A. Final Exam (Dissertation Defense) Timeline

The final exam (Dissertation Defense) may not be held until the session after satisfactorily completing the comprehensive exam; however, a student must pass the final exam no later than five years after passing the comprehensive exam. Failure to meet this deadline will result in reexamination of the student to determine their qualifications for taking the final exam. In the final semester, doctoral students may register for Doctoral Final Registration (GRAD:6003), which requires a 1 s.h. tuition and fees payment, or appropriate course work. See section O of the Graduate College Manual.

B. Registering for Dissertation Credits

Once a student has passed the comprehensive examination, they can register for dissertation credits.

C. Completing the dissertation

Completing the dissertation includes nine key steps: (1) preliminary planning, (2) forming a PhD dissertation committee, (3) developing a proposal document, (4) conducting the PhD dissertation proposal meeting, (5) completing the research, (6) conducting the dissertation defense, (7) formatting the approved final dissertation, (8) submitting the final document to the Graduate College, and (9) publishing manuscripts based on the dissertation. Each of these steps is described in detail below.

1. Preliminary Planning

Three key items must be accomplished in this period.

1. Reviewing Graduate College Requirements. Prior to beginning the dissertation, students should review the Graduate College requirements related to the dissertation at https://www.grad.uiowa.edu/academics/thesis-and-dissertation.
2. Selecting a PhD Dissertation Chair. The first issue to clarify is whether the student’s advisor or a different graduate faculty member will be the Chair of the student’s dissertation committee. In most cases, they are the same. However, in cases where interests have evolved, the advisor and Chair may be different people. Typically, one’s dissertation Chair is a faculty member whose research is well-aligned with that of the student.
3. Selecting a PhD Dissertation Format. The College of Nursing has two approved formats for the dissertation: a traditional dissertation and a three-paper dissertation. A flowchart depiction of the nine steps is provided in Figure 1, highlighting key differences between the traditional dissertation and the three-paper dissertation.

The student and PhD Dissertation Chair should determine which dissertation format is best suited to the student’s pedagogical needs and planned research. The format chosen impacts the proposal and final document format. The discussion to decide which dissertation format to use should include an assessment of the student’s preparedness within their proposed content area, including their course work, grant writing, research experiences, and prior papers or presentations. A student with significant background within a particular content area may be well positioned to successfully complete a three-paper dissertation. Students still developing expertise in their content area may be better suited to a traditional dissertation. Other considerations in choosing the format include the type of study the student is proposing to conduct (i.e., qualitative mixed methods, or quantitative).

Traditional Dissertation Format

This format typically has five chapters:

• Chapter 1 provides an introduction and establishes the problem significance,
• Chapter 2 provides an in-depth literature review,
• Chapter 3 describes the planned methods for the study,
• Chapter 4 summarizes the results, and
• Chapter 5 discusses the study’s findings.

This formatting option provides students with the following:

• A standard and common approach to addressing a research problem.
• An opportunity for in-depth exploration and examination of the scientific literature in a comprehensive review of the literature.
• An opportunity for in-depth presentation of qualitative data, analysis, and interpretation.

Three-Paper Dissertation Format

This formatting option may increase the opportunity for students to publish papers from their dissertation work in a timelier manner and to form a coherent body of research in a particular scholarly area. The three papers must represent a single coherent research topic, not a series of unconnected topics. However, the three papers must be distinct. They may either address two or three separate research aims or, if they address only one, aims must differ in significant fashion, such as in theoretical perspective, approach, methodology, sample, and/or dataset. At least one paper must be data-based. The other two may be a literature synthesis or a conceptual/theoretical or methodological paper. At the Dissertation Proposal Meeting and/or at the time of the Dissertation Defense, at the discretion of the PhD Dissertation Committee, up to two of the three papers may have been previously written, submitted, and/or published by the student if they meet the following criteria:

• The student is first author on the paper, unless there are compelling circumstances for second authorship.
• The student clearly indicates their contributions to the paper for a coauthored paper. (The coauthors should be listed in an acknowledgement at the end of the dissertation chapter).
• The work was completed while the student was enrolled in the PhD program; and
• The PhD Dissertation Committee agrees that the papers are consistent with the criteria for a three-paper dissertation.

If the Dissertation Committee allows a previously published or in-press article to be part of the dissertation, the student must clarify and follow the journal’s guidelines and policies for reproduction of the article in the student’s dissertation. The PhD Dissertation Committee is under no obligation to accept previously published, accepted, or submitted papers as meeting the requirement of the dissertation. For the papers to be accepted as part of the dissertation, the Dissertation Committee must agree at the time of the Dissertation Defense that the papers are of potential publishable quality in a scholarly, peer-reviewed journal approved by the student’s Dissertation Committee.

2. Forming a PhD Dissertation Committee

The PhD Dissertation Committee guides and evaluates the student’s dissertation. The specifications regarding the formation of the PhD Dissertation Committee are the same for both dissertation formats. The following steps are required:

•  Selecting PhD Dissertation Committee Members. In consultation with the Dissertation Chair, the student needs to identify and form a Dissertation Committee. It is the student’s role to formally invite the Dissertation Committee members.
• Ensure Appropriate PhD Dissertation Committee Composition. The PhD Dissertation Committee is comprised of at least five graduate faculty members (i.e., tenure track) holding professorial rank (Assistant Professor or above). At least two members should be CON faculty. At least one member of the committee should be faculty from a discipline other than nursing. The student and Chair should consult with the PhD Director if they feel an exception is warranted. The student and the Chair of the PhD Dissertation Committee select the membership of the PhD Dissertation Committee. If a proposed PhD Dissertation Committee member is outside the University of Iowa or is not a graduate faculty member at the University of Iowa (e.g., CON clinical track faculty or UIHC staff), the student must obtain the individual’s curriculum vitae and meet with the PhD Program Administrator to obtain approval from the Graduate College. This approval must be obtained prior to scheduling the proposal meeting.

The Dissertation Committee could be the same as the DRP and Oral Exam Committee, especially if a Non-CON Faculty Member is included on the DRP and Oral Exam Committee.

3. Developing a Proposal Document

The student will work closely with the PhD Dissertation Committee Chair to develop the proposal document. The format of this document varies with the two options. Both types of dissertation formats must conform to the Graduate College guidelines.

• Chapter 1 includes an introduction and establishes the importance of the topic; a brief review of background and problem to be addressed; and a clear purpose that includes specific aims, questions, or hypotheses. Conceptual and operational definitions are often specified.
• Chapter 2 includes the background, typically an in-depth literature review and synthesis that establishes what is known, identifies gaps i science to be addressed in the study, and the theoretical framework that guides the study, if appropriate.
• Chapter 3 describes the planned methods for the study, including design, sample, measures, intervention (if appropriate), procedures, data collection, and analysis.

Three-Paper Dissertation Format:

• Chapter 1 provides a brief introduction and establishes the importance of the topic. This focused review should provide a cohesive synthesis of the background and problem. In addition, the purpose and specific aims, questions, or hypotheses to be addressed in the proposed research should be described. It is appropriate for this chapter to be 10-15 pages in length for this format.
• Chapters 2, 3, and 4 each describe a planned paper, which may be subject to change depending on how the research unfolds. For the proposal document, an overview of each paper is provided for these three chapters. The overview of each paper should include purpose and scope of the paper, methodologies to be employed, and discussion of how the paper is integrated to represent a coherent body of research. For the data-based papers, a 1- to 2-page outline and summary similar to Figure 2 may be useful. Also included should be the student’s suggestions and rationale of journals to which each paper will be submitted for publication.

4. Conducting the PhD Dissertation Proposal Meeting

The PhD Dissertation Proposal Meeting, for both dissertation formats, includes the student and the PhD Dissertation Committee. It is held to approve the student’s proposed research project. It is generally completed within one semester of successful completion of the Oral Exam.

• Logistical Arrangements. It is the student’s responsibility to contact members of the committee and arrange the date, time, and location of the Proposal Meeting. The student will ensure that all members of the PhD Dissertation Committee receive the final written proposal at least two weeks prior to the scheduled proposal meeting.
• Conduct of PhD Dissertation Proposal Meeting. The Committee meets privately before the defense begins to overview the process and focus of the defense. The student is then invited to join the committee to discuss the proposed research. Some PhD Dissertation Committees choose to have a brief (15-minute) presentation by the student on the background of the problem and proposed research. For the three-paper format, a discussion of the planned papers is required in the presentation. The Dissertation Committee Chair then leads a discussion of each section of the proposal document so that committee members may raise questions or concerns. The goal of the discussion is agreement among the committee members on what the student will do to complete their proposed dissertation research. It is recommended that the PhD Dissertation Committee Chair or designee (who should NOT be the student) take notes of the discussion and key points so the student is able to focus on the discussion.
• Expected Outcomes of the PhD Dissertation Proposal Meeting. The expected outcome of the proposal meeting is an agreement among the PhD Dissertation Committee members and the student on the proposed dissertation research. If the PhD Dissertation Committee members do not agree on the proposed research, another PhD Dissertation Proposal Meeting may be necessary. If the PhD Dissertation Committee members do agree on the proposed research, it is recommended that the Dissertation Chair should document this meeting. This memo should be sent to committee members and the student, and a copy should be forwarded to the PhD Program Administrator to be placed in the student’s file. The content of the memo should outline any substantive changes to the proposal document and be agreed on by each PhD Dissertation Committee member within two weeks of the proposal meeting. If agreement cannot be reached between the student and PhD Dissertation Chair or other committee members, then the Director of the PhD program should be consulted.

Link to the Dissertation Proposal Meeting Memo of Agreement

5. Completing the Research

Once the proposal is agreed on, the student must secure Institutional Review Board (IRB) approval and then begin data collection. Students continue registering for dissertation hours or continuous enrollment hours until the dissertation is successfully defended. Note that the student can start registering for dissertation credits during the semester that the student has completed the comprehensive exam. The minimum number of dissertation credits is 11; there is no maximum. Completion of the dissertation involves implementing the data collection, data analysis, and interpretation as described in the proposal document as well as preparing the results and discussion sections. The three-paper format requires completion of preliminary final drafts of three manuscripts. The traditional format requires completion of Chapter 4: Results. Both format options include Chapter 5, “Discussion and Implications for Research, Education, Practice and Policy.” The time to complete the dissertation varies, and the deadline for completion is negotiated between the student and the PhD Dissertation Committee Chair.

6. Conducting the Dissertation Defense

The Dissertation Defense (also referred to as “Final Examination” by the Graduate College) is an oral presentation and defense of the dissertation. If a Chair has any reservations about the defense, they should discuss their concerns with the Director of the PhD Program as soon as possible and prior to the defense date.

The following are guidelines regarding the scheduling and arrangement of the dissertation defense:

After the Comprehensive Examination

The dissertation defense cannot be held until the semester after satisfactorily completing the comprehensive examination. The student must pass the final dissertation defense no later than five years after satisfactorily completing the comprehensive examination.

During the Academic Year

The dissertation defense should be scheduled during the academic year (i.e., between the beginning of regular registration for the fall semester and the close of examination week in the spring semester). Only in very unusual circumstances will the faculty consider requests for exceptions to this rule.

Administered On Campus Unless Circumstances Warrant Otherwise

The dissertation defense is expected to be administered on campus. However, circumstances may warrant that the dissertation defense be administered via Zoom.

Student Responsibilities – Arranging a PhD Dissertation Defense Meeting.

The student must:

• Contact members of the PhD Dissertation Committee to arrange the date and time the PhD Dissertation Defense.
• Notify the PhD Program Administrator when the PhD Dissertation Defense meeting date is determined who can help with securing a room (and/or zoom link if needed); this should be no later than five weeks prior to the defense date.

NOTE: The PhD Program Administrator will submit a formal request to the Graduate College. The request for the PhD Dissertation Defense must be submitted at least four weeks in advance of the date set for the defense to allow for public notice of the defense.

Student Responsibilities – Circulating the PhD Dissertation Document.

The student is responsible for providing a copy of the dissertation to the committee members at least two weeks in advance of the PhD Dissertation Defense meeting. The copy may be either hard copy or electronic, per the preference of the faculty members. See the format for each dissertation option described in section 7 below.

Attendees and Procedures

The PhD Dissertation Defense is open to the public; anyone is welcome. We strongly encourage College of Nursing faculty and graduate students to attend. Similar to the PhD Dissertation Proposal Meeting, the PhD Dissertation Committee meets in private prior to the defense meeting. The student and guests are then invited to join the committee for the student’s public presentation of their dissertation. This presentation should be no longer than 30 minutes, which also includes time for the candidate to take questions from the audience (non-dissertation committee members). After the public presentation, the Dissertation Committee Chair will inform the audience that the formal oral defense will begin and give the audience the option to remain or leave. During the formal oral defense, only the PhD Dissertation Committee is allowed to ask questions of the PhD candidate. The defense includes critical questions about the purpose, method, and results presented in the dissertation, and questioning on areas of knowledge consistent with the context of the dissertation. An oral defense of the dissertation evaluates the candidate’s ability to communicate the specific research project and the implications of the research.

Grading and Reporting of the PhD Dissertation Defense

At the completion of the defense, the student and guests are required to leave while the PhD Dissertation Committee discusses the defense. The PhD Dissertation Committee evaluate the Dissertation Defense, with each member indicating a Satisfactory or Unsatisfactory rating. The overall report will be regarded as Unsatisfactory if there are two unsatisfactory ratings from two members. A brief written evaluation of the candidate’s performance is prepared by the PhD Dissertation Committee Chair and is placed in the student’s file. The PhD Dissertation Committee’s overall decision is conveyed to the student immediately following the Committee’s deliberations by the PhD Dissertation Committee Chair. The report of the defense, signed by all PhD Dissertation Committee members, is due in the Graduate College within 48 hours after the defense. Successful defenses are noted publicly by an announcement in the College of Nursing. In the case of an Unsatisfactory decision in the final defense, the candidate may not present herself/himself for reexamination until the next semester. The PhD Dissertation Defense may be repeated only once.

7. Formatting the Approved Final Dissertation

Traditional Dissertation Format

This format consists of five chapters, as outlined by the Graduate College.

• Chapters 1, 2, and 3 are the revised versions based on the feedback provided in the PhD
  Proposal Meeting, and they incorporate any changes required related to updates of the
  literature, changes in tense of the verbs, and changes related to implementation.
• Chapter 4 presents the results of the study.
• Chapter 5 is the discussion of the results and, as such, should synthesize the knowledge that has been gained by the study; link the results to previous literature; discuss the limitations of the study; provide future research directions; and discuss implications for education, practice, and/or policy, as appropriate.

Three-Paper Dissertation Format

This format integrates three publishable papers into the standard Graduate College five-chapter dissertation format.

• Chapter 1 provides the overview of the research as laid out in the proposal.
•  Chapters 2, 3, and 4 are the three papers, which may include an analytical review of the literature or a meta-analysis, a methodology paper, and a data-based paper or multiple data-based articles with the literature review integrated into each paper. At the discretion of the Dissertation Committee, one of the three papers may be a detailed discussion of the conceptual model for the dissertation research. The length of these three chapters, which are intended to be potentially publishable papers, to the extent possible, should conform to page-length constraints required by the specific scholarly journal(s) identified by the student and approved by the Dissertation Committee. Therefore, these three chapters may be expanded or supplemented by appendices, as necessary, particularly if there is additional data, analyses, or Tables that are not allowed due to journal restrictions.
• Chapter 5, the concluding chapter, should summarize and integrate the major findings. This concluding chapter should synthesize the knowledge that has been gained by the research as presented in the three papers; discuss the limitations of the body of research; and enumerate future research and implications for education, practice, and/or policy, as appropriate for the dissertation type.

8. Submitting the Final Document to the Graduate College

Regardless of format, the final written report of the dissertation must meet the standards defined by the Graduate College. Thus, for both the Traditional Dissertation format and the Three-Paper Dissertation format, pagination must be continuous, there must be a common table of contents, and one integrated bibliography must serve for the whole document.

9. Publishing Manuscripts Based on the Dissertation

Approved electronic dissertations are forwarded to ProQuest for digital archiving; the doctoral abstracts will be published in Dissertation Abstracts International. Once published, any other publications (e.g., manuscripts) cannot use sections of the dissertation in total without breaching copyright. Thus, students can opt to delay publication of the dissertation by the Graduate College for one to two years (referred to as a period of embargo), at or before the single thesis deposit deadline. This is an important step to allow time for publishing the papers in a three-paper dissertation. Students are encouraged to publish the dissertation within a year.

There must be no presumption that serving on a Dissertation Committee constitutes grounds for co-authorship of a student’s paper, even if the committee member provides significant feedback on a paper. Eventual authorship on papers should be negotiated between the student, their faculty advisor, and the Dissertation Committee members. Dissertation Committee members may be named as co-authors on submitted papers if they have made a substantial contribution to the paper consistent with academic standards and journal submission requirements. Journal requirements vary, but at a minimum, all authors must have contributed substantially to conception and design or analysis and interpretation of the data, contributed to drafting or revision of content, and approved the final version.

D. Figure 1: Flowchart and Comparison Table

Flow Chart and Comparison Table

E. Figure 2: Data-based Manuscript Planning Table

Data-based Manuscript Planning Table

F. Forms to Be Completed by the PhD Graduate Coordinator

REQUEST FOR FINAL EXAMINATION (Request for dissertation defense)

The PhD Program Administrator will submit this form to the Graduate College no later than 3 weeks prior to the defense. The PhD Program Administrator will need the following information from the student:

• Names of committee members
• Official thesis title
• Date and time of defense

The PhD Program Administrator will reserve a room once the date and time are provided.

REPORT OF FINAL EXAMINATION (Report of dissertation defense)

Within a week prior to the dissertation defense date, the PhD Program Administrator will deliver this form to the Dissertation Committee Chair. Within 24 hours after the defense, this form must be signed by all committee members and returned to the PhD Program Administrator by the Dissertation Committee Chair. The PhD Program Administrator will file the form with the Graduate College.

G. Statistical Support for Dissertation Work

The Office of Nursing Research and Scholarship (ONRS) has partnered with the College of Public Health Biostatistics Consulting Center, which employs a team of biostatistics PhD students who are available to consult with College of Nursing (CON) PhD students doing their dissertation work (not coursework). The amount of support provided by the CON is 10 hours per PhD student during their dissertation phase. If you choose to consult with one of the Biostatistics Consulting Center students, please note the process below:

1. Submit a request for consultation.
2. The Biostatistics Consulting Center will contact the ONRS to verify that you are a current CON PhD student; they will then assign you to one of their student consultants. If you need additional consultation after starting a project, they will make every attempt to match you with the person you worked with earlier.
3. The Biostatistics Consulting Center will send an invoice to the ONRS to pay for the hours of assistance. If you continue to work with the student consultant after 10 hours, you will need to pay for those services.

Additional resources can be found in the document “Statistical Support at UI” by clicking on this link: Statistical Support at UI.