Doctor of Philosophy Degree

The doctor of philosophy degree (Ph.D.) is awarded chiefly in recognition of high attainment and ability in a special subject field as demonstrated by passing the required examinations covering both a candidate's general and special subject fields, and by preparing and successfully defending a dissertation based on original research that makes a significant contribution to knowledge in the student's field.

Registration Requirement for the Doctoral Degree—Doctoral students are generally required to register for major field and minor or supporting program coursework. Students should consult their graduate program to determine whether coursework completed while pursuing a University of Minnesota master's degree may be used to meet their doctoral coursework requirement.

Doctoral students are required to enroll for a minimum of 24 thesis credits (8888) while writing the doctoral dissertation. Students may not register for thesis credits until the semester after they have passed their preliminary oral examination.

Doctoral Pre-Thesis Credits (8666)—These credits are available for doctoral students who have not yet passed their preliminary oral examination but need to be registered in the Graduate School to meet requirements of agencies or departments outside the Graduate School (e.g., loan agencies). Doctoral pre-thesis credits are not graded. Note: Registration for doctoral pre-thesis credits cannot be used to meet any Graduate School degree requirements other than to maintain active status (refer to Registration Requirements under Registration).

Transfer of Credits for the Doctoral Degree—Students may request from the Graduate School the transfer of the following types of course credits by including the courses in the proposed degree program. In all cases, official transcripts of the graded work must be attached to the Degree Program Form, unless they have already been included in the student's Graduate School file. Transfer of graduate credit is not allowed for courses taken before the awarding of a baccalaureate degree.

From other graduate institutions—Graduate credits earned at other accredited graduate institutions may be applied to doctoral degrees if the coursework is graduate level and was taught by faculty authorized to teach graduate courses. The number of credits accepted for transfer is determined by the graduate program faculty.

From other University of Minnesota graduate-level degrees—Graduate credits earned while admitted to pursue University of Minnesota graduate-level degrees (offered by a unit other than the Graduate School) may be applied to doctoral degrees. The number of graduate credits accepted for transfer is determined by the graduate program faculty.

In the case of a transfer from a non-U.S. institution, credits to be transferred must have been earned in a program judged by the Graduate School to be comparable to a graduate degree program of a regionally accredited institution in the United States.

In the case of a student's transfer from either a U.S. or non-U.S. institution, if conditions are placed on a student's admission to exclude certain coursework from transfer to a Graduate School degree program, that excluded coursework may not be transferred—regardless of the level of the coursework or the status of the school or college from which it was earned.

From other registration categories—A maximum of 12 semester credits of completed graduate-level coursework, in any combination of the specific registration categories listed below, may be considered for transfer.

Registrations for graduate credit by non-admitted students—Students may be able to register for graduate credit when not admitted to the Graduate School. Non-admitted students interested in taking graduate-level courses must work with the respective departments (generally the director of graduate studies or his/her designee) to gain admission to non-degree status. The registration procedure outlined in the current Class Schedule, "Registering for Graduate Credit," must be followed for courses to be considered for transfer by the Graduate School.

Adult special, summer session, and College of Continuing Education (CCE) registrations prior to spring semester 2001—The Graduate School will accept only adult special, summer session, and CCE coursework taken at the University of Minnesota before spring semester 2001. Any registration in these categories taken during spring semester 2001 or later will not be accepted towards any Graduate School degree requirements.

Time Limit for Earning the Doctoral Degree—All requirements for the doctoral degree must be completed and the degree awarded within five calendar years after passing the preliminary oral examination (see Preliminary Written and Oral Examinations).

Students who are unable to complete the degree within the five-year limit may petition the Graduate School for an extension of up to one additional year. Extensions beyond one year are considered only in the most extraordinary circumstances. To ensure timely consideration, petitions should be filed no later than early in the term in which the time limit expires.

If the petition is approved, the student is notified of the expectations for progress and completion of the degree. If the petition is denied, the student is terminated from doctoral candidacy and from the graduate program.

Students who have been terminated under such circumstances may apply for readmission to the Graduate School; readmission under these circumstances is not assured, however. The faculty in the major field and the Graduate School set any readmission conditions on the student's resumption of work toward the degree, such as registering for additional coursework, retaking written examinations, filing a revised thesis proposal, completing the degree within a specified time period, or other appropriate terms.
For more information about the doctoral degree time limit and petitioning procedure, visit www.grad.umn .edu/current_students/forms/doctoral.html.

Official Program for the Degree—At the time of publication of this catalog PDF, Degree Program Forms were being filed in paper format. However, filing and tracking of Degree Program Forms will be changing to an electronic system. Updated information about the filing and tracking of these forms will be made available by the Graduate School, 316 Johnston Hall, and on the Graduate School's Web site.
The Graduate School expects doctoral students to file an official program for the degree during their second year of study using the Degree Program Form; however, individual graduate programs may establish their own deadlines for submission of the degree program to the Graduate School. Graduate School approval of the Degree Program Form is required well in advance of scheduling of the preliminary oral examination. Students are strongly encouraged to plan ahead to avoid unexpected delays.
The Degree Program Form should list all coursework, completed and proposed, that will be offered in fulfillment of degree requirements in the major field and in the minor field or supporting program, including any transfer work (see Transfer of Credits for the Doctoral Degree). If the student's major field requires proficiency in one or more foreign languages, these should be specified as well. The members of a student's preliminary oral examining committee are appointed by the vice provost and dean of graduate education on recommendation of the faculty in the major field at the time the student's official degree program is approved.

A Degree Program Form approved by the Graduate School must be on file before the student is permitted to schedule the preliminary oral examination.

Changes in Approved Program—Once approved, the student's degree program must be fulfilled in every detail to meet graduation requirements and before the final oral examination can be scheduled. Program changes should be requested by completing a Graduate School Petition Form. The form is available from the Graduate School or online.

Minimum Grade Requirements—The Graduate School does not define a minimum GPA for courses included on an official doctoral Degree Program Form, although individual programs are free to do so as part of their effort to monitor their students' academic achievement and degree progress. Courses with grades of A, B, C (including C-), and S may be included in the official degree program, but grades of S are not calculated in the GPA. Students pursuing a doctoral degree must register for doctoral thesis credits (8888); these registrations are not graded and therefore cannot be used to meet course credit requirements. At least two-thirds of the total number of course credits included in any degree program must be taken A-F. Individual major fields have the option of specifying more stringent requirements concerning the application of S-N courses to a degree program.

Major Field Credits—The Graduate School does not specify a minimum number of credits in the major field for the doctoral degree. Depending on previous preparation and the nature of the research undertaken, the number of credits required for individual students, even within the same major field, may vary considerably. Courses included in the official degree program cannot be used to meet both major and outside credit requirements.

Minor Field or Supporting Program Work—For the doctoral degree, a minimum of 12 credits must be completed in the minor field or supporting program. With a traditional minor, this work is in a single field related to the major; the minor field must be declared before the student passes the preliminary oral examination. If the student chooses a supporting program, it must be composed of a coherent pattern of courses outside the major, possibly embracing several disciplines. Both the minor and supporting program options may require students to take written preliminary examinations in the fields included, but students electing the supporting program option are not expected to have competency in each of the fields comparable to that of a person with a traditional minor.

For majors in clinical branches, the minor field or supporting program must be in nonclinical fields that will serve as a basis for the proposed clinical specialization. This fundamental work should be concentrated early in the program. Familiarity with those phases of the nonclinical disciplines essential to proficiency in the major specialty is required.

Language Requirement—See Degree Programs and Faculty to determine the language requirement, if any, for a specific major field. The Graduate School monitors the fulfillment of language study when a major field requires a language. Information on how to demonstrate proficiency, and on conditions under which proficiency is recorded on the official transcript, is available from the Graduate School, 316 Johnston Hall, or online.

Doctoral Candidacy—Doctoral candidacy is established when a student passes the preliminary oral examination (including a "pass with reservations").

More Information—Students who have questions about the doctoral degree, including information on examinations and the dissertation, may review online information or contact the Graduate School by e-mail at gsdoc@umn.edu. Note: Many commonly used forms are available on the Graduate School Web site.

Preliminary Written and Oral Examinations
Preliminary Written Examination—All doctoral students are required to pass a written examination in the major field. This examination covers all work completed in the major field and may include any work fundamental to this field. The results of the examination are reported on the Preliminary Written Examination Report Form, signed by the student's adviser and the director of graduate studies in the major field. The Preliminary Written Examination Report Form is available online. It is the student's responsibility to ensure that this form is received by the Graduate School, 316 Johnston Hall, before scheduling the preliminary oral examination.

Preliminary Oral Examination—Students take the preliminary oral examination after completing a substantial part of the coursework and passing the preliminary written examination, but before writing the dissertation.

Preliminary Oral Examining Committee—The examination is administered by the committee appointed by the vice provost and dean of graduate education on recommendation of the faculty in the major field at the time the student's official doctoral degree program is approved. The examining committee includes a minimum of four members: three (including the student's adviser) from the major field and one from the minor field or supporting program. Committee members cannot represent more than one field simultaneously.

All assigned members must be present at the preliminary oral examination; the absence of any member results in an invalid examination.

Changes in the Preliminary Oral Examining Committee—Substitutions on the examining committee may be necessitated by such circumstances as a faculty member's temporary absence or leave from the University. The adviser or the director of graduate studies must request the Graduate School's approval of such substitutions well in advance of the examination. Substitutions necessitated by emergency situations must also be approved in advance. In such cases, the adviser should consult with the Graduate School staff before the start of the examination.

Scheduling the Preliminary Oral Examination—It is the responsibility of the student to schedule the preliminary oral with the examiners and with the Graduate School, 316 Johnston Hall, at least one week in advance. In certain health science fields, however, the faculty requires 30 days' notice of the date of the preliminary oral. The Preliminary Oral Examination Scheduling Form is available online.
Preliminary oral examinations should not be scheduled during the summer unless the members of the assigned committee can be assembled without substitution.

Before the oral examination can be scheduled, a degree program (and form) approved by the Graduate School must be on file, along with a Written Examination Report Form indicating that the student has passed the preliminary written examination. The Graduate School must also confirm that the student has maintained active status (see Registration Requirements under Registration).

If these documents are on file and the student has active status, the Graduate School issues the Preliminary Oral Examination Report Form and instructions for conducting the preliminary oral examination to the chair of the examining committee. A copy of the student's Degree Program Form is also sent to the chair of the examining committee; this may be useful to the committee in reviewing the student's preparation and in confirming the completion of degree requirements, including coursework and any language requirements. The preliminary oral examination may be authorized in spite of deficiencies in these requirements, unless more stringent standards have been established by the major field. All requirements must be completed before the final oral examination may be scheduled.

Preliminary Oral Examination Content and Outcome—All doctoral students are required to pass a preliminary oral examination in the major field. The preliminary oral examination covers the major field, the minor field or supporting program, and any work fundamental to these areas, including possible plans for dissertation research. Unlike the doctoral final oral examination, the preliminary oral examination is conducted as a closed examination, attended by only the student and the examining committee.

Immediately before the preliminary oral examination, the committee chair stipulates the objectives of the examination and, in consultation with other members of the examining committee, determines how the examination is to be conducted. Immediately after the examination, the candidate is excused from the room and a written secret ballot is taken before discussing the examination. Following the discussion, a second and final vote is taken, and the participants sign (in the appropriate place on) the report form, which is to be returned to the Graduate School, 316 Johnston Hall, no later than the first workday after the examination.

The outcome of the examination, with all committee members present and voting, is recorded in one of three ways: pass, pass with reservations, or fail. The voting proportions necessary for these decisions are as follows: if the committee consists of four members, a favorable verdict for passing consists of either a unanimous vote or a vote of 3–1; if the committee consists of five members, a unanimous vote or a vote of 4–1 is needed; if the committee consists of six members, a unanimous vote or a vote of 5–1 or 4–2 is needed; and if there are seven members, a unanimous vote or a vote of 6–1 or 5–2 is needed. Candidates who do not earn committee votes in these proportions fail the examination. If, to achieve the minimum number of votes to reach a verdict of pass, any vote of pass with reservations is included, then the outcome will be recorded as a pass with reservations. A vote to pass the student with reservations still constitutes a passing vote.

Pass With Reservations—If the student passes the examination with reservations, the student is informed immediately, but the committee is permitted one week in which to convey its reservations to the student in writing, informing the student of the steps that must be taken to remove them. A copy of this letter must be sent to the Graduate School and should accompany the signed Oral Examination Report Form. When the student has satisfied the committee's reservations, a second letter informing the student and the Graduate School that the reservations have been removed and that the student may proceed toward the degree is also required. Both letters should be written by the committee chair. The final oral examination may not be scheduled until the Graduate School has received a copy of the letter indicating that the reservations have been removed.

If the committee members disagree as to whether the reservations have been satisfactorily removed, the committee chair asks for another vote, the results of which are subject to the same voting proportions as the initial vote. If the student is unable to satisfy the committee's reservations, his or her doctoral candidacy and graduate student status may be terminated.

Failure of the Preliminary Oral Examination—Students who fail the examination may be excluded from candidacy for the degree or may be allowed, on unanimous recommendation of the examining committee, to retake the examination, providing the reexamination is conducted by the original preliminary oral examining committee.

In no case may the reexamination take place before 10 weeks have passed. No more than one reexamination is allowed.

Recess of a Preliminary Oral Examination—If the preliminary oral examining committee recesses without having determined whether a student has passed the examination, the chair of the committee must send a letter to the vice provost and dean of graduate education explaining the reasons for the recess and noting the date on which the examining committee will reconvene. If the recess will be longer than one week, the Preliminary Oral Examination Report Form must be returned to the Graduate School, 316 Johnston Hall, and the student must reschedule the examination with the Graduate School one week in advance. A new Preliminary Oral Examination Report Form will be mailed to the chair of the committee one week before the date on which the committee will reconvene. The reconvened committee must be composed of the same members as the original preliminary oral examining committee.

Cancellation of a Preliminary Oral Examination—If the preliminary oral examination cannot be held on the scheduled date, the Graduate School must be notified of the cancellation. The Preliminary Oral Examination Report Form must be returned to the Graduate School in 316 Johnston Hall. The student must reschedule the examination with the Graduate School one week in advance of the rescheduled exam date. A new Preliminary Oral Examination Report Form will be issued.

Ph.D. Dissertation
The dissertation must demonstrate the student's originality and ability for independent investigation, and the results of the research must constitute a contribution to knowledge. The dissertation must exhibit the student's mastery of the literature of the subject and familiarity with the sources. The subject matter must be presented with a satisfactory degree of literary skill.

Thesis Proposal—Students must file a Thesis Proposal Form with the Graduate School no later than the first semester after passing the preliminary oral examination. Individual graduate programs may have internal guidelines for submission of the thesis proposal. Graduate School approval of the Thesis Proposal Form is required prior to obtaining the graduation packet and scheduling the final doctoral oral examination. The form must include the proposed thesis title and a thesis proposal, about 250 words in length, describing the research to be undertaken and the methods to be employed in carrying it out.
The thesis reviewers and other members of the final oral examining committee are appointed by the vice provost and dean of graduate education upon recommendation of the faculty in the major field at the time the student's thesis proposal is approved.

Changes in the Thesis Title or the Thesis Proposal—Changes in the wording of the thesis title may be made without special approval; however, changes cannot be made after the final thesis copy is submitted to the Graduate School. If substantive changes are made in the nature of the research itself, the student must submit a revised thesis proposal to the Graduate School immediately.

Language of the Dissertation—Dissertations must normally be written in English or in the language of instruction. If a dissertation is to be written in a foreign language, including a language of instruction other than English, a letter should be attached to the Thesis Proposal Form when it is submitted to the Graduate School. This letter should confirm that the recommended thesis reviewers (including the outside reviewer) are qualified to read, comprehend, and criticize a dissertation in the foreign language.

Published Work Included as Part of the Dissertation—The dissertation may include materials that students have published while University of Minnesota graduate students, provided the research was carried out under the direction of the graduate faculty and approved by the adviser for incorporation into the dissertation. Such publication is welcomed as the best demonstration of quality in a student's research, and the Graduate School encourages the practice. The adviser should notify the Graduate School in writing of the intention to publish part of the dissertation material, but the Graduate School's approval is not required.

In cases where the dissertation research is to be presented to the examining committee in the form of one or more articles that have been published, or are in a form suitable for publication, the student should contact the Graduate School, 316 Johnston Hall, for information on accommodating such a presentation to the required dissertation format.

Thesis Reviewers—All members of the final oral examining committee read the dissertation, although only those designated as thesis reviewers sign the report form certifying that the dissertation is ready for defense.

The designated thesis reviewers consist of the adviser, representing the major field, and at least two other members of the final oral examining committee, including at least one representative from the major field and one representative from the minor or supporting program. Part of this group of reviewers should come from outside of the graduate program's thesis advisory committee, if the program uses such a committee. Reviewers cannot represent more than one field simultaneously.

Certification of the dissertation as ready for defense is a necessary step toward the final oral examination, but in no way diminishes the significance of that examination.

The Thesis Reviewers Report Form is obtained by the student from the Graduate School, 316 Johnston, or by requesting a graduation packet online. The form will be released to the student only if he or she student has a Graduate School-approved Thesis Proposal Form on file and has maintained active status (see Registration Requirements under Registration).

Delivery of the Dissertation to Thesis Reviewers—At the time the candidate submits a draft of the dissertation to the thesis reviewers, copies must also be provided to all other members of the final oral examining committee. The dissertation abstract must be included with the dissertation when it is distributed to the committee.

To permit faculty to allocate sufficient time to read the dissertation and decide whether it is ready for defense, students must notify their adviser and other members of the final oral committee at least two weeks in advance that the dissertation will be delivered on a particular date. All members of the examining committee must then have at least two weeks to read the dissertation after it has been delivered.

When signing the Thesis Reviewers Report Form, reviewers have three options for certifying the dissertation: acceptable for defense as presented; acceptable for defense with minor revisions; or not acceptable for defense as presented/requires major revisions.

Reviewers must be unanimous in certifying that the dissertation is ready for defense, whether as presented or with minor revisions. If this is the case, and all other requirements have been met (see Final Oral Examination below), the Graduate School authorizes the final oral examination. In any instance where revisions are required, the committee must inform the student in writing of the revisions required, and all questions concerning such revisions must be resolved before the final copies of the dissertation are submitted and the degree is conferred. It is the adviser's responsibility to ensure that revisions required by the reviewers are satisfactorily made (see Preparation and Submission of the Doctoral Dissertation).

Final Oral Examination
All doctoral students are required to successfully defend their theses in a final oral examination and graduate within five calendar years after passing the preliminary oral examination. To be eligible for the final oral examination, a student must have completed all work on the official doctoral degree program, including the language requirement, if any; must have passed both the written and oral preliminary examinations; must have an approved thesis proposal on file with the Graduate School; must have maintained active status; and must have satisfied the thesis credit requirement. In addition, the dissertation must have been certified by the readers as ready for defense.

Scheduling the Final Oral Exam With the Graduate School—The student must schedule the examination as soon as a date is set but no later than one week before the examination with both the committee and the Graduate School (see Clearance for Graduation). In certain health science fields, the faculty requires 30 days' notice of the date of the final oral exam. The Final Oral Examination Scheduling Form is available online.

When the examination is scheduled, the student's Graduate School file is checked to determine if the student can be cleared to take the examination as stipulated above. If so, the report form for the final oral examination will be forwarded to the chair of the examining committee. If difficulties are apparent, Graduate School staff will contact the student immediately.

A minimum of 10 weeks must intervene between the preliminary oral and the final oral examinations. The final oral should not be scheduled during the summer unless the committee members can be assembled without substitution.

Final Oral Examining Committee—The committee must consist minimally of four members: three (including the student's adviser) from the major field and one from the minor field or supporting program. At least one committee member from the minor field or supporting program should represent a graduate program (and budgetary unit, if possible) other than that of the student's major. Committee members cannot represent more than one field simultaneously.

Although the student's adviser serves as a member of the final oral examining committee, another member of the committee is designated as the chair and functions in this capacity at the final oral examination. The chair must be a senior member or affiliate senior member of the graduate faculty and may be from either the major field or the minor field or supporting program. The chair and other members of the final oral examining committee are appointed by the vice provost and dean of graduate education upon recommendation of the faculty in the major field at the time the student's thesis proposal is approved.

All committee members must be present at the examination; the absence of any member results in an invalid examination.

Changes in the Final Oral Examining Committee—Substitutions on the examining committee may be necessitated by such circumstances as a faculty member's temporary absence on leave from the University. The adviser or the director of graduate studies must request the Graduate School's approval of such substitutions well in advance of the examination. Substitutions necessitated by emergency situations must also be approved in advance. In such cases, the committee chair should consult with Graduate School staff before the start of the examination.

Format of the Final Oral Examination—The final oral examination consists of a seminar in which the candidate presents the dissertation to the final oral examination committee and the invited scholarly community. The seminar may take place only after the dissertation has been judged ready for defense. The examination is limited to the candidate's dissertation subject and relevant areas. It will not exceed three hours. A closed meeting between the candidate and the appointed examining committee immediately follows the dissertation presentation. Immediately after the examination, the candidate is excused from the room and a written, secret ballot is taken before discussing the examination. Following the discussion, a second and final vote is taken.

Reporting the Results of the Final Oral Examination—To be recommended for the award of the doctoral degree, candidates must receive a vote with no more than one dissenting member of the total examining committee. If the student has clearly passed or clearly failed the examination and all members have signed the Final Examination Report Form, the report form must be returned to the Graduate School no later than the first workday following the examination.

The adviser should be responsible for ensuring the inclusion of appropriate modifications and required revisions, if any, in the final dissertation. The Final Oral Examination Report Form should not be signed and submitted to the Graduate School until all revisions have been made. If the form will be held for more than one week, a letter or e-mail must be sent to the Graduate School stating that the form is being held pending required revisions.

Once the final report form has been returned to the Graduate School indicating that the student has either passed or failed the final oral examination, a hold is placed on the student's records to prevent further registration in the Graduate School. If the adviser indicates that the student needs additional time to make minor revisions to the dissertation before it is submitted to the Graduate School, the student is permitted to register for one additional semester. Once the dissertation has been submitted, no further registration in the Graduate School is permitted unless the student has been admitted to professional development status or to another major field.

Recess of a Final Oral Examination—On rare occasions, the examining committee may conclude that the final oral examination should be recessed, to be reconvened at a later date. Guidelines for such circumstances are sent to the chair of each examining committee along with the Final Oral Examination Report Form.

The Graduate School need not be notified until after the fact of informal recesses of up to a week. In the case of a longer recess, the committee must inform the student in writing of the reasons for recessing the examination, including any deficiencies noted in the student's dissertation or defense, and must indicate when they expect to reconvene and résumé the examination. A copy of this letter must be sent to the Graduate School, along with the unsigned Final Examination Report Form. When the student and the committee are ready to reconvene the examination, it should be scheduled in the normal way with the Graduate School. A new examination report form will be mailed to the chair of the committee one week before the date on which the committee will reconvene. The reconvened committee must be composed of the same members as the original final oral examining committee.


Preparation and Submission of the Doctoral Dissertation
The most current information on preparing and submitting the doctoral dissertation can be found at, www.grad.umn.edu/current_students/degree_completion/doctoral/ElectronicDissertationSubmission.html. The student's adviser(s) must sign the signature page to confirm that it is complete and satisfactory in all respects and that all revisions required by the final examining committee have been made. Instructions for the preparation and submission of the dissertation, including format specifications and adviser's signature requirements, can be obtained from the Graduate School, 316 Johnston Hall, or online (PDF).

Pursuit of a Second Ph.D. Degree
Students are not permitted to earn two Ph.D. degrees at the same time in two fields using the same program of study and dissertation. Although students are generally discouraged from doing so, special circumstances may warrant taking a second Ph.D. degree at a later date, but only when a completely separate program and dissertation are involved.