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General Information
A Ph.D. student must take and pass the preliminary examination, generally within 24 months of enrollment in the Ph.D. program, or within 36 months if the student’s graduate committee agrees. The outcome of the exam is reported to the department and Graduate School within two working days using the GS16 form.
The preliminary examination is administered by the student’s graduate committee. The purpose of the preliminary examination is to evaluate the student’s knowledge of their field and their ability to independently formulate and propose a research project.
A Ph.D. student, in conjunction with their advisor, should begin forming a graduate committee as soon as possible after their admission to the Ph.D. program, normally in the first semester. The GS6 form is used to report the composition of the graduate committee (three faculty members from CEE and one CSU faculty member from outside the department) and the proposed plan of study.
While this document outlines requirements specific to this department, the broader Graduate School requirements for the Preliminary Exam can be found in the CSU Graduate and Professional Bulletin.
Exam Components
The preliminary exam consists of the following three parts, which align with the Graduate School requirement to include written and oral components:
Part 1: Research Prospectus
Purpose
The purpose of the prospectus is to evaluate the student’s ability to independently formulate and propose a research project.
Elements
- Statement of the problem and its broader significance that is grounded in a summary of the existing literature which points to gaps in the current knowledge that motivate the proposed research.
- Research questions, objectives, and/or hypotheses.
- A description of the proposed methods that is well-organized, appropriate for answering the research questions, and incorporates mechanisms to assess success. The proposed methods should thoroughly describe all tools and assumptions about their use. The approach should also include an explanation of how each research step is linked to the research questions and/or hypotheses.
- A work plan that demonstrates a realistic understanding of the extent of the work involved.
- A summary detailing the expected benefits that will result from the research.
The prospectus should be submitted to the graduate committee at least three weeks prior to the scheduled written portion of the exam, and the committee should be notified by the student regarding when to expect this document. The three-week window can be shortened in response to a written request by the student, if all members of the committee agree there is sufficient time to create the written questions.
Guidelines
- The prospectus should be 10 to 15 pages long, single-spaced with 1-inch margins, with no smaller than 11-point font. This page limit does not include the title page or the references but otherwise includes all text and figures. References should be listed separately at the end of the prospectus.
- The prospectus should be the original work of the student.
Part 2: Written Questions
Purpose
The primary purpose of the written questions is to test the student’s ability to use their understanding of topics pertaining to their field of research to synthesize and process complex information by critically analyzing the research literature through the use of written arguments, appropriate equations and current theory.
Elements
- The graduate committee will coordinate to develop questions that demonstrate the student’s knowledge of fundamental concepts related to the student’s field of research.
- At least one of the questions must be based on one or more journal articles from the literature that fall within the general research area(s) of the student. In the context of the journal article(s), the questions may require the student to, among other things, critically review the article(s), place the article(s) in the broader context of the field, perform back-of-the-envelope calculations, defend a statement from first principles, discuss how to apply ideas in the article(s) to a different situation, etc.
- The student may use reference materials required to answer the questions but may not consult with other people. Responses must be the original work of the student. If AI is used to answer questions on the written exam, the student must specifically cite the use of AI appropriately.
- The student has 48 hours to prepare and submit written answers to the questions.
- If the student has circumstances that make it difficult to complete the written questions in a single 48-hour period, the student can consult with their graduate advisor about potential accommodations.
Part 3: Oral Examination
Purpose
The purpose of the oral examination is to provide an opportunity for the student’s graduate committee to ask questions about the student’s prospectus, their responses to the written questions, and related topics in the student’s area(s) of research.
Structure
- The oral examination will ideally take place no more than 14 days and no less than 3 days after the written exam is completed.
- The oral examination will begin with a presentation of the prospectus by the student. The student’s presentation should last approximately 25 minutes.
- The graduate committee will then ask questions related to the prospectus, responses to the written questions and other questions in the student’s area(s) of research.
- At the completion of the questioning period, the student will be asked to leave the examination room to allow the committee to decide on the exam grade.
- The total length of the oral examination is roughly 2 hours and cannot exceed 3 hours.
Additional Information
Grading the Exam
Each of the three portions of the exam (i.e. prospectus, written questions, and oral examination) are weighted equally, and each will be graded by the graduate committee as either “satisfactory” or “unsatisfactory.” The outcomes of the full exam may be PASS, FAIL, or PARTIAL PASS.
- Three “satisfactory” ratings will be given a PASS.
- Two “satisfactory” and one “unsatisfactory” rating will be given a PARTIAL PASS.
- One or zero “satisfactory” ratings will be given a FAIL.
A PARTIAL PASS on the preliminary exam may require additional follow-up with the graduate committee, as will be documented in a department memo, but will be considered a pass according to the Graduate School (as specified in the GS16 form). Any follow-up requested by the graduate committee must occur within 6 months or less (to be specified by the graduate committee in the department memo) following the oral examination. A PARTIAL PASS assumes that the student can continue their Ph.D. studies but has deficiencies that need to be addressed through either course work or additions to their prospectus.
If a student FAILS the preliminary exam, they may be eligible for one re-examination. However, re-examination must be endorsed by the graduate committee on the GS16 form and must be completed within six months of the first attempt. Conditions to be met before re-examination are documented on the GS16 form.
Student's Responsibilities
The student is responsible for arranging a time and place for the oral portion of the preliminary exam after consulting their graduate committee. The date of the oral exam should be scheduled before the written exam is taken.
The student must notify the graduate advisor of their intent to take the exam no less than three months prior to the exam.
The preliminary examination shall be administered at least two semesters before the student’s Ph.D. defense. It is the student’s responsibility to comply with these notifications.
Extenuating Circumstances
The student is expected to make every effort to comply with departmental timelines for admission and for passing the preliminary examination. However, in some cases, there may be extenuating circumstances that require modification of these timelines or the exam format itself. In such cases, the student and advisor may petition, in writing, to the graduate committee, outlining the reasons for the request and the proposed modified timetable and/or exam format.