Doctoral Dissertation

Dissertation projects vary greatly and may draw upon a wide variety of epistemic traditions, scholarly orientations, and theoretical foundations. These include but are not limited to philosophical and theoretical inquiry; historical research; qualitative and mixed methods research; computational and social science; experiments and clinical trials; instrumentation research; participatory action research; epidemiological research and statistical modeling. 

The dissertation should:

  • be original research
  • be principally led and written by the PhD candidate
  • make a unique intellectual contribution to nursing knowledge

The dissertation should be philosophically, theoretically and methodologically rigorous and demonstrate the PhD candidate’s mastery of foundational research concepts and skills as well as their fluency in their chosen area of study. 

Research Ethics

Dissertation research should uphold nursing values and high standards of ethical integrity and accountability beyond mere compliance with legal requirements. 

At a minimum, all dissertation projects should complete and submit an IRB Determination Form or the appropriate IRB protocol amendments (for dissertations built into protocols previously reviewed and approved by the IRB). These forms should make clear that the dissertation is research, the results of which will be disseminated publicly and via peer-reviewed channels. 

A wide array of accountability partners, collaborators and outside entities are often involved in the design and conduct of dissertation research. These can include but are not limited to dissertation committee members, community partners, government entities, industry, patient advocates, clinicians and colleagues. As such, it is critically important for PhD candidates and their teams to communicate regularly regarding roles, responsibilities, deadlines, authorship, and the stewardship of any intellectual property or data generated by the project. 

PhD candidates and their committees should review and adhere to relevant college and university policies, including those pertaining to the responsible and ethical conduct of research (RECR), academic freedom, conflicts of interest & outside activities, community engagement guidelines and data use/sharing. Where an actual or potential conflict of interest exists within the research or dissertation committee, it should be disclosed, discussed and a mitigation officially established through university channels such as Kuali (if appropriate). 

Dissertation Procedures

PhD candidates and their committees should review Graduate School policies regarding development and approval of the dissertation committee, prospectus and defense.[JD1] [RW2] [RW3]  

Dissertation committees are officially composed of three members. PhD advisors are expected to serve as sole Chairs for dissertation committees unless otherwise approved by the PhD Program Director. Further guidelines on the formation of dissertation committees can be found on the Graduate School website, here: https://www.umass.edu/graduate/book/graduate-student-handbook/degree-requirements/doctoral-degree-requirements

PhD candidates must have their dissertation prospectus (also known as the “proposal”) approved by their committee prior to beginning their dissertation work. In the Marieb College of Nursing this is typically done via a private presentation of the written prospectus to the dissertation committee, followed by a discussion where the committee can ask clarifying questions about the proposal. These discussions may result in approval of the prospectus or a request for further revisions. If necessary, the committee may meet again with the candidate to discuss requested revisions, prior to granting approval for the prospectus. 

Format of the Prospectus

While there is no single template for the format of the prospectus, the written prospectus should include:

  • An Introduction and Statement of the Problem or critical knowledge gap and its significance
  • Background and Review of the Literature/Existing Knowledge
  • Statement of Purpose and Research Question(s) and/or Aims 
  • Detailed description of the Methods with Appropriate Rationales and Philosophical Grounding/Theory
  • Anticipated Outcomes and/or Broader Impacts of the work 
  • A description of the Innovation(s) and/or Unique Intellectual Contribution(s)
  • A discussion of the Strengths and Potential Limitations 
  • A discussion of Anticipated Challenges and How They Might Be Managed
  • An expected timeline of the dissertation period with key objectives and timepoints (prospectus defense, IRB submission, data collection, analysis, writing, planned completion, etc.)
  • A robust discussion of Ethical Considerations
  • Evidence of Reflexivity regarding power and positionality
  • Disclosure of Funding and any real or perceived Conflicts of Interest with their Mitigation Plans (if appropriate)
  • Any Data Use & Sharing Agreements (if appropriate)
  • Draft of the IRB Determination form and/or protocol
  • References

Format of the Dissertation

The following outline provides examples of what might be found in each chapter of a “traditional” and “manuscript-style” dissertation. 

Dissertation Defense

Preparation for the Defense: 

  • PhD candidates should allow adequate time for filing their dissertation defense. Deadlines for filing degree paperwork are listed on the Graduate School website. Begin the scheduling process at least 6 weeks in advance of the anticipated defense date. PhD candidates are also encouraged to identify at least one potential back-up date, in case of illness or other disruptions. 
  • PhD candidates should schedule their defense date far enough in advance of graduation paperwork deadlines as to allow time for any revisions that might be requested by their committee. 
  • PhD candidates are expected to practice their defense multiple times before their advisor(s) and other audiences prior to the date of the actual defense. The presentation portion of the defense should be well-rehearsed and adhere to time restrictions set by the Chair. Candidates are also strongly encouraged to use the Dissertation Seminar as a forum for practicing their dissertation defense.

Format of the Defense: 

  • Once the dissertation research has been fully implemented and written up, the candidate presents their results in the dissertation defense.
  • The dissertation defense is chaired by the dissertation advisor.
  • The public portion of the dissertation defense typically lasts about an hour, broken down into a brief introduction of the candidate by the Chair, a ~30-40 minute presentation by the candidate, and at least 15 minutes for Q&A from the audience.
  • The dissertation committee will then recess for a private discussion with the candidate, where more technical questions may be asked. This portion typically lasts anywhere from a few minutes to an hour – although the committee may take as long as is needed to determine the outcome. Dissertation committees are strongly encouraged to use this time to engage the candidate in a rigorous discussion of the dissertation project. 
  • Once the committee has finished with their questions, they should excuse the candidate to wait while they finalize their decision about the outcome of the defense. Committees may request revisions or additions to the written dissertation, prior to granting approval for the defense. If revisions are requested, they should be communicated verbally to the candidate on the day of the defense, and in writing. Such requests should include a deadline for revisions to be submitted, and clarify whether the revisions must be reviewed by the entire committee or the chair. 

Per policies of the Graduate School - while the dissertation defense presentation always involves a public presentation, private discussions of the committee and decision-making regarding approval of the dissertation prospectus and defense should be limited to only those members of the committee who have been officially approved by the Graduate School to serve on the Committee. 

Steps for Scheduling the Oral Prospectus & Final Defense

EMCON PhD Program Progression Milestones (required for graduation):

Qualifying exam

  • Passage of a 2-stage qualifying exam (also known as “PhD portfolio” or “comprehensive exam”)

Coursework

  • Completion of required coursework & electives/cognates (2 required)

Research residency

  • Completion of the 120-hour mentored research residency & submission of signed residency contract to PhD Program Director

Proposal

  • Formation of a Dissertation Committee
  • Oral Prospectus (also known as the “Proposal Defense”) wherein the PhD candidate proposes an original research study to their dissertation committee

Dissertation phase

  • Enrollment in Dissertation Seminar & Dissertation Credits (18 credits required)

Final defense

  • Final Oral Defense presenting outcomes of the dissertation project (also known as the “Dissertation Defense” or “Final defense”)

Degree paperwork

  • Submission of all required paperwork & documentation of degree eligibility
  • Uploading & archiving of approved Dissertation

To File an Oral Proposal (Prospectus)

We advise filing your oral proposal at least one month ahead of time, to allow sufficient time for assessment of candidate eligibility and graduate faculty status.

Dissertation Committee

Work with your faculty advisor to:

  • Confirm readiness to propose (this includes completion of all related requirements including any required core coursework, PhD portfolios, and mentored research residency hours)
  • Identify members of the dissertation committee (1 Marieb College of Nursing faculty advisor, 1 other Marieb College of Nursing faculty member, and 1 faculty with graduate status from a UMass Amherst department outside of the Marieb College of Nursing)

Graduate Faculty Status

  • Confirm all 3 committee members already have “Graduate Faculty Status”. If they do not, they will have to apply for it.
  • PLEASE NOTE: Approval of Graduate Faculty Status for first-time applicants now requires completion of an 8-hour in-person graduate mentoring workshop through the Graduate School. Allow sufficient time for any faculty members who must apply for Graduate Faculty Status to achieve this requirement. Committee member candidates who are outside of the University of Massachusetts Amherst may apply for temporary Graduate Status, following Graduate School guidelines.

Schedule a date

  • Create a signature page, formatted according to requirements for Dissertations, and inclusive of the following information:
    • Title of proposal
    • Name of candidate
    • Names of committee members
  • Identify a date & time that works for all committee members for the proposal defense
  • Allow at least 90 minutes for the defense
  • Usually candidates present their proposal for ~30 minutes followed by questions from the committee and private deliberation
  • Determine whether the defense will take place via videoconference, in-person or hybrid
  • Submit the following information to the PhD Program Director with a CC to the Graduate Program and Credentialing Assistant, dpariseau [at] umass [dot] edu (Dorian Pariseau):
    • A properly formatted electronic copy of the signature page for PhD Program Specialist to upload for committee signatures post-defense (the candidate should prepare this page)
    • Date & time of the proposal defense
    • Name and contact information for Chair (faculty advisor) & committee members
  • Once the Oral Proposal is completed and the proposal (including any required revisions) is approved, the Chair/faculty advisor should immediately notify the dpariseau [at] umass [dot] edu (PhD Program Specialist) who will circulate the signature page for electronic signatures from the Committee and GPD.

To File the Final Defense

Important Provisos:

  • Dissertation defenses should be filed at least six weeks ahead of time to allow sufficient time for planning and processing.
  • ALL final defenses are required to be announced at least four weeks prior to the date of the defense (this policy is set by the Graduate School).
  • To be eligible for May graduation, defenses must be completed & all documentation filed by the date(s) set by the Graduate School.
  • These dates vary year to year and are usually about 2 months before the date of graduation.
  • Since all defenses must be announced at least one month prior to the defense, this means plans for a defense often must be filed at least 3 months ahead of the planned graduation date.
  • Please check the Graduate School website for exact dates & deadlines.

Steps for Filing for Final Defense

Determine readiness to defend

Schedule defense date

  • The PhD Program Assistant needs at least 6 weeks’ notice of the final dissertation defense (dissertation title, day, date, time, room) and the Graduate School’s requirement of defense announcement is 1 month prior.
  • If there is any doubt about which staff person to contact to do this, contact the PhD program director for clarification.
  • The designated staff member is Dorian Pariseau.

Submit the following information:

  • Submit the following information via email to Dorian Pariseau, graduate program and credentialing assistant, with a CC to the PhD program director.
  • Doctoral Degree Eligibility Form with top part completed & signed by the candidate
  • Digital copy of a flyer to announce the defense. This should be constructed by the PhD candidate. 
  • It should include: 
    • Candidate name & department 
    • Title of dissertation 
    • Date & time of public defense 
    • Information about room(s) or ZOOM link 
    • Optional: Name of Chair, Committee members 
    • The PhD Program specialist will circulate this flyer to the Graduate School & EMCON with an email announcement of the defense. 
    • Template available or view other Canva EMCON templates
    • Signed copy of Mentored Research Residency contract, documenting successful completion of residency with faculty signature.
  • Information that should be included in the body of the email:
    • Candidate name, title & department
    • Title of dissertation
    • Date & time of public defense
    • Any room request(s) & AV requirements (PhD Program Specialist can assist with reserving rooms for public & private portion of defense)
    • Name & title of Chair
    • Names of Committee members with contact info & their titles/departmental affiliations
  • The PhD Program Specialist will use this information to construct signature pages for uploading & approval by the Committee and Dean following the defense.

Dissertation Defense

All Dissertation Defenses will be announced in the UMass Amherst electronic journal to invite interested Graduate Faculty and others to attend. The Office of Degree Requirements must receive written notification of the scheduling of a Final Oral Examination at least four weeks prior to the date of the defense. A defense cannot be held unless it has been publicly announced in the UMass Amherst electronic journal.

The student must come to the UMass Amherst campus for the defense (unless pandemic physical distancing requirements are in effect, in which case the Graduate School will provide advisement regarding acceptable formats for a defense).

Members of a student’s dissertation committee must be present in person or via video-teleconference for the final oral defense. (Note: All Graduate Faculty are invited to attend and cannot be excluded from the Dissertation Defense. Departments differ in allowing others to attend. Courtesy suggests that the Chair of the Committee, whose name is published in the UMass Amherst electronic journal, be consulted by others attending the Defense, with the stipulation above).

There are three possible outcomes for a dissertation defense:

  • First is “Pass,” no further action is required except submission to the Graduate School.
  • The second possible outcome is “Pass with Revisions.” In this case, the dissertation is substantially completed and sound but requires further refinement before the committee approves the dissertation.
  • The third outcome is “Fail.”

A unanimous vote of Pass is required for the student to pass the Dissertation Defense. The dissertation must be approved and signed by all members of the Dissertation Committee and the Dean. See the Graduate School Handbook for specific instructions.

Successful completion of the dissertation defense is reported to the Graduate School in the form of a memorandum (Appendix B). A copy of this memorandum and the signatory page will be placed in the student’s file.

Manuscript Instructions

The dissertation must be typed in a proscribed style. Refer to the Guidelines for Master's Theses and Doctoral Dissertations. The Graduate School is the final and only arbitrator of what is an acceptable dissertation. The dissertation shall be submitted to the Graduate School in electronic format, by the deadline for the appropriate degree-granting period, following the instructions of the Graduate School.

Consult the Office of Degree Requirements for degree requirement deadlines. It is strongly recommended that a technical review of the dissertation take place prior to the deadline. Materials returned after the deadline or not in accordance with technical requirements will be processed for the next degree-granting period.