Category: Regulations

The following excerpts from the 1946-47 Announcement of Courses for the Faculty of Political Science at Columbia University provide a clear outline of the requirements and the sequence of thirteen steps an economics Ph.D. candidate needed to take to be successful in the quest for a doctoral degree. The rules and regulations are organized like a set of Matryoshka (nesting) dolls:  from a common set of requirements for the three faculties of Political Science, Philosophy and Pure Science, through those rules and regulations common for the departments within the Faculty of Political Science, to those specific to the Department of Economics. For 1946-47 I only have the last two dolls (now), but they are the two most relevant for understanding the structure within which graduate education in economics at Columbia was being conducted.

Favorite quote:

General Undergraduate Preparation. Since graduate study in economics necessarily entails a high degree of concentration in this field, a student planning to enter graduate work is advised not to specialize narrowly in economics during his undergraduate study. Basic training in economics and a knowledge of its general literature and methods are desirable, but for the purposes of more advanced work on the graduate level, there is a greater advantage in the study of history, philosophy, modern languages, and mathematics than in narrowly specialized courses in economics taken as undergraduates.

The previous post includes a 1946 memo regarding the conduct of the oral doctoral examinations.

__________________

REQUIREMENTS FOR ADMISSION AND FOR DEGREES

The general academic requirements for admission as a regular graduate student and the requirements for the degrees of Master of Arts and Doctor of Philosophy are stated in the Graduate Announcement of the Faculties of Political Science, Philosophy, and Pure Science. That Announcement should be consulted by every applicant for admission under those Faculties.

[…]

ADMISSION AND REGISTRATION
[THE FACULTY OF POLITICAL SCIENCE]

REQUIREMENTS

The requirements for admission as a graduate student to work toward an advanced degree in any one of the departments under the Faculty of Political Science are: (a) a Bachelor’s degree in arts, letters, philosophy, or science from an institution approved by Columbia University; (b) a thorough preparation for graduate study as evidenced by a good undergraduate record and a better than average performance on the Graduate Record Examination.

A prospective applicant who does not have a Bachelor’s degree, but who believes that he has had equivalent preparation, may present his credentials to the Director of University Admissions for evaluation.

PROCEDURE

Application and Records. An application blank may be obtained from the Office of University Admissions.

Every applicant must fill out the blank and file it with the Director of University Admissions, and must arrange with each of the colleges or universities he has previously attended to send to the Director full official transcripts of his academic record.

Graduate Record Examination. Before being permitted to register for courses to be credited toward an advanced degree in any of the departments of the Faculty of Political Science, each applicant for admission must file a report of his performance in the Graduate Record Examination. This examination is administered annually in a number of colleges and universities and at other centers throughout the United States. For information regarding time and place of the examination, the prospective applicant should consult the dean of his college or the Graduate Record Office, 337 West 59^thStreet, New York 19, N.Y. This requirement is effective for students applying for admission to begin residence subsequent to September 1946.

Students will be admitted to study under the Faculty of Political Science in September 1946 without having taken the Graduate Record Examination, subject to the understanding that the requirement will be met immediately after registration. The Office of University Admissions will arrange one or more dates for the administration of the examination and will notify all students required to take it.

Students for whom English is not the mother tongue will be admitted on the basis of their school and university credentials. They are asked, but not required, to take the Graduate Record Examination as a matter of record.

Permit to Register. After the application and credentials have been examined and the English requirement satisfied, the applicant, if accepted, will be given a permit to register. This permit will grant admission as (1) a regular graduate student, (2) a probationary graduate student, or (3) an unclassified graduate student. (For explanation of these terms, see the Graduate Announcement, pages 14-15.)

REQUIREMENTS FOR ADVANCED DEGREES

For a general statement of the regulations of the Faculties of Political Science, Philosophy, and Pure Science consult the Graduate announcement, obtainable from the Secretary of the University.

Attention of students under this Faculty is directed particularly to the paragraph on page 15 of that Announcement to the effect that, while no time limit is set for the period of candidacy for the degree of Master of Arts or Doctor of Philosophy, a student must satisfy the requirements that are in effect at the time of the award of the degree.

REQUIREMENTS OF THE FACULTY OF POLITICAL SCIENCE

MASTER OF ARTS

1. Preliminary Training.The prospective candidate must have received a Bachelor’s degree from Columbia University or from some other approved university or college, or have had an education equivalent to that represented by such a degree, and must have been accepted as a regular graduate student by the Director of University Admissions.
2. Residence. Every candidate for the degree must register for and attend courses at this University aggregating not less than thirty points distributed over a period of not less than one academic year or its equivalent.
3. Courses. From the courses for which he has registered to satisfy the residence requirements, the candidate must complete with a satisfactory passing grade courses aggregating not less than twenty-one points, of which at least fifteen must be selected from those offered by departments in this faculty under the heading “General Courses.”
4. Essay. The candidate must present a satisfactory essay prepared under the direction of some member of this faculty.
5. Departmental Requirements. Special departmental requirements appear [in] this Announcement. Departmental requirements are in addition to, not a substitute for, the faculty requirements.

DOCTOR OF PHILOSOPHY

1. General. The degree will be conferred upon students who satisfy the requirements as to preliminary training, residence, languages, matriculation as a candidate for the degree of Doctor of Philosophy, subjects, and dissertation.
2. Preliminary Training. The requirement is the same as for the Master of Arts candidate.
3. Residence. The prospective candidate must have pursued graduate studies for at least two academic years, one of which must have been spent at this University while registered under this Faculty, and the other of which, if not spent here, at an institution accepted as offering courses of similar standard. A year’s residence at this University is defined as registration for and attendance upon courses aggregating not less than thirty points distributed over a period of not less than one academic year or its equivalent. Those desiring credit for graduate work completed elsewhere should send to the Director of University Admissions as soon as possible a request for the evaluation of such graduate work.
4. Language. The prospective candidate must have demonstrated his ability to express himself in correct English and to read at least two languages beside his mother tongue; and he must be able to read such additional languages as may, within the discretion of the Executive Officer of the appropriate department, be deemed essential for the prosecution of his studies.
5. Matriculation. Upon the completion of not less than one year of graduate residence, after satisfying the department concerned that he is proficient in such languages as it prescribes for a candidate, and that he is prepared to undertake research under its direction, the prospective candidate will be recommended by the department to the Dean for matriculation as a candidate for the degree of Doctor of Philosophy.
6. Fields. The candidate must have familiarized himself with one field of primary interest and one field of secondary interest. The major and minor fields need not be under the same department.
   1. Field of primary interest. The field shall be chosen from the following list:

Ancient history
Medieval history
Modern history of western continental Europe
Modern history of eastern Europe
History of Great Britain and the British Empire
American history
Latin American history
East Asiatic history
History of European thought
Jewish history
Political and social philosophy
American political institutions (including constitutional law)
Foreign political institutions
Public administration (including constitutional and administrative law)
International law and relations
Roman law
Comparative jurisprudence
Economics (including economic theory, economic history, and statistics)
Public and private finance
Social economic problems
Sociology
Anthropology

1. 2. Field of secondary interest. The field of secondary interest may be either an adaptation of one of the subjects in the foregoing list or a special combination of studies selected with a view to the student’s peculiar interests and needs. Such a combination may involve work in more than one department in the Faculty, or work in more than one faculty, or may be wholly under some other faculty of the university. In any case, the choice of the field of secondary interest must be approved by the Executive Officer of the department in charge of the primary field, subject to review by the Committee on Instruction of the Faculty.
      The candidate’s competence in the chosen fields of primary and secondary interest is tested by an oral examination, which is scheduled by the Dean on recommendation of the department concerned. This examination is normally taken toward the end of the second year of graduate study. It must be passed before the student is admitted to the defense of the dissertation. To be examined in any given academic year the student must apply for examination prior to April 1.

7. Dissertation. The main test of the candidate’s qualifications is the production of a dissertation that will demonstrate his capacity to contribute to the advancement of learning within the field of his selection. This dissertation must give evidence of the candidate’s ability to present in good literary form the results of original researches upon some topic approved by the department concerned. It may be completed either during the period of residence or in absentia. In advance of its being presented before the Faculty for defense, it must be approved by the professor in charge and by the Executive Officer of the department concerned. Such approval, however, is not to be construed as acceptance by the Faculty.
8. Final Examination. Upon the recommendation of the department concerned the Dean will admit a candidate for the degree to final examination and will appoint a committee to examine him. The department will recommend a candidate for final examination if he has pursued graduate studies for not less than two academic years, at least one of them while a student under this Faculty, if he has satisfied such preliminary examinations or requirements as the Faculty and the department concerned may specify, and if he has prepared a dissertation, embodying the results of his researches, which has been certified by the department as being in form for defense. For the defense, the dissertation may be in galley proof or typescript. If in galley proof, eight copies must be available to examiners at least ten days prior to the examination; if in typescript, five copies must be available three weeks prior to the examination. After its successful defense, the Dean will issue to the candidate a certificate stating that all requirements for the degree except the deposit of printed copies of the dissertation have been met.
9. Printing Requirement. After the examining committee has approved the dissertation and certified that the candidate has passed the final examination, the candidate shall deliver to the University Libraries seventy-five copies of his dissertation, printed in a form acceptable to the Faculty, before the degree will be conferred. In exceptional cases and as a temporary substitute, the Dean will accept a satisfactory guarantee of such delivery before a specified date, and the degree will then be conferred. (For fuller statement, see the Graduate Announcement, page 19.) The Faculty also requires that printed copies of the dissertation, not to exceed forty-five in number, be delivered to the office of the department concerned for distribution to members of the Faculty.
   In the printing of the dissertation certain options are allowed: (a) It may be printed from type and published in book form; (b) it may be published as an article or series of articles in a scholarly journal; (c) with the permission of the Executive Officer of the department concerned, it may be reproduced by an offset process approved by the Dean.
10. Departmental Requirements. Special departmental requirements appear on succeeding pages of this Announcement. Departmental requirements are in addition to, not a substitute for, the faculty requirements.

[…]

DEPARTMENTAL REQUIREMENTS
DEPARTMENT OF ECONOMICS

As soon as possible after deciding upon economics as the subject of primary interest for the degree of Master of Arts or Doctor of Philosophy, the prospective candidate should report through the secretary of the Department of Economics, in Fayerweather Hall, to the Executive Officer of the Department or his representative to receive fuller instructions.

General Undergraduate Preparation. Since graduate study in economics necessarily entails a high degree of concentration in this field, a student planning to enter graduate work is advised not to specialize narrowly in economics during his undergraduate study. Basic training in economics and a knowledge of its general literature and methods are desirable, but for the purposes of more advanced work on the graduate level, there is a greater advantage in the study of history, philosophy, modern languages, and mathematics than in narrowly specialized courses in economics taken as undergraduates.

Mathematical Preparation. The use of mathematics, including higher mathematics, has become important in several branches of economics and statistics. Much of the recent important literature of general economics is written in a language not easily understood without some knowledge of the differential and integral calculus. A student planning to work for the degree of Doctor of Philosophy in economics will therefore find it advantageous to acquire familiarity with the calculus and with higher algebra before beginning graduate studies in economics.

Master of Arts

General Requirements. In addition to fulfilling the general faculty requirements the student must include graduate courses in economics aggregating not less than fifteen points among the courses aggregating not less than twenty-one points in which he is required to receive examination credit before being recommended for the degree.

Essay. The candidate must select his essay subject, submit it to the appropriate professor within two months after registration as a candidate for the degree, and list this subject in the office of the secretary of the Department.

The selection of a subject of importance within the field of his interests must be made by the student himself, and the ability to make a proper choice will normally be regarded as an essential qualification for the degree. The completed essay must be submitted for approval not later than four weeksbefore the date on which copies of the approved essay are to be filed with the Registrar (see Academic Calendar, pages 77-78). Under no circumstances should the candidate proceed beyond the preparation of his detailed program of investigation and the completion of a preliminary chapter or section without submitting his work to his adviser. In the approval of an essay attention will be paid to excellence of presentation and to expression in correct English as well as to specific content and ability to use original material.

Doctor of Philosophy

Prospective Candidacy.  As soon as possible after the beginning of his graduate residence the student shall notify the Executive Officer of the Department of Economics of his intention to become a candidate for the degree of Doctor of Philosophy in Economics. A choice of subjects will be made in consultation with the Executive Officer or his representative.  A written examination, intended for students who have thus indicated their intentions, will be given near the end of each session. This examination must be taken before the student may register for more than thirty points of course credit for graduate work. (Students given credit for fifteen or more points for graduate courses completed at other institutions must take the examination before registering for more than forty-five points of course credit, including points credited from another university.) Upon passing this examination a student is classed as a prospective candidate. Prospective candidates are eligible to register for all courses designed for candidates for the degree of Doctor of Philosophy in Economics, for which they have specific prerequisites.

Students taking the examination for prospective candidacy will be required to indicate the field or fields of their research interests.

The Department may deny registration privileges to students who have completed graduate courses aggregating thirty or more points of course credit and who fail to pass the examination for prospective candidacy.

The examination for prospective candidacy will not be required of students who receive credit for 30 or more points of graduate course work completed before June 30, 1946, and who present themselves for oral examination on subjects prior to June 30, 1948.

Languages. The prospective candidate must satisfy the Department of Economics that he can read two modern languages besides his native tongue. The combination of French and German is preferred, but Spanish, Italian, or Russian and another language may be selected with the written permission of the Executive Officer of the Department in cases where it is of particular value to the student’s scholarly interests. The student must pass the test in at least one of the languages before registering at Columbia for courses that will bring the sum total of his graduate credit (for work done at Columbia or elsewhere) to more than thirty points. (Thus a student who already has thirty or more points of graduate credit for work done at another university must pass at least one of the language tests before his initial registration at Columbia for work leading to the doctorate.) The other language test must be passed before he may register for more than forty-five points of course credit (including points credited from another university). The examinations in languages will be held on the following dates: Monday, September 23, 1946 from 2 to 4; Thursday, January 30, 1947, from 2 to 4; Friday, May 2, 1947, from 10 to 12. Students are required to register with the secretary of the Department of Economics at least one week prior to the date of the examination their intention to take such an examination. In case of emergency, and by special permission of the Executive Officer of the Department, an examination in languages may be given at other times.

Matriculation. Upon recommendation of the Department’s matriculation committee a prospective candidate who has completed not less than one year of graduate residence, has met Departmental language requirements, and has satisfied the Department that he is prepared to undertake research under its direction, will be recommended by the Executive Officer of the Department to the Dean for matriculation. Matriculation constitutes formal admission to candidacy for the degree.

Examination on Subjects. The candidate who has fulfilled the preliminary requirements for this degree may make application, through the Executive Officer of the Department, to the Dean for examination in subjects. Such application may be made at any time, but must be made before April 1 in the academic year in which the examination is to be held. The applicant will be notified by the Dean of the date of his examination. This examination is oral and is conducted by a committee of the Faculty appointed by the Dean. By it the applicant will be expected to demonstrate an adequate knowledge of the subjects selected for this examination and of the literature pertaining thereto.

At the time the candidate applies for his examination on subjects he shall submit a memorandum outlining his dissertation project in some detail, analyzing it with respect to source material and the research techniques required for its successful prosecution, and setting forth his plan for carrying the project forward. This memorandum must be approved by the candidate’s adviser and by the Executive Officer of the Department or a committee designated by him before the candidate may be admitted to the oral examination.

The examination on subjects will be focused in part on the area of the candidate’s research interests and the candidate’s research project.

Every candidate for the doctorate must give satisfactory evidence of his grasp of six of the subjects listed below. Three of these subjects must be economic theory, economic history, and statistics. Four of the subjects listed below (among which must be included the three subjects specified in the preceding sentence) are considered to constitute the student’s field of primary interest. The procedure for meeting this requirement is as follows:

1. The candidate must offer himself for oral examination in four of the subjects listed below. The examination will be on subjects, not on courses.
2. Before making formal application for this oral examination on subjects, the candidate must satisfy the appropriate professors of economics in the Faculty of Political Science that he has done work which is adequate both in scope and in quality in two subjects (also chosen from those listed below) other than the four to be offered in the candidate’s oral examination. This requirement may be met in any manner satisfactory to the professors concerned—by taking courses, by formal or informal examination, or in other ways. When the requirement has been met, the candidate must secure written certification to this effect from the professors concerned. Arrangements for certification will be made with the Executive Officer of the Department.

The subjects are as follows:

It is the policy of the Department of Economics to encourage students to devote part of their effort to studies outside the Department. The student’s field of secondary interest, to the extent of the equivalent of two of his six subjects, may fall in one of the departments under the Faculty of Political Science, in Philosophy, Psychology, or in another discipline dealing with matters germane to the student’s scholarly interests.

Economic Theory. The candidate will be expected to show acquaintance with the ways in which economic theorists have conceived and treated broader issues, as well as ability to apply economic theory to problems that interest him. The Executive Officer of the Department should be consulted before making a choice of emphasis in preparation for examination.

Dissertation. Investigations and researches for the dissertation may be pursued either in connection with the work of some research course or under the direction and supervision of some member of the Faculty of Political Science independently of any course. Students working on dissertations must keep their advisers informed of the status of their work.

Final Examination: Defense of the Dissertation. At least one month in advance of the time at which he wishes to present himself for the defense of his dissertation, but not later than April 1 in any academic year, the candidate must make application therefor to the Dean, who will thereafter notify him of the date of the final examination. This examination is an oral examination conducted by a committee of the Faculty appointed by the Dean. By it the candidate will be held to a defense of his dissertation in respect of its content, the sources upon which it is based, the interpretations that are made, the conclusions that are drawn, as well as in respect of the candidate’s acquaintance with the literature and available sources of information upon subjects that are cognate to the subject of his dissertation.

The dissertation topic and plans for the prosecution of the study leading to the dissertation will be reviewed at the time of the candidate’s examination on subjects. It is desirable that a substantial start be made on the dissertation while the student is still in residence. If a candidate works on his dissertation in absentia an annual written report of progress will be required.

In summary, the following are the steps to be taken by a student seeking the degree of Doctor of Philosophy in Economics:

1. Submit to the Office of Admissions an application for admission to the graduate Department of Economics. Arrange to have transcripts of all previous academic records sent to the Office of Admissions by the institutions concerned.
2. Notify the Executive Officer of the Department of intention to become a candidate for the degree of Doctor of Philosophy.
3. Make a preliminary choice of subjects in consultation with the Executive Officer or his representative.
4. Register with the secretary of the Department for examination for prospective candidacy. This examination must be taken before the student may register for more than thirty points of course credit for graduate work, but see fourth paragraph of “Prospective Candidacy” ([see] above). Students taking the examination are required to indicate the field or fields of their research interests.
5. Apply for test in one foreign language. The test in one language must be passed before the student may register for more than thirty points of course credit for graduate work. (Language tests may be taken at any of the scheduled dates after admission to graduate status.)
6. Apply for test in second foreign language. The second language test must be passed before the student may register for mort than forty-five points of course credit for graduate work.
7. Apply through the secretary of the Department to the Matriculation Committee of the Department for Matriculation (i.e. formal admission to candidacy for the doctoral degree).
8. Arrange with professors concerned for certification examinations on two of the six subjects offered. Certification examinations may be taken at any time, on consultation with the professor in charge, after admission to graduate status.
9. Apply to the Executive Officer for permission to take examination on subjects. This application must be made before April 1 in the academic year in which the examination is to be held. At the time of application, the candidate must submit to the Executive Officer a memorandum outlining his dissertation project. This memorandum must previously have been approved by the candidate’s adviser and by the Executive Officer or a committee named by him.
10. Submit dissertation to the professor in charge and to the Executive Officer of the Department. Obtain the Department’s assurance that the dissertation is in form for defense, and the Department’s recommendation to the Dean that the candidate is prepared for final examination.
11. Apply to the Dean of the Graduate Faculties for admission to final examination for the Doctorate (defense of dissertation).
12. Deliver seventy-five copies of the printed dissertation to the University Libraries.
13. Arrange with the secretary of the Department for distribution of copies of the printed dissertation, not to exceed forty-five in number, to members of the Faculty of Political Science.

Source:   Columbia University Bulletin of Information, Forty-sixth Series, No. 37 (August 10, 1946). History, Economics, Public Law, Sociology, and Anthropology. Courses Offered by the Faculty of Political Science for the Winter and Spring Sessions, 1946-1947, pp. 2, 13-16, 19-23.

Image Source:  Columbia University graduation. New York, NY The Miriam and Ira D. Wallach Division of Art, Prints and Photographs: Photography Collection, The New York Public Library. “”. The New York Public Library Digital Collections. 1940 – 1979.

The subject of oral examinations has come up in earlier posts:  Columbia 1932-3, Columbia 1967, and Harvard 1958. This post takes us to the immediate post-WWII years.

For visitors to this page who are unfamiliar with the divisional organization of Columbia University earlier: the department of economics was located within the faculty of political science that also included departments of history, public law and government, sociology, and anthropology — a disciplinary spectrum similar to that of Harvard’s Division of History, Government, and Economics.

____________________

FACULTY OF POLITICAL SCIENCE

23 April 1946

MEMORANDUM on the Conduct of Doctoral Examinations

TO:     Members of the Faculty of Political Science

Following are a few suggestions, occasioned by comments of members of the Faculty relative to our oral examinations for the doctorate, both on subjects and in defense of the dissertation. They are distributed to call attention of members of examining committees to procedures previously agreed upon but sometimes forgotten or overlooked.

1. That our system of departmental representatives at examinations is breaking down furnishes the subject of most frequent comment. This was understandable during the war when the staff was depleted and overworked; and provision of representatives for all examinations by the smaller departments is always a difficult problem. But the Committee feel that the principle is a good one and should be maintained. It makes for the equalization of standards in examination throughout the Faculty and serves as a constant reminder that examining committees, more particularly for the defense of the dissertation, are committees of the Faculty. Since the Faculty has for long been too large for all members to attend all examinations, the system of departmental representatives affords the means of maintaining faculty solidarity in the examination.
2. There is further question relative to examining committees keeping within the allotted time. This is particularly important during the crowded period in late April and May, when examinations are frequently scheduled with no interval between. Lack of promptness in ending the examination causes confusion and irritation and detracts materially from the dignity of the examination. Obviously if the examination is concluded promptly on the hour, the committee must have some time to decide on the performance of the candidate, with the result that the next committee is kept waiting during the deliberation. This matter has been discussed with Miss Neare of the Dean’s office. She will do her utmost to allow at least one-half hour between each examination. If the schedule becomes so crowded that this is impossible, some other locale for the examination will be sought.
   It should be noted that this arrangement may involve: (a) the commencing of some examinations on the half hour, and (b) the necessity of bearing in mind that some examinations will probably be scheduled in a room other than 304 Fayerweather.
3. Your committee would like to call attention of all chairmen of examining committees to the desirability of rigid adherence to the faculty agreement that 15 minutes at the end of every examination should be reserved for questions by departmental representatives, or more general questions by any member of the committee. At the same time we should like to point out that this rule has validity only if departmental representatives accept the responsibility of posing questions.
4. The examining committee for defense of the dissertation is a committee of the Faculty charged to act for that body in the matter of certifying candidates for the doctorate. Occasionally when a question relative to the dissertation, or some unusual circumstance in the examination, has arisen reference has been made to the Committee on Instruction. It is the feeling of this committee that the decision of the examining committee should be final and that in all cases involving an unusual decision full and accurate record should be made of such decision, either on the reporting blank or on a sheet attached thereto.

Respectfully submitted,

James C. Bonbright
Austin P. Evans, Chairman
Philip C. Jessup
Robert K. Merton

APE:v

Source:  Columbia University Archives.  Minutes of the Faculty of Political Science, 1940-1949.

Image Source: Fayerweather Hall from Columbia University Department of History website

Every so often some well-meaning Dean tries to capture established procedures in writing. Since the Faculty of Political Science was explicitly referred to and the printed pamphlet transcribed below was found in the papers of the former head of the economics department (located within the Faculty of Political Science), Carl Shoup, it would seem reasonable that the spirit of the these rules, if not the letter, governed the administration of graduate oral and Ph.D. final examinations in economics. When one thinks of the salience of such examination memories, I find it surprising that it is difficult to find detailed written recollections of the oral exams experienced by generations of economic graduate students.

______________________

The Graduate Faculties
COLUMBIA UNIVERSITY
1967

The Conduct of Oral and Final Examinations

Note

During the academic year 1958-1959 the Chairmen of the Committees on Instruction of the Graduate Faculties wrote to the Dean of the Graduate Faculties to ask that he set down in permanent form the rules governing oral examinations. Before and after that request, numerous faculty members had also asked the Dean’s office question on particular points…

The few pages that follow attempt to answer these various inquiries by summarizing the contents of committee minutes and faculty statements. The forms and procedures here listed were developed over the years by the Faculties themselves and given coherence and fixity by the decisions of the Joint Committee on Graduate Instruction. They apply also to the professional schools in which the Ph.D. degree is offered. The customs indicated, such as rising, notifying the candidate in subjects in one’s office, but bringing back the dissertation candidate, are of course no compulsory but they will be found pleasant and convenient to observe…

I
The Conduct of Oral Examinations

THE CERTIFYING EXAMINATION OR ORALS IN SUBJECTS

In departments where oral examinations are required, a student applies for his orals in subjects to his department. When the request has been approved, the department appoints a committee of not fewer than five members, one of whom is designated as chairman, to examine the candidate on specified subjects or fields. (In the Faculty of Political Science, at least one member of the committee must belong to a department other than the candidate’s; in other faculties, members of outside departments are called on when it is appropriate to do so.) The examination is held preferably in an examination or seminar room, not in an office or classroom, and its duration may be two or two and a half hours, depending on department practice.

The examination chairman is responsible for the conduct of the examination. He calls upon the committee members to ask questions and regulates the length of time that each examiner may occupy. All persons present are deemed members of the committee, whether members of the department or not, and must be given an opportunity to ask questions. The chairman has the right to disallow any question that seems to him irrelevant or improper.

At some convenient point during the examination — e.g., between the major and the minor when that division applies — the candidate is given an opportunity to leave the room for two or three minutes. He is not required to do so and may prefer to forge ahead to the end. At the close of the examination, the candidate is asked to wait in or near his sponsor’s office, the examiners rising as he leaves the room. The chairman then asks for opinions on the examination. Every person present may vote on the issue of Pass or Fail, a majority vote being sufficient.

If passing, the committee must next assign a grade or comment which is entered on the student’s record. Excellent. Very Good, Good, Fair are the commonest terms in use. Poor is not considered passing. In some departments, failure on the examination as a whole is final, unless the committee, of its own motion, recommends to the department a reexamination at some specified time in the future; in others a second examination is normally permitted. There is precedent for giving this second examination in written form if the committee decides that the oral method would permanently prevent the candidate from displaying his knowledge. The committee may also require reexamination, either written or oral, in some part or parts, suspending judgment on the examination as a whole until the deficiency is removed.

Only in the most unusual circumstances should an examination be terminated as a failure before it has run its normal course. This and several of the other cautions enumerated here arise from the experience of many years, during which a number of embarrassments — threatened lawsuits and the like — have been created by contentious students who took advantage of laxness or informality in the conduct of their examinations. Needless to say, it is the student who fails who has recourse to this attempted vindication, but it can be troublesome to the department and expensive for the University.

THE FINAL EXAMINATION OR DEFENSE OF THE DISSERTATION

At the final examination, the dissertation is defended by the student with respect to its sources, interpretations, and conclusions. The candidate is expected to show familiarity with the bibliography of his subject and the knowledge relating to the thesis he puts forward.

The committee to examine on the dissertation is not a departmental but a faculty committee. For the Ph.D. degree the Dean of the Graduate Faculties appoints a committee after nominations have been sent him by the department. The committee should consist of at least five members and should not exceed nine or ten. At least two members should come from University departments other than the candidate’s. The reason for the limit on size is that a larger number than ten can scarcely examine to any purpose within a span of two hours, and it is unfair to ask a faculty member to read and annotate a book, listen to his colleagues criticize it, and deny him the right to do the same.

For this reason also, the chairman of the committee must be strict about allotting time. If the candidate is asked to begin by summarizing his preparation and his results, this must be kept within reasonable limits.

Points made by examiners will naturally divide into substantial and editorial. Unless it is necessary to show that a very badly written dissertation must be entirely rewritten, the editorial comments ought not be taken up one by one. The sheet of notes on these matters is handed by the reader to the candidate, leaving examining tie for matters of substance.

When all examiners have finished their questioning, the candidate is asked to step outside and wait for a signal to return. During the discussion period, the question at issue is, first, Pass or Fail; then, if passing is approved, is it with minor or major revisions (known as Column 1 and Column 2 respectively)? A majority vote is required for all decisions on the final examination. But if any two examiners vote not to pass the dissertation (Column 3), it may only be accepted with major revisions, i.e., in Column 2. The committee may also, by unanimous vote, designate an exceptionally meritorious dissertation as “distinguished,” an honor which is place on the candidate’s permanent record.

When passed with minor revisions, the dissertation is corrected by the candidate in the light of the comments made upon it, and his revision is supervised by his sponsor. For major revisions, the chairman of the examination committee appoints a revision committee of three, whose names must be entered upon the reporting sheet. When the student has finished the major revisions, they must be submitted to each of the three members of the revision committee and each must state in writing that the new text is satisfactory. The three letters are sent to the Dean of the Graduate Faculties to be attached to the reporting sheet and thus settle the suspending passing. In the Faculty of Philosophy, such a dissertation may not be deposited until three months after the defense, and not during the summer months.

No candidate may have a second final examination unless the Dean considers, upon evidence put before him, that the first one was maladministered. Under special circumstances, however, the examining committee may by unanimous vote recommend that the Dean, after consultation with the chairman of the department, permit the candidate to submit and defend a totally new dissertation.

Since some students misconstrue encouragement and civilities, and blind themselves to the meaning of the phrase “certified for examination,” it is important for sponsors to make clear at all stages two fundamental features of the final examination procedure:

1. Certification of the dissertation for examination in no way guarantees that it will be passed, nor does this certification commit the vote of any member of the examining committee.
2. Certification does not deprive examiners of the right to press questions and criticisms during the examination.

Special dispensation for irregular modes of examination is not unknown but the precedents cannot be construed as a right. Upon formal recommendation of the department, the Dean may approve, on evidence put before him, such irregular procedures as have occurred in the past: defense in absentia (the candidate was in Asia and kept from attending by more than one circumstance); posthumous defense (the candidate’s sponsor recorded and embodied the committee’s suggestions); defense per alium (the candidate, in military service abroad, was represented by a scientific collaborator.

Source: Columbia University Libraries, Manuscript Collections. Columbia University, Department of Economics Collection. Carl Shoup Materials, Box 10, Folder “Columbia University—General”. Printed Pamphlet: The Graduate Faculties, Columbia University, 1967. The Conduct of Oral and Final Examinations [etc.], pp. 1-5.