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Appendices |
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| APPENDIX 1: THE QUALIFYING EXAMINATION | |
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(Revised 10/93, 08/95, 07/98, 07/99, 08/00)
The Qualifying Examination provides an opportunity for the faculty to evaluate students before their admission to candidacy to the Ph.D. degree. It is also a valuable learning experience where a student has a chance to read critically with faculty on the thesis topic and two other topics of interest to the student. The overall structure of the Qualifying Examination is as follows:
* A five-week reading period during which three topics (thesis topic and two non-thesis topics) selected by the student are studied in depth.
* A two-week period for the preparation of two research proposals (thesis and non-thesis).
* An oral examination covering the reading topics, the proposals, and other areas of genetics.
* The Qualifying Examination requires the full-time attention of each student.
Accordingly, students are exempt from laboratory and classroom activity. Ideally, the student should not be enrolled in courses during the qualifying examination period. If the student wishes to take a course concurrently with the Qualifying Exam, prior permission must be obtained from the DGS, and any necessary special arrangements must be made with the instructor of the course.
Guidelines for the Qualifying Examination
Setting up the exam
Several weeks before the beginning of the exam, the student consults with his/her advisor about topics and potential faculty readers. At least one of the three faculty members on the qualifying exam committee must have an appointment in the Genetics Department. The student should first identify faculty who can cover literature relevant to the thesis proposal. The other two reading topics must be unrelated to the thesis topic. The student may pick either the topic first and then find a faculty member to read with, or pick a faculty to read with and then jointly choose the topic. The student should have some familiarity with the non-thesis topics (from coursework or independent reading) so that current research in the field can be critically evaluated. Once the student has some ideas about the qualifying exam committee and topics, the student sends this information and a short description of the topics to the DGS for approval. The DGS may require modification of the reading topics if they are too broad, too focused or too closely related to the thesis topic. Based on this information the DGS, in consultation with the student, will appoint the committee and designate a Genetics faculty member as the Chairman. In consultation with the exam committee, the student establishes a schedule for the reading and writing weeks, and (most importantly) the date of the oral exam. A list of the final approved exam committee, the chairman and topics must be distributed by the student to all committee members, the advisor, the DGS, and the Genetics Registrar.
* Select three faculty (at least one in Genetics) and three topics (one thesis, two non-thesis)
* Establish an exam schedule
* Obtain approval from the DGS
* Circulate the topics, reading period schedule, time & place of the oral exam, a list of committee members and the name of the chairman to the DGS, committee and advisor
* Give each committee member a copy of the Guidelines for the Qualifying Exam (available in the Graduate Program office)
Reading Period (5 weeks)
The reading period should not exceed 5 weeks. During the reading period, the student meets for one to three hours per week with each faculty reader to discuss and critically evaluate specific scientific papers; however, the frequency and length of the meetings may vary at the discretion of the faculty readers. The focus of the reading period should be on primary research literature, supplemented when necessary by reviews. The choice of papers may be made by the student, the reading faculty or both, and the thesis advisor may be consulted about the reading. Typically, students read in depth 2-5 papers per week for each of the faculty readers.
* Meet with each of the faculty readers at least once per week
* Develop outlines for the research proposals
* Remind committee members and advisor of the time and place of the oral exam
Writing Period (2 weeks)
The student will prepare two brief research proposals (8-10 pages each, double spaced), one on the thesis topic and the second in one of the other reading topics. Each proposal should concisely review the pertinent background information, logically and clearly state the questions being asked, and intelligibly lay out the experimental plan according to the following outline:
Specific Aims (1 page or less). A concise statement of the general problem under study and the explicit goals of the project.
Background and Significance (no more than 3 pages). This section should place the experiments in context and describe the system in a manner intelligible to a non-specialist. This should include a critical evaluation of the relevant literature and a description of how this project will advance knowledge in the field.
Experimental Plan. Outline the experiments envisioned at this time and indicate how they will help you attain the overall goals of the project. Acknowledge pitfalls and limitations of your experimental approach, and if possible suggest alternative strategies. Suggest possible results and how they would be interpreted.
References should be included at the end and do not count in the page limit. It is often helpful to include a page or two of diagrams/figures/tables.
The proposals are normally written during the writing period, although the student may elect to begin working on them sooner. The proposals should demonstrate the student's ability to recognize important unsolved questions and to design experiments to answer them. They should, therefore, be original proposals, developed solely by the student and not read by anyone else before being handed in to the exam committee. The thesis proposal may reflect discussions with the research advisor, but it should emphasize the student’s priorities and original ideas. The non-thesis proposal should be developed from one of the reading topics, and it will serve as an example of independent scholarship. The committee will judge the proposals on the basis of logic, feasibility and originality.
Write the thesis and non-thesis proposals (do not have them read by other students or faculty)
Submit the proposals at the end of the writing period to each member of the exam committee, the advisor, and the Graduate Program Registrar
Preparation for Oral Examination
The oral examination must take place no more than one week after submitting the written proposals. To prepare for the oral exam, the student is strongly encouraged to organize and take a practice oral exam with students and postdocs from their lab or from the laboratories of their qualifying exam committee. It is helpful to give the mock exam committee drafts of the research proposals. The thesis advisor and other faculty are not allowed at the practice exam.
Prepare short talks on each proposal
Recruit a mock exam committee consisting of students and postdocs
Hold a practice exam
Oral Examination
All oral exams will follow the same general format. The oral examination will focus on the student’s ability to present and defend the two research proposals. The student should come to the exam with short (~15 minute) presentations for each proposal and visual aids, such as overheads. The actual presentations will take longer since faculty will interrupt with questions. The committee can also ask questions on topics covered during the reading period and general topics in genetics that will have been covered in courses and recent Genetics seminars. The thesis advisor will not be present at the oral exam. The exam usually lasts about 2 hours.
At the beginning of the exam, the committee will excuse the student for a brief period so it may consult. At the end of the oral exam, the student will again be excused. Following this, the student will return to the exam room and the committee will tell the student its evaluation, as well as provide feedback on the entire exam period. Students are also encouraged to meet individually with committee members to receive additional input regarding their proposals.
Evaluation
The final evaluation by the exam committee faculty takes into account the student's performance on the examination and performance in lab (based on the advisor’s evaluation). A written summary of the qualifying examination evaluation will be prepared by the examination committee chair and submitted to the DGS. Copies of the written evaluation will be forwarded to the student, committee members, advisor, and Genetics Registrar.
The three possible outcomes are:
Pass - the student did well during the reading period and satisfactorily defended the research proposals.
Conditional pass - there were deficiencies in literature proficiency, the written proposals or the oral defense of the proposals. Possible recommendations for further work (to be specified by the examination committee) include additional reading, revisions to written proposals, additional coursework and a repeated oral examination. If a student is required to take a course, it should be taken for credit and the student should receive an Honors or High Pass grade. The DGS may be consulted about the specific recommendations.
Fail - the student’s grasp of the literature, written work and defense of the proposals were
unsatisfactory. The student will be informed of the problems at the end of the exam. The student may be given the opportunity to re-take the exam after the student has had time to do remedial work. Usually, the same examination committee will preside over the second oral exam. Failure to pass the exam a second time will be grounds for dismissal. The committee and DGS may also fail the student without an option to retake the exam, which would result in dismissing the student from the graduate program. The committee must consult with the DGS and advisor before its recommendations are finalized.
Overall exam timing
The qualifying examination must be completed by the end of the second year (fourth term, May 31). Extensions must have prior approval of the DGS. A timeline for the exam is:
* Several weeks before the exam: meet with advisor and DGS to discuss the exam
* Before exam starts: meet with reading faculty to decide on reading for first week
* Weeks 1-5: meet weekly with each reading faculty
* Weeks 6-7: write proposals
* End of week 7: hand in proposals to committee, advisor, Graduate Program Office
* By end of week 8: oral examination
Role of the Thesis Advisor
The student should start his/her exam only after a thesis project is well established in the lab. The thesis advisor should already have had substantial input to the aims and experimental approaches for the project. The student should already have done significant reading on the thesis topic, including all recent papers from their lab, and discussed these papers with the thesis advisor. Therefore, the student will enter the qualifying exam with the benefit of intellectual support from his/her advisor, possibly including the opportunity to read grant proposals written by the advisor. The reading period will provide the student with dedicated time for additional in-depth reading of literature relevant to the thesis project. The student is encouraged to modify his or her thesis project aims based on the reading period.
During the exam, the student may continue to consult with the advisor about specific papers to read, especially on the thesis topic. However, the student must write the thesis proposal independently and the thesis advisor may not read the proposal. There will be ample opportunity for the advisor to discuss the proposal with the student after the exam is completed.
The thesis advisor will provide a written evaluation of the performance of the student in the lab to the DGS. The thesis advisor will not be present at the oral examination.
Responsibilities of the Committee Members
* Read the entire Qualifying Examination guidelines!
* When you are asked to serve on an examining committee, you should feel free to comment upon and modify the topic on which you are reading. Is it too broad or too narrow? Is it worded clearly? Could the topic be revised to make it more interesting or more appropriate in scope?
* Before the beginning of the reading period, you should help the student embark up an appropriate program of reviewing and reading. The student will probably have his/her own ideas regarding general references (reviews or chapters which survey each topic as a whole) and specific references (key research papers), but may have overlooked other valuable references and will benefit from your advice and help.
* During the reading period, the student will return to see you regularly to ask questions and discuss the reading. It is best to set up a schedule of meetings at the beginning of the reading period.
* If during the course of the reading period it becomes apparent that the student is having difficulties, the committee chairman should be notified immediately.
* At the finish of the writing period, the student will deliver to you two brief research proposals designed to illustrate the student's capacity to develop interesting ideas for research. You must read both proposals, regardless of whether your reading topic is represented in them.
* At the oral examination, you should design your questions to serve three functions: to amplify and clarify the proposals; to explore the breadth of the student's knowledge within each subject area; and to assess the student’s overall preparedness for independent Ph.D. research.
Responsibilities of the Chairman of the Examining Committee
* In addition to the duties shared with the other committee members, the Chairman has two special responsibilities:
* To monitor the student's performance during the reading period. The Chairman should contact the other committee members mid-way through the reading period to find out if there are any problems. If it becomes apparent that the student is experiencing difficulties during the reading period, discuss the problem candidly with the student and other committee faculty to identify the source of the problem and to try to resolve it. The Chairman should not hesitate to contact the DGS in such a situation.
* To preside over the oral examination and to communicate the results of the entire examination to the student and DGS. At the beginning of the oral examination, the usual procedure is for the committee to meet without the student for 5-10 minutes to discuss the proposals and the student’s overall performance up to the oral examination. Following the oral questioning, the student is asked to leave the room again, and then the Chairman presides over a discussion of the student's performance on the examination as a whole. The Chairman should take a vote on which of the recommendations to make to the DGS (see Evaluation section). The student then returns and the committee reports its evaluation and transmits specific advice, feedback & recommendations. Finally, the chairman sends a written summary to the DGS stating the student has taken the Qualifying Examination, the date, the committee members present, and the outcome of the examination.
Responsibilities of the Director of Graduate Studies
* To discuss with each student their qualifying exam topics and faculty, modify them if necessary, and give final approval.
* To be available for consultation with the committee.
* To obtain a written evaluation of the performance of the student in the lab from the thesis advisor and send a copy to the exam committee chairman. The evaluation does not need to be extensive, but should alert the committee to any significant problems the student is having in the lab. This letter will not be forwarded to the student.
* To send copies of the examining committee’s report to the student and advisor.
* To notify the Graduate School of the grade of the Qualifying Examination.
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| APPENDIX 2: GRADUATE STUDENT SEMINAR GUIDELINES | |
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Marketing yourself and your research are important ingredients for success. The Graduate Student Seminar has two major goals:
To improve the presentation skills of graduate students
To assist students in critical evaluation of the literature
* Second year students are required to attend. Second year students will present Current Papers during the fall semester,
and Classic Papers during the spring semester.
* The seminar begins at 4:00 PM. Presentations are expected to start promptly at 4:00 PM and last no longer than 50 minutes.
* Everyone is expected to have read the papers before the seminar and to participate in discussion following the presentation. Be critical – not every paper is a good one.
* Each student is required to prepare a one page summary of the paper that is due on the day of the seminar.
* All students are required to attend every seminar. Failure to attend without an excused absence
from the instructor will result in failure of the course. Excused absences are rare but may include illness or family emergencies.
Preparation for the qualifying exam does not qualify for an excused absence. Students who are excused must prepare a three page in depth summary and critique of the papers, and hand it in no later than the following week.
Presentation
The student should read the paper, prepare an outline of it, and be prepared to discuss it with the faculty advisor prior to the seminar. The student is required to meet with the faculty advisor before presenting the seminar. Meetings will be monitored by the faculty coordinator of the seminar course.
a. Introduction
State the title and the authors.
Give the overall goal of the study.
Tell us why the goal is an important one; if the goal is not important tell us why.
Give us the background. This involves explaining the foundation the work is built upon and why these results are noteworthy. This will usually involve reading more on the subject than is included in the papers you will present. This is why you must begin working on your seminar some time before the day you will present it.
b. Results
There will not be time to present all of the results. Therefore, present only the crucial ones. For each result there is usually a specific question being addressed and a methodology being employed. State the question first. Second, go over the method. Do not assume everybody is familiar with the methods. However, if during earlier presentations, a method was described very carefully, just touch upon it. If the methods used were not the best ones to address the question, state this and tell us
why and describe methods that might better address the question.
Show us the results. You may wish to edit tables or label graphs etc. to make them clear. Evaluate the results. Are there error bars? Are the results significant? How many flies/worms/fish/yeast were used in the experiment? How many times were the experiments conducted? Are they presented clearly?
c. Conclusions
State the important conclusions. Remember that a conclusion and an interpretation are different. Are the conclusions justified by the results? Do the results support the model presented? Do the authors make conclusions or is a laundry list of experiments presented? What is the interpretation of the study? Are there other interpretations? What are they and why? Explain why the papers are significant, different, and selected to be read in this class.
Practice
One of the most effective ways to improve your presentation skills is to practice your talk out loud. Perhaps your friends and roommates will listen to your practice talks and give suggestions.
Evaluations
An evaluation form will be handed out to students attending the seminar. The form will be filled out and returned to the speaker to assist the speaker in improving her/his presentation skills. This evaluation will be anonymous. The faculty advisor will also provide an evaluation as well as a grade for the seminar.
Course Materials
The current paper in the fall or classic paper in the spring will be emailed to the student presenter
by the designated faculty member at least a week prior to class. The student presenter must forward
the pdf article to Joann Sweasy, the course instructor, by the Thursday morning prior to the next week’s
class. The paper will then be uploaded to the class server on the Yale web site. Once this has
been done, each student in the class will automatically be emailed to log on to the server and
download the paper.
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APPENDIX 3: GUIDELINES FOR GENETICS RESEARCH PROPOSAL
FOR FIRST THESIS COMMITTEE MEETING | |
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The thesis proposal written for the qualifying examination will serve as a starting point. The revised proposal should incorporate important suggestions from your qualifying committee and your advisor. In addition, the focus or plans for your thesis work may have shifted since your qualifying examination. The proposal should be no more than 10 double-spaced pages and conform to the following format:
1. Specific Aims (1 page or less). A concise statement of the general problem under study and the explicit goals of the project.
2. Background and Significance (no more than 3 pages). This section should place the experiments in context and describe the system in a manner intelligible to a non-specialist. This should include a critical evaluation of the relevant literature and a description of how your research project will advance knowledge in the field.
3. Preliminary Results (2-3 pages). Description of the experiments you have already carried out and the results and your interpretation of them.
4. Proposed Experiments (3-4 pages). Outline the experiments envisioned at this time and indicate how they will help you attain the overall goals of the project. Acknowledge pitfalls and limitations of your experimental approach, and if possible suggest alternative strategies.
5. References should be included at the end and are not counted in the page limit. If necessary, you can also include a page or two of diagrams/figures/tables.
6. The complete proposal should be distributed to the thesis committee and the DGS one week before the committee meeting.
The main objective of writing this proposal is to familiarize your committee with your project. It also gives you a chance to refine your goals based on comments from your advisor and qualifying committee and any additional preliminary results you have obtained.
Prepare a short talk with overheads. The committee meeting is not an exam; it is intended to aid the productivity of your research efforts.
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| APPENDIX 4: THE DISSERTATION PROSPECTUS | |
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Suggested Guidelines from the
Executive Committee of the Graduate School
(April 1990)
The Executive Committee recognizes that the form and content of dissertations develop and change as work on
them proceeds. The prospectus should therefore be viewed as a preliminary statement of what the student
proposes to do and not as an unaltered contract. We also recognize that the appropriate form and typical
content of a prospectus will inevitably vary somewhat from field to field. In most cases, however, we would
expect a prospectus to contain the following:
1. A statement of the topic of the dissertation and an explanation of its importance. What
in general might one expect to learn from the dissertation that is not now known, understood, or appreciated?
2. A concise review of what has been done on the topic in the past. Specifically, how will the proposed dissertation differ from or expand upon previous work? A basic bibliography should normally be appended to this section.
3. A statement of where most of the work will be carried out—for example, in the Yale library or another library or archive, in the laboratory of a particular faculty member, or as part of a program of field work at specific sites in the United States or abroad.
4. If the subject matter permits, a tentative proposal for the internal organization of the dissertation—for example, major sections, subsections, sequence of chapters.
5. A provisional timetable for completion of the dissertation.
Although it is difficult to prescribe a standard length for the prospectus, it should be long enough to include essential
information for all proposed topics but concise enough to focus clearly on the subject. About seven pages, including
bibliography, should be sufficient in most cases.
The Genetics Dissertation Prospectus
A thesis research proposal, updated from the student’s first thesis committee meeting, generally
suffices for the formal Dissertation Prospectus. A cover page should be included with signature lines
for the advisor and DGA to indicate their approval.
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| APPENDIX 5: Schedule of Academic Dates & Deadlines (2005-2006) | |
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Schedule of Academic Dates & Deadlines (2006-2007)
FALL TERM 2006
Monday, August 28
New student orientation week begins.
Wednesday, August 30
SPEAK test for new international students in PH.D. programs.
Thursday, August 31
Matriculation ceremony.
Friday, September 1
Fall-term Online Course Selection (OCS) begins.Orientation in departments for all new students begins.
Monday, September 4
Labor Day. Administrative offices closed.
Tuesday, September 5
Orientation for all new teaching fellows. Registration for returning students begins.
Wednesday, September 6
Fall-term classes begin, 8.30 a.m.
Friday, September 8
Final day to pick up registration materials from academic departments.
Friday, September 15
Final day to apply for a fall-term personal leave of absence. The entire fall-term tuition charge or Continuous Registration Fee (CRF) will be canceled for students who withdraw from the Graduate School on or before this date or who are granted a leave of absence effective on or before this date.
Wednesday, September 20
Fall-term online course selection (OCS) ends. Final day for registration. A fee of $25 is assessed for course schedules submitted after this date.
Friday, September 29
One-half of the fall-term full-tuition charge will be canceled for students who withdraw from the Graduate School on or before this date or who are granted a medical leave of absence effective on or before this date The CRF is not prorated.
Monday, October 2
Final date for the faculty to submit grades to replace Temporary Incompletes (TIs) awarded during the 2005–2006 academic year. Due date for dissertations to be considered by the degree committees for award of the PH.D. in December. Final day to file petitions for degrees to be awarded in December.
Friday, October 27
Midterm. Final day to add a fall-term course. One-quarter of the fall-term full-tuition charge will be canceled for students who withdraw from the Graduate School on or before this date or who are granted a medical leave of absence effective on or before this date. The CRF is not prorated. Teaching appointments will not appear on the transcripts of students who withdraw from the assignment on or before this date.
Friday, November 3
Readers’ reports are due for dissertations to be considered by the Degree Committees for award of the PH.D. in December. Final day to change enrollment in a fall-term course from Credit to Audit or from Audit to Credit. Final day to withdraw from a fall-term course.
Friday, November 10
Departmental recommendations are due for candidates for December degrees. Final day to withdraw a degree petition for degrees to be awarded in December.
Thursday, November 16
SPEAK test for international students in PH.D. programs.
Friday, November 17
Fall recess begins, 5.20 p.m.
Monday, November 27
Classes resume, 8.30 a.m.
Friday, December 8
Classes end, 5.20 p.m. Final grades for fall-term courses are due for candidates for terminal M.A. and M.S. degrees to be awarded in December.
Friday, December 22
Fall term ends; winter recess begins.
Spring Term 2007
Wednesday, January 10
Final grades for fall-term courses due.
Monday, January 15
Martin Luther King, Jr. Day. Administrative offices closed. Classes do not meet.
Tuesday, January 16
Registration and spring ID validation begin. Spring-term classes begin, 8.30 a.m.
Thursday, January 25
Final day to apply for a spring-term personal leave of absence. The entire spring-term tuition charge or CRF will be canceled for students who withdraw from the Graduate School on or before this date or who are granted a leave of absence effective on or before this date.
Friday, January 26
Registration and spring ID validation end. Spring-term online course selection (OCS) ends. Final day for registration. A fee of $25 is assessed for forms submitted after this date.
Friday, February 9
One-half of the spring-term full-tuition charge will be canceled for students who withdraw from the Graduate School on or before this date or who are granted a medical leave of absence effective on or before this date. The CRF is not prorated.
Friday, March 9
Midterm. Spring recess begins, 5.20 p.m. Final day to add a spring-term course. One-quarter of the spring-term full-tuition charge will be canceled for students who withdraw from the Graduate School on or before this date or who are granted a medical leave of absence effective on or before this date. The CRF is not prorated. Teaching appointments will not appear on the transcripts of students who withdraw from the assignment on or before this date.
Friday, March 16
Due date for dissertations to be considered by the Degree Committees for award of the PH.D. in May. Final day to file petitions for degrees to be awarded in May.
Monday, March 26
Classes resume, 8.30 a.m. Monday, April 2 Final day to change enrollment in a spring-term course from Credit to Audit or from Audit to Credit. Final day to withdraw from a spring-term course.
Friday, April 6
Good Friday. Classes meet. Administrative offices closed.
Monday, April 16
Readers’ reports are due for dissertations to be considered by the degree committees for award of the PH.D. in May.
Friday, April 20
SPEAK test for international students in PH.D. programs.
Wednesday, April 25
Departmental recommendations are due for candidates for May degrees.
Friday, April 27
Final day to withdraw a degree petition for degrees to be awarded in May.
Monday, April 30
Classes end, 5.20 p.m. Final day to submit Dissertation Progress Reports and Petitions for Extended Registration.
Tuesday, May 15
Spring term ends.
Friday, May 18
Final grades for spring-term courses are due for candidates for M.A. and M.S. degrees to be awarded at Commencement.
Sunday, May 27
Graduate School Convocation.
Monday, May 28
University Commencement.
Monday, June 4
Final grades for spring-term courses and full-year courses are due.
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| APPENDIX 6: THE NATURE AND ROLE OF THE DOCTORAL DISSERTATION | |
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Principles and Suggested Guidelines from the
Executive Committee of the Graduate School
Distinguishing characteristics of the doctoral dissertation
The dissertation should demonstrate the student’s mastery of relevant resources and methods and should make an original contribution to understanding the field.
Originality
The originality of a dissertation may consist in the discovery of significant new information or principles of organization, the achievement of a new synthesis, the development of new methods or hypotheses, or the application of established methods to new materials.
The idea of a dissertation need not originate with the student, nor must the line of research followed by the student be exclusively of his or her own design. We take it for granted that the ides of faculty advisors will often play a significant role in shaping the dissertation.
Collaboration
It is permissible for students to use research done in collaboration with others as the basis of their dissertations, and more than one student may obtain the Ph.D. by using a body of data derived from a common research project. In the physical and biological sciences such collaboration is now normal. Each student is expected, however, to write a separate dissertation from an independent and original contribution to the research was.
Since the dissertation is expected to embody an original contribution to scholarship by a particular individual, multi authored dissertations are not permissible, and more than one student may not obtain the Ph.D. by using the same dissertation.
It may occasionally be appropriate to append to a dissertation the results of original, unpublished research by other scholars (with their permission). Such a contribution should normally appear as an appendix, and its authorship should be made clear both at the beginning of the appendix and in the table of contents of the dissertation.
The use of previously published work
Previously published work by the student may be used in the dissertation as long as it represents work done after the student was enrolled in the PhD program and as long as it has not been used previously to obtain another degree. It is not permissible, however, simply to append offprints to the dissertation. The previously published research must be rewritten in such a way that it fits logically into the structure of the dissertation. There is no restriction on the kind of previously published research that may be used, but if the results of the research appeared in a multi-authored article, the independent contribution by the author of the dissertation must, as always, be made clear.
Unity and diversity within the dissertation
Normally it is expected that a dissertation will have a single topic, however broadly defined, and that all parts of the dissertation will be interrelated. This does not mean that sections of the dissertation cannot constitute essentially discrete units. Dissertations in the physical and biological sciences, for example, often present the results of several independent but related experiments.
The question arises from time to time of whether or not a series of unrelated, or at least loosely related, article-length essays can be submitted as a dissertation in the Humanities and Social Sciences. This has seldom been done at Yale and is not encouraged. We feel, however, that the faculty should keep an open mind on the question and that a student who wishes to present a case for a dissertation of this sort should be given the opportunity to do so.
Length and time to completion
Given the diverse nature of the fields in which dissertations are written and the wide variety of topics that are explored, it is obviously impossible to designate an “ideal length” for a dissertation. Virtually every one agrees, however, that a long dissertation is not necessarily a better one, and that quality of thought and clarity of exposition, not sheer bulk, are what value.
As was stated at the outset, we feel that the dissertation should demonstrate the student’s mastery of relevant resources and methods and make an original contribution to understanding in the field. We do not feel, however, that it should be the major scholarly achievement of the student’s entire lifetime as a scholar. The dissertation should help the student get launched on his or her professional career and not be a towering obstacle that delays the beginning of that career by many years.
Yale’s official period of candidacy is six years, and we feel that all students should be able to complete the Ph.D. within that period. Normally three, or at the most three and one-half, years should be devoted to the completion of pre-dissertation requirements (courses, examinations, selection of a dissertation topic) and the remaining time, i.e., two to three years, to the dissertation.
This means that students, faculty advisors, and Directors of Graduate Studies should give serious thought to the scale of the proposed dissertation topics. There should be a reasonable expectation that the project can be completed in two to three years.
* * * *
This working paper has been prepared by Jerome Pollitt, Dean of the Graduate School, on the basis of deliberations by the Executive Committee of the Graduate School. Its members are:
Marie Borroff, Lampson Professor of English
Leo Hickey, Professor of Geology and Geophysics and Biology
George May, Sterling Professor of French
Martha Constantine-Paton, Professor of Biology
T. Paul Schulz, Brachman Professor of Economics and Demography
H. Bradford Westerfield, Wells Professor of International Studies and Professor of Political Science
Also participating in the discussions were three Associate Deans of the Graduate School: Robert E. Bunselmeyer, David C. Spadafora, and Deborah G. Thomas.
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| APPENDIX 7: TAXATION OF SCHOLARSHIPS AND FELLOWSHIPS | |
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This is a summary of the federal and state tax treatment of scholarships, fellowships and assistantships. It has been prepared for distribution to students enrolled in the Graduate School. Please be aware that University staff members may not provide income tax advice or assistance to individuals. Since the tax laws are complex and may apply differently in individual circumstances, please consult your accountant or other tax advisor in order to ensure proper compliance. For additional information, you should read IRS Publication 520, Scholarships and Fellowships, available at http://www.irs.ustreas.gov/.
General Rule of Taxation
Under federal tax law, a scholarship or fellowship provided to a student in a degree granting program is not taxable if the entire fellowship amount is used to pay the costs of tuition, fees, books, equipment and supplies (required fees, books, equipment and supplies are limited to those specifically required of all students in a course).
Amounts in excess of these costs are taxable, as are any payments for services rendered such as the performance of research. Because the State of Connecticut income tax is based on taxpayer’s federal adjusted gross income, taxable portions of scholarships and fellowships as well as payment for services rendered are also subject to State of Connecticut income tax.
Withholding and Reporting
Scholarships and Fellowships
With several important exceptions described below, the University does not withhold federal or State of Connecticut income taxes from scholarship or fellowship stipends and is not required to report these stipends to the respective taxing agencies as income. Students are responsible for reporting to the IRS and the State of Connecticut Department of Revenue Services any portion of their awards that is properly taxable. Therefore, students who receive fellowships or scholarships should keep their award letters and receipts for tuition and required expenses in order to substantiate their taxable and/or nontaxable fellowship income.
Important: Students who are not subject to withholding may be required to file quarterly estimates tax payments with the International Revenue Service and the State of Connecticut. Failure to file may result in interest and penalty assessments.
Exceptions
International Students
For international students, the University and other grantors are generally required to withhold federal income taxes at a rate of 14% of that part of the award which is in excess of tuition, required fees, books, equipment and supplies. This provision applies to non-resident alien students who hold F, J, M or Q visas. Other international students may be subject to withholding at a rate of 30% of their stipends. Students may receive refunds of amounts in excess of taxes owed after they file appropriate federal and state tax returns.
Students should be aware of any tax treaties between the U.S. and their country of residence and, where applicable, may reduce or eliminate the required amount of federal income tax withholding by filing the appropriate forms with the University Tax Department located at 155 Whitney Avenue, second floor, Room 22. To schedule an appointment with the University Tax Department, please call 432-5530 or 432-5597 or email Jodie.stewart-moore@yale.edu or daysi.cardona@yale.edu. We encourage you to visit the International Tax Office website at http://www.yale.edu/finance/tax/int_tax/index.html for more information regarding payments to international students. The University reports taxable fellowship and scholarship income paid to international student on a Form 1042-S, a copy of which is also sent to the student.
Teaching Fellowships
Most students are admitted to the Graduate School with the expectation that they will teach for some period of their awarded fellowship period. The University is obligated to withhold federal and state income taxes on the stipend paid for teaching or, in some cases, on a portion of the fellowship stipend paid during the fellowship period. The University reports taxable teaching stipend income to the IRS, the State of Connecticut and the student on a Form W-2.
Research and Assistantship Stipends
Research and Assistantship stipends are taxable income and the University withholds federal and state income taxes on these amounts. The University report taxable assistantship and research stipends to the IRS, the State of Connecticut and the student on a Form W-2.
Note; The IRS does no require the University to withhold Social Security taxes (FICA) on the earning of students who perform services while they are enrolled as at least half-time students. Payments to non-resident aliens who hold F-1, J-1, M-1 or Q-1 immigration status may also be exempt from FICA.
Personal Tax Considerations
As students assess the effect of federal and state tax law, they should keep in mind the personal exemption and standard deductions available to taxpayers. Generally, taxpayers whose income is below the combination of the standard deduction and the personal exemption pay no federal income tax. For the calendar year 2001, the federal standard deduction is $4,550 for single persons ($7,600 for married couples who file jointly) and the personal exemption is $2,900. However, if a student is eligible to be claimed as a dependent on another taxpayer’s tax return (e.g. parents), the student may not claim the standard deduction. In certain instances, a student may have an obligation to file a return even where no tax is due. A student may likewise be required to file a State of Connecticut tax return.
Other Resources
Federal and States if Connecticut tax forms as well as tax publications and instruction booklets can be obtained by contacting the following agencies:
| Internal Revenue Service | 1-800-829-1040 | www.irs.ustreas.gov |
CT Department of
Revenue Services | 1-800-382-9463 | http://www.ct.gov/drs/site/default.asp |
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