have received financial aid, either prior to joining Pardee RAND or during their enrollment at
the school, should be aware of the impact a leave of absence will have on their loan repayment obligations.

Stafford loans and some other federally-backed loans have a six-month grace period before repayment is
required. This grace period begins on the first day of a leave of absence. However, interest will continue to
accrue during the grace period. In the case of subsidized Stafford loans, interest will continue to be paid by
the federal government.

Grad Plus loans have no grace period and repayment obligations begin immediately with the start of a leave
of absence.

Consolidated loans Have a two-month grace period. However, students with consolidated loans should
check on their particular loan terms.

All students with outstanding financial aid obligations should meet with the Student Financial Services
Manager prior to the start of their leave to confirm their repayment obligations. Further information can be
found at: https://studentaid.ed.gov.

LOCATION MOVES
Pardee RAND is a Santa Monica-based residence program and all students are assigned office space in the
Santa Monica building. Pardee RAND Administration will consider requests to relocate to another RAND
office if the following criteria are met:

• Qualifying exams have been passed,

• All required coursework has been completed, or a plan for completing the coursework remotely has
been formulated,
• All dissertation committee members have been named, and
• At least one dissertation committee member is located in the new location.

Students considering location moves need to be aware that not all RAND locations are served by the student
health plan, which is HMO-based. If you relocate to RAND location that is not served by a RAND-contracted
HMO, you must obtain your own health insurance policy. (Currently, Boston and SF do not have HMO
coverage.) The School will reimburse you monthly up to the amount the School would pay for HMO coverage
in Santa Monica. Students are required to submit monthly bills for reimbursement.

Once these criteria are met, the student may petition to relocate to another RAND office by emailing the
Associate Dean and the Assistant Dean for Academic Affairs, addressing the following issues:

• How the move will affect the student’s OJT,

• How the move will affect the student’s dissertation progress,

36
 • How the move will affect the student’s ability to complete any outstanding classes or other academic
requirements, and
• Whether there are any personal or professional reasons necessitating the move.

If the move is approved, the student contacts the Registrar, who then requests formal approval from RAND
and initiates the process of obtaining space in the news office. The School cannot guarantee that space will
always be available at the time the student wishes to move.

A relocation request may be turned down if the move may adversely affect the student's timely completion
of their dissertation or the student's ability to find sufficient and appropriate OJT. Students should not plan
their move before requesting and receiving approval, as they run a substantial risk of having to return to
Santa Monica if their request is denied.

ENROLLED BUT LIVING OUT OF THE AREA OF A RAND OFFICE

Personal circumstances may require that a student remain enrolled but reside out of the area of a RAND
office facility. This arrangement is discouraged, but it is allowed, provided the student follows the procedure
outlined above. Students are required to obtain permission prior to their relocation by submitting the
information above to the Assistant Dean for Academic Affairs and the Associate Dean. Students must obtain
health insurance prior to their move and submit evidence of this to the Registrar to ensure continuous
coverage (see details below and at the section HEALTH INSURANCE).

Benefits and services not available to students on this status are as follows:

• Library privileges: The number of books that may be taken offsite is subject to RAND library rules.
Books must be returned when recalled by the library, at the student’s expense.
• Office space at RAND: The student may use a visitor space when visiting one of RAND’s offices.
• RAND Health Insurance: If a student relocates to an area not served by a RAND- contracted HMO
organization, the student will not be eligible for RAND provided health insurance. However, the
requirement to maintain health insurance while enrolled remains. Students must obtain their own
health insurance policies. The School will reimburse them monthly up to the amount the School
would pay for HMO coverage in Santa Monica. Students are required to submit monthly bills for
reimbursement.

NOTE: Prior to relocating, students receiving donor funding of any kind must contact the Pardee RAND
Development Staff to establish a strategy to keep their funders informed regarding their progress in the
program.

37
ON-THE-JOB TRAINING (OJT) AND PARDEE RAND ENROLLMENT

THE CONCEPT OF OJT

One of the most distinctive aspects of the Ph.D. program in policy analysis at Pardee RAND is the opportunity
for students to work at RAND on client-oriented RAND research projects. Through OJT, students enter a
community of practice, gaining professional skills and knowledge that course work alone cannot convey.
Students sharpen their analytic skills, confront messy data sets, learn about team effort, and experience the
thrill and agony of searching for rewarding OJT. Through project work, they learn how to work for supervisors
with different professional styles, participate in the writing and editing of RAND reports, gain an
understanding of the interests and constraints facing government policymakers, and garner invaluable insight
into the challenges faced by senior RAND researchers and the clients and policymakers whom RAND serves.
No university environment offers students this exposure to real-world policy research at the same time they
are learning new skills in the classroom.

The complete and updated version of the On-the-Job Training Guidebook can be found at the Pardee RAND
intranet.

Most opportunities for OJT arise through ongoing RAND research. Students can join teams of RAND
researchers, initially in support roles and later, as their skills develop, in roles of increasing responsibility and
independence. At any time at RAND, more than 500 research projects are under way that students may apply
to join. Except for those projects that require security clearances or have other special requirements, these
opportunities offer the potential to match students' interests and skills with meaningful policy research. The
introduction of the Tech and Narrative Lab and Community Externships provides additional opportunities.

Most students work on a variety of projects during their time at RAND, giving them exposure to a range of
policy areas, research methods, colleagues, and clients. By the time they graduate, students accumulate the
equivalent of at least two years of job experience in policy analysis and policy consulting in addition to their
Ph.D. degrees. Ideally, OJT also provides an important part of the foundation for the dissertation required of
all graduating students.

During their tenure at Pardee RAND, students find that their value to RAND through OJT increases steadily
with time. In their first year, and even early in their second year, the search for OJT may be arduous. Some
students experience stress about whether they will meet their OJT requirements.

However, as the skills of students increase and their visibility and standing throughout RAND progresses, they
find themselves fielding more OJT opportunities then they feel they can handle. This may create a new level
of stress. The capacity to graciously say "no" to less-value added OJT opportunities is just as important as the
enterprising skill of generating OJT.

Perhaps the biggest challenge that students face is finding a way to link OJT with fulfillment of the
dissertation requirement. Although there are many factors that influence the quality of dissertations, finding
OJT that contributes to a student’s skill sets, knowledge, and access to experts in the field is obviously an
optimal strategy. However, even if a dissertation cannot be fully funded through RAND OJT, the School
encourages students to look for opportunities to tie aspects of their dissertations to RAND research projects.

Students are responsible for building their own internal network and pursuing opportunities on teams of
RAND researchers. While staff, experienced students, and the student-run OJT Brokerage (see the section OJT
BROKERS) can offer guidance and support, it is up to each individual student to secure ongoing OJT coverage
while enrolled to meet the academic requirement of 300 days and to fund their fellowships.

38
OJT AS AN ACADEMIC REQUIREMENT
A requirement for the Ph.D. is successful completion of at least 300 days of OJT. One “day” of OJT consists of
eight hours of work billed to a project-task number (PTN). Per-student OJT requirements can exceed 300
days, depending on individual fellowships. 200 days of OJT must be completed internally at RAND to receive
the MPhil. Additional OJT may be completed outside of RAND, with the approval of the Associate Dean.
Outside OJT completed before the 200-day requirement of internal OJT for the MPhil can be counted
towards the overall 300-day requirement. Students should signal their intention to use outside project work
towards the 300-day requirement at the time they receive approval from the Associate Dean; regardless of
whether the project occurs before or after the completion of the 200 days of internal OJT needed for the
M.Phil.

Students in the Community-Partnered Stream and Tech Stream have stream-specific OJT requirements and
should refer to the requirements for their streams.

Students are expected to balance academic work and OJT requirements, giving priority to the former.

Students are required to complete all assignments on time and attend classes as required by the instructor.
Students should inform their OJT supervisors if their class schedules conflict with project meetings or
deadlines and request accommodation in a timely manner.

Students on or approaching dissertation status are encouraged to seek out dissertation support provided by
Pardee RAND and RAND business divisions that are made available during each academic year. These
fellowships qualify as OJT. RAND’s FFRDCs do not provide direct dissertation support, but students may apply
for research support funds through a process announced annually.

Failure to progress with OJT in accordance with the degree requirements can result in unsatisfactory standing
within the program and ultimately in dismissal.

RELATIONSHIP OF OJT TO THE PARDEE RAND FELLOWSHIP

The fellowship provided by Pardee RAND is unique and highly valuable. If used as intended, it allows students
to earn both tuition and a living stipend by working a minimal amount in their first year (60 to 65 days)
depending upon the year they start and about two thirds time (135 to 155 days compared with the RAND
fulltime equivalent of 226 days each year) in all subsequent years. While some serious effort is required, for
those students who put in the effort to find and complete the work it is possible to graduate from the
program without debt.

The fellowship is not a grant. It comes with a work requirement. Students must meet their work requirement
to continue to receive their fellowships.

FUNCTION OF THE FELLOWSHIP

The fellowship functions as follows:

• In the first year of the program, students are paid a fellowship equivalent to 65 days and their work
requirement is 65 days.
• In year two, students are required to work 135 days to earn their full fellowships.

In subsequent years, students are required to work between 135 and 155 days to earn their full taxable
fellowship.

39
If a student does not work the minimum number of OJT days in any academic year set forth above, the
fellowship can be reduced accordingly. (Note: because OJT is cumulative, a student can work more in one
year and less in another if cumulative requirements are kept current.) Any debt incurred through failure to
meet OJT obligations in any given year remains the student’s responsibility and must be repaid to the School
either through work during the program or through cash payments. This repayment obligation continues
even after a student leaves the program. Students who depart the program for any reason will be asked to
sign a Promissory Note laying out the repayment plan for their outstanding debt at the time of departure.

Because academic debt can cause a significant burden upon graduating and can limit a student’s career
options, making it difficult to pursue public service or academic careers, Pardee RAND encourages all
students to strive to keep current on their OJT so that they do not accumulate debt to the School. We provide
assistance to those who struggle. But for those who consistently fall short of their obligations, we have
instituted the following procedures.

POLICIES GOVERNING STUDENT FELLOWSHIPS

Beginning in the second year, to receive a full fellowship a student is required to work 135 to 155 days. (Note:
if a student worked more than the required number of days (65) in his or her first year, the requirement in
the second year will be reduced by the amount of that additional work. The cumulative target by the end of
the second year is currently 200 days.) If a student is unable to work this amount, for whatever reason, he or
she must communicate this reason to the Student Financial Services Manager, who will decide whether the
circumstances require a reduction in the student’s fellowship.

Regardless of the level at which a student sets his or her fellowship (155 days or something less), if a student
beyond the first year is on a fixed fellowship and has any level of OJT debt, he or she must obtain the written
permission of the Student Financial Services Manager to go two consecutive pay periods without charging.

Students who fail to notify the Student Financial Services Manager of their intent not to work for any period
and to provide a valid reason for their lack of coverage may see their fellowship automatically reduced to
zero for that pay period and any consecutive pay periods without charges. Students who have automatic
tuition deduction will have to find another method of paying their tuition. Note that the key point of this
policy is that students must notify the Student Financial Services Manager if they believe they will go two
consecutive pay periods without OJT charges.

Students in their second year with debt exceeding $20,000 must set their fellowships at a level whereby they
are making payments on their debt each pay period. This maximum allowable debt ceiling decreases as
follows:

Third Year $15,000

Fourth Year $10,000
Fifth Year $ 5,000
Sixth Year and beyond $ 5,000

If a student is unable to do this for whatever reason, he or she must obtain written permission in advance
from the Student Financial Services Manager or his or her fellowship will be automatically reduced.

Students with debt exceeding the maximum amounts listed above may be asked to sign a Promissory Note
acknowledging their repayment obligations as a condition of continuing in the program.

Pardee RAND recognizes that work can be unevenly distributed and that circumstances can cause a student
to fall behind at times. Students may change their emphasis over time from OJT to dissertation and back to

40
OJT depending on where they are in their research and writing. But in those cases, students must contact the
Student Financial Services Manager, explain those circumstances, and receive permission to continue their
fellowship at a given level.

WORKING FEWER OR MORE DAYS THAN REQUIRED

As outlined above, if a student works fewer than the minimum number of days of OJT required for their
fellowship, the fellowship may be reduced accordingly.

If a student on fixed fellowship performs more than the minimum number of days of OJT in a given year, that
number of days is subtracted from the minimum number of days in subsequent years. Students on fixed
fellowships who work more than their required number of days will accumulate an OJT credit surplus which
can be paid out to them as additional fellowship under certain circumstances.

Students who have no OJT debt are eligible to go on variable fellowship. Requests are made through the
Student Financial Services Manager. Students on variable fellowships are paid for exactly the number of days
they work every two weeks, rather than being paid a fixed amount. Changes from fixed fellowship to variable
fellowship can be made only at the beginning of a pay period. Requests should be made at least one week
prior to the start of the pay period for which variable pay is desired.

To help track OJT requirements as well as the number of days worked, students will receive an OJT summary
report from the Student Financial Services Manager via email on a biweekly basis until such point as these
reports can be generated automatically through RAND’s Workday system

Students may bill more than eight hours per day and more than 40 hours per week. Students may bill nights
and weekends and should do so if this occurs when they are working on research projects. As a rule of
thumb, students should not plan to bill more than 16 hours each day on a regular basis. Students planning
consistent charges at this level should speak with the Student Financial Services Manager in advance.

International students must observe the regulations governing their F-1 status. See the section OJT FOR
INTERNATIONAL STUDENTS.

FINDING OJT
Pardee RAND is not responsible for providing OJT for the student but does provide support for students in
their OJT search through guidance, advice, and the OJT Brokers. Students search for potential OJT in a variety
of ways, including direct outreach to RAND researchers, seminars, faculty and coursework, and research on
the RAND intranet. The Deans will also help students match their interests with opportunities. Students are
encouraged to use all available resources and to search for OJT immediately upon arriving at Pardee RAND
and throughout their time as enrolled students.

OJT at RAND operates according to an internal market economy. Like other RAND researchers, students will
find that their interests, skills, and enthusiasm can lead them to rewarding and diverse opportunities. But as
in all markets of this type, success depends on the active participation and entrepreneurial skills of all parties,
including the student’s. RAND’s divisions vary in the ways they manage their demand for labor. Some look
ahead to each fiscal year and make firm plans. Others depend on a project-award process that often permits
only short-term planning. The OJT Brokerage exists to assist students in understanding and dealing with these
differences.

41
RESTRICTIONS ON CERTAIN CATEGORIES OF OJT
Although the majority of RAND projects can consider hiring students based on professional or academic
qualifications, there are two major exceptions:

• Work on classified projects is restricted to U.S. Citizens with appropriate security clearances. See
‘Security Clearances’ for more information on applying for clearance, or for transferring an existing
clearance.
• Some of RAND’s unclassified research may require U.S. citizenship, permanent resident status, or an
export license from the U.S. government.

UNPAID OJT
By law, students cannot work for free on projects that are funded by RAND or a RAND client. Students must
be paid for any work they are asked to do on RAND projects. Students who are asked by their PIs or other
RAND staff to work without pay to meet a deadline or because a project is out of funds (or for whatever
reason), should inform the Associate Dean as their RAND manager so she can work with the leadership in the
appropriate division to obtain funding on their behalf.

Students wishing to engage in proposal preparation should note that most business divisions have a pool of
funds known as Bid and Proposal money (B&P) set aside to cover such activity. It is appropriate and expected
that students will be paid from this pool of funds like all other RAND researchers.

OUTSIDE OJT
A majority of OJT will come from RAND research projects. In some cases, students may pursue OJT outside
RAND, in the public, private, or nonprofit sectors or at other graduate schools. To qualify as OJT, outside work
must provide opportunities for students to improve their skills in policy research and must be approved in
advance by the Associate Dean.

Students contemplating an outside OJT opportunity should email the Associate Dean in advance, providing a
brief scope of work, the supervisor’s name and contact information, and the approximate length of time and
number of days to be spent on the project. Once approved, students have the option of applying this OJT
toward the academic OJT requirement.

Students who are doing outside OJT should negotiate their own remuneration, which is paid directly to the
student, not to RAND or the School. However, if this outside OJT is a substitution for RAND work, students
will be required to reduce their fellowships to a level they can cover with their RAND OJT.

Students on F-1 visas must obtain approval before applying for Curricular Practical Training (see below for
details).

OUTSIDE OJT FOR ACADEMIC CREDIT

Outside OJT can count towards 100 days of the 300-day requirement for the PhD. The first 200 days, which
count towards the MPhil, must be completed internally on RAND projects. Students requesting academic
credit for outside OJT should track their hours and complete the Outside OJT for Academic Credit form,
returning it to Administration within 30 days of the assignment’s completion.

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OUTSIDE WORK AND CONFLICT OF INTEREST
All outside work must comply with RAND’s conflict of interest policy found at the Pardee RAND intranet.
Students must notify the Associate Dean in writing of any work they plan to do, even if the work is not to be
considered Outside OJT. If there is a question regarding conflict of interest, the School will consult with
RAND’s General Counsel.

OJT FOR INTERNATIONAL STUDENTS

OJT is a required part of the curriculum, and international students can work on campus for up to 20 hours
per week during the time classes are in session. During the break between quarters, including the summer,
students may work on campus more than 20 hours per week. However, should an international student wish
to work full-time at RAND when classes are in session, work part-time or full- time at a policy research
organization other than RAND while still a student, or continue working in the United States once they have
completed their program, they must make use of Curricular Practical Training (CPT) or post-completion
Optional Practical Training (OPT) as detailed below, provided they remain in lawful F-1 status. Each
international student is responsible for complying with all immigration regulations that apply to F-1 students,
including employment regulations. Refer to Information for F-1 Visa Holders for more detailed information

CURRICULAR PRACTICAL TRAINING (CPT) FOR INTERNATIONAL STUDENTS

International Students can work on campus from the beginning of their program by virtue of Pardee RAND’s
OJT requirement. International Students who wish to work full time at RAND while classes are in session or
who accept work outside of RAND on a part- or full-time basis can make use of a U.S. government–approved
program known as Curricular Practical Training (CPT).

PART-TIME CPT
Permits students to work off-campus for up to 20 hours per week with no limitation on the number of weeks
they can do so, provided that the work is providing policy analysis training.

Permission must be obtained for Outside OJT from the Associate Dean in advance.

Off-campus part-time CPT is recorded in the students’ SEVIS record.

FULL-TIME CPT*
Permits students to work on or off campus more than 20 hours per week during the weeks that classes are in
session.

There is no limit on the number of hours per week that an F-1 student with approved full-time CPT can work,
However, if a student works more than 51 weeks of full-time CPT, he or she will be ineligible for post-
completion OPT. Full-time CPT can be turned on and off in increments of one week.

*F-1 students may work full-time on campus during the winter, spring and summer breaks without applying
for full- time CPT.

All requests require written authorization from the Associate Dean. Requests for authorization must include
the following information:

• Whether the CPT is part-time or full-time

43
 • The name of the student’s supervisor
• The name and physical address of the organization
• A brief description of the work that confirms how it relates to the student’s program
• The beginning and end dates
• Level of compensation

Students should be aware of these constraints:

• All periods of CPT must be applied for in advance of the start date and the student must be in
possession of an I-20 showing the approved CPT before he or she can start work.
• If working off-campus, students must give a copy of this I-20 to their employer and keep the original
at home, as it must be included in the application when applying for post-completion OPT.
• All periods of CPT must be recorded in the Student and Exchange Visitor Information System (SEVIS)
and will appear on the student’s 1-20.
• F-1 visa students need to be enrolled for one year prior to beginning either fulltime CPT or
CPT/Outside OJT

For further information visit SEVIS.

To record this work for academic credit, students should follow the instructions in the section OUTSIDE OJT.

OFF CAMPUS EMPLOYMENT

International Students who are offered an employment opportunity at a multinational organization (The
World Bank, for instance) may need to request CPT or may be eligible for an EAD card depending on the
organization’s requirements. Work done on an EAD card in these circumstances does not count against post-
completion OPT.

OPTIONAL PRACTICAL TRAINING (OPT) FOR INTERNATIONAL STUDENTS

OPT allows students to undertake temporary outside employment that does not meet the criteria for CPT.
OPT is authorized by U.S. Citizenship and Immigration Services (USCIS), and requests require approximately
90 days for processing. On approval, USCIS will issue an Employment Authorization Document (EAD).
Students cannot begin work until they have received their EAD.

The application process begins 90 days prior to program end date by contacting the International Student
Adviser. For further information visit SEVIS.

Pre-Completion Optional Practical Training (OPT)

• May be undertaken prior to graduation once all academic requirements have been met.
• Students must have at least a 3.0 GPA to be eligible.

Post-Completion OPT

• Can start upon student’s program completion date and no more than 60 days following the program
completion date. Students may select a start date anytime during this timeframe.
• Available to all international students who have not exceeded 51 weeks of full-time CPT while
enrolled in the program (one year of OPT is allowed at each degree program level).
• Application for post-completion OPT should be made to the International Student Adviser at least 90
days prior to the end of the student’s program.

44
Students should be aware of these constraints

• Once the application is submitted any changes, particularly to program end date, could delay or
invalidate the request.
• Travel outside the country is not advisable between the time the application is submitted and the
receipt of the EAD.
• Address changes should be taken into consideration – SEVIS will not forward mail under any
circumstances, and the post office is instructed to return any mail to USCIS.
• In the event of a change of employer, the student must notify Pardee RAND of this change within ten
days of the change by submitting the OPT Employment Information form.

PLEASE NOTE: Applicable laws may change at any time, and the School cannot guarantee the continuing
availability of OPT as described in this handbook.

Student wishing to apply for a STEM OPT extension should review the guidance provided on the Study in the
States Website: https://studyinthestates.dhs.gov/

MERIT INCREASES
Students who remain on target with their OJT obligations are eligible for annual merit increases in their
fellowships. Students who meet or exceed their cumulative requirements will receive a full merit increase.
Students who meet at least 75% but fall short of 100% of their cumulative requirements will receive 50% of
the full merit increase in their first two years. Students who fall short of 75% of their cumulative requirement
are not eligible for merit increases. Beyond the second year, students must maintain their OJT debt below the
debt limits to qualify for half of the full merit increase. Students whose debt exceeds the limits for their year
in the program are not eligible for merit increases. Merit increases are not available to students beyond their
fifth year.

TEACHING ASSISTANTS (TAs)

Teaching Assistants (TAs) assist in the conduct of courses by providing students with supplemental
instruction, guidance, and feedback. Before the course begins, the TA and professor should negotiate the set
of tasks that the TA will perform and the anticipated time commitment. These expectations should be
communicated to students at the beginning of the course. TA duties may vary based on the needs of the
course, but they should be within the scope of the TA’s ability and considered reasonable given the level of
compensation. For a 1-credit core course with two TAs, a reasonable time commitment per TA is
approximately 5 hours per week. Students are strongly encouraged to take advantage of the help that TAs
can offer, in addition to extra help provided by the professor. However, TAs are not expected to serve as
individual tutors for students needing assistance above and beyond their established duties. If demands on
the TA become excessive due to overall or individual student needs, the TA should discuss the issue first with
the professor, and then the Assistant Dean for Academic Affairs if issues cannot be resolved.

Students may consult with the Assistant Dean for Academic Affairs if they feel they need additional tutoring
assistance to meet performance expectations for the course.

SELECTION OF TAs
Professors are responsible for selecting their TAs. The Dean and Assistant Dean for Academic Affairs are
available to help professors find appropriate matches. When discussing a TA position with a student, the
professor(s) in each course should make clear what the obligations in the course will be, in terms of hours

45
and tasks. When a TA arrangement is made, the professor is responsible for notifying the Assistant Dean for
Academic Affairs and the Registrar.

All c courses are assigned two TA for a one-unit course, and one TA for a half-unit course. Professors teaching
core courses may request an additional TA from the Assistant Dean for Academic Affairs. Circumstances
justifying an additional TA include a particularly heavy TA workload. Elective courses are not typically
assigned a TA. However, professors teaching elective courses may request a TA from the Assistant Dean for
Academic Affairs. Such requests may be made when course enrollment is more than 20 students and/or a
professor feels that he or she needs assistance in grading or conducting the course.

COMPENSATION FOR TAs

Compensation for serving as a TA is a fixed dollar amount depending on whether the course is offered as a
full or half credit course, and if the course is a core course or an elective. A link to the current pay rates for
teaching assistants can be found on the Payment Schedule on the Pardee RAND intranet site. TAs for 10-
week courses are paid half after the first five weeks, and the final payment after the course has ended.

PUBLISHING COMMENTARIES AT RAND

Students may find themselves in a position to publish blog and social media posts, articles, op eds and other
forms of written commentary while at Pardee RAND and are encouraged to do so. However, certain policies
apply depending on the nature of the content being published.

RAND-RELATED COMMENTARIES
While in the program, students are also assistant policy researchers and members of the RAND research staff
and when acting in that capacity they are governed by the policies and procedures for quality assurance and
review required by RAND for all RAND work that will be disseminated publicly. Commentaries by Pardee
RAND Graduate School students that relate in any way to research the student has undertaken, either as a
by-product of OJT project work, as part of the dissertation research progress, or in any way as a RAND
researcher, must follow RAND’s standard review process.

STUDENT COMMENTARIES
When a Pardee RAND Graduate School student authors commentaries that do not relate to such research,
students must abide by the conditions outlined in the Student Publishing Policy.

DISSERTATIONS
Some elements of the dissertation process differ based on year of enrollment. The following sections apply to
all entering students unless otherwise indicated.

OVERVIEW
The Pardee RAND doctoral dissertation is expected to be both policy-relevant and a new contribution to
knowledge in the field. It should demonstrate the student can successfully complete a significant and
noteworthy analysis of a real policy issue. This can be an evaluation of an existing policy or a new policy
proposal.

46
A Pardee RAND dissertation should represent a substantial application of analytical concepts, models, and
techniques that are appropriate to a specific policy issue or institutional reform. It should represent original
and personal work, although co-authorship arrangements on part of the work are permitted and encouraged
if the student remains the lead author on all work. The dissertation must be unclassified and eligible for
public dissemination.

`The student’s dissertation committee determines whether the dissertation meets the following standards
and represents a substantial new contribution to knowledge:

• The student has formulated, structured, and carried out a noteworthy analysis,
• The student has demonstrated knowledge of the chosen policy area specialization, and
• The student has demonstrated that the work is relevant to significant public policy questions.

Students are expected to complete a full manuscript with chapters and a final chapter addressing the policy
implications of the work.

Students also have the option of writing three essays tied together with an introduction describing
crosscutting themes and ramifications and a final chapter addressing the policy implications of and ideally
policy recommendations associated with the research. The three-paper option requires review by and
approval of the Assistant Dean for Academic Affairs. As part of the review, the student must submit a brief
plan describing each of the three papers (including policy and research questions to be addressed, data to be
used and analysis to be conducted) and justify why the three-paper option is more appropriate than the
traditional dissertation manuscript that consists of chapters. If the three-paper format is approved, the
student should work with the chair on selecting the other committee members, ensuring they are familiar
with the overarching topic and can make contributions to the student’s research. The dissertation is designed
to demonstrate a student’s research capabilities and, therefore, should represent the contribution of
knowledge the student is making to the field. As such, if a student opts to pursue the three-paper format, the
student must be the lead author on all three papers and the sole author of at least one. It is assumed that
when completed, all three papers should be of publishable quality. All three papers must be unclassified and
able to be published in the public domain.

DISSERTATION TASKS AND TIMELINE

Below are Tasks and Timeline Tables describing dissertation milestones. Please contact the Registrar if you
have questions about a task or timeline. These tables may also be found on the Dissertations page on the
Pardee RAND intranet.

Dissertation Timeline Year 1 Year 2 Year3 Year 4 Year 5 Year 6

Fall Winter Spring Fall Winter Spring Fall Winter Spring Fall Winter Spring Fall Winter Spring Fall Winter Spring
1 Complete Policy Area Specialization
Complete substantive policy seminars
Complete 50 days of OJT in Policy Area Specialization NOTE: Students must petition the
Dean for 6th year
Complete Independent Study
2 Complete dissertation workshop
3 Notification of dissertation topic and committee chair
3 Notification of full committee
4 Notification of outside committee member and/or reader option
5 Complete HSPC Citi Training
6 Written dissertation proposal
7 Oral examiniation on the proposal by the committee (req: 1-6)
8 Dissertation progress meetings
9 Complete RHINO process (Note: must be completed before working with any data related to dissertation)
10 Dissertation and oral defense
11 Submission of final written dissertation (2 weeks after defense)

47
Dissertation Timeline for Military Fellows Year 1 Year 2 Year3
Fall Winter Spring Fall Winter Spring Fall Winter Spring
1 Complete Policy Area Specialization
2 Complete 50 days of OJT in Policy Area Specialization
3 Complete Independent Study
4 Complete dissertation workshop
5 Notification of dissertation topic and committee chair
6 Complete HSPC Citi Training
7 Notification of full committee
8 Notification of outside committee member and/or reader option
9 Written dissertation proposal
10 Oral examiniation on the proposal by the committee (req: 1-6)
11 Dissertation progress meetings
12 Complete RHINO process (Note: must be completed before working with any data related to dissertation)
13 Dissertation and oral defense
14 Submission of final written dissertation (2 weeks after defense)

48
Step 1 2 3 4 5 6 7 8
Written Dissertation
Dissertation Progress Submission of
Policy Area Dissertation Committee Dissertation and Recording the
Milestone Proposal and Meetings and final written
Specialization Workshops* Notifications: Oral Defense Dissertation
Oral Proposal RHINO** dissertation
Defense process
Within two
After successful
weeks after
Beginning in the completion of
End of Second committee sign-
Beginning in 2nd year until Qualifying Once proposal At the earliest, Within 2 weeks
Timeframe year through the off and all
Year One requirements Exams; ideally is passed. end of 3rd year. after defense
4th year completion
are fulfilled before end of
documents have
the 2nd year.
been submitted.
Students
Student is
schedule
responsible for
dissertation
submitting final
Completion of Second year defense through
Notify Registrar dissertation to
50 days of students must the Registrar's
of Topic and Students the Registrar
policy relevant continue to Students assistant.
Chair*; prepare a 10 to after committee
OJT enroll in a establish Sudents must
20-page approval, along
dissertation regular submit their
proposal. Once with all
workshop each meetings with near-complete
the committee is required
quarter until the chair and dissertation to
Process for satisfied with completion
Approval to they meet the keep committee the Registrar
completion the proposal, a documents.
pursue workshop members and comments
copy is sent to Committee chair
dissertation requirements. apprised of from their
the Registrar submits sign-off
proposal CITI Training Work with chair progress toward outside reader
and the oral sheet and
Submit Policy should be to identify the final (if applicable)
defense can be Dissertation
Specialization completed members and dissertation. at least 5
scheduled. Evaluation Tool
Form to Asst; online during outside member business days
with all
Dean for this time. or reader in advance of
committee
Academic seminar to
signatures to
Affairs, ccing avoid
Registrar.
the Registrar cancellation.
Committee
members grade
Registrar
the defense. sign
submits
the Dissertation
Topic and full Upon successful Ph.D. in Policy dissertation to
Approval to Citi Training Proposal
committee Progress completion, RAND for
pursue required to Defense Grading Analysis is
Outcome required to towards final student posting to RAND
dissertation mount proposal Form, and formally
mount proposal dissertation prepares to exit website; student
proposal defense submit to earned.
defense program
Registrar.
Committee uploads
payment is electronic copy
triggered. to ProQuest
*Eligibility requirements to apply for internal dissertation funding **Must be completed before working with any data related
to dissertation

49
ABSTRACTS
All Pardee RAND dissertations must include an abstract not to exceed 350 words. The dissertation must be
prepared according to the standard academic format. Examples are available in the Pardee RAND office or at
the RAND website.

PUBLICATIONS THAT UTILIZE FFRDC FUNDING OR OTHER FFRDC RESOURCES

There are special considerations associated with utilizing FFRDC funding or other resources for Pardee RAND
research publications (e.g., dissertations, journal articles, or conference presentations). When such
publications benefit from FFRDC funding or other FFRDC resources, they may be subject to public release
approval from the relevant FFRDC client’s Public Affairs Office.

Utilization or citation of published, cleared FFRDC reports would not trigger the requirement for public
release clearance.

However, students’ publications will require clearance for public release if they

• utilize data that were acquired directly from a RAND DoD FFRDC sponsor;
• utilize material from a draft or otherwise uncleared RAND FFRDC report; or
• utilize other material or information acquired through participation in a RAND FFRDC research
project.

There also may be DoD regulatory requirements governing certain activities such as surveys, for example,
which would require human subject reviews.

Public release clearance can take quite a while to secure, ranging from one month to six months or more,
depending on the nature of the topic. If your publication is a dissertation, note that Pardee RAND will not
delay your graduation while it awaits public release clearance. Only your ability to publish and disseminate
your dissertation outside of RAND would be affected.

For clarification or questions about these issues, please contact the relevant unit’s Director of Operations.

DISSERTATION QUALITY ASSURANCE

The dissertation committee is responsible for assuring the quality of the dissertation. RAND’s Corporate
Research Quality Assurance Standards provides helpful guidance for dissertations, as do the results of a task
force convened by the Carnegie Foundation for the Advancement of Teaching. Below is a summary of the
Foundation’s “standards for evaluating scholarly work.”

SUMMARY OF STANDARDS FOR SCHOLARLY WORK

Clear Goals: Does the scholar state the basic purposes of his or her work clearly? Does the scholar define
objectives that are realistic and achievable? Does the scholar identify important questions in the field?

Adequate Preparation: Does the scholar show an understanding of existing scholarship in the field? Does the
scholar bring the necessary skills to his or her work? Does the scholar bring together the resources necessary
to move the project forward?

Appropriate Methods: Does the scholar use methods appropriate to the goals? Does the scholar apply
effectively the methods selected? Does the scholar modify procedures in response to changing
circumstances?

50
Significant Results: Does the scholar achieve the goals? Does the scholar’s work add consequentially to the
field? Does the scholar’s work open additional areas for further exploration?

Effective Presentation: Does the scholar use a suitable style and effective organization to present his or her
work? Does the scholar use appropriate forums for communicating work to its intended audiences? Does the
scholar present his or her message with clarity and integrity?

Reflective Critique: Does the scholar critically evaluate his or her own work? Does the scholar bring an
appropriate breadth of evidence to his or her critique? Does the scholar use evaluation to improve the
quality of future work?

Source: Glassick, Charles E., Huber, Mary T., and Maeroff, Gene I. Scholarship Assessed: Evaluation of the
Professoriate, San Francisco: Jossey-Bass, 1997, ch. 2.

The School has used these standards to create two evaluation tools. The first evaluation occurs when the
student defends his or her dissertation proposal, and the second evaluation happens when the student
presents his or her dissertation seminar. Students are encouraged to review these tools prior to starting their
dissertation and to share these tools with their Committee members to illustrate the qualities the School
looks for in a dissertation. Links to pdf versions of these two tools can be found on the School’s intranet
home page, under Dissertations.

DISSERTATION WORKSHOPS
Second-year students who have passed their qualifying examinations are required to participate in one of the
three monthly dissertation workshops (economics, quantitative methods, or social and behavioral science)
The purpose of the dissertation workshop is to introduce students to the myths and realities of the
dissertation process: how to consider topics, developing and focusing a researchable question, forming a
dissertation committee, identifying data sources, funding possibilities, writing a proposal, choosing to write a
classic monograph or follow a three-essay format, and learning from the dissertation experiences of Pardee
RAND faculty and other students.

The objectives and goals of the dissertation workshops are to enable the student to:

• Understand the required components of the dissertation,

• Develop a research topic and research questions,
• Determine the feasibility of the research topic, including access to data sources and funding
potential,
• Identify the ethical assumptions underlying the dissertation research topic and evaluate the
ethical implications of the project and
• Secure a committee or, at a minimum, to formulate a concrete plan for identifying a committee chair
and developing other committee members.

Students must be enrolled in a dissertation workshop until the instructor informs the Pardee RAND office
that the student has met the following minimum requirements:

• Submit a six-slide briefing articulating the policy issue, research questions, motivation, method and
approach, feasibility, and a personalized work plan for the dissertation,
• Submit a two- to three-page paper covering the items on the slides in slightly more detail,
• Identify a chair for their dissertation committee.

51
 • Items 1 and 2 must be submitted by the student to the workshop instructor by the end of the second
year in the program. The workshop instructors should provide the Registrar with these two items,
which will be recorded and kept in the student’s file. Students should inform the Registrar of who
will chair their committee by the end of the second year.

These are minimum requirements. The workshop instructors may add to these requirements at their
discretion. Faculty members will develop the specific workshop approach and content based on the
requirements of their research discipline.

THE DISSERTATION COMMITTEE

Students are advised to become familiar with the document “Role of the Committee Chair / Member /
Outside Reader”, a useful tool that provides an overview of the dissertation committee’s role, responsibilities
and Honoria information.

The student must notify the Registrar via email copying the Assistant Dean for Academic Affairs as soon as
the dissertation topic and chair have been identified and again after the entire dissertation committee has
been formed. To maintain adequate academic progress, students should identify the topic and chair by the
start of the third year. The committee must be composed of at least three members, including at least two
members internal to RAND who are either 1) a current Pardee RAND faculty member, 2) a RAND researcher,
or 3) an otherwise qualified member of the RAND staff with experience relevant to the dissertation.
Committee members who are not currently Pardee RAND faculty become so as of the following academic
year. A fourth member may be added with the permission of the Assistant Dean for Academic Affairs. The
members should be chosen based on discipline and policy specialization. Either a Pardee RAND faculty
member or a supervisor of the student’s OJT can serve as chair. However, because final authority lies with
the chair, only one person may be designated as chair. Other committee members can be drawn from Pardee
RAND faculty, OJT supervisors, other RAND researchers, or qualified scholars/practitioners outside RAND. The
committee chair must agree with the selection of all other committee members.

Students should select committee members who have a genuine intellectual interest in the dissertation topic
and a personal interest in the student’s career goals. Relationships developed through OJT activities are
among the best ways to identify promising committee members. The Pardee RAND Deans are also permitted
to serve when their expertise and interests are aligned with the dissertation topic and the student’s goals.

Pardee RAND provides a modest honorarium to the dissertation committee chair ($3,000), to the two
additional members ($1,000 each), and to the outside reader when one is required ($1,000). The honorarium
is intended only to express appreciation of service; it is not intended to fully compensate for each member’s
time and efforts. Payment to committee members is made in two installments: the first upon successful
defense of the dissertation proposal and is triggered by the submission of the signed paperwork to the
Pardee RAND Registrar; and the second upon successful defense of the final dissertation, and triggered by
submission of the signed paperwork.

OUTSIDE COMMITTEE MEMBERS AND OUTSIDE READERS

Students are strongly encouraged to include at least one committee member from outside the RAND
community. This is to ensure that the dissertation reflects the full range of intellectual debate on the chosen
topic and is not too narrowly focused on RAND’s approach to the policy problem. Because of this goal, former
RAND staff members are generally not appropriate outside committee members and should only be
proposed if they have been working outside RAND for at least 5 years and have not continued to publish
primarily at RAND. Ideally, the outside committee member should be a tenured professor at a research

52
university, but the Assistant Dean for Academic Affairs may approve exceptions based on the specific
circumstances. The outside committee member is responsible for working with the rest of the committee to
fulfill committee obligations.

If an outside member is not selected, students must identify an outside reader to review the written proposal
as well as the final draft of the dissertation manuscript. Outside readers submit written comments on both
the dissertation proposal and the final draft of the dissertation to provide perspective and expertise to the
student and the committee. The reader does not sign off on the proposal or dissertation, but ensures that
the proposal and dissertation successfully addresses scholarly questions, such as those listed in the
SUMMARY OF STANDARDS FOR SCHOLARLY WORK. The outside reader must receive a copy of the written
proposal prior to scheduling the proposal defense. Ideally outside reader comments on the dissertation
proposal must be received by the Registrar prior to the scheduled defense, but in some instances, they can
be received within 10 business days following the proposal defense.

The comments from the outsider reader on the final written dissertation must be received by the Registrar at
least five days before the oral dissertation defense. If not received within this timeframe, the oral
dissertation defense will be cancelled.

All professional criteria for the outside committee member also apply to the outside reader. An honorarium
of $1000 is provided to the outside committee member or reader following the same payment system as for
the internal committee

PROCEDURE FOR WORKING WITH AN OUTSIDE COMMITTEE MEMBER OR OUTSIDE READER

It is the student’s responsibility to coordinate the role of outside committee members with their chair.
Outside readers have specific responsibilities that are different from committee members, and which are
outlined in the letter of engagement the receive from the Registrar once the Registrar has been notified that
a reader has been engaged.

Once a student identifies an outside committee member or reader, they must provide the Registrar with the
following information:

• Full name
• Email address
• A brief description of the person’s professional role and relevant expertise.

Once this information is received, school administration sends a letter to the prospective committee
member/outside reader and generates a Letter of Agreement (LOA) with RAND that defines deliverables and
payment arrangements.

THE DISSERTATION PROPOSAL

Once the dissertation committee is formed, the student should consult with the committee on the
development of a written dissertation proposal, usually 10 to20 pages in length. At a minimum, the written
proposal should contain the following sections:

• General Aims, Objectives, and Policy Relevance,

• Specific Hypothesis/Research Questions,
• Background and Literature Review,
• Ethical considerations

53
 • Sources of Data and Data Collection Methods,
• Methods of Data Analysis,
• Preliminary Analyses (if applicable),
• Schedule of Work, and
• Budget and Sources of Funding.

The guidelines for National Institutes of Health (NIH) and National Science Foundation (NSF) research grant
proposals provide useful direction on the appropriate content.

If the three-paper format is selected, all three papers should be discussed (at least briefly) in the proposal,
particularly how they are related to each other. The bulk of the proposal, however, should focus on one
paper and provide adequate detail as to how the proposed research will be framed and carried out. The
other two papers require less detail at the proposal stage.

The dissertation proposal is a significant written document, similar in organization and length to a typical NSF
or NIH proposal or a competitive bid by a high-quality policy-consulting firm. It should include a discussion of
the “general aims” of the research; a critical review of relevant literature; preliminary work completed; the
theories, data, and analytic methods to be employed; the policy significance of the research; references; the
budget; possible funding sources; and the anticipated schedule for completion. A student typically will
defend a proposal before all necessary funding and data have been obtained.

Certain aspects of the proposal may be designated as provisional, depending on the ultimate availability of
resources and data or other factors.

The successful defense of the dissertation proposal is one of the most significant steps in a student’s
progression. Through the proposal, the student demonstrates relevant knowledge of the chosen analytic
approaches, relevant knowledge in the chosen policy area, the ability to craft a high-quality yet practical
research proposal, and the ability to defend the proposal orally before the dissertation committee.

The written proposal typically involves repeated iterations, as more than one draft may be necessary to meet
the expectations of committee members. Once the committee is satisfied with the written proposal and the
written proposal is submitted to the Registrar, then the student is eligible to schedule an oral defense of the
proposal. For those students using an outside reader, the outsider reader must be sent a copy of the proposal
before the oral defense can be scheduled. The outsider reader is expected to have submitted their comments
before the date of the proposal defense. The student should work with the committee and the
Administrative Assistant to the Registrar to schedule the oral defense of the proposal, which should occur
during the second or third year.

ELIGIBILITY TO PROPOSE A DISSERTATION

In addition to completing the Dissertation Workshop requirements, students must provide documentation
that they have completed the following requirements to formally defend their proposal:

• Satisfactorily completed all core courses and the preliminary examination

• Passed the first-year review
• Declared (but not necessarily completed) an analytic concentration (optional)
• Named a chair and other committee members (including outside reader if applicable)
• For those students using an outside reader, the outsider reader’s comments on the proposal must be
received and filed with the Registrar
• Completed a Policy Area Specialization, which involves:

54
 o Completing at least 50 days of OJT related to the Policy Area Specialization. Students must
include the principal investigator’s name, project title, and number of days (more than one
project may be included); and
o Completing an Independent Study with a specialist covering a topic in the chosen Policy Area
Specialization.
• The student must then submit the Policy Area Specialization Form to the Assistant Dean for
Academic Affairs for approval. See the section POLICY AREA SPECIALIZATION

ORAL DEFENSE OF THE PROPOSAL

When you are ready to schedule your Proposal Defense, please carefully read and follow the instructions
provided on the Proposal Defense Scheduling Form.

The oral defense of the proposal is an examination intended to substantiate the student’s ability to make a
concise yet compelling presentation 20 to 30 minutes in length, typically via PowerPoint, and answer analytic
questions relating to the proposal.

Once the dissertation committee has decided that the written dissertation proposal is complete or very near
completion, the student must:

• Submit the written proposal to the Outside Reader for comments,

• Work with the Registrar’s Administrative Assistant to schedule an oral defense, and
• Submit a complete (or very near complete) written draft of the dissertation proposal to the
Registrar, cc’ing the Registrar’s Administrative Assistant, at least five business days prior to the
scheduled date of the defense.

If these documents are not received, the dissertation proposal defense will be cancelled.

The dissertation committee and either the Associate Dean or the Asst. Dean for Academic Affairs are required
to attend the proposal defense. Students also have the option (and are encouraged) to open the seminar to
the RAND community. Ideally, the entire dissertation committee is present in person, but if necessary
accommodations can be made for them to participate remotely. Once the presentation is completed, the
student answers questions from the committee and others at the committee chair’s discretion. In answering
questions, it is important for students to be clear about what they do and do not know. At the proposal
stage, students are not expected to have all the answers. However, they must demonstrate a reasonably
clear understanding of what they are proposing and be aware of the proposal’s likely promise and potential
limitations.

At the end of the question period, the committee convenes privately to evaluate the proposal and the
student’s mastery of the information presented. The committee determines the grade for the oral defense:
“passed,” “passed with conditions,” or “failed.” (If an outsider reader is used, the committee should consider
the outside reader’s comments in their deliberations.) The committee decides on the grade and a set of short
qualitative comments to accompany the grade. The committee fills out the Proposal Evaluation Tool, and
then grades the proposal using the guidelines provided on the Dissertation Proposal Defense Grading Form.
These documents can be found on the Dissertations page at the Pardee RAND intranet.

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ORAL DEFENSE OF THE DISSERTATION AND FINAL WRITTEN PRODUCT

SCHEDULING
When ready to schedule the Final Defense, students are expected to carefully read, complete the paperwork,
and follow all instructions provided under Dissertations on the Pardee RAND intranet.

Once the dissertation committee has decided that the final written dissertation is complete or very near
completion, the student completes the following steps:

• Contact the Registrar to schedule a formal oral defense.

• Submit a complete (or very near complete) written draft of the dissertation to the Registrar, cc’ing
the Registrar’s Administrative Assistant, at least five business days prior to the scheduled date of the
defense
• For those students using an outside reader, the outside reader’s comments also must be received
and filed with the Registrar, cc’ing the Registrar’s Administrative Assistant, ideally at least five
business days prior to the oral defense, but no later than 10 business days following the defense.

If these documents are not received by the specified date, the dissertation defense will be cancelled.

Tuition must be paid for the quarter in which the dissertation committee signs the dissertation.

Students should carefully consider when to schedule their oral defense, keeping the following information in
mind.

• There is an annual “blackout period” during which students cannot orally defend their proposals or
dissertations. The black-out period occurs during the first two weeks of the academic year during
Orientation. The Registrar sends out an announcement annually.
• Submission of the final written dissertation signifies graduation from the program, at which point
students are no longer eligible for any of the privileges that accompany enrollment including: office
space, computer, access badges and RAND group health insurance. Graduates may continue their
RAND insurance through COBRA by filling out the required paperwork.

STRUCTURE OF THE ORAL DISSERTATION DEFENSE SEMINAR

The oral dissertation defense is open to the RAND community and to the public. The seminar structure
includes the candidate’s 30- minute slide presentation, with the time limit enforced by the chair. Questions
from the committee and attendees are encouraged for up to 30 minutes. After the question-and-answer
period, the chair clears the room to allow the committee to deliberate. If the committee is not in consensus,
the chair will make the final decision. At this time, the chair communicates the decision to the student, along
with any additional work that must be completed before the written dissertation draft is approved for
publication. The committee chair alerts the Dean of the committee’s decision.

Once finalized, the dissertation manuscript is submitted to the Registrar, with signatures of the committee
members, within two weeks of the final oral defense.

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FINAL STEPS IN THE DISSERTATION PROCESS
The committee completes and signs the Dissertation Evaluation Tool, and if the student has passed, all
members sign and date the Sign-off Sheet. At this time, the student is ready to prepare to leave the program.
Steps in this process include:

• Determining whether an internal publication embargo is called for and, if so, receiving the necessary
approvals by the time the dissertation is considered final by the committee
• Uploading the dissertation to ProQuest for publication
• Submitting an electronic copy to the Registrar as part of the Checkout Procedure

POSTING THE FINAL DISSERTATION

The submitted dissertation will be forwarded by the Registrar to RAND Publications for posting on the RAND
website as a requirement for completion of the program and awarding of the Ph.D. See Pardee RAND
Graduate School Dissertation (RGSDs) at the RAND intranet for more information on this process.

PUBLISHING THE DISSERTATION

Once the committee signs off on the dissertation, a hard copy of it is sent to the Dean by the Registrar
for final approval. Once approved, the dissertation is ready to be routed for printing and posting at
RAND. For unembargoed dissertations this process takes approximately six weeks. Unembargoed
dissertations uploaded to ProQuest by the student are then approved by the Dean and notification of
publication goes directly to the student and usually takes a few weeks.

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UPLOADING THE DISSERTATION TO PROQUEST:
Students create and manage an account through ProQuest, completing the required online forms and
uploading a PDF of the final dissertation. An embargo of up to two years can be requested through
ProQuest, which will keep the dissertation out of public circulation until such time the embargo is lifted.
Once the student has finalized the uploaded dissertation, the School approves final publication.

PUBLISHING PORTIONS OF THE DISSERTATION IN PEER-REVIEWED JOURNALS

Students are encouraged to publish portions of their dissertations in peer-reviewed journals while they
are still being completed. However, students must make sure they either a) retain copyright to
previously published work they plan to include in their dissertations, or b) are able to obtain permission
to reprint this work as part of their Pardee RAND dissertation to be posted by RAND. Alternatively, the
chapter or chapters in question can be substantially rewritten so as not to violate copyright restrictions.

For more information on publisher policies regarding copyright retention, see Publisher Policies.
Students wishing to publish portions on their dissertations as articles in journals and other publications
must fill out the Copyright Transfer Form located on the RAND website. The form triggers a response
from RAND Contracts and Grants, who will assign a specialist to work with the student to obtain the best
possible copyright agreements with the journal or journals.

Students own the copyright to their dissertations, and it is their responsibility to retain and manage it.

PUBLICATION EMBARGOS TO MEET PEER-REVIEWED JOURNAL REQUIREMENTS

Pardee RAND supports the dissemination of knowledge through the posting of all student dissertations
on the RAND external website. The School also supports students who wish to pursue publication of
papers derived from their dissertations in peer-reviewed journals.

While many, if not most, peer-reviewed journals do not consider a posted dissertation to have been
published, there are some, especially in the field of health policy, which will not publish papers that have
been included in dissertations that are available on public websites.

Therefore, students who are in the process of submitting portions of their dissertations to peer-
reviewed journals which have such restrictions may petition for an embargo on posting their
dissertation to the RAND website for up to 18 months from the time they complete the program.

To petition for an internal embargo, students should submit the following information to the Associate
Dean:

• The name(s) of the journal(s) where the manuscript(s) are being been submitted

• The policy of each journal regarding publishing material included in a dissertation that is publicly
available

• The period, up to 18 months, being requested for the embargo

• An endorsement from the student’s dissertation committee chair

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A dissertation approved for internal embargo will not be published or posted until the embargo end
date. Please note that this is separate from the embargo a student can impose on publishing at
ProQuest, which is up to the student and requires no additional approvals.

Once the Committee has determined the grade, the chair is responsible for explaining the grade and
comments to the student. If the committee chooses to pass the student “with conditions,” those
qualifications must be stated in writing, including any advice from the committee as to how the student
can address the concerns that gave rise to the qualifications (e.g., take a specific course, learn about a
specific data source, consult a specialist, and so forth). The chair of the committee is responsible for
notifying the Registrar when the conditions have been fulfilled. If the student’s proposal results in a
failing grade, the student may schedule no more than two additional attempts to pass the oral
examination. A written statement from the committee must explain the rationale for the final
determination and must be filed with the Dean. If the committee is unable to come to consensus, the
Dean shall resolve the disagreement after hearing the views of the committee members and, where
appropriate, the student. It is the student’s responsibility to obtain the completed forms from the chair
and submit them to the Registrar.

PROGRESS REPORTS
Once the proposal stage is completed, students are responsible for remaining in regular contact with the
chair and members of the committee as the dissertation progresses. The roles and communication styles of
the various committee members are expected to vary, and different meeting styles may work better for
some committees than others. Ideally, the student should meet with the chair of the committee once or
twice per month while also keeping the full committee abreast of progress.

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For students following the three-essay format, one member of the committee may be more involved in an
essay than with the others, though all members of the committee must finally review and offer comments on
all three essays.

MID-COURSE CHANGES IN DISSERTATION PLANS

At times students will need to change their dissertation plans after passing their proposal defenses due to
unforeseen circumstances (e.g., funding difficulties, new publications in the literature, or unexpected data
deficiencies). Under these circumstances, the dissertation committee has broad discretion to approve
modifications to the student’s plan, assuming the student has made a reasonable case for those
modifications. In some cases, these modifications may constitute a substantial intellectual shift in direction.
However, once a student has passed the dissertation proposal, they cannot be required to submit another
written proposal and complete an oral examination. The student needs to work out any modifications or new
directions with the committee. In unusual cases, a change in committee composition may be appropriate.
Any such changes should be discussed with, and must be approved by, the student’s current committee and
the Dean.

CHECKOUT PROCEDURES

Submission of the final written dissertation signifies graduation from the program, at which point students
are no longer eligible for the provisions that accompany enrollment including: office space, computer, access
badges and RAND group health insurance. Graduates may continue their RAND insurance through COBRA by
filling out the required paperwork.

Students are responsible for checking out with each department listed on the Exit Checklist prior to
submitting the final dissertation and completion documents to the Registrar. It is the student’s responsibility
to understand and adhere to checkout procedures.

Appointments are required and should be made at least three days in advance. Dated signatures are required
during checkout as confirmation that all outstanding matters have been taken care of and all RAND property
has been returned.

Students not in Santa Monica during checkout may request email confirmations be sent to the Registrar and
may deliver RAND property to their local RAND office.

Students not located near a RAND office are responsible for returning property to the Registrar in Santa
Monica at their own expense.

In order to check out of the program, students must submit the following forms; also available on the
intranet under "Checkout Procedures"

• A completed RAND Publishing Form,

• The signed Acknowledgements Form,
• The Exit Checklist,
• The Survey of Earned Doctorates Certificate of Completion, and
• Online Career Services Exit Survey.
• An in-person or telephone call with the Executive Director of Career Services.

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The degree of Ph.D. in Policy Analysis is formally earned at Pardee RAND after completion of all program
requirements and on the date of final committee signature on the dissertation. Upon submission of the
signed dissertation and verification that tuition and other financial responsibilities to Pardee RAND have been
paid, the graduating student receives a formal letter from the Dean with congratulations on completion of all
requirements for a Ph.D. in Policy Analysis from Pardee RAND. (Tuition must be paid for the quarter in which
the dissertation committee signs the dissertation.) At this point, the student has received the Ph.D. degree
and is entitled to all the rights and privileges that accompany it. Students who have outstanding tuition or
other financial obligations to Pardee RAND or RAND will not receive their diplomas until all obligations have
been paid in full.

FINANCIAL OBLIGATIONS & DEGREE CONFERMENT

Students are required to pay all outstanding financial obligations to Pardee RAND including tuition and OJT
debt prior to obtaining their degrees. Students who complete the program with outstanding financial
obligations are required to sign a Promissory Note for the balance that sets out a repayment plan. In most
cases, repayment is expected in one to three years (up to 36 months).

For amounts exceeding $10,000 it is possible to arrange for a repayment period of up to five years (60
months). Only in extraordinary circumstances are these plans allowed to exceed five years (60 months).

Pardee RAND will not release transcripts or confirm degrees for students who fail to sign a Promissory Note
(see PROMISSORY NOTES). Pardee RAND will not release diplomas until students have paid their financial
obligations to the School and/or RAND in full.

DISSERTATION FUNDING RESOURCES

The Pardee RAND fellowship is constructed so that students can work part-time on RAND projects to earn
their fellowships and still have time available to work on their dissertations even without additional funding.
However, Pardee RAND also recognizes that the production of high-quality, innovative research requires the
investment of considerable time. Therefore, Pardee RAND makes it a priority to assist students in finding
resources to support their dissertation research.

Underwritten by the support of generous donors, Pardee RAND provides dissertation awards targeting a wide
variety of topics. Ranging from $5,000 to $50,000, these funds are awarded annually through a competitive
application process.

As with scholarship award recipients, dissertation award recipients are expected to provide updates on the
progress of their dissertation work, and to acknowledge their funder(s) in the final printing of their
dissertation. To that end, Pardee RAND’s Development team mediates interactions between students and
donors, and provides guidance to students when providing academic and professional progress reports to
their funders.

SOURCES OF DISSERTATION FUNDING

PARDEE RAND DISSERTATION AWARDS

Each year, Pardee RAND offers a series of dissertation awards funded by friends and supporters of the school.
Some are endowed, and others are offered on an annual basis. All Pardee RAND dissertation fellowship

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awards are designed to catalyze superb policy research on some of the most challenging issues and are
awarded through a competitive process. All opportunities and the application timeline are announced by the
Associate Dean each spring. Applications are due around the end of July and are reviewed by the Deans and
faculty in September. Funding determinations are made by October. Pardee RAND reserves the right not to
make awards in any given year if the funds are not available or the quality of the proposals does not warrant
it.

Information on past year awardees is posted annually.

ELIGIBILITY REQUIREMENTS
To be eligible to compete for Pardee RAND dissertation awards, a student must have passed all qualifying
exams and have completed the dissertation workshop. Students who have won Pardee RAND dissertation
awards in the past may compete again if they have not exceeded the Pardee RAND funding cap, which is set
at $50,000 per student.

Students who have completed the dissertation workshop by submitting their slides and short paper to the
Registrar, have notified the Pardee RAND administration of their dissertation topic and chair, and are
otherwise meeting their dissertation milestones will be given priority in funding.

ENDOWED AWARDS
Pardee RAND currently offers six endowed dissertation awards, as follows.

John M. Cazier Dissertation Awards in Sustainability: These awards are designed to initiate critical research
in environmental sustainability policy and launch the careers of students motivated to pursue research and
innovation in this field. The awards will be given to students who identify a compelling policy problem in the
area of sustainability and propose research that could lead to innovative and creative solutions to this
problem. Students are encouraged to think seriously about current threats to our environment and standard
of living, broadly defined, and the use of science, technology and policy to address them. While many of the
problems may require a deep knowledge of science and technology, proposals for research that focuses on
less technical solutions will also be considered. Sustainability is defined as the existence of conditions and
processes necessary and sufficient to enable future humans to sustain cultural levels not less advanced than
our own.

The Doris Dong Dissertation Award: This award is designed to support students who are tackling an
important policy problem in a creative and original way.

The Anne and James Rothenberg Dissertation Award: This Award is designed to support a dissertation that
investigates how government, business, and civil society might work more effectively together to help
resolve a policy problem. The application can be in health or national security or criminal justice or science
policy or education or another area. It is hoped that the dissertation will explore techniques or processes of
policy analysis which can help government, business, and civil society work better together.

The Susan Way-Smith Memorial Award: This award was given in memory of Susan Way-Smith (Pardee RAND
1992) by her friends and family. In recognition of her lifelong commitment to improving the quality of public
education, this endowed fund is used to support an annual dissertation award at Pardee RAND in the field of

62
education. Susan was unable to do her dissertation on education because she lacked funding to do so. Her
hope was that this award would enable others who came after her to follow their dream.

The James Q. Wilson Dissertation Fellowship: The James Q. Wilson Dissertation Fellowship is designed to
help students explore uncharted ground and develop “the next big idea” in areas where Wilson’s own
scholarship revolutionized the policy debate: poverty, education, crime and criminal justice, public services,
health care, immigration, race, fiscal policy and taxation, and the role of government institutions. The focus
should be on improving American social, political and governing systems, with an emphasis on creative
problem-solving that may or may not involve government intervention.

The Charles Wolf Jr Dissertation Fellowship: Established in honor of the founding dean of the Pardee RAND
Graduate School and renowned economist, researcher, educator, and advisor to governments and business
this award is designed to support students whose work goes beyond the conventional wisdom of the
moment. Given the focus of Dr. Wolf’s research, special consideration will be given to dissertations dealing
with international or transnational economic or security issues.

ANNUALLY ANNOUNCED AWARDS

In addition to the endowed awards, Pardee RAND also provides funding through awards offered on an annual
basis as part of the awards competition. As of 2020, the following awards are likely to be offered:

The JL Foundation Dissertation Award: This award is made through the JL Foundation to support
dissertations on issues related to children and families. To apply for these awards, you must follow the pre-
screening procedures listed below. Those selected through this pre-screening will be asked to submit their
proposals to the JL Foundation.

The Pardee Dissertation Award for Global Human Progress: This award is designed to support original and
highly creative approaches to solving a policy challenge that affects the developing world especially in Asia or
Africa. The dissertation should be in the current area of focus of the Pardee Initiative for Global Human
Progress and lead to developing implementable solutions to global or multinational challenges in Asia or
Africa.

AWARDS OFFERED THROUGH OTHER RAND BUSINESS DIVISIONS

Other RAND divisions provide dissertation support as wellStudents are encouraged to speak with researchers
in their areas of interest to explore this option.

Note, dissertation funding is, by definition, considered unburdened at RAND. However, to obtain
unburdened treatment, funding must be specified as for dissertation use at the time the proposal is
submitted. Project funds that are used to support dissertations will be treated as regular burdened research
unless the funder has specifically allowed a piece to be carved out for a dissertation.

COMMENCEMENT AND EXCELLENCE AWARDS

Degrees are formally awarded at commencement exercises, which are held biannually, typically in June.
Pardee RAND facilitates the rental of caps and gowns for graduates. Certain benchmarks must be reached to
qualify to participate in commencement exercises.

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While dates may vary from year to year, in general for Ph.D. candidates, the dissertation must be submitted
and approved by June 1 of that year. If a student believes that there is a very good chance that signatures will
be obtained before the date of the commencement exercises, he or she may petition for special contingent
permission to participate.

For M.Phil. candidates, all requirements for the degree, as set forth in the section THE MASTER OF
PHILOSOPHY (M.PHIL) DEGREE, must be completed by June 1 of that year. Students enrolled in spring quarter
courses that if passed will meet the course credit requirement may petition to be allowed to participate in
commencement if all other criteria have been met.

Several awards in recognition of academic and research excellence are presented at commencement
exercises:

The Herbert Goldhamer Memorial Award recognizes one or more outstanding Pardee RAND students who,
as prospective advisers, are proficient in the techniques of policy analysis and, in addition: approach general
problems through particular situations; respect the individuality of events, avoid jargon and, when feasible,
the use of technical terms; show a sensitivity to the nuances of human experience; and seek to enrich the
understanding of the present through an appreciation of the past. To be eligible for this award, the student
must have completed at least the prospectus of the dissertation; however, in practice this award has
traditionally been given to a student who has completed the Pardee RAND program and is part of the
commencement exercises in that year.

The Glenn A. Gotz Award in Economic Analysis is given to a Pardee RAND student or graduate for
outstanding work in economics, both in coursework and in their dissertation. Glenn was an economist at
RAND from 1973 until 1998, focusing on military manpower and logistics issues. From 1985 until 1990, Glenn
directed the Defense Manpower Research Center in the RAND National Defense Research Institute, and from
1990 until he departed RAND, he directed the Graduate Student Summer Intern Program. Glenn passed away
suddenly in 2006. This award was established by his friends and colleagues to honor his memory.

The Edwin E. and Mary T. Huddleson Outstanding Teacher Award is presented annually to two Pardee RAND
professors in recognition of excellence in teaching. The award recognizes faculty for careful preparation for
each lesson; challenging and interesting classroom instruction; availability to students; excellence in
communication; attention both to theoretical issues and to practical applications in a policy context;
providing an atmosphere of mutual respect and intellectual curiosity; and for engaging, encouraging, and
inspiring students to their highest levels of achievement. The award is currently given to a core professor and
an elective professor each year. Both recipients are recognized at the Commencement exercises. The student
representative organization runs the process to allow the Pardee RAND student body to select the recipients
of this award.

The Gaylord K. Huth Memorial Award is awarded to the student who completes the best dissertation dealing
with public policy in a technical field, such as telecommunications or information systems. If there are no
dissertations in a technical field, the award will be given to a dissertation that is distinguished by its overall
innovation and excellence.

The Richard E. Sherwood Memorial Award is awarded in recognition of innovation and excellence in the field
of foreign affairs. It is given to the student with the most outstanding dissertation on a topic related to
international relations and foreign affairs.

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OUTSIDE DISSERTATION FUNDING
Numerous outside organizations including government agencies and private foundations provide dissertation
support. Outside funding is an indicator of quality and relevance in a student dissertation, and, students are
encouraged to explore the options available to them in their chosen policy field.

Awards that are specifically and exclusively to support a student’s dissertation do not carry RAND overhead
and can be set up as “unburdened” projects once they are awarded. If the award is not designated by the
funder as a dissertation award, the student must clearly indicate this in the proposal and the funder must at a
minimum not exclude this use in the award in order to qualify for unburdened treatment.

However, prior to submitting a proposal to an outside organization for consideration, please check with the
Student Financial Services Manager to verify whether the application needs to go through RAND Contracts
and to confirm that the budget is appropriate.

For guidance on sourcing and applying for outside dissertation funding, students can review Funding Your
Dissertation: External Opportunities.

WITHDRAWING FROM THE PROGRAM

A student who leaves Pardee RAND before completing the program must immediately return all RAND
property (such as computers and library materials) and settle any outstanding financial obligations to Pardee
RAND. Financial obligations include, but are not limited to outstanding tuition payments and unfulfilled OJT
obligations:

TUITION
Tuition is due and payable for all quarters and portions of quarters completed. Specific fees are subject to
change on an annual basis and will be communicated to all students prior to the start of each academic year
by the Student Financial Services Manager. Students who withdraw during an academic term are entitled to a
partial refund of tuition paid for that term prorated according to the TUITION REFUND/PAYMENT SCHEDULE.

OJT
Students who are not current with OJT obligations as of their departure date must cover any outstanding
balance, either by immediate payment or, with permission, by setting up a payment plan with RAND.

OTHER EXPENSES
Other expenses owed to RAND, including library fees, telephone bills, dental insurance, health insurance, and
computing charges not covered by the fellowship are due in full at the time of separation from the School.

PROMISSORY NOTES
Students who owe tuition and/or OJT balances are required to sign a Promissory Note for their outstanding
balances as part of the check-out procedures. A list of these procedures can be obtained from the Registrar.
The terms of the Promissory Note will be set through discussions with the Financial Services Manager, but in
general the repayment period should be between one to three years and may not exceed five (5) years.

Other expenses owed to RAND, including library fees, telephone bills, dental insurance, health insurance, and
computing charges not covered by the fellowship are due in full.

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BEYOND THE PHD

CAREER SERVICES
The goal of Career Services is to raise early awareness of the various career paths and opportunities available
to students and to provide the guidance, support and resources needed to help you secure meaningful
employment upon graduation. Specifically, Career Services offers:

• Customized, one-on-one career guidance and support,

• Advice on how to network and leverage the RAND and Pardee RAND network of valuable contacts
and resources,
• Insights into various careers and roles through practitioner and alumni visits and career talks,
• Professional development/career skills workshops,
• On-campus information and recruiting sessions with potential employers, and
• Job interview preparation.

Please refer to the Career Services intranet page for more information regarding career services and
resources.

THE JOB SEARCH

While a student’s job search is most intense during the last two years of the program, a time when you will
be heavily focused on your dissertation, it is important to use the early years to think about your career goals
and preferences, and to plan and investigate career options and resources. Career Services is here to help
you do just that.

To guide you in how best to use your time productively, Career Services has developed “A Career Services
Road Map for Students.” We encourage you to think of each year as a building block, progressing along the
steps necessary to conduct an effective job search. It takes time to develop a job strategy, conduct
networking, engage in informational sessions, attend relevant conferences and obtain possible externships,
identify target employers, customize a resume and alert your network to your active job search status when
you are ready to interview for permanent positions. Breaking down the process into manageable tasks each
year will serve to de-mystify the effort and help you to avoid feeling overwhelmed in your final years in the
program.

One of the most important activities is building your network, contacts that can be quite useful in helping you
to refine your career goals, determine best fit roles and employers, and in connecting you with opportunities
when it comes time to find a job. Your networking begins your first day in the program and continues
throughout your tenure with us, and throughout your entire career!

For more information, tips, and resources, go to Career Services: Networking Tips.

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ONE- ON- ONE SESSIONS WITH THE CAREER SERVICES DIRECTOR
Each student is strongly encouraged to meet with the Career Services Director each year. See the Career
Services Road Map for Students for the focus of these sessions. Appointments for individual meetings can be
made directly with the Career Services Director.

EMPLOYMENT OPTIONS AT RAND FOLLOWING GRADUATION

RAND does not normally hire graduates of the Pardee RAND Graduate School as employees immediately
after completion of their Ph.Ds. This policy exists for the graduate's own professional development since it is
important for all new Ph.Ds. to gain experience and credibility beyond the institution that granted their
degree. It is also intended to protect the faculty-student relationship during the student's time at Pardee
RAND. Furthermore, limiting RAND hiring of Pardee RAND students is necessary to ensure the full
accreditation of Pardee RAND as a quality Ph.D. program whose graduates compete and succeed in the
academic and professional community outside of RAND. This policy outlines conditions under which Pardee
RAND graduates may be hired by RAND. However, there are some opportunities regarding bridge
employment, fellowships and other options that may be worth considering depending on the individual
qualifications, needs and goals of each graduate.

POST-DOCTORAL STATUS AT RAND

Students whose research obligations to RAND do not terminate with the completion of their dissertations
may be approved, upon application to the Associate Dean, for a short period of post-doctoral status not to
exceed six months. For the 2020-21 Academic Year this period is being extended to 12 months.

This status should not be considered automatic, and the presumption is that the timing would be short-term
(a few weeks or months, not an automatic six months). If a student completes the dissertation prior to the
completion of his or her OJT commitment, and if both the unit and the student agree that the student should
remain for a brief period of no more than six months to complete the work, then a few weeks or months of
post-doctoral status may be authorized.

Students on an F-1 visa must obtain OPT (see the section OPTIONAL PRACTICAL TRAINING (OPT) FOR
INTERNATIONAL STUDENTS) and have a valid Employment Authorization Document (EAD) prior to
commencing post-doctoral status.

Because they are no longer tuition-paying students, graduates who are approved for post-doctoral status will
be required to pay for their own health insurance (they may keep their RAND insurance through COBRA by
filling out the required paperwork) and may have to vacate their student cubicle/office. They may retain their
RAND computer for the duration of their status if their project or projects are sufficient to cover the costs.

Pay rates do not change for students on this status.

POSTDOCTORAL FELLOWSHIPS AT RAND

Pardee RAND graduates may be offered an internally or externally sponsored fellowship (sometimes
described as a "postdoctoral" position) at RAND. However, these opportunities are rare, and must be of
limited duration; up to a year in length. Graduates considering such a position are encouraged to seek advice
from Pardee RAND’s deans prior to applying for such fellowships, should they be offered.

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ADJUNCT STAFF STATUS:
Pardee RAND graduates who have fulltime positions at another institution (e.g., faculty positions;
employment through the VA) may hold an adjunct or affiliated adjunct relationship with RAND under the
usual terms and conditions associated with those job classifications. To apply for a position, graduates need
to have a RAND researcher fill out the Adjunct Request Form. The application will be reviewed by the
Associate Dean and RAND’s Human Resources Department. Graduates are offered a standard rate, but like
with any job may negotiate a new pay rate based on specialized expertise and / or a substantially higher pay
rate at the new place of fulltime employment. For information about the adjunct and affiliated adjunct staff
classifications, see RAND’s Adjunct Staff and Affiliated Adjunct Staff Policy.

REGULAR HIRES:
A limited number of Pardee RAND graduates may be considered for regular RAND employment immediately
following graduation, but only with the prior approval of the Pardee RAND Dean. Decisions regarding
whether to make an employment offer and the terms of the offer will be made as usual by the appropriate
hiring department (i.e., by GRT in the case of policy research and analysis positions). If there are any RAND
hires, the total number cannot exceed approximately 10% of the Pardee RAND graduating class each year.

Existing RAND employees who enter the Pardee RAND graduate program after at least two years of regular
(non-term) employment are not subject to the hiring quota (and do not count against the quota limit) if they
subsequently apply for re-hire by RAND.

Questions about interpretation of this policy should be addressed to Melissa Rowe, Vice President, Global
Research Talent (x6485). Issues needing resolution should be brought to the President's Office.

BENEFITS

HEALTH INSURANCE
All Pardee RAND students must have health insurance throughout their enrollment in the Pardee RAND
program. A student must either be enrolled in a RAND-sponsored health care program or demonstrate that
he or she is covered by outside health insurance.

Students who move to another RAND location must change their health insurance to the program offered for
students in that office. Note, please be aware that if you update your address in Workday to a location
outside a RAND office that offers HMO coverage, you may be automatically dropped from your HMO
coverage effective the date of the change. Please make sure you have contacted the Associate Dean and
Assistant Dean for Academic Affairs and otherwise followed Pardee RAND procedures for a move before
making a change to your address.

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RAND-APPROVED HEALTH CARE PROGRAM
Students may enroll in the RAND-sponsored HMO available to Pardee RAND students when they first enter
the program (or re-enter after an approved leave of absence). They may change coverage levels during
RAND’s annual open enrollment or within 30 days following a qualifying life event (birth of a child, marriage,
etc.) in accordance with benefit plan provisions. For more information, visit the Health Benefits Overview
intranet page or the Other Benefits and Programs Overview intranet page. Pardee RAND-paid coverage ends
when students complete the program or take a leave of absence from Pardee RAND. Graduates may continue
their health insurance at their own expense for the period provided for under the provisions of COBRA.

NON-RAND HEALTH INSURANCE

Students who opt to obtain health insurance outside of RAND must provide Pardee RAND with evidence of
this outside coverage at the start of each term. Pardee RAND will reimburse for this coverage only if the
student is enrolled but does not reside near a RAND office that offers an HMO insurance program. The
amount of the monthly reimbursement may not exceed the monthly cost of Pardee RAND student insurance
in Santa Monica.

DEPENDENT CARE AND OTHER HEALTH-RELATED INSURANCE

Students are responsible for contributions toward the cost of coverage for qualified dependents they enroll
in the RAND-sponsored health plan. Dental and vision insurance for students and qualified dependents is
available at the students’ expense (full cost of the coverage). Qualified dependents are defined on the RAND
Benefits website. Students who do not have sufficient earnings to pay these premiums through payroll
deduction will be required to write checks to RAND on a monthly basis.

RAND EMPLOYEE ASSISTANCE PROGRAM (EAP)

RAND's Employee Assistance Program (EAP) and Resource and Referral Services are available to full- time
students and their household members 24 hours a day, seven days a week at no cost through confidential
services provided by Magellan Corporation. For more information please call: 1-800-523-5668 (or 800-456-
4006 for the hearing impaired) or online at http://www.MagellanAssist.com [Go to new user, enter
telephone (800-523-5668), and enter company name (RAND Corporation)].

The EAP component provides confidential short-term counseling (up to eight in-person sessions with a
licensed clinical professional), as well as unlimited access to counselors by phone, 24 hours a day, seven days
a week. The Resource and Referral component can provide you with assistance and information to help you
manage personal and dependent care issues. The Magellan EAP Resource and Referral Services can help
employees and family members with such issues as family and relationships, stress, grief and loss, alcohol or
drug concerns, depression and anxiety, work-life balance, finding suitable child care or elder care providers,
caring for children or aging parents, and legal and financial consultation.

SICK LEAVE POLICY

In accordance with the new Healthy Workplaces, Healthy Families Act of 2014, RAND provides eligible
students in California paid sick leave benefits. Sick hours are earned (accrued) at a rate of one hour for every
30 hours charged. Pardee RAND Graduate Students are entitled to use their accrued sick hours beginning on
their 90th day of employment (most students entering in the fall are eligible in January). The rules are
summarized as follows:

• Sick hours may be charged once they are accrued

• Sick hours may be charged when unable to perform project work as expected or scheduled due to
illness or the diagnosis, care or treatment of an existing health condition of, or preventive care for,

69
 the student or time spent assisting a family member with these things (see
https://randus.sharepoint.com/hr/ben/Pages/sickleave.aspx for full definition)
• Up to 72 unused sick hours can be carried over to the next Payroll year
• Sick hour balances (hours available for use) will be reflected on your pay stub in the “absence plans
section”
• There is no payout for accrued sick hours upon separation from employment
• Sick hours are paid out at the student’s hourly pay rate

Sick time is intended for when the student is unable to perform project work due to the reasons noted above
(students cannot charge sick for missing a class session)

Timely notification should be made to the appropriate supervisory contact when you will be out sick rather
than working as expected

The PTN/absence code to use for sick leave on your timesheet is “Sick Time Off.”

Further information can be found under RANDTime Timekeeping Guidelines.

PARENTAL LEAVE POLICY

The Pardee RAND Graduate School administration understands the importance of work-life balance and
aspires to support the success of its students. Recognizing that the birth of a child or placement of a child
with you for adoption (or for a foster care to adoption arrangement) is a significant life event that will likely
require time away from academic endeavors, students are eligible for parental leave, including a pay
continuation benefit. Students should notify the Registrar and confer with their HR Services Manager at least
30 days in advance of when they anticipate taking time away related to parental leave (and would therefore
be unavailable to report for courses and perform their on-the-job training requirements). Parental Leave,
along with the other forms of leave outlined in the policy, are administered by RAND HR.

Effective: This policy is effective April 1, 2019.

Eligibility: All Pardee RAND Graduate School students who pay tuition and are eligible for a RAND fellowship.
Please refer to the tuition section of the student handbook for more information.

• Students are eligible to receive up to a maximum of 2.5 days (20 hours) of paid parental leave per
pay period (not to exceed their current work schedule).
• The time is designed to be taken/charged within twelve weeks of the birth or qualifying placement of
the child. Exceptions can be made to this policy with permission from the Associate Dean.
• Paid parental leave shall not exceed a total of 15 days.
• To qualify for a pay continuation benefit, students must provide a copy of the hospital discharge
record, birth certificate, or adoption/placement (foster care to adoption) agreement to HR as soon as
practicable.
• Multiple births, such as having twins, does not increase the length of the available parental leave
time or pay available.
• Students have the option to use accrued sick time they have available in addition to the pay
continuation benefit provided by parental leave. For example, if a student’s work schedule allows
the student to receive the maximum pay continuation benefit of 2.5 days per pay period, and the

70
 student chooses to use 1 day of accrued sick time in the same pay period the student receives the
pay continuation benefit, the student would be paid for 3.5 days in this pay period.
• Tuition is not assessed during approved parental leaves.

Pardee RAND Graduate School aims to be flexible wherever feasible with students who want to take
extended time off and will consider requests from students regarding other variations to how time off might
be provided. Accordingly, students may request a leave of absence according to the Student Handbook
leaves of absence guidelines.

Pardee RAND Graduate School students who become new parents may be eligible for protected leave time
(time off from “work” with the ability to return to their “job”) under the Family and Medical Leave Act
(FMLA)1 and any additional relevant laws, but these laws do not provide specifically for paid time off. As
outlined here, Pardee RAND Graduate School specifically provides paid time off for students who become
new parents and supports students in taking time off in accordance with these protected leaves. When
applicable, FMLA leave time runs concurrently with parental leave described within this policy.

The paid parental leave benefit may be terminated by Pardee RAND Graduate School if the student informs
the school administration during the leave that she/he does not intend to return to Pardee RAND Graduate
School. The parental leave benefit does not accrue, and any unused balance will not be paid out to students
upon departure from Pardee RAND Graduate School.

PARDEE RAND MEDICAL LEAVES POLICY

If a student should need to interrupt their studies to deal with a condition requiring medical attention they
may request a medical leave of absence.

REQUIREMENT TO NOTIFY PARDEE RAND OF A FAMILY OR MEDICAL LEAVE REQUEST

Students must notify the Registrar of any request for a medical leave at least 30 days prior to the effective
date of the leave or, if the student’s absence is unforeseeable, as soon as a student becomes aware of the
need for the leave. The Registrar will notify Human Resources.

REQUIRED CERTIFICATION FOR LEAVES AND CLAIMS

Students are required to submit a Certification of Health Care Provider form to the Registrar within 15 days of
student’s request for leave or within 15 days of the commencement of student’s leave, if it was unforeseen.
Recertification of a serious health condition may be required. The physician or practitioner providing care to
a student and/or student’s family member must complete the certification form.

However, it is the student’s responsibility, not the physician’s, to ensure that the form is submitted in a
timely manner. This certification is for RAND’s use in documenting and considering leave requests, and the
form does not contain specific medical or diagnostic information. If a student has disability insurance he or
she may be required to submit medical information directly to the insurance provider. This is separate from
the documentation students are required to provide to Pardee RAND.

1Providing that they have been employed by RAND for at least one year and have worked at least 1,250 hours in the past year
at the beginning of the FMLA qualifying leave of absence; for complete details, see RAND’s Family and Medical Leave policy,
which governs these leaves.

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KEEPING PARDEE RAND APPRISED OF STUDENT STATUS
While students are on medical leave, they are expected to communicate with the Registrar at least every 30
days to apprise Pardee RAND and RAND of any changes to their status and/or their intention to return.

WHEN STUDENTS RETURN TO SCHOOL OR AN APPROVED LEAVE EXPIRES

If a leave is for student’s own serious health condition, students must submit medical certification from
student’s health care provider releasing students to return to work, and listing any work restrictions, before
students return to RAND. The release should be submitted to the Registrar, who will convey this information
to RAND’s Human Resources Department. If students are not released to work, students will be put on a
leave of absence and expected to return all RAND property and settle student’s financial obligations by the
last day of student’s approved leave.

PAID TIME OFF AND INSURANCE BENEFITS DURING LEAVE

Tuition is not assessed during approved medical leaves. Students may request a continuation of their living
stipend (fellowship minus tuition) for a set period not to exceed three months (one quarter). If the request
for continued payment is granted, the Pardee RAND student will be required to sign an acknowledgment that
he or she understands that he or she is incurring a future work obligation or obligation to repay the resulting
debt.

MAINTENANCE OF BENEFITS WHILE ON LEAVE

If students are eligible for RAND health benefits, Pardee RAND will continue to make the premium
contributions to the student’s health insurance for the duration of the student’s approved medical leave.

If students normally pay a portion of the premiums for student’s health insurance, students will continue to
be responsible for these payments, whether the student’s absence is paid or unpaid. If a student’s absence is
paid and the student’s net pay is sufficient, deductions will be taken as usual. If the student’s net pay is not
sufficient or the student’s absence is unpaid, students may be billed for coverage. If students are billed for
the required payments, they have a 30-day grace period in which to make premium payments. If payment is
not made on a timely basis, the student’s benefits may be canceled.

MAINTENANCE OF STUDENT STATUS WHILE ON (FULL-TIME) FAMILY AND MEDICAL

LEAVE
Students on family and medical leave are permitted to retain their RAND computers, email, and access
badges. However, as they are not paying tuition, they are ineligible to bill OJT, take classes, or complete any
dissertation milestones.

WHEN STUDENTS RETURN TO SCHOOL OR AN APPROVED LEAVE EXPIRES

Students are advised to provide as much notice as possible to the Pardee RAND Registrar of their intent to
return to work and school.

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FINANCIAL OBLIGATIONS DURING LEAVE
Tuition is not assessed during approved leaves. If the student has past-due tuition or OJT debt to RAND at the
time the leave is requested, he or she will be required to sign an acknowledgment of that obligation in the
form of a Promissory Note prior to departing on leave.

MILITARY LEAVE
Pardee RAND strongly supports students as they perform their obligations to serve in America’s armed forces
and recognizes and values the contributions they make to the United States in this capacity. All students will
be excused from classes, OJT, and dissertation research to perform active- or reserve-duty service in the U.S.
military and will not lose their student status for leaving Pardee RAND to perform such service.

REQUIREMENT TO NOTIFY PARDEE RAND OF A MILITARY LEAVE REQUEST

Students should notify the Registrar about upcoming military service requirements as early as possible,
unless military necessity or some other unavoidable reason prevents them from doing so. Notice may be
verbal or written and may come from the student or from an appropriate officer of the branch of the military
in which the student will serve. For continuous absences of 10 or more work days, students must forward to
Pardee RAND as soon as is feasible a copy of their official orders or other written documentation that details
their military service obligations.

MAINTENANCE OF STUDENT STATUS WHILE ON MILITARY LEAVE

Students on military leave are permitted to retain their RAND computers, email, and access badges.

However, as they are not paying tuition, they are ineligible to bill OJT, take classes, or complete any
dissertation milestones. Depending upon the circumstances, they may be required to vacate their office until
their return.

MAINTENANCE OF BENEFITS WHILE ON LEAVE

RAND health coverage for the student will be discontinued during the period of deployment and reactivated
upon return. Coverage for dependents may be continued for a period not to exceed six months as long as the
student covers the co-pay.

SECURITY
Although crime at RAND is rare, students are cautioned to be aware of their surroundings when entering and
leaving the premises, especially during hours of reduced visibility. Students should immediately report any
security incidents or complaints to a RAND security officer. RAND is not liable for the loss, damage, or theft of
personal property brought onto the premises. Students are advised to check the RAND Security and Safety
Intranet site periodically for information about current advisories issued to protect the safety of the RAND
community.

73
ETHICAL CONDUCT

PRINCIPLES OF ETHICAL CONDUCT

In addition to RAND’s corporate policies, Pardee RAND community, students, faculty, and staff are guided in
their daily actions and decisions by general principles of honesty, integrity, and personal responsibility. In
upholding these principles, Pardee RAND community members are expected to conduct themselves in an
honorable and ethical manner at all times, especially (though not exclusively) with respect to oral and written
statements, academic assignments, and the handling of sensitive materials, such as proprietary materials,
human subjects materials, and classified documents.

All policies and procedures that apply to Santa Monica-based students apply to students at all other
locations.

EXAMPLES OF UNETHICAL CONDUCT

Examples of unethical conduct include, but are not limited to, the following:

• Representing as one’s own the work of another;

• Giving or receiving any unauthorized aid on an assignment or exam, including discussing or working
in groups on any assignment that has been designated as an individual project by a professor;
• Studying from prior exams when such practice has been specifically disallowed by the professor;
• Violating the rules set forth by a professor about a take home exam; and
• Misrepresenting any material fact on a resume, financial aid form, residency form, or other official
document.

In their capacity as RAND employees, students must also comply with all standards of conduct established by
RAND, including those prohibiting scientific misconduct, which may be found on the RAND intranet under
Research Misconduct.

POLICY CONCERNING COLLABORATIVE WORK

RAND and Pardee RAND often encourage collaboration. As a result, there are many circumstances in which
one student’s contributions cannot be easily separated from those of other students and/or researchers. In
such situations, Pardee RAND expects students to:

• Report to professors and/or principal investigators any ambiguity regarding expectations about
collaboration,
• Disclose collaboration, explicitly stating which work (both academic and OJT) is original, which
portions are a product of collaboration, and who contributed to work that is not original, and
• Obtain prior permission to use project work in academic work, where appropriate.

74
POLICY CONCERNING ATTRIBUTIONS AND CITATIONS
All students are expected to understand and adhere to RAND’s policies regarding Attributions and Citations.
Incoming students receive instruction during the first quarter regarding these policies and complete the
Memorandum on RAND Attribution and Citation Policy during the first quarter

Notice to Students on Unauthorized Sharing of Copyrighted Materials

File-sharing and peer-to-peer software programs (such as uTorrent, BitTorrent, and others) are not in
themselves illegal, but what you share and how you share it may be. When you upload or distribute copies
you make of copyrighted works, or when you download or acquire unlicensed copies of copyrighted works,
you may be infringing someone else’s rights. This is true regardless of where the sharing occurs —e.g., in the
m1400 school wing through wifi, in wired connections in offices, or the Internet connection you subscribe to
from your apartment or home—and it does not matter if it is with a few friends or the whole Internet.

Students are governed by the RAND Use of Copyrighted Materials Policy, which covers information on
RAND’s policies and procedures governing the reproduction and distribution of materials copyrighted under
U.S. law by third parties, Fair Use provisions, as well as RAND resources with respect to copyrighted material.
RAND requires all Associates, including Pardee RAND Graduate School students, to comply with all applicable
Copyright laws, including (but not limited to) the Copyright Revision Act of 1976, the Digital Millennium
Copyright Act (DMCA), and the Copyright Term Extension Act.

If you are infringing —even unwittingly —you can be subject to civil damages and criminal penalties:

Summary of Civil and Criminal Penalties for Violation of Federal Copyright Laws

Copyright infringement is the act of exercising, without permission or legal authority, one or more of
the exclusive rights granted to the copyright owner under section 106 of the Copyright Act (Title 17
of the United States Code). These rights include the right to reproduce or distribute a copyrighted
work. In the file-sharing context, downloading or uploading substantial parts of a copyrighted work
without authority constitutes an infringement.

Penalties for copyright infringement include civil and criminal penalties. In general, anyone found
liable for civil copyright infringement may be ordered to pay either actual damages or “statutory”
damages affixed at not less than $750 and not more than $30,000 per work infringed. For “willful”
infringement, a court may award up to $150,000 per work infringed.

A court can, in its discretion, also assess costs and attorneys’ fees. For details, see Title 17, United
States Code, Sections 504, 505. Willful copyright infringement can also result in criminal penalties,
including imprisonment of up to five years and fines of up to $250,000 per offense. For more
information, please see the website of the U.S. Copyright Office at www.copyright.gov.

There are many sources for digital entertainment, including YouTube, Amazon, Netflix, etc. We encourage
you to explore these options not only to avoid legal risks, but the risks of viruses and malware associated
with some file sharing networks.

Additional legal options for use of copyrighted material for academic and project work can be found in the
RAND Use of Copyrighted Materials Policy.

75
Compliance with the Human Subjects Protection Committee (HSPC)
Before working with or collecting data of any kind to support the dissertation, students must receive an
approval or exemption from the HSPC. In their second year, all students complete a seminar on human
subjects protection, and complete the online CITI training. Once a student’s research plan is developed and
approved their committee, a RHINO must be submitted and a determination made either approving the plan
or exempting it from human subjects protection. All students are expected to understand and comply with
HSPC protocols. For more information, including tips for expediting the process, see the HSPC home page and
the compliance protocols listed here by division.

Unit and Key Contact How HSPC How projects are First Reminders and Noncompliance and
Becomes Aware of Notified to Submit to HSPC Notifications Sanctions
Potential Projects Process

Angela O’Mahony Students submit a Students attend a Before scheduling In case a student is
Assistant Dean of Academic RHINO form prior mandatory seminar during a proposal nonresponsive to
Affairs to starting any their 2nd year in the defense, students HSPC email requests,
x7925 work using primary program that explains must show that after the 3rd request
aomahon1@rand.orgor or secondary data compliance with HSPC rules. they have HSPC liaison will have
for their completed the Rachel Swanger and
Rachel Swanger dissertation. CITI training Angela O’Mahony on
Associate Dean course in Human the CC line.
x7197 Subjects.
swanger@rand.org
Before scheduling
a dissertation
defense, students
must show that
they have
received HSPC
project approval/
exemption.

NON-DISCRIMINATION
Pardee RAND is committed to providing an environment that is free of discrimination based on race, color,
religion, sex (including pregnancy, childbirth and related medical conditions), sexual orientation, gender
identity, national origin, age, disability, veteran status, marital status, genetic characteristic, or any other
legally protected condition or characteristic. Such conduct is in violation of federal and state laws, including
Title VII of the Civil Rights Act of 1964, as amended and Title IX of the Education Amendments of 1972.
Pardee RAND also prohibits unlawful discrimination on the basis of citizenship. Pardee RAND complies with
all RAND policies related to non-discrimination. These policies may be reviewed online at the RAND website
under Prevention of Harassment, Discrimination, and Retaliation.

Students who believe they have been subjected to discriminatory treatment should utilize the complaint
procedures set forth in RAND’s Prevention of Harassment, Discrimination, and Retaliation policy.

76
TITLE IX: SEXUAL ASSAULT, DOMESTIC VIOLENCE, DATING VIOLENCE, AND
STALKING
Pardee RAND is committed to providing an environment free of sexual assault, domestic violence, dating
violence, and stalking (also referred to collectively as the “Prohibited Conduct”). The Prohibited Conduct
violates Pardee RAND policy and may result in serious disciplinary action (in the student’s capacity as a
student and as a RAND employee), up to and including expulsion from the program and termination of
employment. This policy applies to conduct involving a Pardee RAND student, whether the conduct occurred
on or off campus.

This policy also applies to Prohibited Conduct that occurs while the candidate is in the process of application
for admission to Pardee RAND, as well as improper conduct directed towards fellow students. Complaints of
Prohibited Conduct should be made, and will be handled, consistent with RAND’s Prevention of Harassment,
Discrimination, and Retaliation policy.

It is each student’s responsibility to read, comprehend, and adhere to this policy.

TITLE IX GRIEVANCE PROCEDURES: GRIEVANCE PROCEDURES FOR GENDER-BASED AND

SEXUAL MISCONDUCT
Anyone who believes they have been subjected to gender-based or sexual discrimination or harassment (“sex
and gender-based misconduct”) is encouraged to report these incidents. Upon receiving a report, Pardee
RAND Graduate School will respond promptly, equitably, and thoroughly. In addition, Pardee RAND will take
steps to prevent the recurrence of the alleged sex and gender-based misconduct and correct its effects, if
appropriate. Students involved in a gender-based misconduct matter may request academic or work
accommodations. Pardee RAND is committed to providing an employment and/or learning environment free
from gender-based discrimination or harassment. The grievance procedures are detailed on the Pardee RAND
intranet.

Inquiries regarding Title IX can be referred to the RAND Title IX Coordinator, Pardee RAND’s HR
representative, Stephen Galanis, or to the Assistant Dean for Academic Affairs.

DRUGS AND ALCOHOL

RAND is committed to providing a safe work environment and to fostering the health and well- being of its
employees by maintaining a workplace free of drug and alcohol abuse. RAND and Pardee RAND Graduate
School standards of student conduct prohibit the unlawful possession, use, or distribution of illicit drugs and
alcohol by students on the RAND campus or as part of any Pardee RAND activity. RAND’s Prevention of Drug
and Alcohol Abuse policies apply to all Pardee RAND students. The use of illicit drugs and the misuse of
alcohol are potentially harmful to health. Students having drug problems or difficulty controlling their use of
alcohol are encouraged to reach out to their health care provide or the RAND Employee Assistance Program.

77
ALCOHOL AT GRADUATE SCHOOL EVENTS
Alcohol may be consumed in moderation at Pardee RAND and RAND events and/or on Pardee RAND and
RAND premises during organized events in accordance with the policy on Serving Alcoholic Beverages at
RAND.

PROHIBITED CONDUCT
Pardee RAND strictly prohibits any use, sale, purchase, transfer, possession, distribution, manufacture or
dispensation of any prohibited substance on Pardee RAND and RAND premises, in a Pardee RAND and RAND
vehicle or while on Pardee RAND and RAND business. Reporting to work or school or working under the
influence of alcohol or a prohibited substance is also forbidden. A Pardee RAND student who uses, possesses,
sells or provides prohibited substances may be subject to discipline up to or including expulsion.

NOTIFICATION OF DRUG CONVICTION

All Pardee RAND students are required to notify Pardee RAND of any criminal drug statute conviction within
five (5) calendar days after the conviction. Pardee RAND recognizes our compliance obligations under federal,
state and local laws including the Drug-Free Schools and Communities Act Amendments of 1998 and the
Higher Education Act. Students who have been convicted of possession of a controlled substance, or who
have been convicted of the sale of a controlled substance will lose eligibility for federal student loans. The
Higher Education Act provides that a student can regain eligibility, regardless of the number or type of
convictions on the student's record, by successfully completing a drug rehabilitation program that complies
with criteria established by the Secretary of Education and that includes two unannounced drug tests. The
complete regulation can be found at the U.S. Department of Education website, under 1998 Amendments to
the Higher Education Act of 1965 A printed copy is available at the Registrar’s office.

DISCIPLINARY ACTIONS
Pardee RAND reserves the right to initiate disciplinary actions in response to actions not conforming to its
expectations of ethical academic conduct. Such actions will be dealt with by the Dean on a case-by-case basis.
The Dean will consult with other members of the Pardee RAND community as warranted and will determine
whether the student in question is responsible for the actions indicated and will impose a sanction
appropriate to the severity of the conduct. In order of severity, possible sanctions include a warning, a
probationary period, suspension from Pardee RAND, and dismissal from Pardee RAND.

Students may dispute such disciplinary actions in accord with the Pardee RAND grievance process, outlined in
the section PARDEE RAND GRIEVANCE POLICY.

PARDEE RAND GRIEVANCE POLICY

OVERALL POLICY
Pardee RAND students are strongly encouraged to resolve academic and OJT issues promptly, directly, and
informally whenever possible. Grievances that cannot be resolved through direct discussion with the

78
individuals involved should be taken to the Assistant Dean for Academic Affairs or Associate Dean for further
attempts at informal resolution. (See the section INFORMAL GRIEVANCE PROCEDURES.)

When such informal resolution efforts cannot resolve a grievance, however, students may avail themselves of
the formal grievance procedures set forth below, in order to seek independent review of their grievance.

The RAND Human Resources Department serves as a general resource on issues or questions regarding
overall RAND policies or for students with grievances relating to Pardee RAND administration.

STATEMENT OF PURPOSE
In all cases, the School’s commitment to the student is to seek timely resolution of grievances in a fair and
consistent manner based on impartial examination of the facts. Retaliation for raising a grievance, submitting
a formal complaint, or cooperating with an investigation is strictly prohibited and is a serious violation of this
policy.

The procedures specified here are to be followed when no other specific School policy or procedure, such as
RAND’s Prevention of Harassment, Discrimination, and Retaliation policy, exists that would more
appropriately and effectively bring about a resolution of a student’s grievance.

DEFINITIONS
A “grievance” covered by these grievance procedures includes any complaint by a student that an employee,
student or another representative of Pardee RAND or RAND has acted in a manner that is arbitrary,
capricious, or contrary to established policies, and such action has resulted in an unjust or serious adverse
impact on the student. Grievances covered by this policy may include (but are not limited to) disciplinary
action taken against a student for alleged misconduct or violation of Pardee RAND policy, including dismissal
from the program. Neither this grievance policy nor its associated procedures shall apply to any matter
inherent in the academic freedom of Pardee RAND or any individual faculty member or instructor, including
disputes over the content or conduct of a course of instruction. Similarly, this grievance procedure shall not
apply to any good faith dispute over the quality of a student’s scholarship (including grades issued for
academic work), except as may be relevant in the case of dismissals or other similar actions tied to such
matters.

When issues of discrimination or sexual harassment are involved, students should consult RAND’s Title IX
Policy and follow the complaint procedures set forth therein. The RAND Human Resources Department will
assist students with complaints of discrimination or harassment consistent with RAND’s policies on such
matters.

A “student” is anyone who was enrolled at the School at the time the perceived wrongdoing occurred. A
“Complaint” is part 3 of the “Notice of Grievance” form the student files with the Assistant or Associate Dean
to initiate the Formal Grievance Procedure.

TIME LIMITS
The Formal Grievance Procedure must be initiated, and a Complaint filed with the Assistant Dean for
Academic Affairs or Associate Dean, no later than six calendar months after the date the action or decision

79
that is the subject of the grievance occurred. Failure to timely initiate the Formal Grievance Procedure will
constitute a waiver of the right to formally dispute the action or decision involved.

Anyone who cannot perform a step in the Formal Grievance Procedure defined below within the time
specified herein must ask the Dean for an extension before the time limit has been exceeded and must
provide justification for why the time limit cannot be met. The Dean has the discretion to waive or extend
any time limit contained in this grievance procedure, as deemed appropriate based on the facts and other
information submitted. Failure of a complainant to observe a time limit or to receive an extension shall be
considered an abandonment of the complaint, and no further action on the matter shall be allowed.

Failure on the part of the subject(s) of the complaint to observe a time limit or to receive an extension shall
be considered agreement with allegations in the complaint and shall constitute a waiver of the right to
contest the complaint.

GRIEVANCES RELATING TO EXPULSION

If a student is expelled from Pardee RAND, the student has the right to file a grievance challenging the
expulsion. Grievances relating to expulsion shall commence at Step Four (Formal Grievance Procedure) of the
PARDEE RAND GRIEVANCE POLICY. The Informal Grievance Procedures set forth in the PARDEE RAND
GRIEVANCE POLICY will not apply with respect to a grievance relating to expulsion.

INFORMAL GRIEVANCE PROCEDURES

Step One: The student meets with the person(s) (the “other party(ies)”) immediately involved in the dispute
and discusses the grievance. The student should request a meeting with the other party(ies) promptly after
the disputed action or decision occurs. The meeting between the student and the other party(ies) should
take place within ten working days after the meeting is requested by the student, or as soon thereafter as
practicable.

Step Two: If Step One does not resolve the grievance, the student should consult with the Assistant or
Associate Dean. The student will be asked to file part 1 of the Notice of Grievance Form. The other party(ies)
will be notified that a Notice of Grievance has been filed and will be provided with the notice itself or some
other documentation explaining the nature of the grievance. The other party(ies) may choose to submit a
written response to the Notice of Grievance, a copy of which will be provided to the student. The Notice of
Grievance and any response to it will be forwarded to the Assistant Dean for Academic Affairs or Associate
Dean, who will then attempt to resolve the complaint informally by consulting with both parties. The student
must file the Notice of Grievance within five working days after meeting with the other party(ies) (pursuant
to Step One), or within twenty working days after the student first requested the meeting (if no meeting has
been held by that time).

Step Three: If Steps One and Two do not resolve the grievance and the student wishes to continue to pursue
the matter, within five working days after the completion of Step Two, the student must submit a written
request to the Assistant Dean for Academic Affairs or Associate Dean (whomever handled the earlier effort to
resolve the matter) for a meeting between the student, the other party(ies), the Assistant Dean for Academic
Affairs, and a representative of RAND’s Human Resources Office (HR), and/or a Pardee RAND faculty member
or RAND staff member of the student’s choice. This meeting should occur within five working days after the
student requests it, or as soon as practicable.

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If the grievance is resolved by the mutual agreement of the parties at this stage (before formal grievance
procedures are invoked), the student and the other party(ies) will be asked to sign and file part 2 of the
Notice of Grievance Form, indicating that the grievance has been resolved. If the resolution requires any
formal administrative action under the established policies of the School, the Assistant Dean for Academic
Affairs or Associate Dean shall send the Dean a statement of the grievance and its proposed resolution.

All parties must approve this statement of grievance. The Dean may then either approve the resolution and
take the requested action, or require the complaining student to continue to pursue his or her complaint
through the Formal Grievance Procedures. If the Assistant Dean for Academic Affairs or Associate Dean is one
of the parties named in the complaint, a representative of RAND’s Human Resources Office shall perform the
functions assigned to the Assistant Dean for Academic Affairs in these procedures, both informal and formal.

If the Dean is one of the parties named in the complaint, the President of RAND will appoint an individual to
serve instead in these procedures, both informal and formal.

If the proposed resolution does not require any formal administrative action, the resolution and submission
of part 2 of the Notice of Grievance shall be considered the final step in the grievance procedures, and no
additional complaints or defenses regarding the matter shall be heard.

Grievances settled informally are binding only on the parties involved and do not set precedent for the
School.

If the complaining student fails to follow the Informal Procedures with the other party(ies) within the
required time-limits, the Assistant Dean for Academic Affairs or Associate Dean may dismiss the complaint
and notify the other party(ies) and the student accordingly. The complaining student may submit a written
request to the Assistant Dean for Academic Affairs, Associate Dean, or Dean seeking a waiver of any or all the
Informal Procedures listing the reason(s) the Student believes the Informal Procedures should be waived. The
Assistant Dean for Academic Affairs, Associate Dean, and the Dean have the discretion to waive these
requirements, as deemed appropriate by the Deans. For example, students will not be required to follow all
or some of the Informal Procedures if the Assistant Dean for Academic Affairs, Associate Dean, or Dean
determines that imposing such requirements would be unfair, inappropriate, and/or harmful.

FORMAL GRIEVANCE PROCEDURES

Step Four: If the grievance is not resolved at the meeting described in Step Three, or if a grievance relates to
expulsion from Pardee RAND, the student may initiate Formal Grievance Procedures by completing part 3 of
the Notice of Grievance (student) (the “Formal Complaint”), to which a Response to Grievance may be filed
by the other party within five working days of receipt. The Formal Complaint should be submitted to the
Assistant Dean for Academic Affairs or Associate Dean within five working days following the meeting
referenced in Step Three or as soon as practicable. However, in no event may a Formal Complaint be filed
more than six calendar months after the act or decision which is the subject of the grievance first occurred.

The other party(ies) shall receive a copy of the Formal Complaint, and the student will receive a copy of any
response filed thereto (the “Response”). These submissions shall be sent to the Pardee RAND Grievance
Committee convened to handle the matter. The Dean will be notified that a formal grievance hearing will be
held. Except for the names of the parties involved, the details of the grievance will be held confidential to the
fullest extent practicable under the circumstances, consistent with the implementation of these grievance
procedures.

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The Pardee RAND Grievance Committee will conduct a hearing on the grievance in accordance with the
general hearing procedures set forth below in the section HEARING PROCEDURES. The hearing procedures
may be modified by the Pardee RAND Grievance Committee in its reasonable discretion as it deems
necessary to ensure a full, fair, and impartial hearing. The hearing shall be scheduled and completed within
30 days after the Pardee RAND Grievance Committee has been appointed. However, completion of the
hearing may be extended to a later date, depending upon the availability of all parties involved, the
complexity of the grievance, and the evidence and witnesses needed to ensure the matter is fully reviewed.

After the hearing is concluded, the Pardee RAND Grievance Committee will make written findings of fact and
recommendations with respect to the grievance, which must be submitted to the Dean and to the parties
within five working days following completion of the hearing, or as soon thereafter as practicable.

Step Five: The Dean will review the documentation received from the committee and consider its
recommendation(s). Based on this review, the Dean will issue a written decision, a copy of which shall be
sent to all parties. The decision of the Dean should be made within fifteen working days following receipt of
the documents from the committee, or as soon thereafter as practicable.

HEARING PROCEDURES
The Pardee RAND Grievance Committee shall consist of five members: two Pardee RAND faculty members
selected by the FCCA; one selected from the student body of Pardee RAND by the student representative
organization; the Assistant Dean for Academic Affairs (or if the Assistant Dean for Academic Affairs is a party
to the grievance, the Associate Dean, or if both are parties, a representative from the RAND Human
Resources Department); and one additional member selected from the administration, faculty, student body,
or Pardee RAND staff by the initial members of the committee. The complainant will be advised of the names
of the committee members as soon as all committee members have been appointed.

Members of the committee who may be directly involved in the subject matter of the grievance are to excuse
themselves from sitting on the committee. If any member of the committee believes that he or she cannot
serve with fairness and objectivity, he or she must excuse him or herself from the committee as soon as
possible. The student and/or the other party(ies) shall have the right to challenge the participation of any
individual member on the committee for good cause (i.e., demonstrated lack of impartiality, existing bias,
involvement in the matter, etc.) by written challenge submitted to the Assistant Dean for

Academic Affairs no later than five working days after being notified of the composition of the Pardee RAND
Grievance Committee. Late challenges will not be considered. The committee will determine whether a
member must be excused from service and a replacement appointed. When a member of the committee is
excused or is otherwise unable to participate in the committee, a substitute shall be designated by the
person or group responsible for making the initial appointment. The parties to grievance will be notified of
any changes in the composition of the Pardee RAND Grievance Committee as soon as practicable.

The committee may, after reviewing the Formal Complaint and the Response, determine that the grievance is
frivolous, too minor to warrant a formal hearing, or that the grievance does not properly state a claim on
which relief is appropriate. If the committee unanimously determines that any of these conditions apply, the
grievance can be summarily dismissed. Any such dismissal will be recorded in writing and provided to the
student. The dismissal shall conclude the grievance process. If the committee does not find grounds for
summary dismissal, the grievance proceeds to the formal hearing process.

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The committee will provide the parties with no less than ten working days advance notice of the date of the
formal hearing on the matter. The parties may request an alternative date for good cause, but such
alternative may not impose an undue delay in the proceedings. The student may be accompanied by an
adviser or friend to the hearing; however, no such adviser may have legal training. The student shall have an
opportunity to present information deemed relevant by the committee. All documents and evidence
considered by the committee may be inspected by the student, so long as they are relevant and were not
written under a presumption of confidentiality.

The committee’s hearing will be conducted to determine the facts of the grievance. The committee need only
entertain evidence that it determines to be relevant. Strict rules of evidence as used in a court of law need
not be observed, so long as the evidence offered has some probative value to the grievance. Every
reasonable effort should be made to obtain reliable evidence.

In advance of the hearing, should the student wish to do so, the student will be afforded the opportunity to
obtain necessary documents or other evidence on a cooperative basis, and the committee and School will
assist in making available any necessary and reasonably available documents and other evidence within the
School’s control; provided, however, that such discovery will only be allowed for relevant, non-privileged
evidence, as determined by the committee.

The committee may of its own accord ask relevant witnesses to attend the hearing. Likewise, the student
may ask relevant witnesses to attend the hearing. If witnesses are going to be called before the committee,
the committee and/or the student, as applicable, will provide a written list of anticipated witnesses to the
other at least three business days before the hearing. Witnesses not so identified may be called if there is
compelling need, as determined by the committee. Any objections to participation by particular witnesses in
the hearing, or the scope of such participation, will be determined by the committee.

The committee will, by a simple majority vote, and based solely on the evidence at the hearing, make findings
of fact as to the grievance and make any recommendations it deems appropriate. The committee’s decision
shall be issued in writing. The committee will submit its findings to the Dean as soon as is practicable. The
Dean will review the committee’s findings to ensure the proper procedures were followed, and then accept,
modify, or reject the committee’s findings and any recommendations it may have made. The Dean will then
decide on the matter and convey his or her decision in writing to the student, the committee and any other
involved party(ies) the Dean deems appropriate. The Dean’s decision will include his or her conclusions about
the issues raised in the grievance and the remedies and/or sanctions, if any, to be imposed. The Dean’s
decision should be rendered within 20 working days after receiving the committee’s written submission
setting forth its findings of fact and recommendations or as soon thereafter as practicable.

APPEALS
Any party involved in the grievance may appeal the decision of the Dean (as set forth in Step Five above) to
the General Counsel of RAND. An appeal must be submitted in writing to the General Counsel. If the General
Counsel is a party to the grievance, the President of RAND will appoint an appropriate individual to decide
the appeal.

The written appeal must state any and all reasons why the party believes the Dean’s decision is incorrect.
New issues should not be raised on appeal. If an appeal is filed, the other party(ies) will be notified (and will
be given a copy of the written appeal) and will be provided an opportunity to respond. An appeal must be
submitted within ten working days after the Dean issues his/her decision, and any response to the appeal
must be submitted within five days after receiving notice that an appeal has been filed. The decision of the
General Counsel shall be final and should be made within ten working days following receipt of an appeal and

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any response from the other party, or as soon as practicable. All parties will receive written notice of the
General Counsel’s decision, which shall be final, binding and non-appealable.

REVIEWING COMPLAINTS
In accordance with California Education Code (CEC) section 94874.9 of the California Private Postsecondary
Education Act of 2009, the Pardee RAND Graduate School has contracted with the Bureau for Private
Postsecondary Education (BPPE) to provide appropriate review and action on complaints. An individual may
contact the Bureau for Private Postsecondary Education for review of a complaint. The bureau may be
contacted at Bureau for Private Postsecondary Education. P.O. Box 980818, West Sacramento, CA 95798-
0818, or at (888) 370-7589 (t) (916) 263-1897 (f).

RECORD-KEEPING
The Assistant Dean for Academic Affairs will keep copies of all formal grievance complaints and outcomes for
a period of three years.

FERPA and EDUCATIONAL RECORDS

The Family Educational Rights and Privacy Act (FERPA) is a Federal law that affords students certain rights
with respect to their education records. These rights include the following:

• The student’s right to inspect and review their education records within 45 days of the day the
School receives a request for access. Students should submit to the Registrar written requests that
identify the record(s) they wish to inspect. The Registrar will make arrangements for access and
notify the student of the time and place where the records may be inspected. If the records are not
maintained by the School, the Registrar will advise the student of the correct school official to whom
the request should be addressed.
• The student’s right to request the amendment of education records they believe are inaccurate or
misleading. Students may ask the School to amend a record that they believe is inaccurate or
misleading. They should write to the Registrar, clearly identifying the part of the record they want
changed and specify why it is inaccurate or misleading. If the School decides not to amend the record
as requested by the student, the School will notify the student of the decision and advise the student
of their right to a hearing regarding the request for amendment. Additional information regarding
the hearing procedures will be provided to the student when notified of the right to a hearing. If,
following the hearing, the institution decides not to change the student’s record, students have a
right to place a statement in their record challenging the content related to the hearing.
• The student’s right to consent to disclosures of personally identifiable information contained in their
education records, except to the extent that FERPA authorizes disclosure without consent. One
exception which permits disclosure without consent is disclosure to school officials with legitimate
educational interests. A school official is a person employed by the School in an administrative,
supervisory, academic or research, or support staff position (including law enforcement unit
personnel and health staff); a person or company with whom the School has contracted (such as an
attorney, auditor, or collection agent); a person serving on the Board of Trustees; or a student
serving on an official committee, such as a disciplinary or grievance committee, or assisting another
school official in performing their tasks. A school official has a legitimate educational interest if the
official needs to review an education record to fulfill their professional responsibility.

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 • The student’s right to file a complaint with the U.S. Department of Education concerning alleged
failures by the School to comply with the requirements of FERPA.

NOTICE FOR DIRECTORY INFORMATION

FERPA requires that Pardee RAND, with certain exceptions, obtain student’s written consent prior to the
disclosure of personally identifiable information from student’s education records. However, Pardee RAND
may disclose appropriately designated “directory information” without written consent, unless students have
advised Pardee RAND to the contrary. The primary purpose of directory information is to allow Pardee RAND
to confirm student’s attendance and to publish information in certain school publications, such as on the
Pardee RAND Web site, the RAND intranet, and in graduation programs.

Directory information, which is information that is generally not considered harmful or an invasion of privacy
if released, can also be disclosed to outside organizations without a student’s prior written consent. Outside
organizations include, but are not limited to, financial aid providers.

If students do not want Pardee RAND to disclose directory information from student’s education records
without their prior written consent, students must notify the Registrar in writing annually by October 15.
Pardee RAND has designated the following information as directory information:

• Student’s name,
• Address,
• Photograph,
• Date and place of birth,
• Dates of attendance, and
• Degrees or honors awarded.

EXCEPTIONS TO THE CONSENT RULE

FERPA permits disclosure of education records without students’ consent in an emergency to protect the
health and safety of students and other individuals and for the period of the emergency only.

Disclosure may be made to certain individuals, including law enforcement officials, public health officials, and
trained medical personnel. This includes personally identifiable information.

Disciplinary records: The final results of a disciplinary procedure against an alleged perpetrator may be
disclosed to an alleged victim of any crime of violence or non-forcible sex offense. If the alleged perpetrator
has committed a violation of rules and policies in connection with the disciplinary procedure, the results of
the procedure may be made available to anyone.

In accordance with the Clery Act, RAND will notify students and employees of any threat to the safety of
students and employees in a timely manner. See the RAND Security and Safety policies and procedures at the
RAND website.

Disclosure to Parents: All parental rights of postsecondary students are transferred to the student.

However, education records may be disclosed to parents if a student is a dependent for income tax purposes,
if a health or safety emergency involves their son or daughter, or if the student is under age of 21 and has
violated any law or policy concerning the use or possession of alcohol or a controlled substance.

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U.S. Department of Homeland Security (DHS): Disclosure of records may be made in compliance with the DHS
and U.S. Immigration and Customs Enforcement (ICE) in the maintenance of Student and Exchange Visitor
Information System (SEVIS) requirements.

Transfer of Records: In the event of the transfer of any records to another education institution, disclosure of
any disciplinary proceedings will be made.

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