This is the third of a series of items related to the University of Chicago Department of Economics’ Committee on Ph. D. Outlines and Requirements chaired by Milton Friedman (1949-50). The first installment and second installment were previously posted. A fourth installment was published after this post originally appeared.
Two seminar appearances, first as prospective candidates for the Ph.D. and ultimately to provide a definitive report of findings, are seen to constitute book-ends for thesis writers. Scope and quality of a thesis to be “comparable to [a] first-rate journal article” with quality control enforced through essentially an iterated process of revise-and-resubmit under the direction of the thesis committee.
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[MEMO #6, 13 June 1949]
[Carbon copy]
THE UNIVERSITY OF CHICAGO
[Date] June 13, 1949
[To] T. W. Schultz [Department] Economics
[From] R. Blough, M. Friedman, D. G. Johnson [Department] Economics
and J. Marschak
[In re:] Report of committee on Ph. D. outlines and requirements.
Your note of December 10 establishing this committee asks us to “prepare a memorandum setting forth the problem of students’ Ph.D. outlines and the procedure to be followed by the Department in appraising and approving Ph.D. thesis projects, including the type of outlines and supporting materials that a student should submit to the Department for its use when it passes upon the petition for admission to candidacy.”
We have interpreted this assignment rather broadly, in the belief that an appropriate procedure for admission to candidacy could be formulated only as part of an integrated program for handling the entire thesis requirement. Accordingly, section 1 below presents our conclusions about the standards to be applied to a thesis, and section 2, about the methods for getting more effective supervision, direction, and criticism of a thesis. Section 3 restates and extends our conclusions in the form of specific proposals for action.
- Standards to be applied to a thesis.
It is our feeling that the existing (implicit) standards for a thesis are both too high and too low: too high ex ante and too low ex post. In our opinion, we should seek to stimulate shorter, better organized, and better written theses than those ordinarily submitted. The problems here are first, to avoid simply reducing length without improving quality; second, to enforce the standard and make it part of the mores of the Department.
In order to accomplish these purposes we recommend (a) that a statement on the role of the thesis should be prepared for distribution to candidates; (b) that every thesis should be required to have a central core not to exceed roughly 15,000 words.
(a) Role of the thesis
The thesis, in our view, is to be viewed primarily as part of the training of the economist, not as a means of securing additions to knowledge. Any addition to knowledge is a welcome by-product, not a major objective. Up to the point at which he writes a thesis, the student has been concerned primarily with absorbing substantive material, acquiring tools, and becoming familiar with techniques of analysis. He has only incidentally applied these techniques. Equally important, he has had little occasion to acquire absolute standards of quality; most of his written work has been of a “one-shot” variety involving doing his best once and then being through with it. He has not had the experience of re-doing a thing again and again until it is satisfactory in an absolute sense and not merely the best he can do in an hour or a week.
The role of the thesis is to round out the student’s education by remedying these deficiencies. More specifically it should:
(1) give the student training in research by “doing” and instill in him absolute standards of quality in research.
(2) Deepen the student’s knowledge of the technique and subject matter he has acquired in course work by requiring him to apply what he has learned to a particular problem. In the process, he should think through the material he has been subjected to and make it his own.
These objectives affect both the choice of topic and the character of the thesis. The topic should be chosen less from the point of view of novelty or importance than of the contribution it can make to the student’s education—the opportunity it offers for improving and expanding his capacities. As a general matter, this suggests topics sufficiently narrow and specific to permit the student to do a thorough and exhaustive piece of work in the time available. It argues against broad general topics in which maturity and judgment are the prime requisites.
To accomplish these objectives, the final thesis should satisfy exceedingly high standards of quality; this is far more important than quantity. As a regular matter, it should be expected that a thesis will undergo several substantive revisions before final acceptance, that an absolute standard of excellence rather than a labor-theory of value will be applied. This means that at least the central core of the thesis must be relatively brief. The standard should be a first-rate journal article, no a full-length book.
(b) The scale of the thesis
We recommend that every thesis should be required to contain a central core of not more than roughly 15,000 words. This central core is to be self contained. It may, however, be supplemented by additional chapters or appendices containing more detailed material, expansions of points in the central core, etc.
The central core should, in general, not give much space to the general character of the problem [handwritten note: “suggest to insert ‘methodological’ before ‘character’ or otherwise indicate that while we do want to have the problem stated at the beginning (the 3 lines further below) we don’t want vague methodological discussions on its place in the universe of science.”], earlier work on the problem, and the like; those belong in supporting appendices if anywhere. It should concentrate on the original material developed by the writer. It must contain a precise statement of the problem and its economic analysis, not simply summarize data, report views, or describe events. In this context, of course, economic analysis is to be interpreted broadly, not as synonymous with technical economic theory.
It should be emphasized that the restriction of the central core to 15,000 words is not intended in any way to reduce the quantity or quality of performance expected from the student. Its main objective is to improve quality. One further reason for keeping theses to this scale is the desirability of having every member of the faculty read every thesis and vote for or against its approval. This is not at present feasible but might become so if the scale of the thesis were restricted.
- Methods for getting more effective supervision, direction, and criticism of theses.
Our chief recommendation on this topic is that there be established a thesis seminar. This seminar should be attended as a regular matter by all students writing theses in residence. By as many faculty members as can find it possible to attend, and, in any event, by the faculty members on the thesis committee of the student reporting at a particular session. Ideally, some one or more faculty members should have direct responsibility for the seminar as part of his teaching load.
The student scheduled to report at any meeting should prepare a written report sufficiently in advance of the meeting to permit duplication and circulation among all faculty members and all student participants in the seminar. He might then begin the discussion with an introductory summary taking not more than, say, five minutes. The rest of the time would be devoted to critical discussion.
It might be expected that a student would ordinarily appear before the seminar twice: once early in his work for a discussion of the topic and its possibilities on the basis of a brief circulated report (on the scale of a term paper); once, toward the end, for a discussion of his results, on the basis of a more detailed report and possibly a draft of the “central core” of the thesis itself.
We recommend that this thesis seminar be integrated with two other steps in the thesis procedure with which there is at present some dissatisfaction: (a) admission to candidacy, (b) the final examination.
The first appearance of the student before the seminar, and the paper prepared for that purpose, should also be used as a basis for deciding on admission to candidacy. At present, it is the general feeling that we have inadequate evidence on which to judge suggested theses. The suggested change in the scale of the thesis opens up the possibility that more time can be spent in the preparatory stages and more can be asked for from the student in the way of supporting evidence. Something of the scale of a term paper is perhaps not too much to ask. In order to insure faculty participation, a tentative faculty committee should be established prior to the student’s first appearance and those named to it should be expected to attend for the department in addition to as many others as can do so.
Dissatisfaction with the final examination arises from a different source. The exam is in fact a pure formality, in view of the stage at which it comes. Candidates are in practice almost never failed at that stage. Yet the candidate is not told that it is a pure formality; he regards it as a crucial and important test.
In place of dispensing with the final exam, the second appearance of a candidate before the thesis seminar might take its place, not in the sense of an occasion for final approval of the candidate, but in the sense of a public exhibition, as it were, testifying to the candidate’s stage of development. Final approval of the thesis would be based on the decision of the thesis committee plus a poll of the entire faculty.
- Summary of specific recommendations
To implement the general recommendations outlined above, it is proposed that the department approve the following actions and rules:
(1) Every Ph.D. thesis submitted for final approval must contain a central core not in excess of 15,000 words in length. This central core must be self-contained but may be supplemented by supporting material. The standard of comparison should be a first-rate journal article.
(2) Preparation of a statement on the role of the thesis and the standards to which it is expected to conform for distribution to candidates.
(3) Establishment of a thesis seminar. Regular participation in this seminar is to be required of all candidates writing theses in residence. One or more faculty members is to have direct responsibility for this seminar as part of his teaching load. All other faculty members shall be encouraged to attend.
(4) A Ph.D. candidate, whether or not he writes his thesis in residence, shall be required to make at least two appearances before this seminar.
(5) The candidate’s first appearance before the seminar shall be part of the procedure for admission to candidacy. In advance of this appearance, the candidate shall prepare a brief report (on the scale of a term paper) explaining his thesis topic, the existing state of knowledge on the topic, its potentialities, and his projected plan of attack on the problem. This report shall be duplicated and circulated to all members of the seminar an all members of the faculty in advance of the meeting of the seminar. This report plus the performance of the student before the seminar shall be the principal evidence for granting admission to candidacy, provided, of course, that other requirements are met.
(6) A candidate shall be permitted to make this first appearance preparatory to admission to candidacy if he has passed at least two of the three Ph.D. preliminary examinations.
(7) A tentative faculty committee shall be named for each candidate prior to this first appearance, and shall be expected to attend the meeting of the seminar at which it takes place.
(8) The candidate’s final appearance before the seminar shall be on the basis of a more detailed report of his findings, preferably on the basis of a draft of the “central core” of the thesis. This report shall be duplicated and circulated to all members of the seminar and all members of the faculty in advance of the meeting of the seminar.
(9) This final appearance before the seminar shall replace the present final examination on the thesis.
(10) The candidates thesis committee shall be expected to attend this final appearance before the seminar.
(11) The central core of the thesis or its equivalent shall be circulated to all members of the faculty before the final acceptance of the thesis. Final acceptance shall be based on approval by the thesis committee plus a vote of all other members of the faculty.
(12) The new procedure for admission to candidacy should apply to all students in residence at the time of its adoption, and to students not in residence who have not been admitted to candidacy prior to January 1, 1950.
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[MEMO #7, 2 February 1950]
[Carbon copy. Additions to the change in the text are highlighted. Items (7) and (10) are the significant additional changes in the specific recommendations.]
[THE UNIVERSITY OF CHICAGO]
[Date] February 2, 1950
[To] T. W. Schultz [Department] Economics
[From] R. Blough, M. Friedman, D. G. Johnson [Department] Economics
and J. Marschak
SUPPLEMENTARY REPORT OF COMMITTEE ON PH. D. OUTLINES AND REQUIREMENTS
The following summary of specific recommendations is a revision of the summary on pp. 4 and 5 of our earlier report, incorporating comments and suggestions made at the department discussion of the problem. It is proposed that the department approve the following actions and rules:
(1) A Ph.D. thesis submitted for final approval will ordinarily contain a central core not in excess of 15,000 words in length. This central core must be self-contained but may be supplemented by supporting material. In scope and quality, it shall be comparable to first-rate journal article.
(2) Preparation of a statement on the role of the thesis and the standards to which it is expected to conform for distribution to candidates.
(3) Establishment of a thesis seminar. Regular participation in this seminar is to be required of all candidates writing theses in residence. One or more faculty members is to have direct responsibility for the organization and scheduling of this seminar. A session of the seminar will ordinarily be conducted by the chairman of the tentative or final thesis committee of the student presenting a report (see point 7 below). All other faculty members shall be encouraged to attend.
(4) A Ph.D. candidate, whether or not he writes his thesis in residence, shall be required to make at least two appearances before this seminar.
(5) The candidate’s first appearance before the seminar shall be prior to his admission to candidacy. In advance of this appearance, the candidate shall prepare a brief report (on the scale of a term paper) explaining his thesis topic, the existing state of knowledge on the topic, its potentialities, and his projected plan of attack on the problem. This report shall be duplicated and circulated to all members of the seminar an all members of the faculty in advance of the meeting of the seminar.
(6) A candidate shall be permitted to make this first appearance preparatory to admission to candidacy if he has passed at least two of the three Ph.D. preliminary examinations.
(7) The candidate shall have responsibility for applying for the appointment of a tentative thesis committee prior to his first appearance at the seminar. He shall be permitted to make such application at any time after he has passed at least two of the three Ph.D. preliminary examinations. The chairman of the department shall name a tentative faculty committee for each candidate, and this committee shall be expected to attend the meeting of the seminar at which it takes place. At least one member of the tentative committee shall be a person whose major field of interest is outside of the field of the proposed thesis. If admission to candidacy is granted, a final thesis committee shall be appointed by the chairman of the department.
(8) The candidate’s final appearance before the seminar shall be a definitive report of his findings. A brief resume of this report shall be duplicated and circulated to all members of the seminar and all members of the faculty in advance of the meeting of the seminar. The candidate’s thesis committee shall be expected to attend this final appearance before the seminar. [Last sentence was recommendation (10) of previous draft]
(9) The central core of the thesis or its equivalent shall be circulated to all members of the faculty before the final acceptance of the thesis. Final acceptance of the thesis shall be by vote of the members of the faculty upon the recommendation of the thesis committee.
(10) The final examination by the department shall be on the candidate’s major field. The examination shall be a function of the whole department but in any event shall be attended by members of the thesis committee and other faculty members specializing in the field.
(11) The new procedure for admission to candidacy should apply to all students in residence at the time of its adoption, and to students not in residence who have not been admitted to candidacy prior to July 1, 1950.
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[MEMO #8, undated, almost certainly 1950]
[Mimeographed copy.]
STANDARDS FOR Ph.D. THESIS
(Draft proposal for
circulation among
prospective candidates)
In order to guide candidates for the Ph.D. degree in selection of a thesis topic, the Department of Economics has formulated the following statement of standards which shall apply to doctoral dissertations in the future. Each candidate is urged to familiarize himself with the four main criteria set forth below.
I. The role of the thesis in the educational process is to develop the candidate’s ability to make significant contributions to knowledge in economics. To accomplish this objective the thesis must make a contribution to knowledge.
In addition:
a. The thesis must be concerned with an important and significant problem.
The “importance” and “significance” of a problem are, of course, to some extent matters of individual judgment. Different candidates will have different concepts of what is important what is relatively inconsequential. In selecting a topic, however, the candidate should first ask himself questions such as these: Why is the proposed topic “important”? Why is it worth spending time on? Would research on the topic contribute to general understanding of some central problem of our time? Would it contribute to clarifying or improving the conceptual or logical basis of economics? Questions such as the availability of material, opportunity for utilizing a particular technique, or the possible conclusiveness of findings, though important, are definitely secondary. The candidate should work on something that “matters”.
b. The thesis must involve analysis of an economic problem
Conceivably, any kind of original work, such as for example the mere gathering of statistics which have never been compiled before, might be “a contribution to knowledge”. However, such a task would not meet the requirements for a thesis unless it involved independent analysis of an economic problem. In other words, the compilation of material is not an end in itself; it is only a mans of achieving the objective of the thesis.
II. The topic should be sufficiently limited and specific to permit the candidate to do a thorough and exhaustive piece of work.
The doctoral candidate is not expected to tackle a broad or general problem in its entirety. On the contrary, in most cases, he can make the best contribution to knowledge and develop his capacity for undertaking research by concentrating on a clearly defined segment of an important and significant problem. Since quality rather than quantity will be the main standard for judgment of the thesis, the topic should be limited in scope in order to enable the candidate to concentrate his energies on intensive and exhaustive analysis.
Insofar as possible, the candidate should choose a topic in the broad problem area in which he feels he might want to do further research beyond the thesis. In other words the thesis should be looked upon as a stepping stone to more comprehensive research as the candidate acquires greater maturity and judgment after completing of the formal requirements for the degree. In short, the candidate should avoid choosing a “blind-alley” topic which offers few avenues to future research.
III. Every thesis must contain a central core of not more than roughly 15,000 words, (or approximately 50 typewritten pages.)
This central core is to be self-contained. It may, however, be supplemented by additional chapters or appendices containing more detailed data, expansions of points developed in the central core, etc.
The central core should, in general, not give much space to the general character of the problem, earlier work on the problem, and the like; those belong in supporting appendices, if anywhere. It should concentrate on the original material developed by the writer. It must contain a precise statement of its problem and its analysis, not simply summarize data, report views, or describe events.
IV. The thesis must conform to high standards of quality
The central core of the thesis should be comparable in quality and scope to a first-rate journal article, and the candidate should strive to have the central core of the thesis, or an adaptation thereof, published in a journal.
In order to achieve the standards of quality set forth above, it is assumed, as a regular matter, that the thesis will undergo several substantive revisions before final acceptance. Up to the point of writing a thesis, most candidates have had little occasion to acquire high standards of quality, since most of their written work has been of a “one-shot” variety. The thesis, on the other hand, must be a thorough and well-written piece of research. In other words, it must represent the best work of which the candidate is capable.
The initial reputation of the candidate is made largely on the basis of the excellence of his doctoral dissertation, and his capacity for further research is dependent upon the development of his ability to complete successfully a piece of research requiring analytical capacity, sound judgment and continued application. The thesis, then, is a challenge to the candidate to demonstrate his right to belong to the profession. It is, consequently, a major undertaking, and no something to be brushed off speedily or lightly.
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Source: Hoover Institution Archives, Papers of Milton Friedman, Box 79, Folder 5 “University of Chicago. Minutes. Ph. D. Thesis Committee.”
Image Source: T. W. Schultz, University of Chicago Photographic Archive, apf1-07484, Special Collections Research Center, University of Chicago Library.