4.11 - The Doctoral Dissertation

The doctoral dissertation is the final and most important component of the series of academic experiences, which culminates in the awarding of the doctoral degree. Three major functions are fulfilled by the dissertation experience: (1) it is a work of original research/scholarship that makes a contribution to existing knowledge; (2) it demonstrates the candidate's mastery of research methods and tools of the special field; and (3) it demonstrates the student's ability to address a significant intellectual problem and to arrive at a successful conclusion.

Aided by the dissertation advisor, the student should promptly select a dissertation topic. It is the responsibility of the student to ensure that approval, if appropriate, has been granted from all regulatory offices (IBC, IRB, IACUC, etc). After the General Examination, most of the student's time will be devoted to research and writing the dissertation. The student must enroll in enough hours of Research for Doctor's Dissertation (course 6980) to satisfy the requirement of the program and to meet the minimum credit hours required for the PhD.

Thesis/Dissertation guidelines are found on the Graduate College website.

Only students who have completed the Responsible Conduct of Research training for doctoral students, passed the General Examination, and been admitted to candidacy by the final date to enroll for the upcoming semester may enroll in 6980. The initial enrollment in 6980 (Research for Doctoral Dissertation) must be for at least two hours. Subsequently, each doctoral student must maintain continuous enrollment in at least two hours of 6980 during each term until the requirements for the degree are completed.

The doctoral candidate is responsible for preparing a complete draft of the dissertation in compliance with the Graduate College Guidelines for Preparation of the Masters Thesis and Doctoral Dissertation, as well as guidelines within their graduate program. The Reading Copy should be in an acceptable dissertation format and must include all figures and tables, numbered pages, and a complete bibliography.

With the approval of the primary mentor, the student distributes the Reading Copy to each committee member. The student must submit the Report of Reading Copy Submission to inform the Graduate College that the Reading Copy was sent to the committee. The committee reviews the Reading Copy in detail and requests revisions. The doctoral candidate is responsible for making major revisions and seeking the committee’s approval for major revisions before submitting the dissertation to the Graduate College. When the following criteria are satisfied, the primary mentor and committee members sign the defense request to demonstrate their initial approval of the dissertation reading copy:

1. No further research is required for the degree
2. The dissertation is complete, and the student has made all necessary major changes
3. The dissertation makes a significant contribution to existing knowledge
4. The dissertation demonstrates the candidate’s mastery of research methods and tools of the field, and the ability to address a significant intellectual problem

The student must provide enough time for committee members to review the dissertation draft in detail, request major revisions, and review major revisions if needed, before the dissertation reading copy is submitted to the Graduate College. The student must submit the defense request and approved reading copy to the Graduate College at least 10 business days before the defense.

The final oral examination is a defense of the dissertation and is open to the public. The student must be enrolled for at least two hours of dissertation research (6980) in the semester of the defense. Any changes in the doctoral committee must be approved by the Graduate Dean.  The Graduate Dean may exercise a prerogative and appoint an observer for the Graduate College who would not be a voting member.

Defense Request

At least 10 business days before the defense, the candidate must submit the following to the Graduate College:

1. Completed Defense Request Form. The doctoral candidate will receive this form via e-mail after they file the Report of Reading Copy Submission.
2. Approved Reading Copy. The Approved Reading Copy is a complete draft of the dissertation with all major revisions complete. Additional minor revisions may be required after the defense.
3. Defense Announcement. A template for the Dissertation Defense Announcement is available on the Graduate College Website.

Authority for the Defense

The defense must be authorized by the Graduate College. The Graduate College will review the submission and send the Authority for the Defense via e-mail to the student, mentor, and Graduate Program Director in advance of the defense. The Graduate College will distribute the doctoral defense announcement via e-mail and a website accessible to members of the University.

In-Person Defense

The defense must be scheduled for a time when the student, the mentor/committee chair, and the majority of the dissertation committee can be physically present at the same location for the defense. A PhD defense also requires an in-person public audience. 

It is recommended that all committee members participate in person. The defense should be scheduled far enough in advance to accommodate regular scheduling challenges. However, if a committee member must participate remotely, an exception must be requested from the Graduate College no later than the time the defense request is submitted. If remote participation becomes necessary due to an extenuating circumstance, the Graduate College must be notified promptly. The integrity and significance of the oral examination process must not be compromised by the absence of a sound committee.

Results of the Defense

All members of the committee must sign the Authority for the Defense form and signify whether the examination was satisfactory or unsatisfactory. Either traditional or electronic signatures will be accepted on the Authority for the Defense form.  If traditional signatures are used, the original hard copy must be submitted to the Graduate College. 

The results of the dissertation defense must be reported to the Graduate College within 72 hours. A unanimous report from the doctoral committee is expected; however, on occasion some dissenting reports are received.  If one member dissents, the dissent is recognized as a minority report.  If two members of the doctoral committee dissent, a minority report must be filed and the Graduate Dean will investigate and make the final decision.  If more than two members vote unsatisfactory, the defense is judged to be a failure.

Only one attempt is granted in defending the dissertation. If the defense is determined to be unsatisfactory (failure), the decision is final and the defense cannot be repeated. Furthermore, the student will be dropped from the rolls of the Graduate College and candidacy for the doctoral degree will terminate.

Nothing herein shall prohibit such a student from reapplying for admission to the Graduate College and pursuing a doctoral degree in another major field so long as the student satisfies all necessary degree requirements under the rules and regulations of the admitting department, Graduate College and University of Oklahoma Health Sciences.

The doctoral candidate is responsible for addressing the revisions requested by the mentor, committee, and Graduate College; securing the mentor's and committee's approval the final dissertation; and submitting the final dissertation and signatures of approval to the Graduate College through the ProQuest ETD Administrator.

Final Revisions

It is essential that all doctoral candidates make themselves responsible for the complete and accurate collation of their materials before turning them in to the Graduate College. The final dissertation will be published as it is submitted, with no further proofreading.

In particular, if utilizing copyrighted material in the dissertation, students must obtain permission from the copyright holder for such reproduction and provide proper citation. Without proper permission and citation, the author of the dissertation is liable to prosecution once the dissertation has been published. Additional details are available in the Graduate College Guidelines for Preparation of the Masters Thesis and Doctoral Dissertation and the defense request. 

Outcome of the Final Dissertation

The dissertation committee, including the chair/mentor, is responsible for reviewing the final dissertation and determining whether it meets the standards for a doctoral dissertation. All committee members must either sign the signature page indicating their approval of the dissertation, or submit a written dissent to the Graduate College. The written dissent must be submitted to the Graduate College along with the final signed signature page. Signature may be electronic or in ink. If signatures are in ink, the original hard copy must be submitted to the Graduate College. If there are dissenting votes, dissents will be evaluated as described for the Dissertation Defense.

Deadlines

The final copy of the dissertation must be delivered to the Graduate College within 60 calendar days of the oral defense. To graduate in a particular semester, the student must meet the graduate deadlines for that semester, which may require submitting the final copy in less than 60 calendar days. Graduation deadlines are listed on the Graduate College website. For details about maximum time in the program and age of coursework, refer to Section 4.12 below.

If a doctoral candidate does not submit the final copy within 60 days, the results of the defense will be set aside, whereupon the student must offer the Graduate College a new reading copy of the dissertation that carries preliminary approval of the major professor. When the committee has accepted this new reading copy, the student may schedule the defense of the dissertation, according to the policies and procedures defined above.

Publication of the Final Dissertation

Upon receiving the final copy and signatures, the Graduate College will ask the student’s major advisor to confirm that the correct final copy was submitted. The confirmed final copy is uploaded to the OUHSC University Library and published electronically through ProQuest. The final thesis will be published as it is submitted, with no further proofreading.