Proposal and Dissertation Policies and Guidelines

Dissertation Policies and Guidelines for PhD Students

Appointment of a Dissertation Committee

In order to officially request the appointment of a dissertation committee, you should file the appropriate form with the Office of Doctoral Studies. Please note that all forms to request the appointment of dissertation committees require the approval signature of the department chairperson and are subject to the approval of the Vice Dean for Academic Affairs.

Faculty Regulations Governing Appointment of PhD Dissertation Committees

The following regulations apply to dissertation committee appointments for all PhD candidates in NYU Steinhardt.

Dissertation committees typically consist of three faculty members with two and four-person committees allowed by exception (see below). The dissertation committee chairperson and at least one committee member must be full-time members of the faculty of New York University, holding the rank of professor, associate professor, or assistant professor with an earned doctorate. The chairperson is to come from the student's program of specialization. Further, in order to ensure a diversity of perspectives during the proposal and dissertation development process, at least one member of the committee must hold professorial appointment in a program different from the student's program.

Part-time adjunct faculty, clinical assistant professors, and persons with an affiliation other than New York University may serve as committee members with the approval of the department chairperson and the Vice Dean for Academic Affairs. Students requesting the appointment of such a member will be required to submit a copy of the proposed member's curriculum vitae or faculty bio along with the required dissertation committee appointment form to the Office of Doctoral Studies. All committee members must have earned doctorates.

Students may request, by exception, the appointment of a two-member committee. This request must be made in writing and must be countersigned by the dissertation committee chairperson. Three-member committees that have been officially appointed may only be reduced to two-member committees by exception and with the approval of the department chairperson and the Vice Dean for Academic Affairs. A two-member committee, at the written request of the student and the chairperson, may be increased to a three-member committee.

Students may request, by exception, the appointment of a four-member committee. As is the case with three-member committees, the chair and at least one member must be full-time members of the faculty of New York University, holding the rank of professor, associate professor, or assistant professor with an earned doctorate. Students requesting a four-member committee should submit an additional "Request for Appointment of Dissertation Committee" form with the signature of the committee chair, the fourth member, and the department chair.

Students may request the appointment of a dissertation committee chairperson without simultaneously requesting the appointment of the remaining members of the committee by following the instructions on the committee appointment form. Students who elect to request the advance appointment of a chairperson will have one year from the date of the approval of the chairperson's appointment to request the appointment of the remaining member(s) of the complete dissertation committee.

The Role of the Committee

The development of the proposal and the dissertation is an effort that requires a great deal of collaboration involving the candidate and his or her dissertation committee. There is no single model or formula for writing a proposal or dissertation, nor is there a single model governing the relationship of a doctoral candidate and his or her dissertation committee; however, the recommendations that follow should be applicable to most students.

It is important to confer with your chairperson and committee members as you proceed and to avoid long periods without making contact. It is recommended that you ask your chairperson and members for their preferences regarding how often and at what point your work should be presented. It is also a good idea to get a sense of turnaround times for drafts of your proposal and dissertation from your committee chair and members. You should have a work plan and a timetable that has been discussed with your chair and communicated to your members. It is the responsibility of your committee to read drafts and provide appropriate and timely written and oral feedback. You should be aware of University breaks and peak periods (such as final exams and midterms) when response times will often be longer for most faculty members.

Dissertation Proposal

The following procedures for submission of dissertation proposals apply to all candidates for PhD degrees in NYU Steinhardt.

Please note that the dissertation committee must be officially appointed and on file with the Office of Doctoral Studies prior to submission of the dissertation proposal. After filing the Request for Appointment of Dissertation Committee form with the Office of Doctoral Studies, you will receive a letter confirming that the dissertation committee has been officially approved.

Dissertation proposals to be submitted to the Office of Doctoral Studies must be accompanied by the Dissertation Proposal Cover Sheet obtainable in the Office of Doctoral Studies. The cover sheet must be signed by all members of the dissertation committee, indicating that they have met at least once with the candidate and that they approve the proposal for review. The committee chairperson's signature on this form also indicates approval of the research course requirements which the student has completed (or will complete).

Two copies of the proposal (or one copy electronically) are to be submitted to the Office of Doctoral Studies. The remaining copies must be submitted to the proposal review panel coordinator for your program or department. You should be aware that different departments require that different numbers of copies be submitted for review. Please consult the proposal review panel coordinator for the correct number of copies for the specific department or program. All copies of the proposal must include a copy of the signed Dissertation Proposal Cover Sheet.

The faculty of NYU Steinhardt recommends that the proposal be no longer than 40 pages in length (exclusive of appendices and bibliography).

Information on the scheduling of proposal reviews and deadlines should be obtained from the proposal review panel coordinator for the department.

Please note that some departments do not review proposals during the summer session.

NYU IRB

Steinhardt students proposing to do research involving human subjects for an independent study, a graduate thesis, or a doctoral dissertation require approval from the NYU IRB. If your proposed research involves interviews, surveys, questionnaires, participant observation, ethnography, or other methods involving human subjects, NYU IRB approval is required. Approval from NYU IRB must be granted before work on the research or data collection has begun, including all pilot studies, trial runs, pretests, and preliminary sampling or surveys. 

Prior to submission to NYU IRB, students must complete the online training program through the Collaborative Institutional Training Initiative (CITI).

The student must work with a faculty mentor while preparing a NYU IRB application. This mentor is usually a dissertation chair or adviser.

Follow the instructions on the NYU IRB website to submit your application. 

The Dissertation Proposal Review

The procedures for reviewing dissertation proposals vary among the different departments; however, the following School policies apply to all departments and programs:

• The committee chairperson and both committee members must sign the Dissertation Proposal Cover Sheet indicating their approval of the proposal for review by the panel.
• The dissertation committee must meet as a group at least once with the candidate prior to the filing of the proposal for review.
• Both the candidate and the dissertation committee chairperson are required to attend the review.
• Attendance by a minimum of two reviewers (external to the dissertation committee) is required.
• Attendance by the committee members is optional.
• The recommendations of the proposal review panel are advisory.

After the proposal review, the proposal review panel coordinator will notify you of the outcome in writing (with copies to the dissertation committee chairperson and members and to the Office of Doctoral Studies). The proposal review panel will recommend that you proceed in one of the following ways:

• If the panel vote results in a "pass," the panel will recommend that you carry out the research and dissertation writing as proposed (there may be minor revisions suggested that are not officially noted).
• If the panel vote results in a "deferred pass" or "pass with conditions," the panel will recommend that you address the concerns of the panel in writing (with copies to the committee chairperson and members and to the Office of Doctoral Studies). In some cases the proposal review panel or the dissertation committee may recommend that you submit a revised proposal reflecting the revisions suggested by the panel. Two copies of the revised proposal must also be submitted to the Office of Doctoral Studies.
• If the panel does not approve the proposal, you will be asked to rewrite the proposal and submit it for a second proposal review.

Because the proposal review panel is an advisory committee, your dissertation committee may choose not to incorporate some or all of the proposal review panel's recommendations. In the event that the panel's suggestions are not incorporated, you will be expected to provide a written rationale explaining this decision. This rationale should bear the signature of the dissertation committee chairperson. As is the case with all correspondence regarding the proposal review, copies should be distributed to the committee members and to the Office of Doctoral Studies.

If requested, a copy of the proposal, the review panel's outcome and notes, and your response to the panel's notes are given to each of the two faculty members who serve as outside readers on the final oral examination of the dissertation.

MPhil Degree Conferral

The MPhil may be awarded to students in the PhD programs listed below who have completed all course requirements, have an approved dissertation proposal, and intend to complete their doctoral studies. 

If you are in one of the approved programs and your dissertation proposal has been approved, the Office of Doctoral Studies will ask your department to review your record and confirm that you have completed your course requirements. The Office of Doctoral Studies will then ask you to confirm that you would like to receive the MPhil en route to the PhD. 

Note that MPhil diplomas are not automatically issued by the Registrar's Office after degree conferral and must be requested by the student. Please follow the instructions on the Registrar's website here (though not a replacement diploma, the instructions for replacement diplomas should be followed).

Finally, the Office of Doctoral Studies will submit your name to the Office of the Registrar as an applicant for the next available degree conferral date.

Students in the PhD programs listed below are eligible for the MPhil:

• Department of Administration, Leadership, and Technology 
  • Educational Leadership and Policy Studies
  • Educational Communication and Technology
  • Higher and Postsecondary Education
• Department of Applied Psychology
  • Counseling Psychology
  • Developmental Psychology
  • Psychology and Social Intervention
• Department of Applied Statistics, Social Science, and Humanities
  • International Education
  • Statistics and Computational Social Science
  • Sociology of Education
• Department of Communicative Sciences and Disorders
  • Communicative Sciences and Disorders
• Department of Media, Culture, and Communication
  • Media, Culture, and Communication
• Department of Music and Performing Arts Professions
  • Educational Theatre
  • Music Education
  • Music Performance and Composition
  • Music Technology
• Department of Nutrition and Food Studies
  • Food Studies
  • Nutrition and Dietetics
• Department of Teaching and Learning
  • Bilingual Education
  • English Education
  • Teachers of English to Speakers of Other Languages
  • Teaching and Learning

Journal Article Format Dissertations

While most Steinhardt students follow the traditional dissertation format, students also may have the option of completing a journal article format dissertation.

Consult your program faculty to determine whether or not the journal article format is appropriate for your discipline and your proposed study. If allowed, your program will likely have specific guidelines outlining the requirements of the journal article format dissertation.

Below are general guidelines for journal article format dissertations, but be sure to obtain specific guidelines from your program if available.

• The dissertation should include an introduction and a conclusion as first and last “chapters” in addition to the stand-alone articles.
• The dissertation will contain two to four articles suitable for submission to refereed journals for publication (the number of articles will be determined by program guidelines).
• The student must be the sole or first author of each paper.
• At the final oral examination stage, some programs may allow one or two articles to be published (or submitted for publication), but at least one article must remain unpublished (and not yet submitted for publication) until after the successful dissertation defense.

Students writing journal article format dissertations follow the same proposal review and final oral examination procedures required of all PhD students.

Editors and Consultants

You are the sole author of your dissertation and are responsible for understanding, discussing, and defending all aspects of your work, including the methodologies employed. While some students may seek guidance with analyzing data, the use of consultants to conduct statistical work is discouraged.

You are responsible for making sure that proposal and dissertation drafts submitted to your faculty committee are free of errors in form, style, diction, spelling, and grammar. Your dissertation committee chair and members may alert you to such problems, but it is not their responsibility to do so. Your committee chair or a member may recommend that you use a professional editor, or you may feel that your work would benefit from editorial assistance. If you do employ a professional editor, make sure you shop around and use someone who has been recommended to you by a faculty member, another student, or the Office of Doctoral Studies. Again, you and only you are ultimately responsible for your own writing and for making sure that it conforms to the standards of written English and conventions of scholarly writing set forth by your dissertation committee.

Dissertation Deadline Information

See detailed deadline information for the current academic year.

Instructions for Filing for Orals

In order to schedule your final oral examination, you must submit simultaneously to the Office of Doctoral Studies the following forms and materials in accordance with the dissertation filing deadlines noted above:

In order to schedule your final oral examination, you must submit the following to the Office of Doctoral Studies in accordance with the filing deadlines on our website.

1.  The Approval Form for Final Oral Examination signed by the dissertation committee indicating a date and time for the final oral examination. The date must be agreed upon by the final oral commission (the committee chair, committee members, and outside readers) and must be within the final oral examination period for your anticipated month of graduation (January, September or May). 

2.  A dissertation abstract not more than 350 words in length which has been approved by the dissertation chairperson.  The title page of the abstract is the same as the dissertation title page except that the words "An Abstract of" are inserted above the title of the study.  

3.  The following Copyright Disclaimer Statement typed in the first person, signed and dated:

"I hereby guarantee that no part of the dissertation which I have submitted for publication has been heretofore published and/or copyrighted in the United States of America, except in the case of passages quoted from other published sources; that I am the sole author and proprietor of said dissertation; that the dissertation contains no matter which, if published, will be libelous or otherwise injurious, or infringe in any way the copyright of any other party; and that I will defend, indemnify and hold harmless New York University against all suits and proceedings which may be brought and against all claims which may be made against New York University by reason of the publication of said dissertation."

Note that if parts of your dissertation have been published (for example, if your dissertation follows the scholarly paper format), please edit the above statement accordingly.

4. The Dissertation, approved by your dissertation chairperson and members, will be submitted no less than four weeks before the agreed upon final oral examination date indicated on the Approval Form for Final Oral Examination. You will be required to submit the dissertation to the Office of Doctoral Studies electronically, and copies for each of the two outside readers either electronically or in hard copy according to their preference. NOTE: In the event that the dissertation is not prepared to the satisfaction of the dissertation committee within four weeks of the tentatively scheduled final oral examination date, it is understood that the committee will withdraw approval of your request for final oral exam. You may then resubmit the approval form for a later deadline.

All forms referred to above can be found on the Forms and Checklists page.

The Final Oral Examination

The final oral examination is a two-hour examination scheduled according to the guidelines outlined above. Attendance by the candidate and all members of the final oral commission, which consists of the dissertation committee and the two outside readers, is required. Outside readers must be approved by the dissertation committee chair and must be full-time tenured or tenure-track members of the NYU faculty (exceptions must be approved by the Vice Dean for Academic Affairs in advance of their appointment). 

Please also note that attendance at the final oral examination is restricted to the candidate and members of the final oral commission. Other members of the University community may attend as observers with the permission of the Dissertation Committee Chairperson, however, the Office of Doctoral Studies must be notified in advance. 

All course and matriculation maintenance requirements must be satisfied in advance of the final oral examination date.

The following policies pertain to the voting procedures for the final oral examination.

One vote is to be taken with three and only three possible outcomes (all members of the final oral commission vote). These outcomes (pass, fail, or deferred pass with conditions) result according to the following rules:

Rules Which Determines a Pass Outcome

If the candidate has an official three-member dissertation committee, then the candidate must secure at least four pass votes (out of five) to pass.

If the candidate has an official two-member dissertation committee, then the candidate must secure at least three pass votes (out of four) to pass.

If the candidate has an official four-member dissertation committee, then the candidate must secure at least five pass votes (out of six) to pass.

Procedures to Follow in the Event of a Pass Outcome

The Final Oral Examination Report (obtained by the dissertation committee chairperson from the Office of Doctoral Studies) is completed and returned to the Office of Doctoral Studies no later than 24 hours after the final oral examination has been completed. This form should be accompanied by a copy of the candidate's dissertation (to be reviewed for format by the Office of Doctoral Studies), unless the candidate is keeping the document to make minor changes and corrections required or noted by the final oral commission.

Rule Which Determines a Fail Outcome

If there are two or more fail votes, a fail outcome must be recorded.

Procedures to Follow in the Event of a Fail Outcome

The Final Oral Examination Report is completed and returned to the Office of Doctoral Studies no later than 24 hours after the final oral examination has been completed.

This form must be accompanied by a separate statement indicating the reasons for the fail outcome.

The candidate may request permission for a second final oral examination from the Vice Dean for Academic Affairs. If approved, the examination must be held with the same final oral commission no sooner than six months from the first final oral examination. If the candidate fails the second final oral examination, matriculation is automatically and irrevocably terminated.

Rule Which Determines a Deferred Pass Outcome

Any combination of votes which does not result in a pass or fail as specified above must result in a deferred pass with conditions. This outcome implies that although the candidate's performance is acceptable in many respects, substantive revision of the dissertation and/or additional requirements of consequence are deemed necessary.

Procedures to Follow in the Event of a Deferred Pass Outcome

The Final Oral Examination Report is completed and returned to the Office of Doctoral Studies no later than 24 hours after the final oral examination has been completed.

Within three days after the final oral examination, the candidate and the Office of Doctoral Studies must receive from the final oral commission a written statement which indicates what further work the candidate must complete in order to secure a pass outcome. This statement should include both revisions of the dissertation requested by the final oral commission and also any other requirements which the commission feels the candidate must complete to secure a pass outcome. Furthermore, this written statement of necessary revisions and/or requirements must be agreed to by at least four members of the final oral commission, and this agreement must be indicated by the signatures of these members on the written statement. Finally, this written statement must also include a projected timetable which the candidate should follow in completing all revisions and/or requirements designated by the final oral commission.

The candidate must complete all designated revisions and requirements within one semester following that in which the final oral examination is held (exclusive of Summer semesters). When the candidate has completed all necessary revisions and requirements, the Deferred Pass with Conditions Final Report Form (obtained by the dissertation committee chairperson from the Office of Doctoral Studies) must be circulated among and signed by all original members of the final oral commission, and then returned to the Office of Doctoral Studies with a copy of the candidate's document to be reviewed for format. In order for the candidate's outcome to be recorded as pass, at least four out of the five (or three out of four if the final oral commission consisted of four members, or five out of six if the final oral commission consisted of six members) members of the final oral commission must indicate a pass vote on the above-mentioned form.

Voting in the Event of the Absence of a Commission Member

If any member of the five-member final oral commission is absent, the dissertation committee chairperson must secure permission from the Vice Dean for Academic Affairs to proceed with the final oral examination. Assuming permission to proceed is granted, the information below applies to the voting procedures.

If a dissertation committee member is absent, the following rules apply:

• If there are three or more pass votes, the outcome is recorded as a pass.
• If there are two or more fail votes, the outcome is recorded as a fail.
• Any combination of votes which does not result in a pass or fail must result in a deferred pass with conditions.

If an outside reader is absent, the following rules apply:

• In order for a pass outcome to be recorded, a unanimous pass vote is required.
• If there are one or more fail votes, the outcome is recorded as a fail.
• Any combination of votes which does not result in a pass or fail must result in a deferred pass with conditions.

Final Dissertation Approval

You are required to submit a copy of the dissertation to be reviewed by the Office of Doctoral Studies for format. You will receive a list of format changes shortly after your final oral examination. The format changes will be combined with the changes required by the final oral commission. 

If the final oral examination results in a deferred pass outcome, you may submit the dissertation for format review only after the signed Deferred Pass with Conditions Final Report Form has been received by the Office of Doctoral Studies. Final approval of the dissertation will take place only after the edited dissertation has been reviewed by the Office of Doctoral Studies.

The deadline for the filing of the final edited dissertation is approximately three weeks prior to your anticipated date of graduation (the exact date will be emailed to candidates and is posted each semester in the Office of Doctoral Studies). In order to be eligible for graduation, your final edited dissertation must be uploaded to ProQuest UMI and approved by the Office of Doctoral Studies by the designated deadline date.

All candidates for the degrees of PhD and EdD are required to publish the dissertation through ProQuest UMI Dissertation Publishing and must upload a final dissertation electronically for this purpose. This upload will take place through the Office of Doctoral Studies only after the dissertation has been approved in its final form. A final copy of the dissertation will also be submitted to NYU Libraries for our institutional repository.