Grades and Grading

All permanent grades recorded for first-year students in Core classes during the first and second terms they are enrolled will be either P, indicating “passed,” or F, indicating “failed.” The temporary grade of I (“incomplete”) may be used as it is for other students. The temporary grade of E may be given to first-year students as described below for other students. It may also be used in a continuing course if the performance of the first-year student concerned is not significantly below the current passing level, and if the student is maintaining a steady and substantial improvement; an E given for this reason will be automatically changed to an appropriate grade if the first-year student earns the grade for the following term, and will change to an F if the student receives an F for the following term. The grade may not be used in this way for two successive terms nor for the last term of the course.

If a first-quarter or second-quarter First-Year student is enrolled in a course from the list of introductory courses below and the instructor for that course gives letter grades, then the registrar will record P for all passing grades. No grades given to a First-Year student for such a class during the first and second quarter in which they are enrolled will be used in computing the cumulative grade-point average. Computation of grade-point averages begins at the end of the third term of the first year; the cumulative grade-point average will include any letters grades received for non-Core non-introductory classes taken for letter grades during the first two terms of the first year.

The list of introductory courses to which this policy applies is:

• Bi 8
• Ma 2
• Ma 3
• Ph 2ab
• Ph 12ab
• Ch 41ab

Classes that are not part of the Core curriculum or the list of introductory classes above, even if taken in the first two quarters of the first year, can only count towards fulfilling graduation requirements if their grading scheme meets the requirement of the particular option.

For example suppose a student wants to fulfill their graduation requirements for the Computer Science (CS) option. In that case, they cannot take a CS course that is not part of the Core curriculum as pass/fail and use it to meet the requirements for the option. This is because the CS option prohibits pass/fail grading schemes for fulfilling its requirements. As a result, the student must take the CS course for a grade if they wish to fulfill the CS option requirement.

First-quarter and second-quarter First-Year students receive pass/fail grades in all Core and introductory courses listed by virtue of their classification as First-Year students by an admissions committee or, for students whose status after the first year is uncertain, by the Undergraduate Academic Standards and Honors Committee.

For all students beyond the first and second quarters of their first year (as a first-year student), graduate and undergraduate, letter grades will ordinarily be used to indicate the character of the student’s work: A, excellent; B, good; C, satisfactory; D, poor; E, conditional; F, failed; I, incomplete. P may also be used as described below under Pass/Fail Grading. In addition, grades of A+ and A–, B+ and B–, C+ and C–, and D+ may be used. The grade of A+ is reserved for extraordinary performance, and is limited to at most 5% +3 of the students in any given course; this rule applies to undergraduates only. In any situation in which no grade is reported, the grade shall be assumed to be F.

Failed
Means that no credit will be recorded for the course. The units, however, count in computing the student’s grade-point average, unless the course was taken on a pass/fail basis. The student may register to repeat the subject in a subsequent term and receive credit without regard to the previous grade, the new grade and units being counted as for any other course, but the original F and units for the course remain on the record. Grades other than E, I, and W are assumed to be based on work completed and evaluated at the time of grade submission.

E Grades
Students who are unable to complete their coursework by the end of the term may request a grade of E using the E Grade Request Form. Approval of the request is at the instructor’s discretion. The E grade indicates that there is incomplete work that may be completed without repeating the course.

Unless the form specifies an earlier deadline, students receiving an E grade must complete their work by Add Day of the following term. If the E grade affects a student’s academic standing or eligibility, the final grade may be required by the first day of classes. See the Scholastic Requirements section for more information.

If the required work is not completed in time for the instructor to submit a final grade by the specified deadline (either that listed by the form or Add Day), the E grade will convert to an F. Students must allow sufficient time for instructors to assess the work and submit a final grade. It is the student’s responsibility to confirm that both the E grade and the final grade are properly recorded by the registrar.

With written permission from the instructor, an E grade may be extended beyond Add Day of the following term. Each extension requires a new E grade to be recorded, and a new deadline must be specified by the instructor.

E Grade Limitations
Undergraduate students may receive a maximum of six E grades during their time at Caltech. Additional E grades require a petition to the Undergraduate Academic Standards and Honors (UASH) Committee, supported by the instructor and a dean, and will be granted only in exceptional circumstances.

I Grades
The grade I (Incomplete) is granted only in cases of unexpected illness or emergency occurring near the end of the term, preventing completion of course requirements. It is not intended to allow students to make up work missed earlier in the term. Students who have not completed the majority of the coursework are ineligible for an I grade and may be advised to late drop the course or take a leave.

An I grade is given at the discretion of the instructor, with approval from the appropriate dean. Students requesting an I grade due to the onset or exacerbation of a disability should contact Caltech Accessibility Services for Students (CASS) at [email protected].

Unless otherwise specified by the instructor and dean, students must complete the work by Add Day of the following term. If the I grade affects a student’s academic standing or eligibility, the final grade may be required by the first day of classes. See the Scholastic Requirements section for more information.

General Policies for E and I Grades
Students receiving an E or I grade should consult with their instructor and a dean at the time the grade is issued to clarify expectations and deadlines. In most cases, the deadline should align with Add Day of the following term unless otherwise stated.

E and I grades may not be extended beyond one year from the date they were originally assigned, except under extraordinary circumstances. After one year:

• An unresolved E will convert to an F.
• An unresolved I will convert to a W (Withdrawn).

For undergraduates, exceptions to the one-year limit require advance approval from the Dean of Undergraduate Studies, the chair of UASH, and the executive officer of the department offering the course. For graduate students, such exceptions require approval from the Dean of Graduate Studies in consultation with the Graduate Studies Committee.

Grades of E and I do not factor into a student’s grade-point average.

Once recorded, a grade will only be changed on the basis of error. For undergraduates, a change may be made only with the approval of the Undergraduate Academic Standards and Honors Committee. For graduate students, a change may be made only with the approval of the Dean of Graduate Studies, in consultation with the Graduate Studies Committee as appropriate.

Petitions by undergraduate students for late drops (i.e., requests to drop a course after Drop Day) will be considered by the UASH Committee, but will only be approved if circumstances beyond the student’s control prevented them from dropping a course or courses by the posted deadline. Such petitions must be submitted before the end of the term following the term when the course was taken, or within the first term of return, if the student is on leave in the term following the term when the course was taken. If approved, a W will be recorded on the student’s transcript in place of a grade for that course. W’s will not be included in the computation of the student’s grade-point average. Courses will be expunged from the student’s record only in exceptional circumstances, at the discretion of the UASH Committee.

Petitions from graduating seniors submitted later than the first UASH meeting following graduation (which normally takes place shortly after graduation) will not be accepted for consideration, except to correct an error by the Institute.

Grade-point average is computed by dividing the total number of credits earned in a term or an academic year by the total number of units taken in the corresponding period. Units for which a grade of F has been received are counted, even though the course may have subsequently been repeated. Grades of P or F obtained in courses graded on a pass/fail basis are not included in computing grade-point average.

Each course at the Institute is assigned a number of units corresponding to the total number of hours per week devoted to that subject, including classwork, laboratory, and the normal outside preparation. Credits are awarded as shown in the table below.

Pass/Fail Grading, the following regulations apply

• First-quarter and second-quarter First-Year students receive pass/fail grades in all Core and introductory courses listed by virtue of their classification as First-Year students by an admissions committee or, for students whose status after the first year is uncertain, by the Undergraduate Academic Standards and Honors Committee.
• All other students, undergraduate and graduate, in courses with numbers under 200 will receive letter grades unless the course is designated “graded pass/fail’’ or unless, when it is allowed, the student submits a change to the course’s grading scheme on or before Drop Day.
• In courses with numbers 200 or greater that are not designated either “graded pass/fail’’ or “letter grades only,’’ the instructor may decide separately for each student what class of grades to use.
• All research courses shall be designated “graded pass/fail.’’ All reading courses, seminar courses, or other courses that do not have a formal class structure shall be designated “graded pass/fail’’ unless the option secures an exemption from the Curriculum Committee or the Graduate Studies Committee and from the Faculty Board.
• A grade on the pass/fail system should be P if it would have been a D or better on the letter grade system. (Note that there is no D– grade.) The standards of failure in courses in which only pass/fail grades are used should be the same as they would be if the course were letter graded.
• Any instructor may, at their discretion, specify prior to registration that their course, if not classified by the above regulations, is to be graded on a “letter grades only’’ basis or is to be graded pass/fail only, subject to possible review by the responsible option. The registrar must be notified of such specification two weeks before the beginning of registration. (Note: A course's grading scheme is not changed after it has begun.)
• Each term, any student may select, subject to requirements imposed by the student’s option, two elective courses in which they are to be graded on a pass/fail basis if the course is not designated as “letter grades only’’ and is not specifically required for the degree in their option. To make this election, a student must submit a change to the course’s grading scheme in REGIS, or submit a written request to the Registrar’s Office, on or before Drop Day. This election may be reversed or reinstated at any time before the deadline. Students must resubmit their schedule in REGIS after all changes, and the pass/fail election must be approved by the student’s adviser. The instructor must allow any eligible student to make this election.
• Of the units offered to satisfy the requirements for the Bachelor of Science degree, no more than 90 may be in courses graded pass/fail because of the student’s election (this does not include those courses taken in the first two terms during an undergraduate’s first year (as a first-year student) or those designated pass/fail by the instructor, option, or curriculum committee).

At Caltech, the instructor has full responsibility for assigning grades to students enrolled in a course. On occasion, a student may not understand how a grade was determined and may seek further information. The student should first meet with the instructor or teaching assistant to discuss the grade. If after doing so the student believes the grade is unjustified or capricious, the following procedures are available.

Before the end of the term following the term when the grade was issued, the student should contact the academic mediator, appointed by the provost, who will work with the student and instructor to resolve the problem. If the mediation effort is unsatisfactory to the student, they may request a formal review by an appropriate executive officer or academic officer. The executive officer will review the case and report the decision in writing to the student. If the executive officer decides that a change of grade is warranted, or if the student requests a further appeal, these shall be requested of the division chair. At the discretion of the division chair, a committee may be appointed to review the case. The committee members should interview everyone involved in the case (the student, the course instructor, the teaching assistant, and anyone else with relevant information), and make a written recommendation to the division chair. Only the division chair can authorize the registrar to enter a new grade in the student’s transcript.