Planning Timeline for Dissertation Study [XLS]

A major emphasis in the doctoral program is mentored research, that is, training beyond accumulated course credit. Successful passage of the Comprehensive Doctoral Exams makes a student a Doctoral Candidate, but a dissertation is required of all Candidates to be awarded the degree of Doctor of Philosophy. A dissertation is to be a scholarly achievement in research, and should demonstrate a thorough understanding of research techniques in the field of inquiry and the ability to conduct independent research and may consist of a variety of formats.

Doctoral students may choose between a traditional dissertation format and one consisting of manuscripts ready for submission for publication in a refereed journal. In addition to the manuscripts, the latter format must contain an introduction that includes a literature review and an overall discussion tying the manuscripts together as a cohesive line of study. The number of manuscripts required and their quality will be left to the judgment of the Dissertation Committee, but should be not less than two. The decision to use this format must have the approval of the student’s major advisor. Such a dissertation proposal must meet the same level of scrutiny and approvals from the dissertation committee as any other dissertation proposal. The subsequent judgment of the dissertation quality will likewise be at the professional judgment of the Dissertation Committee.

Determining Purpose and Setting Goals for the Dissertation Study

The dissertation chair (doctoral advisor) is responsible for helping the candidate set the purpose and goals of the study for the dissertation. In many cases, this process occurs over the considerable period of time before candidacy stage so student coursework can best contribute to the product.

Development of Dissertation Proposal

A doctoral candidate must develop and defend a Dissertation proposal that describes an original, independent research project. The written proposal should begin with a clear statement of a researchable question. The proposal should be a sufficiently complete statement of the proposed research so that the dissertation committee can judge the originality, significance, and the likely success of the research. It should contain a detailed review of the previous contributions of others in the proposed area with supporting reference citations. It should contain a clear statement of the proposed contributions, emphasizing the facets that will make this work unique. The proposal should include sufficient supporting detail and preliminary results so that an assessment of likelihood of success can be made. Appearance, format, and citations must be in conformance with the requirements of the School of Interdisciplinary and Graduate Studies: http://graduate.louisville.edu/pubs/theses-dissertations/dissertation.pdf [PDF].

The student must consult with the dissertation chair about the content, format, and timeline of proposal. When the student and the committee chair agree that the dissertation proposal is ready for review and approval, then the proposal is distributed to the members of the dissertation committee and the oral defense of the dissertation proposal is scheduled. The proposal should be distributed to the dissertation committee at least three weeks before the scheduled oral defense. Students are strongly recommended to include a draft of the IRB application for their proposed research. Before a dissertation study can begin, the dissertation proposal must be reviewed and approved by the dissertation committee and the study, if appropriate, must be reviewed and approved by the IRB.

Meeting Requirements for Ethical Research (IRB)

Human Subjects Protections and the Institutional Review Board are administered by for UofL's Human Subjects Protection Program Office (HSPPO). The efficient approval and continuing review of protocols is enhanced if the researchers are better acquainted with the basic principles, standards and requirements of human subject protections as they pertain to our local institutions. All doctoral students; therefore, are required to obtain human subject protections certification by completing the University of Louisville's training in human subject protections. IRB applications must include departmental certification of intellectual merit.
See http://louisville.edu/research/humansubjects for up to date information.

Defense of Dissertation Proposal

Before any dissertation research can begin, a doctoral candidate must receive formal approval from the dissertation committee. Approximately three weeks before the dissertation proposal defense, the doctoral candidate distributes copies of the dissertation proposal to each member of the committee.

Typically, the dissertation committee meets with the doctoral candidate as well for the purpose of determining the quality of the proposal. Often candidates provide a 15 to 20 minute presentation of their proposal. The presentation is then followed by questions from the committee on any components of the proposal about which they have questions. Once all committee members are satisfied that they are able to make a valid judgment of dissertation proposal, the candidate is excused from the examining room for committee deliberation. Once a decision is reached the candidate is recalled to the room for final results and comments.

If the Dissertation Committee approves the proposal, the student and members of the Dissertation Committee will sign the dissertation proposal approval form (Thesis/Dissertation Proposal Approval Form [DOC]) to indicate their agreement with the proposal. The student and all Dissertation Committee members must approve, in writing, any substantive alterations to the signed proposal. Minor changes can be carried out under the Dissertation Chair's oversight.

If the Dissertation Committee does not approve the proposal, then the candidate is given guidance on actions necessary to correct any flaws noted by the Committee. The Committee can then elect whether subsequent approval requires another committee meeting or whether independent member approval will suffice. If significant weaknesses are detected, the Committee may elect to require additional study by the student and a reexamination on the material in question. A tentative timeline for any revisions or proposal meetings should be established at this meeting.

A Dissertation Committee unable to reach consensus should consult with the Associate Dean for Research and Graduate Studies to assist with resolution.

Reporting Results of Dissertation Proposal Defense

It is the responsibility of the Dissertation Advisor to notify the Department Chair, EAC, and the Associate Dean for Research of the results of the dissertation proposal defense within two weeks of the conclusion of the examination.

Completion of Dissertation

Only after the dissertation proposal is successfully defended and IRB approval secured may the candidate begin to collect data. NO DATA MAY BE COLLECTED PRIOR TO IRB CERTIFICATION. The candidate should continue to work closely with the major advisor during this phase of the process to better assure readiness for the final dissertation defense.

Guidelines for Dissertation

Students should consult the guidelines for dissertation preparation that are overseen by the School of Interdisciplinary and Graduate Studies (SIGS). Appearance, format, and citations must be in conformance with the requirements as stipulated by SIGS. See the online information form available at: http://graduate.louisville.edu/pubs/theses-dissertations/dissertation.pdf [PDF].

Doctoral Dissertation Defense (Final Defense)

Students are examined on the doctoral dissertation that they have written. This is conducted as a final oral examination that consists of a defense of the dissertation and a demonstration of candidates' mastery of their field.

The dissertation is to be submitted in completed form to the head of the major department at least thirty days before the end of the term in which the candidate expects to graduate, and the candidate is not eligible for final oral examination until the dissertation has been approved by the head of the major department.

The dissertation shall be read by a reading committee. The dissertation must be approved by the committee and the head of the major department. Be sure to review the SIGS Catalog on doctoral degree requirements available online at http://louisville.edu/graduatecatalog/degree-requirements/.

The dissertation defense must be scheduled at least three weeks in advance. The Dissertation Final Oral Examination Schedule Form [DOC] must be submitted to the Associate Dean for Research for transmittal to SIGS at least three weeks prior to the preferred date; however, SIGS's online form is recommended: http://graduate.louisville.edu/pubs/theses-dissertations and must be submitted at least two weeks in advance of the examination date. The chairperson of the Dissertation Committee is responsible for submitting the form, arranging for a meeting room, and informing the examining faculty. SIGS will send an e-mail announcement to the full Graduate Faculty. The candidate should provide copies of the dissertation to all members of the dissertation committee at least three weeks in advance of the dissertation defense.

The examination must be taken at least 14 days before the end of the semester in which the degree is awarded. The examination will be conducted by a committee of at least five persons comprising the candidate's Dissertation Committee and additional members of the Graduate Faculty appointed, as necessary, by the Dean of SIGS upon recommendation of the Dean of the College of Education and Human Development.

The dissertation advisor shall serve as chair of the Committee and at least one of the four remaining members shall be from another program subspecialty area. For non-members of the Graduate Faculty to participate, special permission must be obtained from the Dean of SIGS. All University Graduate Faculty are invited to attend the oral defense.

All members of the Graduate Faculty may participate in the examination, but only members of the appointed committee may vote on the acceptance of the candidate's defense of their dissertation or their responses to examination questions. To pass the final examination, a student must receive no more than one dissenting vote or abstention. A minimum of four signatures are required. The student should prepare the signature sheet on the 25 percent cotton paper required by SIGS for publication of the dissertation.

In the CEHD, the core of the reading committee can consist of the Dissertation Committee; however, other faculty members with expertise in specific areas of the dissertations should be sought to participate in this process.

Submission of Dissertation

One unbound copy of the dissertation, printed on 25 percent cotton paper and including the signature sheet signed by the dissertation committee, must be deposited with the Office of the Graduate School at least 30 days before graduation; see registrar website for current dates: http://louisville.edu/student/services/registrar/regist3d.html. Doctoral students may be required to submit additional copies of their dissertation. Students should contact their department for specific information.

Time Limits

The candidate must complete all other requirements for the degree of Doctor of Philosophy of Education within four calendar years after passing the comprehensive examination and being admitted to candidacy. In exceptional cases, the Dean of SIGS is empowered to grant limited extensions of this four-year period.

School of Interdisciplinary and Graduate Studies Catalog http://graduate.louisville.edu/pubs/graduate-catalog

A doctoral degree student must have been admitted to candidacy no later than the end of the ninth month prior to the awarding of the degree.

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