OEH Student Handbook – PhD Policies and Procedures

Overview

This section of the handbook combines all aspects of the examination policies and procedures associated with obtaining a PhD degree from this department. The information given here combines guidelines mandated by the Graduate College and those specific to this department. The student should refer to the Manual of Rules and Regulations of the Graduate College for specific guidelines associated with these examinations, and the Graduate College Thesis Manual for guidelines associated with the preparation of a thesis or dissertation.

PhD Examinations

The examination process associated with obtaining a PhD is rigorous and consists of four distinct processes as outlined below.

  • Preliminary Assessment: The Preliminary Assessment serves as a screening procedure to identify deficiencies that need to be corrected before formal course work is completed and to apprise potential committee members of research ideas of interest to the student.
  • Proposal Review: Formal committee approval of a student’s PhD research is needed prior to the dissertation defense. The committee will evaluate a written proposal and oral explanation of the research that will make up the body of the PhD dissertation.
  • PhD Comprehensive Examination: The PhD comprehensive examination is a requirement for all PhD candidates. It is taken at or near the end of formal course work and must be passed prior to the session of graduation. The examination will consist of both a written and an oral section. The student’s examination committee will determine the final grade – either satisfactory, reservations, or unsatisfactory.
  • PhD Final Examination: The Final Examination consists of an oral defense of the student’s dissertation. It includes a critical inquiry into the purposes, methods, and results of the student’s investigations as well as an intensive questioning on areas of knowledge constituting the immediate context of the work. The student’s examination committee will report either a satisfactory or an unsatisfactory grade to the Graduate College.

Preliminary Assessment

Early in the student’s academic progress towards a PhD degree an assessment of their academic proficiency and research interests will be conducted. The Preliminary Assessment (Prelim) has a two-fold purpose: (1) identify deficiencies in the student’s academic preparation that need to be corrected early in the student’s program, and (2) discuss research ideas of interest to the student. As such, this process does not constitute an examination resulting in a grade, or pass/fail status, but is rather an opportunity to direct the student regarding their academic progress and to provide a preliminary assessment of their academic status and research interests.
The Graduate College does not require a Prelim, therefore there are no official forms required. However, the Graduate Program Coordinator must be informed of the occurrence of a Prelim and receive a copy of the summary letter (see below) for inclusion in the student’s academic file.

Time Consideration

The Prelim must be completed before the end of the student’s 3rd semester of study. If during the 3rd semester a research proposal by the student is ready to defend, at the discretion of the PhD Committee the Preliminary Assessment may be waived and replaced with the Proposal Review.

Committee

The Prelim Committee will be selected jointly by the student and advisor and will consist of at least three members of the Graduate Faculty of which at least two are from this Department.

Format

The student will prepare an oral presentation that describes any research to date and a summary of ideas that could lead to an acceptable dissertation as described in section “Instructions for Preparation of a PhD Dissertation” given above.

Process

The Prelim will consist of a meeting of the student and the Committee. One week prior to the meeting, the student will provide the Committee members with the following items.

  • A copy of their transcript and Plan of Study.
  • A resume containing career objectives, educational background, relevant work history, published works, conference abstracts, association memberships, awards, and other relevant information.
  • An example of written material such as the introductory chapter of an MS thesis, the manuscript of a journal article or conference proceedings, or a literature review of a subject of interest to the student.

During the meeting, the Committee will review the material provided by the student and listen to the student’s presentation. The ensuing discussion will include an analysis of the student’s education and work history relative to the proposed research. The student’s written and oral communication skills will also be assessed.

Outcomes

A result of this analysis will be to provide suggestions that may include enhancing the student’s knowledge through additional coursework and/or increasing computer and laboratory/sampling skills as well as knowledge of specific statistical analysis methods. A summary of this assessment will be written by the advisor and provided to the student, the other committee members, and the Graduate Program Coordinator within one week of the meeting.

Responsibilities

The following actions are required as part of this assessment.

Student

  • Initiates action by communicating to the advisor and Graduate Program Coordinator of their intentions to organize the assessment
  • Sends requests to potential committee members
  • Schedules meeting date and time with advisor and committee members
  • Prints and sends copies of the transcript, Departmental Plan of Study, resume, and example of written material to the advisor and committee members at least 1 week prior to the assessment meeting
  • Prepares a presentation of research ideas

Student and Advisor

  • Select Prelim Committee members

Advisor

  • Provides student with recent transcript and the Departmental Plan of Study
  • Chairs the meeting
  • Writes summary letter within one week after assessment and provides a copy to the student, committee members, and the Graduate Program Coordinator.

Proposal Review

The student’s dissertation proposal must be formally accepted at least one semester prior to the semester of the student’s Final Examination. It is advised, however, that the Proposal Review be completed as soon as the plan for the dissertation research has been finalized between the student and advisor. An analysis of the dissertation proposal will be conducted by a committee that must consist of those individuals who will also make up the Final Examination Committee. The make-up of that Committee is dictated by the Graduate College as follows:

Committee

The committee established for the Proposal Review must be identical to the committee established for the Comprehensive Examination and for the Final Examination. Those committees consist of no fewer than four members of the Graduate Faculty appointed by the dean upon recommendation of the major department or program. These committees are composed as follows:

  • At least three of the faculty members must be members of the University of Iowa tenure-track faculty.
  • At least two of the faculty members are from the major department (defined as faculty members who hold any appointment in the major department or program), and are members of the University of Iowa tenure-track faculty.

The department may request the dean’s permission to replace one of the four members of the Graduate Faculty by a recognized scholar of professorial rank from another academic institution. Also, a voting member may be added at the discretion of the Graduate College Dean. (Manual of Rules and Regulations of the Graduate College, Section XII-P)

Format

The proposal must be written to satisfy the requirements established for dissertations in this department as described in section “Instructions for Preparation of a PhD Dissertation”. The proposal format will be that of an NIH-style R01 grant consisting of Specific Aims and a Research Strategy. A description of this grant type is given in the NIH document, “Research Instructions for NIH and Other PHS Agencies,” found here: Instructions Link. A description of the contents of an R01 grant is given in that document in Section R.400 (pages R-83 to R-95).

The proposal will begin with a title page that includes the intended title of the dissertation, the student’s name, the date of the review, and a list of the committee members. The body of the proposal will include one page for the Specific Aims section, and a maximum of 12 pages for the Research Strategy that contains sections discussing the research Significance, Innovation, and Approach. The Approach section will include a detailed description of your dissertation research methods. The research may be separated into three or more primary aims that coincide with the three or more journal articles that will result from the dissertation. Additional pages can be added to include a timeline of activities to complete the research and references of cited literature.

Process

The proposal review process will involve a meeting of the student and committee members. The printed proposal must be provided to the committee members at least two weeks prior to the meeting date. During the meeting, the student will give an oral presentation of the intended research followed by a discussion of the written research proposal.

During or soon after the Proposal Review, the student and advisor will determine who will be listed as co-authors of those dissertation chapters that will result in a manuscript for submission to a journal (typically chapters 2-4). A list of these manuscripts and associated authors will then be sent to all committee members. All committee members must be notified prior to the submission of a manuscript that will ultimately comprise a chapter in the dissertation, and be given an opportunity to review that manuscript before submission.

Outcomes

The proposal will be judged on the quality of the writing, the validity of the research methodology, and the potential to yield publishable findings. Unanimous, written approval of the proposal is required. A form for this purpose is available from the Graduate Program Coordinator.

Responsibilities

The following actions are required as part of the proposal review process.

Student

  • Initiates action by communicating to the advisor and Graduate Program Coordinator of their intentions of organizing the review process
  • Sends requests to potential committee members
  • Schedules meeting date and time with advisor and committee members
  • Prints and sends copies of the proposal to advisor and committee members at least 2 weeks prior to the review meeting
  • Prepares a presentation outlining the proposed research
  • Brings acceptance sheet to the meeting
  • Returns a copy of the acceptance sheet to the Graduate Program Coordinator

Student and Advisor

  • Selects committee members

Advisor

  • Chairs the meeting

Graduate Program Coordinator

  • Supplies copy of the acceptance sheet to the student

PhD Comprehensive Examination

The PhD Comprehensive Examination, administered only on campus, is intended to be an inclusive evaluation of the candidate’s mastery of their field of study. This examination is required of all PhD candidates by the Graduate College. As such, in addition to the information given below, the student is advised to see Section XII-K of the Manual of Rules and Regulations of the Graduate College.

Time Consideration

This examination must be taken before the end of the 5th semester of study. Furthermore, the Graduate College requires that this examination cannot occur within the same semester or session in which the dissertation defense is held.

Committee

The examination committee will consist of at least four members of the graduate faculty as previously explained in the “Proposal Review” section. The academic advisor is expected to participate with the student in the selection of the committee members. It is advisable, but not necessary, that the same members comprise the Comprehensive Examination and Final Examination Committees.

Process and Scheduling

The examination will consist of both a written and oral component. The student will take a five-hour (maximum) written examination consisting of questions prepared by the Committee. At most two weeks later, the student will sit for an oral examination of approximately 90-120 minutes.

At least two weeks prior to the written component, a set of six journal articles selected by the committee will be provided to the student by the advisor for review. These articles will reflect topics related to the student’s research and professional goals. These questions will be written to test the student’s ability to integrate and synthesize important facts and concepts of the occupational and/or environmental health disciplines through critical analysis of the selected articles. The examination will also include questions covering the principles and concepts covered in the core courses and relevant elective courses. The examination may also include questions to determine the level of professional competency in the student’s specialty area. Examples of generic questions given in the past include:

  • What is the toxicologic pathway of which the chemical (or agent of interest) creates or can create an adverse health effect?
  • Were the sample collection and analysis methods used in the paper appropriate in terms of their precision, sensitivity, and specificity? What alternatives might improve the study?
  • What control technologies or prevention strategies are applicable to the hazard investigated? What are some of their limitations or alternatives?

The student will coordinate the scheduling of the exam components with Brianne Schwarz (S365 CPHB). Ms. Schwarz must be informed of the desire to sit for the Comprehensive Exam at least 6 weeks prior to the date desired for the oral component or the examination may be delayed. Ms. Schwarz will be supplied with a date for the written component and a date for the oral component, which must occur within two weeks of the written component. Ms. Schwarz will then schedule a room for each event and inform Ms. Christy Bardell of the need to reserve an OEH laptop computer for the written examination.

Written Component

The time period of the written portion of the exam is 5 hours. The student will be allowed to bring the six articles for use during this time period and will respond to questions in a Word document using a supplied laptop computer. Handwritten notes on the articles will be permitted, but students will not be allowed the use of books or other notes. The following specific instructions are to be followed when sitting for the written component.

  • On the day of the exam, the student and advisor picks up the laptop from OEH Front Office staff and brings it to the examination room where the advisor inspects it for internet capability.
  • The advisor will insert a flashdrive containing a PDF copy of each article previously given to the student and a Word document that will be used by the student to answer questions. The Word document will be previously prepared by the advisor with questions related to each article. The advisor will also provide a printed set of the questions and a few extra pieces of white paper for making notes.
  • The student will bring hard copies of the articles with any notes on them they desire. No other written information is allowed.
  • If the exam goes over the lunch hour, the student is allowed to spend up to 30 minutes eating lunch, preferably at one of the desks in the OEH area, but not in the examination room. The student will inform the advisor when they leave for lunch and go back. The student is not allowed to read anything or look at a computer during a lunch break.
  • When the time period is over: the Word doc is saved to the flash drive and handed to the advisor who distributes it to all committee members and the student; and the student returns the computer to OEH Front Office staff.

Oral Component

The oral component of the exam must occur within two weeks of completion of the written exam. The student will be allowed to bring the six articles with any handwritten notes. The student should bring a printed version of the file containing the questions and his/her answers.

The oral exam is expected to follow-up on areas and concepts emanating or omitted from the written exam, as well as those from departmental core courses and selected electives in areas related to the student’s research topic. Prior to questions by the committee, the student will be given the opportunity to address the Committee with any desired information pertinent to the answers given during the written component, such as providing additional explanation or clarification of statements made. Students will not be given an assessment of their performance on the written examination prior to the oral examination.

Outcomes

The student’s performance on the Comprehensive Examination will be evaluated by overall assessment of the two components of the exam and designated as “satisfactory”, “reservations”, or “unsatisfactory” by vote of the committee. (A vote of “reservations” is used when deficiencies displayed by the student were modest and can be readily rectified.) At least two unsatisfactory votes by the examining committee signify a failure of the PhD Comprehensive Examination. If a failure is ruled, the student may retake the exam one time, no sooner than 4 months after the examination and no later than 6 months. A second failure will result in dismissal. To avoid dismissal after a second failure, the student may request to be admitted into a departmental MS program to complete its requirements to obtain an MS degree. Acceptance into an MS program, in that case, will require a departmental faculty vote.

Responsibilities

The following actions are required as part of this examination.

Student
  • Initiates action by communicating to the advisor and Graduate Program Coordinator of their intent to sit for the exam
  • Sends requests to potential committee members if not already identified
  • Schedules oral examination date and time with advisor and committee members
  • Schedules written exam with advisor to be taken within two weeks prior to date of oral
Advisor
  • Selects journal articles with committee input
  • Coordinates writing exam questions with committee members
  • Supplies student with articles two weeks prior to written exam
  • Supervises written examination
  • Brings grade sheet to, and chairs, the oral examination

Graduate Program Coordinator
  • Supplies forms and advice when asked by student
  • Returns grade sheet to Graduate College within 14 days of the oral exam

PhD Final Examination

Work towards the PhD degree culminates in a final oral examination or “defense” of the student’s dissertation. Formal approval of the dissertation research, through the Proposal Review process described above, must be obtained at least one semester prior to the semester of the Final Examination.

Time Consideration

The Final Examination may not be held until the next academic session after passing the Comprehensive Examination. However, a student must pass the Final Examination no later than five years after passing the Comprehensive Examination. Failure to meet this deadline will result in a reexamination of the student’s qualifications for taking the Final Examination.

Deadlines are set by the Graduate College for the initial and final submissions of the dissertation. See the Graduate College website for deadlines associated with the semester you plan to obtain the degree. The Graduate College requires that the First Deposit of the dissertation be a copy of the final draft to be submitted. The Graduate College will accept minor modifications as per the committee’s recommendations after a defense but will not accept substantial changes such as the inclusion of another figure or table without written consent from the advisor. As such, the student should strive to complete the dissertation at least two weeks prior to the First Deposit. This will allow sufficient time for review by the advisor and changes based on that review in order to submit a near-complete version of the thesis at the time of the First Deposit. The written dissertation must then be distributed to the committee members at least two weeks prior to the dissertation defense.

Committee

The Final Examination Committee and the Proposal Review Committee must consist of the same members. The committee makeup is described in the “Proposal Review” section (above).

Format

Instructions for preparing a dissertation to satisfy requirements set by this Department and the Graduate College are described in the next major section, “Instructions for Preparation of a PhD Dissertation”. Consulting other dissertations available from the OEH front office and scientific writing guides is also recommended. Examples of the latter include:

Madsen D: Successful Dissertations and Theses, Jossey/Bass, 1992.
Katz MJ: Elements of the Scientific Paper, Yale University Press, 1985.
Gibaldi J: The MLA Handbook for Writers of Research Papers. Modern Languages Association of American, 1993.

Process

The doctoral defense is open to the public. Faculty members of the Graduate College are especially invited to attend and, subject to the approval of the chair, to participate in the examination. An announcement giving the dissertation title; student name; date, place, and time of defense; and brief abstract is emailed to all CPH faculty, staff and students two weeks prior to the defense date.

If an audience is present in addition to the student’s committee members, the defense will consist of the following format.

  • The chairperson introduces the student and explains the format that will be followed to the audience.
    • May include asking the student to give a brief history of their academic/work history (what brought you to this point?).
  • The student then gives summary overview of the objectives and important findings associated with their work.
    • Limit time to 20-40 minutes.
    • Talk should be addressed more towards audience than committee members who have already read the thesis/dissertation.
  • The question-and-answer period then follows where initially the audience is allowed up to 20 minutes to ask questions. Following that time period, the committee members only will ask any additional questions.
  • Upon completion of the question-and-answer period, the committee members will convene a closed-door session to discuss the student’s performance, review academic information, and sign form as desired. The Committee will: (1) conduct a critical inquiry into the purposes, methods, and results of the investigation – not a mere recapitulation of the procedures followed, and (2) question the student on areas of knowledge constituting the immediate context of their investigation.
  • The student is informed of the result of the committee’s decision.

Outcomes

The Final Examination is based on the student’s oral presentation of the purpose, methods, results, and conclusions of the dissertation research. Final Examination performance will be designated as “satisfactory” or “unsatisfactory” by vote of the committee. Two unsatisfactory votes will make the committee report unsatisfactory, which constitutes a failure of the examination. If a failure is ruled, the student may retake the exam one time, no sooner than the next session (fall, spring, or summer) and no later than one year. A second failure will result in dismissal.

In addition to voting on the student’s oral presentation, the committee will also determine the acceptability of the student’s dissertation. If a committee member finds the dissertation acceptable, they will sign the “signature page” of the dissertation. That page should be brought to the defense by the student for that purpose. However, a committee member may withhold their signature until after seeing and approving changes made by the student to the dissertation recommended by the committee member.

Responsibilities

It is the student’s responsibility to ensure that all work is performed, and all forms are submitted, in a timely manner to obtain the degree. The forms and timelines originate from the Graduate College, which ultimately confers the degree, not the department. A detailed checklist of duties and responsibilities required for obtaining a degree is available from the Graduate Program Coordinator (GPC).

Student
  • Notifies Graduate Program Coordinator (GPC) of intent to defend
  • Sends requests to potential committee members
  • Schedules defense date with advisor and committee members
  • Completes the dissertation with sufficient time for review by advisor
  • Prints and sends copies of the dissertation to advisor and committee members prior to defense
  • Works with GPC to satisfy all Graduate College requirements
  • Satisfies all Departmental requirements as given in the Detailed Checklist
  • Provides an electronic (PDF) copy of the accepted thesis/dissertation to the departmental secretary for binding by the department
Student and Advisor
  • Selects committee members
  • Determines potential defense date
  • Reviews/edits student’s dissertation prior to submission to committee members
Advisor
  • Advises student on dissertation content
  • Chairs dissertation defense
  • Brings student file and Final Examination form to defense
  • Signs required forms
Graduate Program Coordinator
  • Supplies a detailed checklist, needed forms and advice when asked by student
  • Returns all forms to Graduate College
  • Distributes announcement of the dissertation defense

Instructions for Preparation of a PhD Dissertation

In the Department of Occupational and Environmental Health, a PhD Dissertation shall consist of at least three manuscripts that the Dissertation Committee deems suitable for publication on related subjects. The scope of the manuscripts shall be negotiated with the Dissertation Committee in advance.

Dissertation Composition

  • The dissertation will contain three sections:
    • an introductory chapter,
    • chapters containing the body of a publishable manuscript (one per chapter),
    • a concluding chapter.
  • The introductory chapter will:
    • outline the larger problems addressed in the research,
    • discuss the purpose and major goals of the research, and (if requested)
    • contain a comprehensive literature review of the research area.
  • The concluding chapter will:
    • show how the manuscripts shine light on the larger problems mentioned in the introduction
    • address the significance of the research to the field(s) of Occupational and/or Environmental Health
    • mention any aspect(s) of the research not included in the manuscripts but worthy of discussion, and
    • discuss the potential for future research.

Formatting Guidelines

  • In general, all instructions given on the web by the University of Iowa Graduate College are to be followed when preparing the dissertation.
  • In order to satisfy the format-check procedure of the Graduate College, the dissertation must appear in all ways as a typical dissertation. For example:
    • A chapter that contains a manuscript must be formatted as if it were a chapter in a typical dissertation.
    • The chapters must each contain a title and be numbered consecutively.
    • The format of subheadings must be consistent from chapter to chapter.
  • Graphs and tables must be numbered in association with the chapter they are associated with (e.g. Figure 3.1 and 3.2 in Chapter 3 followed by Figure 4.1 and 4.2 in Chapter 4). They must also agree with the numbers given in the List of Figures and List of Tables.
  • The same referencing style must be used throughout the dissertation regardless of whether the articles are submitted to different journals with different referencing styles.
  • Given the comments above, some reformatting of a manuscript is expected prior to submission to the publisher.