K. Doctoral Degree – Preliminary Exams

Upon completion of didactic coursework two stages must be completed before the student is considered a dissertator. These two stages are:

1. Written 2-Day Preliminary Exam
2. Dissertation Oral Preliminary Exam

Preliminary written and oral exams occur after students have completed didactic coursework.⁶. They are intended to assess the student’s knowledge of the field and readiness for independent research. It is the responsibility of the student, in consultation with their advisor, to ensure that all didactic course requirements are met before taking the preliminary exam.

Once the written and oral preliminary exams are successfully completed (the prelims and proposal defense), students become dissertators. Dissertators may continue to enroll for research credits (after achieving dissertator status) but are limited to three credits of enrollment each term. View Dissertator Status Policy.

Prior to these stages, a student needs to establish a committee to guide them through each of the two stages.

Establishing a Committee

Selection and appointment of the written 2-day Preliminary Examination and the Dissertation Committee should be given great consideration. The relationship students have with their committee members are based on mutual respect and are intended to be professionally beneficial. The committee will supervise the student’s research closely and will be the ultimate judge of the acceptability of student work and whether the student’s achievement warrants the awarding of a doctoral degree.

Students have a great deal of discretion in the choice of their dissertation topic. Students should take the time to get to know the research specialties of members of the faculty and to consult with them about their proposed dissertation research before requesting their service and appointment on their committee. Ideally, the selection of one’s Preliminary Exam/Dissertation Committee will involve faculty with research interests that are aligned with that of the graduate student.

The committee is used in the HSRP Program for three functions: to write and evaluate student performance on the written preliminary exam; to evaluate the oral preliminary exam, and to evaluate the dissertation defense. A student and major professor can change members chosen to join the dissertation committee after their first preliminary exam depending on faculty availability and expertise most needed.

The student is responsible, in consultation with their advisor, to form a preliminary exam/dissertation committee. The following conditions (see table) must be met for the written preliminary exam and final dissertation committee (proposal defense and the dissertation defense).

Upon establishing their Preliminary Examination Committee and Dissertation Committee, students must complete the Preliminary Exam Approval Form and the Dissertation Committee Approval Form, both of which should be submitted to the Graduate Program Manager. See Appendix 5: Forms.

Stage 1 – Part 1: Written Preliminary Exam

Written preliminary examinations are given to allow the student to demonstrate mastery of the core competencies of the PhD program. Students will take a two-part examination covering core competencies after meeting coursework requirements administered over two consecutive days. The exam is comprised of two sections – the general section exam (Day 1) and specific emphasis section exam (Day 2). Each exam section is administered in a four-hour session each day.

The general section exam administered on Day 1 examines basic HSRP knowledge and theory, and their application of pharmacy and health services research/policy. Topics that will be covered represent the required HSRP courses that are taught in the Graduate Program: Dissemination, Implementation and Sustainment of Change in Health Services Research, Mixed Methods for Health Sciences: Purpose, Design and Approach, Community Engagement in Health Services Research, Social Behavioral Theories in Pharmacy, Drug Use, and Health Behavior, Grant Writing for Health Services Research, and Research Methods for Pharmaceutical Outcomes and Policy Research.

The specific emphasis section exam administered on Day 2 represents the individual student’s specialization or concentration within the major as well as their minor area of study. Questions within the student’s area of specialization can cover micro or macro level perspectives (e.g., individual actions and behaviors vs. organizational or systems perspectives), as appropriate. The specific emphasis section exam administered on Day 2 will include three sets of questions in which the student may choose one of the three questions in each set to answer during the exam.

The exam is offered at any time during the year. The advisor and student mutually select the dates of the examination. Students who are at the same stage in their Graduate Program do not need to select the same dates. The advisor will collaborate with the student’s Preliminary Exam Committee to design the general and specific emphasis questions for exams one and two. Specific instructions are given to the student on the day of the exam. Reference materials and the internet may not be used during the exam; the exam is considered a closed-book exam. Please note that a formal warrant from the graduate school is NOT required for the two-day written preliminary exam.

Stage 1 – Part 2: Feedback Session with Preliminary Committee

The Preliminary Exam Committee will read and grade answers to all questions. Grading for each question will be on a pass/fail basis. Students must pass all questions in order to proceed to the oral preliminary exam. Students and faculty will meet to clarify answers prior to the committee finalizing the grade. The Preliminary Committee will notify the student about the exam grade and provide feedback on their performance. If the candidate fails one or more of the questions, the individual will have an opportunity to answer one or more revised questions that evaluates the same competency. If the candidate does not pass the revised questions, then they will be terminated from the program. For more information about the written preliminary exam including the dismissal appeals process, please see this section of the handbook: Written Preliminary Examination: Information for Candidates.

⁶ When developing a plan around coursework, students can count no more than 19 credits of graduate course work from other institutions toward the HSRP PhD degree (the student must have graduate student status on the other institution’s transcript at the time the courses were taken).

Such courses should be discussed with the faculty advisor and presented to the DGS during recruitment and early in the admissions process. The review/approval of such credits will be determined by the advisor, DGS, and faculty. Course work earned five or more years prior to admission to a master’s degree is not allowed to satisfy requirements.

Stage 2: Dissertation Oral Preliminary Exam & Advancing to Dissertator Status

In order to achieve official status as a dissertator, after completing their written preliminary exam in Stage 1, students must  defend their choice of dissertation topic and demonstrate an understanding of the concepts and methods necessary for successful completion of the dissertation.  The dissertation oral proposal defense consists of a presentation describing the research that is planned as a basis for the PhD dissertation. The presentation is made to the student’s dissertation committee and is not open to the public. The student may be examined on details of the proposed work as well as on the underlying principles, methods and concepts of the field.

Enrollment as a graduate student is required during the semester the defense takes place. Summer term enrollment is required if a student chooses to defend during summer. To remain in good standing, the Part 4 Dissertation Oral Preliminary Exam should be completed within six months after having passed the written two-day preliminary examination and may be repeated (once if necessary). Students who do not pass the Part 4 Dissertation Oral Preliminary Exam after two attempts will be terminated from the program.

The proposal must contain a statement of the student’s research problem, a critical analysis of the relevant theoretical and empirical literature, a description of the student’s theoretical approach and hypotheses, a description of the proposed study design and procedures, and a timetable for the research project. The proposal should be double-spaced, and include tables, figures, references, and appendices. It will be evaluated based on its originality, appropriateness of methods and design, and clarity of presentation. The proposal and oral presentation to the faculty should demonstrate foundational knowledge necessary for conducting independent research. The final copy of the proposal must be circulated electronically to the student’s committee at least two weeks prior to the dissertation oral preliminary exam.

A formal “warrant” is needed from the Graduate School for this dissertation oral preliminary exam. At least one month prior to the exam the School of Pharmacy GPM must be notified of the date the examination will occur, so that a warrant may be requested. These requests should be submitted via the Warrant Details form. Provide as much detail as possible.  Below you can find a summary of tasks before the oral defense and deadlines.