Graduate Handbook

A student whose dissertation is approaching completion should begin to plan for the Ph.D. examination. The whole process takes around three months, sometimes more, and only in rare cases less than eleven weeks. The process is likely to be prolonged if all or part of it takes place during the months of June, July, and August, if readers or examiners of the provisional text of the dissertation require extensive revision, or if one or more of the readers and examiners are not in residence in Princeton.

At the planning stage a student needs to become thoroughly familiar with the various sets of requirements that will have to be met. These are:

a) The requirements of the Graduate School, which may be found on the “Graduate School Academics” web page under the heading, “Processes.” In practice, the most important procedural requirements are subsumed under those of the Department, but students are responsible for checking the Graduate School requirements themselves.

b) The Requirements of the University Archives, which are set out on the Thesis Requirements page. These requirements cover the format and pagination of the dissertation and abstract, copyright, microfilming, illustrations, and the copies of the final text of the dissertation which must be submitted, with other materials, to the Mudd Library. The responsibility for meeting University Archives requirements falls exclusively on the student. The Department cannot clarify, interpret, or waive these requirements, and does not monitor a student’s compliance with them.

c) The requirements of the Department, with which the rest of this Section is concerned.

No dissertation may exceed 100,000 words unless the student, through the adviser, has obtained the prior permission of the Director of Graduate Studies in writing.

A student who wishes to submit a dissertation more than five years after passing Generals must notify the Director of Graduate Studies of this intention. The Graduate Studies Committee will then make a recommendation to the Department as to whether the dissertation should be received for consideration.

In outline, the stages of a successful defense are: the student submits notice of intention to defend; the Examining Committee is appointed; the adviser approves the provisional text as ready for submission; the student submits the provisional text of the dissertation to the Department; the readers read and report on the dissertation; the student makes any necessary revisions; the student submits the final text of the dissertation; the F.P.O.is scheduled and held; the degree is awarded.

A successful defense with no complicating circumstances would require around eleven weeks in all: four between the submission of the notice of intention to defend and the submission of the provisional text; three for the readers to read and report; two for the student to revise (less, if the revisions required are minimal); and two for the submission of the final text and for the F.P.O.to be scheduled and held. Further time would then be needed for the University to complete the formalities for the award of the degree.

Not less than one month before submitting the provisional text of the dissertation, the student must submit to the Director of Graduate Studies a notice of intention to defend. This notice should comprise a copy of the provisional title page, table of contents, and abstract of the dissertation, accompanied by a covering letter stating the expected length of the dissertation in words, and suggesting the names of up to four possible readers or examiners, other than the adviser, for consideration by the Director of Graduate Studies. The letter should also cover any special circumstances, problems, or considerations likely to affect the scheduling of the F.P.O. and suggest a range of dates for it.

The Director of Graduate Studies, taking into consideration the suggestions of the student and in consultation with the adviser, will put to the Graduate Studies Committee a proposal for the membership of the Examining Committee. The Graduate Studies Committee will normally meet to discuss the proposal only in the event that the adviser or a member of the Committee is in disagreement with the proposal.

The Dissertation Committee consists of two principal readers and three F.P.O. examiners; these roles are normally performed by four faculty members. Normally the adviser will be the first reader of the dissertation and the Chair of the Examining Committee; the first reader may thus serve as one of the three F.P.O. examiners. The second reader, like the first, will report on the dissertation, but unlike the first reader will have no official function at the F.P.O. Thus the second reader is not obliged to attend the F.P.O. If the second reader wishes to take part in the F.P.O. but cannot physically attend, he or she may do so online.

The two examiners are not obliged to report on the dissertation, but, like the adviser, must attend the final public oral.

Students should make sure they understand the distinction between the second reader and the examiners.

Normally the members of the Committee will be Departmental faculty members. Subject to the approval of the Graduate Studies Committee, however, one member of the Committee may be a member of another Department or, in some circumstances, of another academic institution.

The appointment of the Committee is subject to the approval of the Graduate School.

Once the Examining Committee has been appointed, the student will be informed accordingly. The student should then work with the Graduate Administrator to fix a provisional date and time for the F.P.O., which is both realistic and convenient for all concerned. In due course the Graduate Administrator applies to the Graduate School to schedule the FPO, but not until the readers’ reports have been submitted and read by the DGS.

The adviser must notify the Director of Graduate Studies in writing that he or she has approved the complete dissertation for submission. Approval will not be granted unless appropriate and consistent standards of transliteration, format, and typography have been met.

The provisional text of the dissertation is the text which will be given to the readers and examiners. It is provisional in the sense that the student may be asked to revise it, but is in no sense a rough draft; any dissertation submitted in such a condition will be returned to the student, who will have to begin the process again. Any dissertation exceeding 100,000 words will likewise be returned unless the student has obtained permission in advance.

The provisional text must be submitted in four softbound copies.

The two readers must give their reports on the dissertation to the Director of Graduate Studies not more than three weeks after the submission of the provisional text. However, this will be extended in the event that one of the readers is not resident in Princeton.

Each reader’s report will be in two parts. The first is that required by the Graduate School. In this part, the reader states whether or not the dissertation is recommended for acceptance (with or without revision) and gives brief reasons for the recommendation. A positive recommendation means that the reader deems the dissertation a scholarly achievement worthy of public defense; it in no way prejudices the decision of the examiners at the final public oral. The second part is required by the Department. Here the reader notes, preferably in some detail, any sections or aspects of the dissertation which require revision; estimates the time needed for such revision; and gives an opinion as to whether or not it is necessary for the student to submit a revised provisional text. The Graduate Administrator gives copies of both parts to the student, the members of the Examining Committee, and the Director of Graduate Studies.

While the examiners are not required by the Graduate School to report at this point, they are encouraged to do so informally. Any written reports submitted by examiners at this stage, and in particular any calls for revision, will be distributed in the same way as the readers’ reports. They do not, however, normally go to the Graduate School. Revisions cannot be required at the final public oral; the examiners can only pass or fail the dissertation.

On the basis of these reports, the Director of Graduate Studies, in consultation with the adviser, will determine how much time the student will need to spend revising the dissertation, and whether the student must submit a revised provisional text to the members of the Examining Committee and in what form. In the event of disagreement, the Director of Graduate Studies will refer the question to the Department.

Typically dissertations require at least two weeks for revisions. Where the required period exceeds six weeks, the student will be required to begin the dissertation submission process again. Some dissertations are ready to be defended even before the two weeks, especially if the student has had enough feedback to do the revisions before submitting the provisional text to the readers.

viii. Revision

It is assumed that most students will need to make revisions, after which they must satisfy the readers and examiners concerned that the revisions have been completed. If the Director of Graduate Studies has so required, the student must submit a revised provisional text. The readers and examiners concerned must convey to the Director of Graduate Studies their satisfaction with the revision.

Once the revision of the dissertation is complete and approved, the student will be authorized by the Director of Graduate Studies to submit the final text of the dissertation. This text must meet the full requirements of the University Archives. The student must provide the Graduate Administrator with a bound copy of the dissertation, for display in the Departmental Office, and a copy of the title page and abstract two weeks prior to the defense.

At the same time the Director of Graduate Studies, having in hand positive reviews from the readers and confirmation that the necessary revisions have been completed, will instruct the Graduate Administrator to proceed with the arrangements for the F.P.O. and will complete the Ph.D. Dissertation Report and Request to Hold F.P.O. Examination form.

The Graduate Administrator will schedule the F.P.O. The Graduate Administrator will ask the dissertation adviser and the candidate for blackout dates and times and then contact all committee members to find a suitable date (for example, with the help of the internet service Doodle.com).

The Graduate School provides a helpful checklist for students preparing for the Ph.D. defense.

Following section 2 of the checklist, the student may start the Advanced Degree Application or ask the Graduate Administrator to do it for him or her.

The student is responsible for providing the Graduate Administrator with the title page of the dissertation and the dissertation abstract and for submitting the dissertation (one bound and/or final copy) to the NES office.

While the Graduate Administrator will obtain approval of the Prior Presentation and Publication form, the student must provide answers to the form’s questions.

The Graduate Administrator makes sure the readers turn in the readers’ reports and submits the Ph.D. Dissertation Report and Request to Hold Final Public Oral Examination.

Finally, if the student wishes to complete the Ph.D. Dissertation Embargo Request and Approval form, he or she must complete it and turn it in to the Graduate Administrator, who will obtain approval signatures.

The Graduate Administrator will notify the Department when the Graduate School authorizes the F.P.O., as detailed in checklist section 2. With the exception of the F.P.O. Examination Report, which the Graduate Administrator prepares, the student is responsible for all items in sections 4 and 5 of the checklist.

All checklist forms are available on the Graduate School web site.

As soon as authorization for the F.P.O. is received from the Graduate School, the Graduate Administrator will post an announcement indicating the date, place, and time of the oral, and send a copy to the student and all departmental faculty.

After the F.P.O. examination, the Chair of the Examining Committee and the two examiners will decide immediately whether the student has passed. In the event of disagreement, the matter will be referred by the Director of Graduate Studies to the Graduate Studies Committee, which will normally refer it to the Department. A student who does not pass the examination may only retake it once, after an interval of at least a year.

In cases where an appearance for the F.P.O. would constitute a substantial financial hardship for the student, the Director of Graduate Studies, after consulting with the adviser and obtaining the approval of the Graduate Studies Committee, may recommend that the F.P.O. be conducted by Skype or a similar technology.

Family members and friends may witness the F.P.O. remotely if the incoming sound is switched off so that they can listen but their sound cannot travel into Jones Hall. The candidate is responsible for ensuring that the internet connection is switched off after the F.P.O. is completed and while the committee deliberates over the candidate’s performance.

This process is completed by the Graduate School and other University authorities, the Department playing no further role.

Copies of this section of the Bylaws should be sent by the Graduate Administrator to any readers or examiners who may from time to time be appointed from outside the Department.

The Graduate Administrator is the gate-keeper for the entire process and walks the student through it. The student must be in touch with him or her at every stage, keeping him or her informed and following his or her guidance as regards deadlines.