DukeU.’s“UniversityPrograminEnvironmentalPolicy”Ph.D.

(UPEP)

JointPh.D.Programofthe

NicholasSchooloftheEnvironment(NSOE)&the

SanfordSchoolofPublicPolicy(SSPP)

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StudentHandbook2016-2017

Update:1/13/17

TableofContents1. Duke’sCommunityStandard(HonorCode).......................................................................................42. UPEPHandbookPreface..............................................................................................................................4

3. AbouttheUPEPPhDProgram..................................................................................................................4

4. FacultyAdvising&ThesisCommittees.................................................................................................55. Requirements...................................................................................................................................................6

5.1. CommonRequirements.....................................................................................................................65.1.1. Full-timeTuition..........................................................................................................................7

5.1.2. Curriculum.....................................................................................................................................7

5.2. CommonCourseRequirements......................................................................................................85.3. RequirementsSpecifictoDisciplinaryConcentrations........................................................8

5.3.1. ConcentrationRequirements:Economics........................................................................8

5.3.2. ConcentrationRequirements:PoliticalScience..........................................................105.4. Inter-InstitutionalRegistrationforAdditionalCourseOptions....................................11

5.5. ForeignLanguageRequirement..................................................................................................115.6. EnglishLanguageProficiencyRequirement..........................................................................11

5.7. ResponsibleConductofResearchRequirement..................................................................12

5.8. AdvisortoSupervisetheProgramofStudy...........................................................................125.9. CommitteetoSupervisetheProgramofStudy.....................................................................12

5.9.1. Roleandformationofthecommittee.............................................................................12

5.9.2. Eligiblemembersofthecommittee.................................................................................135.9.3. Changestothecommittee....................................................................................................13

5.10. Residence..............................................................................................................................................135.11. FieldExaminations............................................................................................................................14

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5.11.1. EconomicsConcentration.....................................................................................................14

5.11.2. PoliticalScienceConcentration..........................................................................................145.12. PreliminaryExaminations.............................................................................................................16

5.13. TheDissertation(aspertheGraduateSchool).....................................................................175.14. ApplyingtoGraduate.......................................................................................................................17

5.15. TheFinalExamination(againpertheGraduateSchool)..................................................17

5.16. TimeLimits(aspertheGraduateSchool)..............................................................................185.17. DepositofElectronicDissertation(aspertheGraduateSchool).................................18

5.18. Commencement(aspertheGraduateSchool).....................................................................18

5.19. Mastersen-routetothePhD.........................................................................................................196. Dismissal,Withdrawal&Leave.............................................................................................................19

6.1. Dismissal................................................................................................................................................196.2. Withdrawal...........................................................................................................................................19

6.3. TerminalMaster’sDegree..............................................................................................................20

6.4. LeaveofAbsence(aspertheGraduateSchool)...................................................................207. AppealsandGrievances............................................................................................................................20

8. FinancialAid..................................................................................................................................................21

8.1. TuitionandFees.................................................................................................................................218.2. Fundingbeyondthefifthyear......................................................................................................21

8.3. SummerFunding................................................................................................................................218.4. Fundingfortravel,tutoringandprofessionaldevelopment...........................................22

9. Appendix1:ExampleProgramTimelines........................................................................................23

9.1. EconomicsConcentration..............................................................................................................239.2. PoliticalScienceConcentration...................................................................................................24

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1. Duke’sCommunityStandard(HonorCode)DukeUniversityisacommunitydedicatedtoscholarship,leadership,andserviceandtotheprinciplesofhonesty,fairness,respect,andaccountability.Citizensofthiscommunitycommittoreflectuponandupholdtheseprinciplesinallacademicandnonacademicendeavors,andtoprotectandpromoteacultureofintegrity.

ToupholdtheDukeCommunityStandard:

• Iwillnotlie,cheat,orstealinmyacademicendeavors;• Iwillconductmyselfresponsiblyinallmyendeavors;and• IwillactiftheStandardiscompromised.

2. UPEPHandbookPrefaceThishandbookwaspreparedbytheDirectorofGraduateStudies(DGS)inconsultationwithUPEPfacultyandstudents.Itisintendedtobeofusetocurrentstudentsandfaculty,aswellastoprospectiveapplicants.SubjectsnotcoveredbyofficialpolicyofTheGraduateSchool,notdiscussedhere,orthoseunderreview,aretobehandledatthediscretionoftheDGSinconsultationwiththeSteeringCommittee,thefacultyandthestudents.

InadditiontotheDGS,programleadershipandadministrativeassistanceisprovidedbytheAssociateDirectorofGraduateStudies(AssociateDGS),andtheDirectorofGraduateStudiesAssistant(DGSA).TheAssociateDGSisaUPEPfacultymemberwhoseprimaryappointmentintheoppositeSchool(NicholasSchoolofEnvironment,NSOE,orSanfordSchoolofPublicPolicy,SSPP)totheDGS.PolicydecisionsaremadebytheUPEPfacultySteeringCommittee,comprisingtheDGS,AssociateDGS,andtwootherUPEPfacultymembers,onefromeachSchool.Toensuredisciplinarybalance,thoseadditionalfacultymembersarefromtheoppositedisciplinefromtheDGSorAssociateDGSintheirschool.

Thishandbookissupplementaryto,i.e.,notasubstitutefortheuniversity’sguidelinesandrequirementsasdescribedannuallyintheofficialGraduateSchoolBulletin.Inaddition,theDGShasaManualforDirectorsofGraduateStudiesthatcontainssomefurtherinformation(sometimesinmoredetailedandspecificformthanpresentedhere)regardingallaspectsofgraduatestudyatDuke.DonothesitatetoconsulttheDGS,AssociateDGSorDGSA!

3. AbouttheUPEPPhDProgramIdentifyingsolutionstoenvironmentalpolicychallengesrequiresacommandoftoolsfromthesocialsciences,alongsideknowledgeofatopic,plusunderstandingofpolicyprocesses.Duke’sUniversity“UniversityPrograminEnvironmentalPolicy”(UPEP)PhDisafive-year,research-intensivedoctoralprogramforsuchtraining.Itcombinesspecializationineithereconomicsorpoliticalsciencewithemphasisonunderstandingspecificpolicyproblems,processesandcontexts.Webelievethatsolvingenvironmentalpolicyproblemsrequirestheintegrationofmultipleperspectivestoframetheapplicationofdisciplinaryrigor.

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UPEPisjointlyadministeredbytheNicholasSchooloftheEnvironment(NSOE)andtheSanfordSchoolofPublicPolicy(SSPP).ItdrawsontheextensiveresourcesofbothSchools,aswellasotherdepartmentsplusresearchinstitutesacrossDukeUniversity.TheprogramhascloseaffiliationswiththeNicholasInstituteforEnvironmentalPolicySolutions(NIEPS)andtheDukeGlobalHealthInitiative(DGHI).StudentsworkincloseproximitytoPhDstudentsinvariousdisciplines,withineachSchoolandacrossDuke.Graduatesarewellpreparedforpositionsinacademicdepartmentsandprofessionalschools(forexample,schoolsofenvironmentorofpublicpolicy),domesticandinternationalpublicagencies,environmentalorganizations,researchinstitutes,andpolicyconsultingfirms.

Studentsandfacultyconductworld-classresearch,indomesticandinternationalcontexts,ontopicsincludingclimatechange,airquality,waterquality,biodiversityconservation,communityresourcemanagement,ecosystemservices,energy,environmentalhealth,fisheries,corporatesustainability,forestmanagement,povertyanddevelopment.

UPEPbuildsonalonghistoryofDukeUniversityengagementwithenvironmentalpolicyissues.ThepredecessorsoftheNicholasSchoolofEnvironment—theSchoolofForestry,MarineLab,andDepartmentofGeology—werefoundedinthe1930s.TheSanfordSchoolofPublicPolicytracesitshistorybacktotheformationofDuke’sInstituteofPolicySciencesandPublicAffairsin1971.Bothofthetwoschoolshaveofferedenvironment-andpolicy-focusedtrainingwithinPhDprogramsformanyyears.In2010,UPEPwascreatedtobringtogethergroupsengagedinsocialscienceresearchandtrainingforenvironmentalpolicy.

4. FacultyAdvising&ThesisCommitteesFacultyadvisersandcommitteememberscomefromschoolsandprogramsacrossDuke.SinceUPEPisajointprogramofNSOEandSSPP,itsbroadgraduatefacultywhocanserveoncommittees(otherthanasexternalmembers)ismadeupofallmembersofthegraduatefacultiesofNSOEandSSPP,includingsecondaryappointments(seesection5.9).However,giventhegreatbreadthintheseschools'facultiesandthedesiretoensurethatcommitteescontainfacultywithrelevanteconomicsandpoliticalscienceexpertise,UPEPguidelinesfurtherrequireatleasttwo“ActiveUPEPPhDAdvisors”onanyUPEPthesiscommittee.

Thoseincludedinthefollowinglistexplicitlyarethe2016-17ActiveUPEPPhDAdvisors:

LoriBennear AssociateProfessorofEnvironmentalEconomicsandPolicy AssociateDGS,UPEP

EnvironmentalEconomics,EnvironmentalPolicy

MarcJeuland AssociateProfessorofPublicPolicy EnvironmentalHealth,WaterManagement,EnergyPolicy

RandallKramer ProfessorofEnvironmentalEconomicsDirector,DGHI EnvironmentalEconomics,EnvironmentalPolicy,GlobalHealth

FrederickMayer ProfessorofPublicPolicyandPoliticalScienceSSPPAssociateDeanforStrategyandInnovationSteeringCommittee,UPEP

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EnvironmentalMediaandCommunications,ValueChains,TradePolicy

MeganMullin AssociateProfessorofEnvironmentalPolitics SteeringCommittee,UPEPAmericanPoliticalInstitutions,EnvironmentalPolitics

BrianMurray ResearchProfessorofEnvironmentalEconomicsDirectorofEconomicAnalysis,NIEPSDirector,DukeUniversityEnergyInitiative(DUEI)EnergyPolicy,EnvironmentalEconomics,LandUsePolicy,Forestry

SubhrenduPattanayakProfessorofPublicPolicy,Environment,Economics,GlobalHealthEnvironmentalEconomics,EnvironmentalPolicy,GlobalHealth

AlexanderPfaff ProfessorofPublicPolicy,EconomicsandEnvironmentDirectorofGraduateStudies,UPEPEnvironmentalEconomics,EnvironmentalPolicy,Development

BillyPizer ProfessorofPublicPolicy ClimatePolicy,EnvironmentalMarkets,EnergyPolicy

StevenSexton AssistantProfessorofPublicPolicyEnvironmentalEconomics,Energy

MartinSmith ProfessorofEnvironmentalEconomics MarinePolicy,EnvironmentalandResourceEconomics

ChrisTimmins ProfessorofEconomics EnvironmentalValuation,PublicEconomics,UrbanEconomics

JeffVincent ClarenceF.KorstianProfessorofForestEconomicsandManagement StanbackDean,NSOE

EnvironmentalPolicy,LandUse,Forests&BiodiversityConservation

ErikaWeinthal LeeHillSnowdonProfessorofEnvironmentalPolicyAssociateDeanforInternationalPrograms,NSOEGlobalEnvironmentalPolitics,WaterResourceManagement

5. RequirementsPleaseconsulttheGraduateSchoolwebsiteregardingpolicies,procedures,deadlinesandformstoensureyouareusingthemostup-to-dateinformationintermsofDuke’spolicies.InformationpublishedbytheGraduateSchoolsupersedestheinformationbelowaboutGraduateSchoolrequirements.YetUPEP’sprogrammaticchoicesarefoundonlyhere.

5.1. CommonRequirements

UPEPisstructuredtoimpartaconsistentsetofknowledgeandskilltoallstudents−includingtotheextentpossibleacrossitstwodisciplinaryconcentrations,economics&politicalscience−correspondingtoallexistingfacultyexpertiseaswellasthestructureoftheotherPhDprogramsinNSOEandSSPP.UPEP’sprogramrequirementsinclude:

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5.1.1. Full-timeTuition

Paymentofsixsemestersoffull-timetuition(orfivesemestersifcreditforpreviousgraduateworkhasbeenapproved).ThisrulescomesdirectlyfromtheGradSchool.

5.1.2. Curriculum

A. Completeasetofcommonrequirements,includingcoursesinthepoliticalscienceandeconomictheoriesofpublicpolicy,pluscoursesleadingtothedissertationproposal.

B. Completeatleastonecourse(appropriatelevel)inenvironmental/resourceeconomics.

C. MeetUPEP’sstandardsforgradesincourses(seesections5.3and6.1),aswellasmaintaincompliancewiththeGraduateSchool’srequirementofa3.0overallGPA.

D. Completethedisciplinaryconcentrationrequirementsforcoretheory,aswellasfields(e.g.,environmentaleconomics,environmentalpolitics)aswellasresearchmethods.

E. Completeanoverallapprovedcourseofstudywithaminimumof40coursecredits(equivalenttoapproximately133-creditcourses).Pleaseseethecourselistbelow.

F. AttendandparticipateinUPEP’sStudentResearchseminar(approximatelybiweekly)inwhichfaculty,PhDstudentsandotherspresentresearchtotheUPEPcommunity.

G. Submitareport(seetemplate)totheDGSandadvisor(s)attheendofeachsemester.H. Attainthestatusofdissertationcandidate,includingmeetingqualifyingrequirements

andpassingthepreliminaryexam(withthesisproposal),bytheendofthethirdyear.

I. Passafinalexamination,whichconsistsofanoraldissertationdefensetoanapprovedsupervisorycommittee.Thisisexpectedtobecompletedbytheendofthefifthyear.

Totalcourse-of-studyrequirementsareexpressedintermsoftotalcoursecredits(ratherthanatotalnumberofcourses)becausenotallofthecourseshaveequalcredit.Followingisasummarylistofthecategoriesfor40totalcredits(seefollowingsectionsfordetails):

PublicPolicyCoreCourses(PUBPOL901,902)(6credits)

DissertationProposalSeminar(PUBPOL908,909)(6credits)

EnvironmentalandResourceEconomics(3+credits)

DisciplinaryConcentration(ineitherEconomicsorPoliticalScience)

a. CoreTheoryCourses(6+credits)

b. ResearchMethods(6+credits)

c. Fields(environmentaleconomicsorenvironmentalpolitics)(6+credits)

d. Otherrequirementsandelectives(6+credits)

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5.2. CommonCourseRequirements

AllUPEPstudentstakeasetofcoursesintendedtointroduceacoretheoreticalliteratureaboutthenatureofeconomicandpoliticalinstitutionsandsystems,approachestomodeling,thetranslationofpolicyinterventionstopolicyoutcomes,andframeworksfornormativeevaluationofbothprocessesandoutcomes.Theseare:

• PoliticalEconomyofPublicPolicy(PUBPOL901,902):Thistwo-semestercoursesequenceintroducesstudentstosocialscienceideasrelevanttopublicpolicy.Theseincludetheoriesaboutcollectiveaction,institutions,andgovernancedrawingfromeconomics,politicalscienceandsociology.ThissequenceisalsoacorerequirementofthePhDinPublicPolicy

• DissertationProposalSeminar(PUBPOL908,909):Thistwo-semestercoursesequenceprovidesstructureforstudentspreparingtheirdissertationproposal.ThissequenceisalsoacorerequirementofthePhDinPublicPolicy.

• Environmental/ResourceEconomics(variouscourses):Everystudentisrequiredtoreachalevelofproficiencyinmicroeconomicsasitappliestoenvironmentalandresourcepolicyissues.Thespecificenvironmentaleconomicsrequirementsvarybydisciplinaryconcentration,however(seebelow).

• NaturalSciences:Studentsneedtoensurethattheyhavesufficienttraininginthenaturalsciencesrelevanttotheirareaofenvironmentalstudy.ManystudentswillalreadyhavesuchtrainingpriortoenteringthePh.D.program.Otherswillneedtoacquirethisthroughcourseworkand/orindependentstudyandresearch.Thelevelandcontentofnaturalsciencestrainingareflexibleandareworkedoutinconsultationwiththestudent’sadvisor(s)asrequiredforone’sresearchareas.

5.3. RequirementsSpecifictoDisciplinaryConcentrations

AlthoughUPEPismultidisciplinary,itisdesignedtoensurethatstudentshavestrengthinaparticulardiscipline.Studentschooseadisciplinaryconcentration,economicsorpoliticalscience,whenapplyingtotheprogram.Inadditiontothecommonrequirementsabove,specificconcentrationrequirementsarelistedbelow.Exampletimelinesforfulfillmentoftheserequirementsarepresentedinappendix1.

5.3.1. ConcentrationRequirements:Economics

Mathematics(3credits)

MathematicsforEconomistsI(ECON700),orMathCamp,inthesummerbeforeYear1.

CoreTheoryCourses(6creditsandqualifyingexam,ifnecessary)MicroeconomicAnalysisI(ECON701)

MicroeconomicAnalysisII(ECON705)AllstudentswhodonotreceiveagradeofB+orhigherinMicroeconomicAnalysisIorIImusttaketherelevantqualifyingexam(s)administeredbytheEconomicsDepartment,forthecourseinquestion,inthesummerafterthefirstyear(theyhavealwaysbeeninJune).

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ResearchMethods(12credits)

EconometricsI(ECON703)EconometricsII(ECON707)

Atleast6creditsofadditionalresearchmethodscoursesapprovedbystudent’sadvisor(s).Forthe6creditsofadditionalresearchmethods,arecommendedtwo-modulesequenceis:TopicsinAppliedMicroeconomics:Hedonics&Non-marketvaluation(ECON881-1)(1.5)TopicsinAppliedMicroeconomics:EquilibriumSortingModels(ECON881-2)(1.5credits)

EnvironmentalandResourceEconomicsField(6credits)

NaturalResourceEconomics(ENV829)

EnvironmentalandEnergyEconomics(PUBPOL910)

AdditionalField(6credits)

StudentscanselectfromawidevarietyofPhDlevelcoursesfromDukeorotherinstitutions.Thecoursesshouldbecomplementary,andmustbeapprovedbytheDGSandthestudent’sadvisor(s).CourseswhichhavebeenapprovedbytheDGSinthepast(andthusarequitelikely,evenitnotguaranteed,tobeapprovedforfuturestudents)include:

• DevelopmentEconomics(ECON751PoliticalEconomyofInstitutions;ECON881TopicsinAppliedMicroeconomics:DevelopmentEconomics;ECON881TopicsinAppliedMicroeconomics:EmpiricalMethods:Development;POLSCI549SCollectiveAction,PropertyRightsandtheEnvironment)

• AppliedMicroeconomics(ECON881TopicsinAppliedMicroeconomics:SocialInteractionsandDiscrimination;ECON881TopicsinAppliedMicroeconomics:EmpiricalModelsofDynamicEquilibrium;ECON881TopicsinAppliedMicroeconomics:DynamicDiscreteChoice)

• IndustrialOrganization(ECON885TopicsinEconomicTheory:TheoreticalIndustrialOrganization;ECON885TopicsinEconomicTheory:MarketDesignI;ECON885TopicsinEconomicTheory:MarketDesign2;ECON881TopicsinAppliedMicroeconomics:DemandEstimation)

• ComputationalmethodsinEnvironmentalEconomics(ECON881-1TopicsinAppliedMicroeconomics:HedonicsandNon-marketvaluation;ECON881-2TopicsinAppliedMicroeconomics:EquilibriumSortingModels;ECG590(NCState)DynamicEnvironmentalResourceManagement)

ElectiveCourses(sufficienttoattainaminimumof40totalcredits)

AllstudentswhohavenottakenmacroeconomicsbeforeenteringtheUPEPPh.D.programarestronglyencouragedtotakeatleastonesemesterofgraduate-levelmacroeconomicsintheDepartmentofEconomicsorSchoolofPublicPolicy.ManyothercoursesinNSOE,SSPP,ArtsandSciences,Law,andBusinesswillberelevanttoUPEPstudents.TherearealsomanynaturalsciencecoursesavailableatNSOEandothersciencedepartments.

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5.3.2. ConcentrationRequirements:PoliticalScience

PublicPolicyPhDCourses(12credits)

PoliticalEconomyofPublicPolicy(PUBPOL901,902)DissertationProposalSeminar(PUBPOL908,909)

EnvironmentalandResourceEconomics(3credits)

Qualifyingcoursesinclude:• ECON751PoliticalEconomyofInstitutions• POLSCI549SCollectiveAction,PropertyRights,andEnvironment• ENV520ResourceandEnvironmentalEconomics(orsimilar)• PUBPOL811Microeconomics:PolicyApplications(orsimilar)

CoreTheoryCourses(9credits,plusfieldexam)AtleastthreecoursesinoneormoresubfieldsdefinedbyDuke’sPoliticalScienceDep’t:

• NormativePoliticalTheoryandPoliticalPhilosophy• PoliticalBehaviorandIdentities• PoliticalEconomy• PoliticalInstitutions• Security,PeaceandConflict

Thismustincludethecoreseminarforthefieldplustwoadditionalcourses.Studentsarealsoencouragedtoattendthebi-weeklyworkshopforthefield.Afieldexamincoretheoryrelevanttoeachstudent’scourseofstudywillbeadministered(section5.11)

ResearchMethods(6credits)Studentsmusttakeatleasttworesearchmethodsclasses,includingonestatisticscourse.Studentsareencouragedtotakebothquantitativeandqualitativemethodscourses,asapprovedbytheiradvisor(s).Qualifyingcoursesinclude:

• ScopeandMethodsinPoliticalScience(POLSCI731)• PositivePoliticalTheory(POLSCI633S)• PoliticalApplicationsofGameTheory(POLSCI631)• EmpiricalMethodsinInternationalRelations(POLSCI890)• ProgramEvaluationofEnvironmentalPolicies(ENV850)• SocialScienceSurveysforEnvironmentalManagement(ENV557)• AppliedQualitativeResearchMethods(ENV590)• ResearchDesignandQualitativeMethods(PS330)

UPEPpoliticalsciencestudentsmayuseexternalcoursestohelpmeetthisrequirement,suchasthoseofferedbytheConsortiumonQualitativeResearchMethods(IQMR)andtheInter-universityConsortiumforPoliticalandSocialResearch(ICPSR).TheProgramhasprovidedandhopestocontinuetobeabletoprovidefundingtohelpstudentsattend(i.e.,fundingfortravel,forwhichseesection8.4,plusfundingforone IQMR slot per summer).

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EnvironmentalandResourcePoliticsField(6credits,plusfieldexam)

Corecourse:GlobalEnvironmentalPolitics(ENV826)Andatleastoneothercourse,qualifyingcoursesinclude:

• EnvironmentalPolitics(ENV577)• PoliticsoftheUrbanizedEnvironment(ENV684)• CollectiveAction,PropertyRights,andtheEnvironment(PS549S)• PoliticalEconomyofEnvironmentalResources(PS549S)• InternationalEnergyPolicy(PUBPOL790)• PoliticalEcology(ENV860SA)• InternationalEnvironmentalRegimes(PS545S)

ElectiveCourses(sufficienttoattainaminimumof40totalcredits)

ManyothercoursesinNSOE,SSPP,ArtsandSciences,Law,andBusinesswillberelevanttoUPEPstudents.TherearealsomanynaturalsciencecoursesavailableatNSOEandothersciencedepartments.

5.4. Inter-InstitutionalRegistrationforAdditionalCourseOptions

Studentsmayfindrelevantcourseworkatnearbyinstitutions,includingUNC-ChapelHill,NCCentralUniversity,orNCStateUniversity.StudentswhohavefoundacourseofinterestshouldinitiatetheInter-InstitutionalRegistrationprocess:

a. Contactthecourseinstructortoreceivewrittenpermissiontotakethecourse.

b. PrintouttheInter-InstitutionalRegistrationform.c. Bringwrittenpermission,coursedescription,andthecompletedInter-Institutional

RegistrationFormtotheDGStodiscussthecourseandtohavetheformsigned.d. Whenitissigned,theDGSAwillforwardthesematerialstotheRegistrar’sOffice.

5.5. ForeignLanguageRequirement

TheGraduateSchoolhasnoforeignlanguagerequirementforthePhD.UPEPsimilarlydoesnothaveaforeignlanguagerequirement.StudyoflanguagesisgenerallypossiblethoughDuke’slanguagedepartments.AnumberofUPEPstudentshavestudiedlanguagesandreceivedsupportthroughtheUnitedStatesDepartmentofEducationForeignLanguageandAreaStudiesprogram.Languagesdonotcounttowardsothercourserequirements.

5.6. EnglishLanguageProficiencyRequirement

InternationalstudentswhosenativelanguageisnotEnglishmusttakeEnglishlanguagecourses−asdeterminedbytheEnglishlanguageplacementexamsadministeredduringorientation−unlessformallywaivedfromthisrequirementbyTheGraduateSchooluponcertificationofcompetencyinEnglish.CoursesmustbetakenduringthefirstyearatDuke.(formoreinformation,GraduateSchoolresourcesforEnglishforInternationalStudents).

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5.7. ResponsibleConductofResearchRequirement

AllPhDstudentsatDukeUniversityarerequiredtocompleteaseriesoftrainingsessionsintheResponsibleConductofResearch.Thisrequirementconsistsoftwocomponents:

• Allstudentsmustattendamandatoryone-dayfallworkshop,duringorientationweek.Studentsinthehumanitiesandsocialsciences(suchasUPEP)willattendtheworkshoponthemaincampus(ornearbyinDurham).Thispartoftherequirementforresponsibleconductofresearchistypicallycompletedbeforethefirstsemester.

• TomeetthetotalnumberofhoursrequiredforRCRtraining(12hourstotal),PhDstudentsmustsubsequentlyattendaminimumnumber(3)ofworkshopsonRCRtopicsoverthecourseoftheirdegree.Thenumberandcontentofsuchworkshopsispublishedatthestartofeachsemester,whichisadvertisedbytheGraduateSchool.

5.8. AdvisortoSupervisetheProgramofStudy

Whenastudentisadmitted,aninitialprimaryadvisorortwoco-advisorsis/areassigned.Studentscanswitchprimaryadvisors,ifadifferentadvisingarrangementwouldbemoresuitable(recallthatthefirstyearisfundedonafellowshipandthatitisalwaysanoptiontoTAinordertobefundedinlateryearssuchthatnostudentisdependentonadvisorfunds).Theschoolthatistheprimaryhomefortheadvisorcoversthestudent’snon-TAcosts(i.e.,costsnotalreadycoveredbyTApaymentsorfellowships).TheGraduateSchoollabelseachUPEPstudentaseitherNSOEorSSPP(orboth−whenthereismorethanoneadvisorandtheyareindifferentschoolsorifasingleprimaryadvisorhappenstobejointbetweentheschools).Ifstudentsswitchprimaryadvisor,theSchoolpayingnon-TAcostsalsoswitches.

Studentsinbothschoolsareassigned(50%,50%),withcorrespondingsplitofallnon-TAcosts,iftherearetwoprimaryco-advisorswhohaveprimaryhomesindifferentschoolsorasingleadvisorjointbetweenschools.Astudentwithtwoadvisors,oneofwhomisjoint,couldhavetheirnon-TAcostsbeassignedacrossthetwoschoolsinsteadas(75%,25%).

5.9. CommitteetoSupervisetheProgramofStudy

5.9.1. Roleandformationofthecommittee

Studentstaketheleadinformingtheirsupervisingcommittees,inconsultationwiththeiradvisor(s)andtheDGS.Thistypicallytakesplaceduringthethirdyearasstudentsdecidetheirthesisresearchdirection.Oncetentativelyformed,theDGSformallynominatesthecommitteefortheapprovaloftheGraduateSchoolassociatedeanofacademicaffairs.Thiscommittee,withallmembersparticipating,willdeterminethestudent’sprogramofstudyandadministerthepreliminaryandthefinalexaminations.Committeemembers’nominationisontheGraduateSchoolform(signedbytheDGS,submittedbytheDGSA).Thecommitteemustbeapprovedbytheassociatedeanatleastonemonth(30days)beforethepreliminaryexaminationcantakeplace.UPEPstudentstypicallyfinalizetheircommitteeduringthirdyearfall(beforedefendingtheirthesisproposal,whichismostofthoughnotallofwhathappensinthepreliminaryexam,towardstheendofthethirdyear).

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5.9.2. Eligiblemembersofthecommittee

Supervisorycommitteesrequireatleast4members.TheGraduateSchoolrequiresthatatleast3membersaremembersof“thedepartment”.ForUPEP,thatrequirementmaybefulfilledbyanymemberofthegraduatefacultiesofNSOEandSSPP,includingsecondaryappointments,sincetaketogetherthosemakethegraduatefacultyfortheUPEPPhD.

Giventhebreadthintheseschools'facultiesandthedesiretoensurethatcommitteescontaintherelevantexpertisefromeconomicsandpoliticalscience,atleast2ofthose3committeemembersmustbeActiveUPEPPhDAdvisors(afarsmallergroup(section0)).Thefourth(andoptionalfifth)memberwouldtypicallybe‘external’,fromoutsideNSOEandSSPPsuchasanotherdepartmentatDukeoranotherinstitution.However,theycanalsobefromwithinNSOEandSSPPifthefacultymemberisfrom“aclearlydifferentiateddivisionwithinthedepartment”(whichfortheseschoolsispossiblegivensuchbreadth).ThesemembersshouldnotbeanactiveUPEPPhDAdvisor,withtheunlikelyexceptionthattheyarefromtheoppositecorediscipline(politicalscienceoreconomics)tothestudent.

IfthelistofActiveUPEPPhDAdvisors(section0)changesduringaPh.D.student’stimeatDuke,thestudentmayselectfacultyfromthecurrentlistorthelistvalidatthetimeofthestudent’smatriculation,aslongasthefacultymembersarestillatDukeUniversity.

EXAMPLE

CommitteeMembers Description

1(committeechair) ActiveUPEPPhDAdvisor(section0)inNSOEorSSPP

2 ActiveUPEPPhDAdvisor(section0)inNSOEorSSPP

3 AnotherGraduateFacultyMemberinNSOEorSSPP,mayormaynotbeanActiveUPEPPhDAdvisor

4(minorarearepresentative)GraduateFacultyMembernotinNSOEorSSPP−andmaybeatanotherUniversity(ifexceptionsuchthatinNSOEorSSPP,thendifferentdivision/discipline).

5(optional) GraduateFacultyMember,sinceoptionalmayormaynotbeinNSOEorSSPP,maybeatanotherUniversity.

5.9.3. Changestothecommittee

CommitteecompositioncanbechangedwiththepermissionoftheDGSandtheGraduateSchool,ifastudentandadvisorsbelievethatdifferentcommitteememberscanbetterservethestudent’songoingneeds.Changesaremadeusingthecommitteenominationform.

5.10. Residence

Theminimumresidencerequirementisoneacademicyearoffull-timeregistrationatDuke(i.e.twoconsecutivesemestersoffull-timetuition).

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5.11. FieldExaminations

5.11.1. EconomicsConcentration

SeparateexamswerereplacedbythefinalexaminationsforthetwoEREfieldcourses(incontrast,onlytheEconomicsconcentrationhasthequalifyingexamsafterthefirstyear).

5.11.2. PoliticalScienceConcentration

Objective:Todemonstratemasteryofthecoretheoryofthestudent’schosenmajorfieldinPoliticalScienceandinthreesubfieldsofEnvironmentalPolitics.

StructureandDesign:Studentsmusttaketwoqualifyingexaminationsaftercompletionoftheirprimarycoursework.OneexaminationwillcoveramajorfieldofPoliticalSciencethatthestudentselectsfromtheexistingfieldsasdefinedbyDuke’sPoliticalScienceDepartment1.TheotherexaminationwillcoverthreesubfieldsofEnvironmentalPolitics,whichthestudentselectsfromatleasttwoexistingoptionsdefinedbytheUPEPprogram,andmaypetitionforathirdnotlisted2.Examsgenerallytakeplaceafterthestudenthascompletedhis/hercoursework,eitherattheendofthesecondyear(earlysummer),oratthebeginning(fallsemester)ofthethirdyearofthestudent’sPhDprogram.Thereadinglistsaremadeavailabletostudentsatthestartoftheacademicyeartoallowforindependentstudy.Thedatesfortheexamsmustbefinalizedatleastfourmonthsinadvanceofthefirstofthetwoqualifyingexaminations.Thetwoexaminationsshouldbeschedulednomorethanonemonthapart.

AllofthestudentsinacohortwilltakethePoliticalScienceandEnvironmentalPoliticsexamsonthesamedays,andallthestudentswhohaveselectedthesamesubfieldswilltakethesameexamination.Bothqualifyingexaminationswillbeeight-hour,closed-book,closed-noteexaminationswrittenonacomputerontheDukecampusandgovernedbytheDukeCommunityStandard(honorcode).Studentswillbeprovidedwithacopyoftherelevantreadinglistsatthesametimetheyaregiventheexamquestions.TheDGSAisresponsibleforreservingspaceandcoordinatingtheexam.Eachyear,theUPEPDGSwillappointathree-memberfacultycommitteefortheEnvironmentalPoliticsexamandathree-memberfacultycommitteeforeachrelevantPoliticalSciencefieldexam.CommitteesincludeatleasttwoUPEPfacultymembers,butnotthestudent’sadvisor(s).

Examinationswillprovidesomedegreeofchoiceamongquestionsineachsubfield.Facultyonthecommitteeforeachexaminationwillwritethequestionsandallwilljointlyeditand1Currently(spring2016),theseareNormativePoliticalTheoryandPhilosophy,PoliticalBehaviorandIdentities,PoliticalEconomy,PoliticalInstitutions,PoliticalMethodology,andSecurity,PeaceandConflict.RaceandPoliticsandReligionandPoliticsare“theme”fields.2TheseincludeGlobalEnvironmentalPolitics,AmericanEnvironmentalPolicy,CooperationandtheCommons,PoliticalEcology,EnvironmentalJustice,EnvironmentalSecurityandPeacebuilding,EnvironmentalCommunication,andComparativeEnvironmentalPolitics,othersasspecifiedbytheexamcommitteeorpetitionedbythestudent.

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reviewtheexaminationquestionsbeforefinalizingtheexaminationtobegiven.ThecontenttobecoveredbybothqualifyingexaminationswillbebasedonstandardizedreadingliststhatcapturethecurrentstateofthemajorfieldinPoliticalScienceandthechosensubfieldsofEnvironmentalPolitics,andwillbecloselyrelatedtocorecourseworkineachsubfield.TheDGS/DGSAwillmaintainarecordoftheselists,andquestionsusedinthepast,forthestudentstoaccess.TheexamcommitteewilloverseetherevisionofthesereadinglistsbystudentsandinconsultationwiththeUPEPPoliticalSciencefaculty.Allmembersofthefacultycommitteeforeachexaminationwillreadandevaluateallportionsoftheexam.Committeememberswilleachgradethecompletedqualifyingexaminationsaspass,partialretake,retake,orfail.Thecommitteewilldiscusstheexamsandcometoadecisionwithintwoweeks.Anyretakesmustoccurwithin3months.

TheExamCommitteeChairwillsendcopiesofthegradesandcommentsfromeachfacultymemberontheexamcommittee,thecompletedexam,andreadinglisttotheDGSandtotheDGSA.TheDGS/DGSAwillmaintainafileofallcompletedexaminations.

TheDGSandtheExamCommitteeChairswillmanageanypetitionsforexceptions.ExampleTimeline

• Spring:StudentseligibletotakeexamsidentifythePoliticalSciencemajorfieldandthreeEnvironmentalPoliticssubfieldsinwhichtheywilltakethequalifyingexams.TheDGSappointsthefacultycommitteestocomposeandevaluatethequalifyingexaminationsfortherelevantPoliticalScienceandEnvironmentalPolicyfields.

• Fall: QualifyingexaminationstakeplaceforeligiblestudentsResponsibilities

• DGS:TheDGSisresponsibleforappointingthethree-personqualifyingexaminationfacultycommittees,includingappointingachairtoforeachcommittee.Thiswillnormallyoccurinthespringsemester.TheDGS,alongwiththatyear’sexamcommitteechairs,isalsoresponsibleformanagingandapprovingrequestsforexceptionstotheexamguidelinesastheyarestatedhere.

• DGSA:TheDGSAisresponsibleforcoordinatingtheexam,includingschedulingandspace.TheDGSAisresponsibleformaintainingafileofpastandcurrentreadinglists,pastexaminationquestions,completedexaminations,andgrades.TheDGSAwillmakethequestionsusedinthepastavailabletostudentspreparingfortheirexams.

• Chairs:ChairsofthePoliticalScienceandEnvironmentalPoliticsExamCommitteesareresponsibleforcoordinatingthecontent,scheduling,andgradingofthequalifyingexaminationinthatfield.Inadvanceoftheexam,thechairwillcoordinatethewritingandapprovalofthequestions.Onthedateoftheeachexam,thechairforthatexamwilltransmittheexamtothestudentsbyemail,withacopytoallcommitteemembers,DGS,andDGSA.Aftercompletingtheexam,studentswillreturntheexamtothecommitteechairwithacopytoallcommitteemembers,DGS,andDGSA.Thechairwillconveneadiscussionwiththeexamcommitteetodeterminethegrade.Ifthereisadisagreement,anotherfacultymemberwillserve

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asanadditionalreadertogradetheexam.Thechairwillcommunicatethegradetothestudent,theDGS,andDGSAwithintwoweeksoftheexam.

• Membersoftheexaminationcommittees:Facultymembersontheexaminationcommitteeswillprovideinputonthereadinglist,approvethereadinglist,prepareandapprovequestionsfortheexam,andgradetheexaminationssubmittedbystudents.

• Students:Thestudentsareresponsibleforidentifyingtheirfieldsforexamination,reviewingandproposinganychangestherelevantreadinglists,coordinatingwiththeexamchairandDGSAtoscheduletheexam,bringingafunctioningcomputertocampusonthedayoftheexam,andforcomplyingfullywiththeexaminstructionsandtheDukeCommunityStandard.

5.12. PreliminaryExaminations

AstudentbecomesacandidateforthePhDafterpassingtheirpreliminaryexamination.Theexaminationmaycoverthemajorfield,relatedwork,andthedissertationproposal.ThisisanofficialrequirementoftheGraduateSchool,applyingtoeitherconcentration.DissertationProposal.TheDissertationProposalSeminar(PUBPOL908,909)providesstudentswithanopportunitytodeveloptheirdissertationproposal.Theproposalshoulddescribearesearchprojectindetailsufficienttopermitanevaluationofbothitsmeritanditsfeasibility.Thedissertationproposalshouldincludeathoroughliteraturereview,anevaluationofcurrentknowledgeinthefieldandastatementofhowthedissertationwilladdtothatbodyofknowledge.Theproposalshouldreflectathoroughunderstandingofthedisciplinaryresearchmethodsthatwillbeusedinthedissertation.ThestudentisrequiredtosubmitthedissertationproposaltoallmembersoftheirPhDCommitteeatleasttwoweeksbeforethepreliminaryexam.Thepreliminaryexamincludesnotonlyanoraldefenseofthedissertationproposalitselfbutalsoanoralexamevaluatingthedepthofdissertationareaknowledgeandtheresearchmethodologiestobeusedinthedissertation.

TimingStudentsshouldtakethepreliminaryexaminationintheirthirdyearbytherulesoftheGraduateSchool.Ifitisinthesummer,apreliminaryexaminationmaybescheduledonlybetweentheopeningandclosingdatesofthesummersession(unlesspermissionisgrantedbytheGraduateSchool).Astudentmustberegisteredduringtheterminwhichhe/shetakesthepreliminaryexamination.Theexammaylastupto3hours.PassingAsstatedintheGraduateSchoolrules,successfulcompletionofthepreliminaryexaminationrequiresatleastthreeaffirmativevotesandnomorethanonenegativevote.Thesoleexceptiontothispolicyisthatanegativevotecastbythechairoftheexaminingcommitteewillmeanafailureontheexamination.

FailingAsintheGraduateSchoolrules,astudentwhofailsthepreliminaryexaminationmayapply,withtheconsentofthefullsupervisorycommitteeaswellasthedeanofTheGraduateSchool,fortheprivilegeofasecondexaminationtobetakennoearlierthanthreemonthsafterthedateofthefirst.Successfulcompletionofthesecondexaminationrequirestheaffirmativevoteofallcommitteemembers.FailureonthesecondexaminationwillrenderastudentineligibletocontinueaprogramforthePhDdegreeatDukeUniversity.

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5.13. TheDissertation(aspertheGraduateSchool)

Thedissertationisexpectedtobeamatureandcompetentpieceofwriting,embodyingtheresultsofsignificantandoriginalresearch.Foralltherequirementsandallinformationforsubmittinganelectronicdissertation,visittheElectronicThesesandDissertationsectionoftheGraduateSchoolwebsite.Thedissertationmustbecompletedtothesatisfactionoftheprofessorwhodirectsthedissertation,membersofthestudent’sadvisorycommittee,andthedeanofTheGraduateSchool.

Reviewthecurrentsemestergraduationdeadlinesforthesemesterinwhichyouplantograduate.ElectronicdissertationmustbesubmittedtoUMI/ProQuestandtheformatacceptedatleasttwoweeksbeforethescheduleddateofthestudent’sexamination.

AlldoctoraldissertationsarepublishedelectronicallythroughUniversityMicrofilms,AnnArbor,Michigan.Authorsmaycopyrightthem.Ifcopyrightisdesired,anadditionalfeeof$65ischarged.AbstractsarepublishedinDissertationAbstractsInternational.

5.14. ApplyingtoGraduate

Studentsmustapplytograduateonemonthbeforethedissertationispresentedandnolaterthanthedateslistedbelow:

• January25forreceivingyourdegreeinMay

• July1forareceivingyourdegreeinSeptember

• November1forreceivingyourdegreeinDecemberThisapplicationshouldindicatetheapprovedtitleofthedissertationandbeapprovedbyboththeDGSandthestudent’ssupervisingcommitteechair.

5.15. TheFinalExamination(againpertheGraduateSchool)

Thefinalexaminationisadministeredbyallmembersofthesupervisingcommittee.Itshallbeprimarilyonthedissertation,butquestionsmaybeaskedinthecandidate’smajorfield.

SchedulingExceptinunusualcircumstancesapprovedbythedean,afinalexaminationmustbescheduledwhentheuniversityisinsession.Astudentmustberegisteredduringthetermthathe/shetakesthefinalexamination.PassingSuccessfulcompletionofthefinalexaminationrequiresatleastfouraffirmativevotesandnomorethanonenegativevote.Thesoleexceptiontothispolicyisthatanegativevotecastbythechairoftheexaminingcommitteewillmeanafailureontheexamination.

FailingAstudentwhofailsthefinalexaminationmaybeallowedtotakeitasecondtime,butnoearlierthansixmonthsfromthedateofthefirstexamination.PermissiontotakethesecondexaminationmustbeobtainedfromtheprofessorwhodirectedthedissertationandfromthedeanofTheGraduateSchool.FailuretopassthesecondexaminationrendersthestudentineligibletocontinueworkforthePhDdegreeatDukeUniversity.

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5.16. TimeLimits(aspertheGraduateSchool)

PreliminaryExam:Ordinarily,studentsshouldpassthepreliminaryexaminationbytheendofthethirdyear.AstudentwhohasnotpassedtheexaminationbythistimemustfileastatementwiththedeanofTheGraduateSchool,approvedbytheDGS,explainingthedelayandsettingadatefortheexamination.Exceptunderunusualcircumstances,extensionbeyondthemiddleofthefourthyearwillnotbegranted.Dissertation:Thedoctoraldissertationshouldbesubmittedandacceptedwithintwocalendaryearsafterthepreliminaryexaminationispassed.Shouldthedissertationnotbesubmittedandacceptedwithinfouryearsaftertheexamination,thecandidatemay,withtheapprovalofthecommitteeandtheDGS,petitionthedeanofTheGraduateSchoolforanextensionofuptooneyear.Ifthisextensionisgrantedandthedissertationisnotsubmittedandacceptedbythenewdeadline,thestudentmaybedroppedfromcandidacy.Thestudentmustthenpassasecondpreliminaryexaminationtobereinstatedasacandidateforthedegree.Insuchcases,thetimelimitforsubmittingthedissertationwillbedeterminedbythedeanofTheGraduateSchoolandthecandidate’scommittee.

Courses&Exams:Creditusuallyisnotgivenforgraduatecourses(includingtransfers)orforeignlanguageexaminationsthataremorethansixyearsoldatthedateofthepreliminaryexamination.Similarly,creditwillnotbeallowedforapreliminaryexaminationthatisfiveyearsoldatthedateofthefinalexamination.Incasesofexceptionalmerit,however,thedeanofTheGraduateSchoolmayextendtheselimits.Shouldthefive-yearlimitsbeexceeded,thestudent’sdepartmentmustsubmitspecificrequirementstothedeanforrevalidatingcreditsorexaminations.

5.17. DepositofElectronicDissertation(aspertheGraduateSchool)

Afterpassingtheexamination,candidatesshouldmakethechangesrequestedbytheexaminingcommitteeaswellastheformattingchangesrequestedbyTheGraduateSchooltotheelectronicdissertationthatwassubmittedinitially.TheGraduateSchoolwillbenotifiedthatyouhaverevisedyourdissertationandyouwillreceiveane-mailwhenyourdissertationhasbeenaccepted.Alldissertationsmustbeacceptedbeforethefinalsubmissiondeadlineforthesemesterinwhichthestudentintendstograduate,or30daysfromdefensedate,whicheverissooner.

5.18. Commencement(aspertheGraduateSchool)

Graduationexercisesareheldonceayear,inMay,whendegreesareconferredonanddiplomasareissuedtothosestudentswhohavecompletedrequirementsbytheendofthespring.ThosewhocompletedegreerequirementsbytheendofthefallorbytheendofasummertermreceivediplomasdatedDecember30orSeptember1,respectively.ThereisadelayinthemailingofSeptemberandDecemberdiplomasbecausediplomascannotbeissueduntiltheyareapprovedbytheAcademicCouncilandtheBoardofTrustees.

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5.19. Mastersen-routetothePhD

UPEPstudentswhocompletethePhDcanreceiveamaster'sdegreealongtheway−withoutpayingforanadditional30unitsofgraduatecredit.Inthepast,someUPEPstudentswithaconcentrationineconomics,e.g.,haveearnedanMAinEconomics.

EconomicsconcentrationstudentsinterestedinthisopportunitymustapplytotheGraduateSchoolandtotheDepartmentofEconomics.Theapplicationincludesarationalefortheintellectualrelationshipbetweenthetwoprograms(UPEPandtheMA),atranscript,andtwolettersofrecommendationfromDukefacultyspeakingtoandsupportingtherelationshipbetweenthetwoprograms.EligibilityfortheMAinEconomicsdepends,ofcourse,onthecourseworkundertakenbytheUPEPstudent.

MoreinformationisprovidedherebytheDepartmentofEconomics.TheGraduateSchoolapplicationformisprovidedhere.

6. Dismissal,Withdrawal&Leave

6.1. Dismissal

Studentsareexpectedtomeetacademicrequirementsaswellasfinancialobligations,asspecifiedintheBulletinGraduateSchool,inordertoremainingoodstanding.Certainnon-academicrulesandregulationsmustbeobservedalso.Failuretomeetrequirementsmayresultinsummarydismissalbytheappropriateofficeroftheuniversity.Theuniversityreservestherighttorequestthewithdrawalofanystudentwhoseacademicperformanceatanytimeisnotsatisfactory.

Failuretomeetthecoreeconomicscourseworkrequirements(inECON701and703,B+orapassinggradeonthemicroeconomicsqualifierexam)isgroundsfordismissalfromtheprogram.However,theUPEPSteeringCommitteemaymakeexceptionsifthereissufficientevidencethatsuggestslikelyfuturesuccessinresearchforthestudent.ThisevidencemayincludePUBPOL901and902grades,priorcourseworkandevidenceofongoingresearch.

6.2. Withdrawal

AstudentwhowishesforanyreasontowithdrawfromTheGraduateSchoolmustnotifyinwritingboththeDGSandthedeanofTheGraduateSchoolpriortothedateoftheexpectedwithdrawalandnolaterthanthepublishedlastdayofclassesforthatsemesterorsummersession.StudentswishingtowithdrawfromcoursesinthesummersessionmustconsultboththeDGSandthedirectorofthesummersession.

Forrefundsuponwithdrawal,seethe“FinancialInformation”sectionoftheBulletin.

Astudentwho,aftersuccessfullycompletingonesemesterofgraduatestudy,mustwithdrawbeforecompletionofagraduateprogrammay,withtheapprovalofthemajordepartment,requestthedeantoissueacertificateofgraduatestudy.

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6.3. TerminalMaster’sDegree

StudentswhoaredismissedorwithdrawfromtheprogrammaybeeligibleforaterminalMaster’sDegree(MA)inEnvironmentalPolicy,dependinguponthecourseworkthattheyhavecompleted.IftherequirementsforthisMAaremetatthetimethatthedecisionofdismissalorwithdrawalismade,thestudentdoesnotfaceanyfinancialcost.StudentswhowishtostaybeyondUPEPPhDdismissaltocompletetheMAwouldfacecosts(liketuition).

6.4. LeaveofAbsence(aspertheGraduateSchool)

Aleaveofabsenceforaperiodoftimenolongerthanonecalendaryearmaybegrantedbecauseofmedicalnecessity,full-timeemployment,receiptofanexternalaward,orotheracceptablereasons.Arequestforaleaveofabsenceshouldoriginatewiththestudent,beendorsedbythestudent’smajorprofessorandDGS,andsubmittedtotheassociatedeanofTheGraduateSchoolforconsiderationpriortothebeginningofthesemesterforwhichtheleaveisrequested.AstudentiseligibletorequestaleaveofabsenceonlyafterhavingcompletedatleastonesemesteratDuke.TimelimitationswhichpertaintothevariousdegreesandthecompletionofcoursesonwhichagradeofI(incomplete)wasearnedarenotwaived.Studentscontemplatingleavesofabsenceshouldbeawarethat,forfinancialpurposes,allguaranteesoffinancialsupportarecalculatedfromthedateofinitialmatriculation.Forexample,ifagraduateprogramhasstatedthatastudentwillbesupportedthroughthefifthyearofgraduatestudyandthestudentsubsequentlytakesaleaveofabsenceforoneofthoseyears(otherthanforamedicalemergency),thestudentwouldpotentiallyforfeitayearofinstitutionalsupport(forthefifthyearofactualstudy).

7. AppealsandGrievancesRequiredCoursesAstudentmaypetitiontheDirectorofGraduateStudiesforpermissiontosubstitutecourseworktakenelsewhereforcoursesrequiredbythedepartment.

ThePreliminaryExamination/DissertationProposalDefenseThisexaminationissubjecttotheGraduateSchool’srules,asspecifiedintheBulletin,regardingboththerequirementthatitbetakenwithinthreeyearsofmatriculationandtheprocedureforapetitionforasecondattemptincaseoffailureonthefirst.StudentswishingtopetitionforanextensionoftheGraduateSchool-imposeddeadlinemustsubmitawrittenstatementtotheDGS,whowillthendecidewhetherornottoforwardthepetitiontotheDeanoftheGraduateSchoolforformalapprovalordenial.Thisstatementmustexplainthereasonforthedelayandproposeaspecificdatefortheexamination,andprovidespaceforthesignatureoftheDirectorofGraduateStudies.Appealsandgrievancesonothermatterscanbemadebywrittenappealtothefullfaculty,throughtheDGS.Forfurthergrievanceprocedures,seetheBulletinoftheGraduateSchool.

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8. FinancialAid8.1. TuitionandFees

Studentsnormallyreceiveastipendandwaiveroftuitionandfeesforuptofiveyearsofstudy,iftheymaintainsatisfactoryprogress.Afterthefirstyear,astudentlackingotherfundingsources(e.g.,aresearchassistant(RA)positionorinternalorexternalfellowship)willbeallocatedateachingassistant(TA)positionofonecoursepersemesterinexchangefortheirPhDstipendandwaiveroftuitionandfees:

• forthefirstyear,UPEPstudentstypicallyreceiveafellowship.

• foryears2&3,studentstypicallyserveasaTA(about10hoursperweek).

• foryears4&5,doctoralstudentstypically:serveasaRAongrantsmanagedbyastudent’scommitteemember(upto20hoursperweekdependingonoverlapwithstudentresearchgoals);asaTA(asalwaysonecoursepersemester,thusabout10hoursperweek);orreceivefellowshipsfrominternalorexternalsources.

IfNSOEandSSPPacademicyearstipends(forRAorTApositions)weretodiffer,theUPEPstudentstipendwouldbesetastheaverageofNSOEandSSPPstipends.Foranytransitionrelevanttothisrule,nostipendforastudentalreadyenrolledinUPEPshouldfall,acrossyears,duetosuchaveraging.Currently,NSOEandSSPPfollowtheGraduateSchool’sstipendguidelinesandsotheschool’sstipendsarethesame.Externalsourcesoffundingoftencarryconsiderableprestigeandoffergeneroussupport.WeurgeU.S.citizensandpermanentresidentstoconsidertheNationalScienceFoundationGraduateResearchFellowships,JacobJavitsGraduateFellowship,andEPAStarFellowship.U.S.minorityapplicantsmayalsowishtoinvestigatetheFordFoundationPredoctoralFellowshipsforMinorities,AmericanPoliticalScienceAssociationMinorityFellowships,RonaldE.McNairPost-baccalaureateAchievementProgram,andAlfredP.SloanFoundationGraduateScholarshipProgram.InternationalstudentsmayqualifyfortheFulbrightProgram.

8.2. Fundingbeyondthefifthyear

UPEPisafive-yearprogramandfundingisnottypicallyavailableforsubsequentyears.Insomecases,studentswhofacesignificantshockstotheirPhDresearchplansorpersonallivesmaybeeligibleforasixthyearofstipendandawaiveroftuitionandfeesbyservingasateachingassistant.ThisrequiresagreementbytheDGSandsupervisingcommitteechair,regardingsufficientrationale.SuchdecisionsmaytakeintoaccountwhetherthestudenthasreceivedanunusuallylargeamountofexternalfundingduringYears1-5.

8.3. SummerFunding

Studentsareexpectedtopursuesummersupportontheirown,withtheassistanceoftheiradvisor(s).CommonsourcesofsummerfundingareRApositionsonfacultygrants,aswellasbothinternalandexternalfellowships.

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Forthesummersafterfirstandsecondyears,studentswhoareunabletofindsummerfunding(afterdemonstratedeffort)canreceiveasummerresearchfellowshipfromtheGraduateSchool.Inadditiontocoveringsummertuitionandfees,thisfellowshippaysastipendof$5,500total.StudentsmustsubmittotheDGSabriefproposaloutlininghowthesummerfundingwillbeusedtoadvancetheireducationalpursuits.Studentsmay,inaddition,receiveupto$1,850fromotherfundingsources.Dean’sGraduateFellows,NSFGRFPfellowsontenure,andstudentswhowillbeworkingasresearchorteachingassistantsduringthesummerarenoteligible.Applicationinstructionsareonline.

Forthesummersafterthirdandfourthyears,studentsmayapplyforcompetitivesummerresearchfellowships.Studentsmay,inaddition,receiveupto$1,850fromotherfundingsources.Applicationinstructionsareonline.

8.4. Fundingfortravel,tutoringandprofessionaldevelopment

• UPEPstudentsmayaccessupto$500annuallyforthepurposesoftraveltomakeresearchpresentations,professionaldevelopment,andfinallyalsocoretutoring.Thisfundingisdesignedforactivitiesthatprovideavalue-added“professional”experiencetothestudent’sacademictraining.Fundingwillbeconsideredforconferences,meetings,symposia,ortraining.Amaximumof$500willbeavailableperstudentperfiscalyear(July1-June30).RequestsshouldbemadetotheDGSA.

• Firstyearstudentsintheeconomicsconcentrationoftenhavechosentospendsomeoftheir$500travelallowanceontutoringforhelpwiththecoreeconomicscourses.Studentsareresponsibleforfindingtheirowntutors.Inthepast,tutorshavebeenrelativelysenioreconomicsPhDstudents(whohavecharged25-40dollars/hour).Studentssometimeshaveformedsmallgroupsandjointlyhiredatutor,stretchingtheirtotalallowancesfurther.Otherstudentshaveoptedforindividualtutoring.

• Post-candidacystudentsmayaccessupto$750(fordomestictravel)and$1000(forinternationaltravel)fromtheGraduateSchool(70percentoftotalcosts)andtheProgram(30percent),peryear.Applicationinstructionsareonline.Theprogram’scontribution(30percent)maybetakenfromtheabove$500allowance.

Fundingisprovidedasreimbursementaftertheapprovedactivityhastakenplace.

Toreceivereimbursement:

a. FilloutanexpensereportatDuke@Work.b. Attachreceiptsasasinglepdffile.

c. Under“CostAssignment”changetheCostCenternumberto4510613ifyouhaveNSOEadvisoror1510323ifyouhaveaSSPPadvisor.IfyoualsohavefundsfromtheGraduateSchoolorothersources,informtheDGSAwhensubmittingtheexpensereport.

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9. Appendix1:ExampleProgramTimelines

9.1. EconomicsConcentration

SummerbeforeYear1

• MathematicsforEconomists(ECON700)• AttendtheResponsibleConductofResearch(RCR)fallorientation• Meetwithadvisor(s)andDGStodiscussYear1courses

Year1

Semester1

• PoliticalEconomyofPublicPolicy(PPOL901)• MicroeconomicAnalysisI(ECON701)• EconometricsI(ECON703)• Ifrequired,enrollinEnglishproficiencycoursesrequiredbytheGraduate

Schoolforcertaininternationalstudents• ParticipateinUPEPStudentSeminar(optionalforyear1students)

Semester2

• PoliticalEconomyofPublicPolicy(PPOL902)• MicroeconomicAnalysisII(ECON705)• EconometricsII(ECON707)• ParticipateinUPEPStudentSeminar(optionalforyear1students)

SummerafterYear1

• StudentswhodonotreceiveagradeofB+orhigherinMicroeconomicAnalysisIorIItakeassociatedqualifyingexam(s).

• Recommended:Engageinresearchasaresearchassistant• Begintoformresearchagenda

Year2

Semester3

• NaturalResourceEconomics(ENV829)• Researchmethodscourse• Additionalfieldcourse• ParticipateinUPEPStudentSeminar• Engageinteachingasateachingassistantorinresearchasaresearchassistant

Semester4

• EnvironmentalandEnergyEconomics(PUBPOL910)• Researchmethodscourse• Additionalfieldcourse• ParticipateinUPEPStudentSeminar

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• EngageinteachingasateachingassistantorinresearchasaresearchassistantSummerafterYear2

• Engageinresearchasaresearchassistant• Continueformingresearchagenda

Year3Semesters5and6

• DissertationProposalSeminar(PUBPOL908and909)• Completeanyadditionalcourseworkrecommendedbycommittee• AtleasttwomonthsinadvanceofPreliminaryExamination,studentand

primaryadvisormakeanynecessarychangestoPhDAdvisoryCommittee• Writedissertationprospectusandattaindissertationstatusbyendofthirdyear

bypassingthedoctoralPreliminaryExam(dissertationprospectusdefense)• ParticipateinUPEPStudentSeminar• Engageinteachingasateachingassistantorinresearchasaresearchassistant

Years4and5

Semesters7-10

• Writedissertation• MakeanynecessarychangestoPhDsupervisorycommitteethatwilloverseethe

FinalExamination(dissertationdefense)• ParticipateinUPEPStudentSeminar• Engageinteachingasateachingassistantorinresearchasaresearchassistant• Undertakejobsearchthroughoutyear5• FinalExamination

9.2. PoliticalScienceConcentration

SummerbeforeYear1• AttendtheResponsibleConductofResearch(RCR)fallorientation• Meetwithadvisor(s)andDGStodiscussYear1courses

Year1

Semester1

• PoliticalEconomyofPublicPolicy(PPOL901)• GlobalEnvironmentalPolitics(ENV826)• Coretheorycourseinpoliticalscience• Ifrequired,enrollinEnglishproficiencycoursesrequiredbytheGraduate

Schoolforcertaininternationalstudents.• ParticipateinUPEPStudentSeminar(optionalforyear1students)

Semester2

• PoliticalEconomyofPublicPolicy(PPOL902)

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• Coretheorycourseinpoliticalscience• Researchmethodscourse• ParticipateinUPEPStudentSeminar(optionalforyear1students)

SummerafterYear1• Recommended:Engageinresearchasaresearchassistant• Begintoformresearchagenda

Year2Semester3

• EnvironmentalandResourceEconomicscourse• Coretheorycourseinpoliticalscience• Researchmethodscourse• ParticipateinUPEPStudentSeminar• Engageinteachingasateachingassistantorinresearchasaresearchassistant

Semester4

• Environmentalandresourcepoliticsfieldcourse• ParticipateinUPEPStudentSeminar• Engageinteachingasateachingassistantorinresearchasaresearchassistant

SummerafterYear2• Fieldexaminenvironmentalandresourcepolitics• FieldexaminCorePoliticalTheory• Continueformingresearchagenda

Year3

Semesters5and6

• DissertationProposalSeminar(PUBPOL908and909)• Completeanyadditionalcourseworkrecommendedbycommittee• AtleasttwomonthsinadvanceofPreliminaryExamination,studentand

primaryadvisormakeanynecessarychangestoPhDAdvisoryCommittee• Writedissertationprospectusandattaindissertationstatusbyendofthirdyear

bypassingthedoctoralPreliminaryExam(dissertationprospectusdefense)• ParticipateinUPEPStudentSeminar• Engageinteachingasateachingassistantorinresearchasaresearchassistant

Years4and5Semesters7–10

• Writedissertation• MakeanynecessarychangestoPhDsupervisorycommitteethatwilloverseethe

FinalExamination(dissertationdefense)• ParticipateinUPEPStudentSeminar• Engageinteachingasateachingassistantorinresearchasaresearchassistant• Undertakejobsearchthroughoutyear5

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• FinalExamination