A Dissertation Prospectus presented at an Oral Examination
The Department expects that students making good progress should have successfully defended their dissertation prospectus by July 31 at the end of their third year. This is a requirement for fourth year funding. It signifies two things. The first is that you have an acceptable thesis proposal, which you defend at an oral examination. The second is that you have completed all of our coursework which comprises (a) the preliminary examinations (b) three field course sequences, (c) two Economics 501 presentations, and (d) the department's economic history requirement.
The oral examination ascertains whether the student's dissertation topic is feasible. The student selects a prospective thesis advisor and a committee of examiners. The student works with the advisor and committee to write a thesis proposal, which is the basis of the oral examination. It is important that the student choose a thesis advisor several months before the proposed oral examination. The advisor's assistance is invaluable in developing a thesis topic.
The committee must include no fewer than three full-time members of the Northwestern University faculty, three of whom, including the chair, must be members of the Graduate Faculty. The chair of the committee is expected to hold a tenure-line appointment in the Economics department.
See below for administrative procedures for the dissertation prospectus.
Even though we are a social science rather than a medical science, it is possible that government restrictions on the privacy of human subjects may apply to your PhD dissertation. If you are collecting new data, or even using previously collected data, on individual identifiable people, then you may have to get prior approval for your research from Northwestern’s Institutional Research Board. You should read the FAQ section of their web site to see if it applies to you:
www.research.northwestern.edu/oprs/irb/
The web site also includes information on the approval process, if that is necessary.
The Graduate School requires students to be have defended a dissertation prospectus by the end of their fourth year. It is possible to petition the Graduate School for an extension to this deadline in exceptional circumstances.
Back to Top
Departmental Policy on Incomplete Grades
The Graduate School defines an incomplete grade as follows:
"A grade of Y is given when a student does not submit all assigned work in a course; a grade of X is given when a student fails to take the final examination. All X or Y grades are incompletes and must be made up within one calendar year of the date the grade is incurred, ...; after one calendar year, the X or Y becomes a permanent grade on the record."
Moreover, "[a] student whose overall grade average is below B or who has more than one incomplete grade or who fails to make progress toward the degree in accordance with the requirements adopted by the Graduate Faculty is not meeting academic standards."
Students who are not in "Good Academic Standing" are unable to receive financial aid, and receive warning letters from the Graduate School.
The Department implemented the Economics 501 seminar in the mid-1990s to provide a forum for presenting papers. Consequently, faculty are expected to limit field course assignments to those which are expected to be completed during the quarter the course is offered. In addition to the usual examinations, homework assignments and "referee reports," it was felt to be especially useful if faculty required students to prepare an "outline" or "prospectus" for a paper. The objective is to avoid the needless accumulation of incomplete grades that frequently cause students to be reprimanded by the Graduate School.
There are only two exceptions to this policy. First the History requirement (Economics 420) can assign an incomplete grade for 12 months to permit completion of a history paper which is outside of the Economics 501 seminar. Second, econometrics courses can assign an incomplete only until the end of the vacation period following the quarter the class is in.
Otherwise, all and any incomplete grades require the permission of the Director of Graduate Studies.
Students should notify the Director of Graduate Studies immediately of any violation of this policy.
Back to Top
Information on Economics 501 Graduate Student Seminar
The Economics 501 seminar is aimed primarily at third year students.
The seminar normally meets twice a week in the Fall and Spring Quarters, and occasionally in the Winter Quarter. It is mandatory that all third year students attend every seminar.
Second year students should plan to attend some seminars in the Spring Quarter to gain some idea of the level of papers and presentation.
Registration
Normally, all third year students register for this seminar each quarter. However, it is not essential that they do so, as the Department keeps track of who has successfully completed presentation of papers using forms that you and your advisors submit. Students should register for the course using the P/N option. No letter grades will be given.
The seminar will be organized by one or two faculty members each year, who will attend each seminar.
Presentations
In normal circumstances students will present one paper in the fall quarter of their third year and another later in the year. However, second year students who have made good progress on their first paper can sign up to present the paper in the spring quarter of their second year.
An initial allocation of who will present on which day will be given in the September edition of the Graduate Connection newsletter, based on a random drawing of names. Pareto-improving exchanges can then occur between students, with the consent of the organizers.
Alternatively, students may present their paper(s) in a regular Departmental seminar, or an organized field "lunch." Students wishing to do so, must discuss this in advance with the faculty organizer of the Economics 501 seminar. Students will still be required to attend the Economics 501 seminars by their fellow students even if they presented their paper(s) in another venue. (However, when a student presents in a field "lunch," attendance by all students is not mandatory.)
Seminar Time and Location
Usually, two seminars will be held each week. Usually, the seminar will be held in the Department's lecture room (Andersen Hall 3245). The days and times will be listed in the University class schedule, on our web site, and in the Graduate Connection newsletter. Only one presentation will be made each day. Presenters should be prepared to speak for forty minutes, and expect to receive questions.
Practical Arrangements
Presenters should give the Main Office a hard copy of their paper a week before their seminar. The office will arrange for copies to be made and distributed to the faculty organizers and students in the third year.
It is the responsibility of the student to arrange for the examination of their paper. The student should approach two appropriate faculty members to (a) evaluate the paper, and (b) attend the presentation. The student should approach faculty who taught classes which stimulated the student's interest in the topic and are also likely to serve on the student's dissertation committee. The presenter should provide both faculty members with copies of the paper at least one week in advance of your seminar. There is a form that allows these faculty members to "sign off" that the paper is acceptable for the department's requirements. This form must be returned to the Graduate Program Coordinator within two weeks of the date of the seminar. The form can be obtained from the Graduate Program Coordinator's office or downloaded in PDF format.
Back to Top
Procedures for the Dissertation Prospectus
The dissertation prospectus signifies that students: (a) have completed all of their course work, and (b) have an acceptable thesis proposal which is defended at an oral examination.
When you have completed your course work, and have scheduled the oral qualifying examination, you can initiate the process by submitting a Prospectus Committee form to the Graduate School on-line using CAESAR.
The Graduate School then asks the Department to verify that the course work is complete and a successful prospectus defense occurred. So that the Department can do this, the candidate should complete the Department's
Certification of a Dissertation Prospectus form. Hard copies of this form are available from the Graduate Program Coordinator's office, or it can be downloaded in PDF format:
Form GS3b
The candidate should complete sections 1 to 5 of this form before the oral examination. These sections ask you to provide information on the completion of your course work (preliminary examinations, field courses, paper presentations, and the Economic History requirement).
The candidate should take the form to the oral examination, where the members of the candidate's committee can sign their acceptance of the prospectus in section 6.
The completed form, along with a copy of your transcript (which can be printed out from CAESAR), should be returned immediately to the Graduate Program Coordinator's office. The Director of Graduate Studies will then review the form and authorize the Graduate School to accept your dissertation prospectus.
Back to Top
Back to Current Students
