PhD Student Handbook

This handbook provides an overview of the key policies and processes essential for successfully navigating and completing your PhD at Cornell University. The document is structured in two parts: the first outlines the general policies set by Cornell’s Graduate School, followed by more specific guidelines categorized by field. This language is subject to periodic review to ensure continued accuracy and compliance as policies and practices evolve.
The Code of Legislation of the Graduate Faculty outlines the core policies governing graduate education at Cornell. This handbook complements the Code of Legislation and Graduate School policies by offering additional academic guidance specific to PhD students in the SC Johnson College of Business.

To remain in good standing and demonstrate satisfactory academic progress, students must meet the academic requirements as outlined in the Code of Legislation, field handbook, and by the chair/special committee. These layers of governance work together to provide oversight and support for academic progress, while the policies help clarify and establish mutual expectations for achieving degree progress To make satisfactory academic progress and remain in good academic standing in the SC Johnson College of Business PhD Programs, a student must:

• Maintain a minimum cumulative GPA of 3.0 or higher, unless otherwise specified by your area of concentration, or program.
• Receive a rating of ‘Satisfactory’ or ‘Excellent’ on their Student Progress Review (SPR).
• Make timely progress toward degree requirements, including:
  • Completing required coursework by established deadlines.
  • Forming a special committee by the end of the third semester.
  • Fully passing the:
    • Field and area required exams
    • A Exam
    • B Exam
  • Meeting all field-specific requirements as outlined in this handbook.

Students are encouraged to work closely with their special committee and the Director of Graduate Studies (DGS) to stay on track and to communicate early about any delays or challenges. Failure to meet these expectations means that a student is not making satisfactory academic progress and is deemed not in good academic standing, which may impact continued enrollment in their degree program.

Table of Contents

Overview and Timeline | Chair and Special Committee | Course Enrollment | Exams | Responsible Conduct of Research (RCR) Training | Petitions | Seminars and Workshops | In Absentia | Student Progress Review | Financial Support | Research and Professional Funds (RPF)| Teaching Opportunities | Leave of Absence | Academic Probation and Withdrawal | Career Support | Desk Space | Resources | Graduate Field of Hotel Administration | SC Johnson College of Business Contact List

Chair and Special Committee

Each student is responsible for putting together a special committee. This committee is composed of a faculty member from your major field who will serve as your chair, and additional members from any field or discipline in the university provided they are a member of the graduate faculty. Doctoral candidates must have one faculty member representing their major subject and two minor members, each representing one of their minor subjects. A committee chair represents a student’s major subject and provides the student oversight necessary to conduct research.

Committee chairs:

• Supervise a student’s dissertation work
• Meet regularly with the student to ensure research is on track
• Suggest courses, conferences, software, faculty, etc. that are appropriate to a student’s area
  of interest
• Are present at A and B Exams
• Complete the Graduate School’s Student Progress Review
• Track and provide necessary support to help the student complete their degree in a timely manner

More information can be found on the Graduate School’s website.

Students may nominate non-Cornell affiliates to serve as “ad hoc” members of the special committee. They serve in addition to the required members of the Cornell graduate faculty committee and are invited to participate in committee meetings as well as exam and thesis/dissertation defenses.

• The Ad Hoc Member Request form can be found on the Graduate School’s forms page.

Doctoral candidates must have a full special committee no later than the end of the third semester.

Chair Resignation: If a student’s Special Committee chair or any required committee member resigns and is not promptly replaced, the student is no longer considered to be in good academic standing. This may affect eligibility for funding, including assistantships and fellowships. Students should work closely with their field to resolve any committee changes as quickly as possible.

Course Enrollment

The Graduate School imposes no specific course enrollment requirements, as these are decided by your program area and special committee. However, the Graduate School does require that students be enrolled full-time (12 credits). PhD students are automatically enrolled in 12 credits in an appropriate graduate research course by the Graduate School each Fall and Spring semester prior to the start of add/drop. These credits are adjusted as each student enrolls in other coursework. Students must enroll manually in GRAD 9016 each summer. Students may see the following listed from one to 12 credits in their Student Center:

• GRAD 9010 Graduate-Level Research: pre-candidacy PhD students
• GRAD 9011 Doctoral Dissertation Research: post-candidacy PhD students
  Each SC Johnson College of Business doctoral program has additional course requirements.

Please refer to each field’s course requirements as these vary by area of specialization.

Exams

All members of the graduate faculty are notified of examinations and all are welcome to attend. Students are responsible for notifying the graduate field administrator at least two weeks in advance to reserve a room and send an announcement to graduate faculty. Students must submit a Schedule Exam Form for the A and B Exams to the Graduate School at least one week in advance. Otherwise, the exam results are not valid.

Qualifying Exam (Q Exam): The Q Exam is an essential milestone in the PhD journey. These exams are administered through each field’s specific area of concentration and are designed to assess your foundational knowledge and readiness to advance in your research. Each concentration within the SC Johnson College of Business may have different formats, expectations, and timelines for the Q exams, so it is critical to consult with your faculty advisor for specific guidelines. Typically, the exams evaluate your grasp of key concepts, methodologies, and theories in your chosen field, ensuring you are well-prepared to engage in high-level research.

Advancing to Doctoral Candidacy (A Exam): The A Exam is also known as the Examination for Admission to Candidacy. This oral exam may include a written component, as determined by your special committee. You can take the exam after completing two registered semesters in your program, but before beginning your seventh semester—unless special permission is obtained from the Dean.

Defense of Thesis/Dissertation (B Exam): The B Exam is an oral defense of your thesis or dissertation. This exam can be taken after completing all degree requirements, but not earlier than one month before completing the minimum number of enrolled semesters. At least two semesters of successful registration must be completed between the passing of the A exam and the scheduling of the B exam. Doctoral candidates in our field are required to complete a dissertation that demonstrates original research contributing new knowledge to the discipline. The dissertation should address significant theoretical questions and may take the form of a traditional monograph or a set of publishable articles.

The dissertation must include an abstract and adhere to a recognized academic style guide, such as the Publication Manual of the American Psychological Association, as approved by the special committee chair. It must also meet the Graduate School’s formatting requirements for doctoral dissertations.

A complete draft of the dissertation must be given to each committee member at least six weeks before the B exam is scheduled and submitted to the Graduate School within 60 days of passing the final exam. Enrollment in future semesters is not permitted after passing the final exam, even if the 60-day submission window extends into a subsequent semester.

Exam forms required for the Ph.D. degree include “Schedule A Examination and Research Compliance Form,” “Schedule B Examination,” “A Exam Results Form,” and “B Exam Results Form.”

The outcome of the A and B exams is determined by a committee of faculty members. This committee is selected by the student in consultation with their academic advisor and may include subject matter experts relevant to the student’s research. The exam committee reviews the student’s performance based on a written exam, oral exam, or defense; and they collectively decide whether the student passes, conditionally passes, or fails.

The outcome of the A and B exams is determined by a committee of faculty members. This committee is selected by the student in consultation with their academic advisor and may include subject matter experts relevant to the student’s research. The exam committee reviews the student’s performance based on a written exam, oral exam, or defense; and they collectively decide whether the student passes, conditionally passes, or fails.

• The results are often shared within three days of completing the exam. The outcome may be
  communicated verbally after the exam, followed by formal documentation.
• If revisions are required (especially for a dissertation or thesis), the committee will specify the necessary revisions. These might include additional research, rewriting sections, or addressing specific feedback. A timeline for completing the revisions is also provided.
• A conditional pass may be granted, where the student must meet a specific criteria such as revisions or additional work to fully pass.
• If the student does not meet conditions within the specified timeline, the exam result may revert to a failure, and the student may be required to retake the exam or withdraw from the program.
• If a student fails the A or B Exam, they have the option to earn a terminal master’s degree if they have the necessary coursework and research requirements.

Except for the Q exam, all other exams must be documented and reported through official Graduate School processes, and consequences must be clearly communicated in advance. Students who attempt their B exams and fully pass prior to the start of the subsequent semester are not eligible for student status and enrollment.

Responsible Conduct of Research (RCR) Training

Every graduate student pursuing a research degree is required to complete training on Responsible Conduct of Research, addressing issues of authorship, peer review, plagiarism, and research misconduct. Each student must complete online training through Cornell’s Office of Research Integrity and Assurance (ORIA) prior to the end of the second registered semester.

For more information, please visit the Graduate School’s Responsible Conduct of Research webpage.

Petitions

The Graduate School allows students to request exemptions from certain regulations when
reasonable, and with appropriate justification, by submitting a petition form. Examples of what can be petitioned include more time to fulfill their committee, delay the A or B Exam, In Absentia, leave of absence, etc. If the field approves, the petition will go to the Graduate School for final approval.

Seminars and Workshops

It is a field requirement that students attend relevant workshops and seminars in their respective areas. Many of the workshops and seminars are listed on the college’s blog page.

In Absentia

The PhD program is a residential one, and the expectation is that students reside in Ithaca to remain eligible to receive funding. In special circumstances, research degree students who have successfully enrolled in two on-campus semesters may apply for In Absentia status to conduct approved research or study 100 miles or more away from the Cornell campus while still under guidance of the special committee.

To apply for In Absentia status, begin by consulting your committee to discuss your plans. If your committee supports the request, contact the Graduate Field Administrator (GFA) to obtain an academic planning form. This form will be reviewed by the Director of Graduate Studies (DGS). If the DGS approves your academic plan, you must then submit an official In Absentia Request to the Graduate School for final approval. Please note that students approved for In Absentia status are charged a tuition fee of $200 per semester. When students are in approved In Absentia status, they are eligible for fellowships, assistantships (excluding Teaching Assistantships), the student health plan, and educational loans. The same limitations on employment apply for In Absentia students as for on-campus students; time away from campus is expected to focus on making academic progress.

For more information, visit the Graduate Schools In Absentia webpage.

Student Progress Review

The annual Student Progress Review (SPR) is a required Graduate School milestone for PhD students, including those graduating. The SPR is an interactive process that supports the regular exchange of constructive, written feedback between advisees and advisors. Students on leave of absence are excluded from this requirement. The Graduate Field Coordinator will send an email with the SPR link and the student’s portion of the SPR will be due approximately February 15th each year. The Special Committee Chair’s portion will be due approximately March 30th each year.

SPR Process

1. Meet with your advisor before completing the SPR.
2. Complete your portion of the SPR form.
3. Your Committee Chairperson enters written comments and evaluates student progress. You will be able to see their section after they submit it.

Students who receive a ‘Needs Improvement’ or ‘Unsatisfactory” rating on their SPRs are not considered in good academic standing. This designation provides graduate fields with a mechanism to support the student in returning to good standing and to document academic concerns should the situation fail to improve or require further action.

For more information, please see the Graduate School’s Student Progress Review webpage.

SC Johnson College of Business Pre-Assessment: Before the Graduate School’s SPR link is distributed, the SC Johnson College of Business administers a pre-assessment. This internal review is designed to gather student feedback and provide area faculty with a holistic view of each student’s academic progress. If the pre-assessment indicates that a student is not making satisfactory progress, they will be notified and will work with their advisor to develop an academic plan to remain on track for timely degree completion.

Financial Support

The SC Johnson College of Business provides financial assistance to support students in completing their degree within a structured timeline. Students receive up to five academic years (10 semesters) of funding, which includes tuition, health insurance, and a stipend. The fifth year of support covers the fall and spring semesters only, with no summer funding. Students are expected to complete their degree by the May conferral date at the end of the fifth year. If additional time is needed, applications for funding beyond the fifth year must be submitted as early as possible and are subject to approval. Please note that students who have not successfully defended their dissertation by the end of the 12th semester are no longer considered in good academic standing and are not eligible for further financial assistance.

Doctoral students on assistantships divide their time between assigned assistantship responsibilities and making progress toward their degrees. Graduate assistantships may involve work responsibilities such as teaching, research, or administrative tasks. Graduate assistants receive compensation for this work in the form of a stipend so that they can pay their expenses while they pursue their doctorate.

Degree-focused time is dedicated to coursework, independent research, data collection, analysis, and writing. The time a doctoral student spends on their degree progress is not compensated. A doctoral student working toward their degree may dedicate the equivalent of full-time hours or more to their scholarship. This time isn’t compensated because it is spent earning a degree, not in service to the university.

To maintain good academic standing and ensure uninterrupted stipend payments, students must be present on campus during the fall, spring, and summer semesters. Additionally, students are expected to adhere to expectations set by their area, program, and the university. The following
requirements must be successfully completed within the timeframes specified in this handbook or as directed by the relevant departments of Cornell University.

• Maintaining a Minimum GPA of 3.0
• Required Coursework
• Research Projects
• Qualifying Exams
• Proposal of Defense

Students who are not on track to complete their degree requirements within five years are at serious risk of not being in good academic standing, which may lead to termination in funding or dismissal.

Research and Professional Funds (RPF)

All PhD students in a graduate field affiliated with the SC Johnson College of Business are eligible to receive funds from the College, deposited into a Research and Professional Fund (RPF) account. PhD students may use these funds per the College policy described below to support their research and professional goals. RPF allocations are made annually. The RPF allowable expenditure policy is founded on the understanding that PhD students need to be in good academic standing, need to be able to create budgets, and should spend the dollars available to them judiciously and in the interest of SC Johnson’s research mission. Typically, research-related expenditures permissible under University guidelines are allowable with RPF funds.

The policy currently applies to all PhD students in good academic standing in Years 2 through 5 of their respective programs.* Whether a student is in good academic standing is determined by the Director of Graduate Studies (DGS) in collaboration with the student’s advisor/committee members and/or a representative from the areas in which the student is specializing (e.g., Marketing, Finance, Energy, Environmental and Resource Economics, Real Estate). PhD students may request a rollover with no cap on unexpended RPFs from previous years’ funding. RPF accounts cannot be overdrawn. PhD students who deplete their RPF in a fiscal year will need to identify other sources to fund their research or travel. Unexpended RPF funds at the end of Year 5 will continue to be available to the student for research or travel in subsequent years while the student is in the PhD program, though no new allocations are made. RPF allocations may be reduced if a Ph.D. student takes a leave of absence, even if they continue with their research and associated travels. PhD students are encouraged to consult with their DGS about their RPF balances before taking a leave.

Any equipment, devices, and software purchased with RPF funds remain the property of Cornell University and not the student. Goods and services, regardless of price and whenever possible, must be purchased through the University. Below is an abridged list of allowable and unallowable expenses.

*Hotel Administration PhD Students admitted before Fall 2024 are allocated $4,000 to use over the duration  of the program. All expenses must be approved by the student’s advisor before making purchases.

RPF funds can be used for the following:

• Books.
• Academic journal submission fees and professional association membership dues.
• Individual or jointly held databases if not provided by the College or University.
• Licenses for software not provided by the University.
• Compensation or incentives paid to experimental subjects or survey respondents.
• Professional travel and related expenses (or per diem in accordance with University guidelines); consult Cornell University’s Travel Expenses Policy 3.2 for guidelines. Expenses for travel to association meetings for the job market can be included.
• For conference travel, students must apply for a conference grant through the Graduate School first. The Graduate School provides grants to students who are invited to present papers or posters at professional conferences. Students must be enrolled full-time in a graduate degree program with the Graduate School. Only one award will be considered during an academic year; more information can be found here.
• Postage, including express mailing.
• Copying and printing.
• Other reasonable research-related expenses not explicitly mentioned; consult with the Office of the College Dean of Academic Affairs for guidance.

RPF Funds Can NOT be used for:

• Compensation (students cannot pay themselves).
• Items to equip a home office (equipment, technology purchases, furniture, etc.).
• Cell phones, data plans, home internet.
• Tuition payments to a school in which a student is enrolled as a degree-seeking student.
• Charitable donations.
• Club memberships.

Teaching Opportunities

PhD students interested in teaching opportunities should contact their advisor to inquire about  available courses. Teaching opportunities are only allowable for students who are on time for degree  completion and in good academic standing. Those who secure a teaching position will be appointed  as Teaching Assistants for the given semester.

Leave of Absence

Students may request a leave of absence for health, parental, or personal reasons. A leave pauses  your student status, with the opportunity to return to your program at a set time. For more  information, visit the Graduate School’s Leave of Absence webpage.

• For health reasons, medical or mental health, request a health leave, available for up to a  maximum of four years.
• Leave of absence may be requested for personal reasons other than health and parental  accommodations for up to 12 months and renewable for a maximum of four years.
• Students on a leave of absence are not eligible to receive financial aid or funding while away.
• Maternity and paternity accommodations (parental accommodation), although not  technically a leave, offers six weeks of paid accommodation (eight weeks for the birth mother  for a cesarean section delivery), or up to two semesters of reduced load status depending on  circumstances. To initiate the parental accommodation, complete and return the Parental Accommodation Request form. 

International students considering a leave of absence should consult with an immigration advisor  from International Services before initiating the process. It is essential to fully understand how a  leave of absence may impact your student status, visa eligibility, and future enrollment. Advisors can  help ensure that you remain in compliance with immigration regulations and provide guidance on  any necessary steps to maintain your visa status.

Academic Probation and Withdrawal

Assistantships are contingent upon maintaining good academic standing and may be withdrawn if  expectations are not met. Students who do not make satisfactory progress may receive a warning or  be placed on probation. If there is no improvement within the timeframe outlined by their advisor or  the DGS, students on warning or probation may be withdrawn from the program.

Desk Space

PhD students are provided access to office spaces within the SC Johnson College of Business. Desk assignments are made annually at the discretion of each academic field. First-year students are not assigned individual desks but have access to shared MS/PhD swing spaces located on the 5th floor of the Breazzano Family Center, which may be used as needed.

Career Support

The Graduate School offers a wealth of information and programming to assist students in preparing  for their futures in academia.

• Pathways to Success: The Graduate School’s holistic professional development framework,  with programming organized into the following thematic focus areas: Navigate Academia, Build Your Skills, Create Your Plan, and Prepare for Your Career.
• Career Guide: These web pages provide a step-by-step guide with detailed information about  how to prepare for your future career.
• Careers Beyond Academia: Careers Beyond Academia gives Ph.D. students and postdocs the  chance to test-drive specific aspects of various careers through flexible, experiential, and  empowering opportunities.
• Cornell Career Services for Graduate Students: Career services for graduate and professional  students are provided by a network of offices and resources across campus and online.  Cornell Career Services, located in Barnes Hall, serves students from across the university.
• Future Faculty and Academic Careers: Future Faculty and Academic Careers provides in person and online professional development and networking opportunities for graduate  students and postdocs aspiring to careers in higher education.

Resources

• Cornell SC Johnson College of Business PhD LaunchPad
• Academic Calendar/ Course Roster
• Bursar
• Canvas
• Center for Teaching Innovation
• Global Learning/International Services
• University Library
• Workday
• Cornell Center for Social Sciences (CCSS)

Examinations and Research

Qualifying Exam: Each student is required to pass a Qualifying Exam (Q Exam) after completing two years (four semesters) in the program. The Q Exam, which usually takes place in early June and spans several days, is designed to evaluate the student’s knowledge development in the academic
literature of their major and minor fields, as well as relevant research methods. Nolan graduate faculty will develop Q Exams in consultation with the student’s special committee and the DGS to focus on core specialization knowledge. Q Exams may also require students to critically review an empirical paper for methodological rigor and/or to develop a research idea based on the paper, including a design for testing proposed hypotheses. Students failing this qualifying exam will receive one more opportunity to retake the exam in whole or in part, before starting the third year in the program.

Second-year Paper: Students are required to complete a second-year paper. The paper is created as a research proposal in the first year and presented to Field faculty and other doctoral students in the summer. After addressing feedback, students develop the second-year paper to include at least pilot data collection and analysis. The revised Second-year Paper is submitted to the student’s special committee and DGS for evaluation in the summer after the fourth semester in the program. The paper can start and evolve in doctoral seminars, which often have their own paper requirements. Such papers can be used in successive terms as submissions across courses, with the permission offaculty teaching the courses. This process can help students strengthen their in-course papers by focusing on fewer, higher quality research projects. Faculty can be co-authors on such papers but the
major contributor on the paper should be the doctoral student.

Second-year Review: Following the qualifying exam in the summer of the second year Nolan graduate faculty will jointly review the overall performance of the student in the Q Exam, course performance, and research progress (i.e., second-year paper). This review can lead to one of three outcomes: a) Advancement to Doctoral Candidacy, b) Opportunity to retake the Q Exam one time, or c) Recommend exit from the program based on unsatisfactory progress toward candidacy and the A Exam.