Doctoral Student Policies

Proposal and Dissertation

The information below is meant to supplement the policy information that can be found in the Handbook for Doctoral Study. We hope you'll find it useful as you move toward the completion of your degree. The staff of the Office of Graduate Studies is available to answer any additional questions you may have.

Appointing a Dissertation Committee

Choosing your dissertation committee chair and members is among the most important decisions of your doctoral career. Be sure to first consult the Steinhardt School of Education, Culture, and Human Development's Handbook for Doctoral Study (downloadable from this site and/or available from the Office of Graduate Studies). The Handbook will give you important policy information about who is eligible to serve on the committee and what needs to be in place prior to the official appointment of your committee.

In some departments there are many different faculty members who are eligible to serve as a chair and in others, your choice may be quite limited. Some programs ask that students identify the research topic very early on so that when it comes time to "officially" appoint your chair, you may have been working with that person conceptually for some time.

If you have several choices in your program, you'll probably start the process of selecting a chair during discussions with your academic advisor. It is also likely that you've had a class with someone whose research interests and/or preferred methodology are compatible with yours. If the person you've identified as a potential chair is available to work with you, you will move on to filing the Dissertation Committee Appointment form with the Office of Graduate Studies. Your new chair may "sign on" to your committee during your initial meeting based on your conversation or she or he may ask for a working draft of your proposal or other sample of your work. Your chair will help you in selecting the remaining members who will round out your committee. If you already have a potential committee member in mind (such as someone outside of your department that you took a cognate or a research course with), be sure to talk to your chair before formally approaching that person to sign on to your committee.

Remember that your chair must come from your program of specialization and at least one of the two remaining members must come from outside of your program. Again, consult the Handbook for Doctoral Study for complete policy information about the make up of the committee.

As with any step in the process of completing a doctoral degree, you may face some unexpected challenges. Below are some answers to a few "what ifs."

What if my advisor is brand new to the school and doesn't know whom to recommend as chair or my chair doesn't know whom to recommend as members?

  • Consult the Steinhardt School's Office of Research website. Research interests are listed for all members of the full-time faculty and you can search by name, department, or research interest. The site also has links to faculty profiles that give detailed information about each faculty member's research interests, current projects, publications, etc.
  • If you've developed a relationship with a faculty member you feel comfortable talking to, approach that person for advice. Also, your department chairperson is well acquainted with the research interests of faculty within the department and could be a good resource.
  • Visit the Office of Graduate Studies. Our office maintains a proposal library of all of the School's current dissertation proposals. You will first consult the list of titles (arranged by department) for topics related to yours. Listed with each title are the names of the faculty serving on that student's dissertation committee. You can then research potential members on the School's Office of Research website before discussing them with your chair or advisor.
  • Search the Dissertation Titles section of this site by keyword or phrase to find faculty members who have served on dissertation committees for dissertations that are related to your proposed study. Remember to review the School's Office of Research website for faculty profiles and discuss any potential committee member with your chair or advisor.
  • Talk to other students who are at the proposal or dissertation stage.

What if my advisor assumes she/he will be my chair, but I have someone else in mind?

This assumption can work both ways. Sometimes students assume that the advisor will automatically become the chair and sometimes the advisor expects to be asked to be the chair. This can be awkward from either perspective, however, no one should feel that they have no choice about whom to work with. It's a good idea to have a discussion with your advisor before making the formal request that another faculty member be appointed as your chair. The anticipation of this type of conversation is usually much more difficult than the reality. Your advisor will likely be supportive if another faculty member is more appropriate for your particular study.

What if the person I ask says no?

A faculty member may decline to serve on your committee for one of several reasons. She or he may be overloaded with dissertation committee service, may be planning a sabbatical during the semester/year that you plan to conduct your research, or may simply feel that another faculty member would be better suited to your topic or better able to guide you based on the research method you plan to employ. Keep in mind that the Steinhardt School of Culture, Education, and Human Development has well over two hundred full-time faculty members with varied research interests. You will no doubt be able to find a committee that is excited about and supportive of your study.

The University Committee on Activities Involving Human Subjects

It is imperative that you visit the website for the University Committee on Activities Involving Human Subjects (UCAIHS) as you begin work on your proposal.

All research involving human subjects must be reviewed and approved by the University’s Institutional Review Board (IRB) before being carried out. The UCAIHS website will help you determine if your work must be reviewed and gives instructions on the application process.

All applicants to the UCAIHS must take the Human Subjects Tutorial and pass the Certification Exam in order for the UCAIHS to review their application.

Clearance Process for the Submission of Applications to the UCAIHS

Effective May 1, 2007 all NYUSteinhardt students initiating a UCAIHS (University Committee on Activities Involving Human Subjects; aka IRB) approval process for a research study are required to follow the following process. In order that Steinhardt students have an opportunity to become more knowledgeable regarding UCAIHS protocols and The IRB process becomes more efficient, the following procedures will be implemented:

  1. The student will work with a faculty mentor in the preparation of the UCAIHS application. The role of the mentor is key to the success of the IRB process, and thus students are encouraged to work closely with their mentors in the initial preparation of the UCAIHS application.
  2. When the faculty mentor deems the material adequate for consideration, the application and all accompanying documents are transmitted electronically to the Professor Elizabeth Norman (elizabeth.norman@nyu.edu), the school's designate for the clearance process, for pre-review.
  3. Professor Norman will provide feedback to the student and faculty mentor within 5 work days.
    • If the materials are determined to be adequate for UCAIHS consideration, Dr. Norman will indicate this information to the student, the faculty mentor, and the Associate Dean for Research & Doctoral Studies. The student may then proceed to Step 4.
    • If the materials require revision, Dr. Norman will continue to provide feedback to the student and faculty mentor until such time that clearance is achieved.
  4. The student will print 1 hard copy of the application and accompanying materials, obtain the signature of the faculty mentor, and deliver the materials to the UCAIHS drop-off mail box adjacent to the desk of Paris Mourgues, Assistant to Associate Dean for Research & Doctoral Studies for the signature of the Associated Dean (Pless Hall, 5th Floor). The Associate Dean will sign the application immediately if he is available, or within 24 hours and place the materials in the UCAIHS pick-up mailbox. Students must pick up their applications from the UCAIHS pick-up box in the Office of Research and deliver them to the Human Subjects Office at 665 Broadway, Suite 804.

If applications are forwarded to the UCAIHS without the signature of the Associate Dean, they will not be reviewed and will be returned to the student.

IRB Training Held by Steinhardt’s Office of Research

Steinhardt's Office of Research holds a training session each semester for our doctoral students. Upcoming training session dates will be posted on our Events and Deadlines page.

These sessions provide practical and helpful information about the IRB process. The issues addressed will assist you in preparing an IRB application that adheres to the guidelines for conducting work with human subjects. Failure to adhere to the guidelines will result in lengthy delays in carrying out your proposed research, and in the worst case scenario, put your degree at risk. The importance of attending at least one of these sessions cannot be stressed enough.

Please consult the website for the Office of Research for updated information on IRB requirements and upcoming IRB training sessions.

Writing the Proposal

There is no single model or formula for writing a proposal or dissertation. Most of the advice and instruction on writing the proposal will come from your committee and from your doctoral seminar classes. Therefore, this site will not attempt to give you specific instructions but rather will offer some recommendations that should be applicable to most students.

  • Review other proposals and dissertations. As mentioned above, the Office of Graduate Studies maintains a proposal library for use by Steinhardt doctoral students. You may visit our office during regular business hours. The list of titles is organized by department and shows the proposal title, committee membership, and research method. Our staff will assist you in finding the proposal(s) you wish to review. Please note that proposals may not be removed from the office nor can any part of the proposal be photocopied. Dissertations of all graduates are part of the permanent collection at Bobst Library and can be checked out.
  • Form a dissertation writing/support group. Feedback from other students has proven invaluable to many doctoral students. A group that meets regularly can help you make steady progress and avoid the isolation that can occur during the writing process.
  • You should have a work plan and timetable that has been discussed with your chair and members. Ask them for their preferences regarding how often and at what point your work should be presented. Your chair will likely want to provide feedback before you submit drafts to your committee. It is important that you allow for the time that this will take when planning your timetable. Your committee should be able to give you a sense of their turnaround times for drafts of proposals and dissertations, but be aware of University breaks and peak periods (such as midterms and final exams) when response times may be longer for most faculty members.
  • Avoid long periods without making contact with your committee. Even if you're not ready to present a draft to your committee, you should keep them apprised of your progress (or even the lack thereof) if a significant amount of time has passed. Send a quick note or e-mail to let them know when to expect work from you.

The Proposal Review

After your dissertation committee has approved your proposal, you will defend it before a departmental proposal review panel. Instructions and forms can be downloaded from this site and are also available from the Office of Graduate Studies. The procedures for reviewing proposals vary among the different departments so the following information is general.

Some departments have specific deadlines for filing proposals and others schedule reviews as proposals are received. In some cases, there is a specific person designated as the “proposal review panel coordinator” and in others, the committee chairperson facilitates setting up the review. Check with the appropriate person in your department for deadlines and procedures well in advance of your anticipated filing date.

Along with the candidate, the chair and at least two reviewers will be present at the review. The attendance of committee members is optional according to School policy, but may be preferred in your specific department. There also may be other doctoral students present as observers at your review. If you have the option of observing a proposal review prior to your own, it is recommended that you take advantage of that opportunity.

The outcome (such as “pass,” “pass with conditions,” “deferred,” or “not approved”) of the proposal review will be communicated to you in writing with copies to your committee and to the Office of Graduate Studies. You will be asked to respond to the panel in writing and you may also be asked to submit a revised proposal. Make sure to send copies of your response and your revised proposal (if applicable) to your committee chair and members and to the Office of Graduate Studies. Copies of your proposal, the review panel’s notes, and your response will be given to the outside readers on your final oral examination along with your dissertation.

Consult the Handbook for Doctoral Study for more information regarding Steinhardt School policy governing submission of the proposal and the proposal review.

The Dissertation

This site will leave specific direction on writing the dissertation to the faculty, however, the advice above regarding the proposal and the information provided here should help to guide you.

Be sure to consult the Handbook for Doctoral Study for instructions on the format of the dissertation. The Handbook provides some detailed information as well as sample pages. You should feel free to contact the Office of Graduate Studies if you have any questions regarding format.

There are only three dissertation filing deadlines a year (one each semester) and they are not flexible. In general they are the first Thursday in October for fall semester orals (January graduation), the last Thursday in January for spring semester orals (May graduation), and the first or second Thursday in April for summer semester orals (September graduation). Specific deadline dates, as well as forms and instructions for filing, are available in the Office of Graduate Studies. Be sure to discuss your anticipated dissertation filing date with your committee well in advance of the deadline.

Dissertation Format Workshops

The Dissertation Format Workshops are for students who have questions about preparing the dissertation according to the format requirements outlined in our Handbook for Doctoral Study. Students are asked to bring a draft of the dissertation or section they would like to review. Upcoming workshop dates are posted here.

The Final Oral Examination

The two-hour final oral examination is scheduled by the Office of Graduate Studies after you submit your dissertation in accordance with the School’s deadlines. You will receive a letter confirming your final oral date (tentatively scheduled upon submission of the dissertation) after the two outside readers have been appointed.

Attendance by the candidate, the committee chair and members, and two outside readers is required. The candidate is usually asked to make a brief introductory statement which is followed by questions from the readers and members of the committee. At the close of the discussion the candidate is asked to leave the room while the members of the final oral commission vote. The candidate is notified of the result (“pass,” “deferred pass with conditions,” or “fail”) immediately after the vote. Detailed information regarding the voting procedures and regulations, as well as procedures to follow in the event of a “deferred pass with conditions” or a “fail” outcome, are outlined in the Handbook for Doctoral Study.

Please note that attendance at the final oral examination is restricted to the candidate and the members of the final oral commission (consisting of the committee chair, committee members, and outside readers). Other members of the University community may attend as observers with the permission of the Dissertation Committee Chairperson, however, the Office of Graduate Studies must be notified in advance.

After successful completion of the final oral examination, the candidate is asked to leave a copy of the dissertation with the Office of Graduate Studies for format review. That office will send a letter to the candidate within two or three weeks of the oral exam indicating what changes are required according to Steinhardt School format guidelines. The candidate will incorporate those changes with any changes required by the final oral commission and will present a final copy of the dissertation to the Office of Graduate Studies. Specific deadlines for the submission of the final copy are available every semester from the Office of Graduate Studies, but are generally three weeks prior to the degree conferral date.

Click here for a list of NYUSteinhardt doctoral final oral examinations scheduled for May and June 2008