PhD Student Handbook
Dissertation
In many ways, the dissertation should be the focal point of the student’s entire program. Ideally, the student will gain focus on a topic early in the program and begin working with a member of the graduate group as a potential dissertation chair. Through this collaboration, the student may be able to select courses that provide opportunity to write scholarly papers that contribute to the dissertation and to develop skills which will help in the completion of the anticipated dissertation. The integrative seminar, taken in the last two semesters of coursework, provides a forum for developing a dissertation topic.
The dissertation is an original work of research scholarship to advance knowledge in the field of social welfare. At its best, the dissertation represents the new Ph.D.’s first significant contribution to a field of study. It should be a starting point for the individual’s ongoing contribution in a given area of expertise. As such, the importance of the dissertation topic and its contribution to social welfare should be clear. It is the responsibility of the student’s dissertation committee to assure this clarity of purpose and direction.
Both the University and the Graduate Group in Social Welfare set the requirements for the dissertation process. Some Social Welfare requirements augment the University policies, but in no case are they in conflict.
Dissertation Advisor and Committee Chair
As students select academic advisors, they are generally also seeking a potential dissertation chair. In cases where this is so, the integration of coursework into the dissertation process is facilitated. Students are free to select any Standing Faculty member of the Graduate Group as a dissertation chair. This is the first step in the process of selecting a committee. Students are encouraged to select a chair first and consult with that individual about other committee members.
The Chair must be a standing faculty member of the graduate group. The rules for committee composition are:
- A committee must have a minimum of three voting members.
- Students may have committee larger than three, as long as at least half the voting members are members of the Social Welfare Graduate Group.
- All voting committee members must be Social Welfare Graduate Group members or members of the standing or associated faculty of the University.
- Students are not required to have a member of the School of Social Policy & Practice faculty on their committee.
- No more than two members may be from the faculty of the School of Social Policy & Practice.
With the consultation of the chair/advisor, students may include non-voting consulting members on their committee. These may include advocates, social work practitioners, or policy leaders who can contribute their expertise.
The phrase “Standing Faculty” includes all tenure line faculty and Clinician-Educator faculty.
“Associated” faculty are those with Research, Adjunct, Clinical (not clinician-educator, which is standing faculty), Practice, and Visiting appointments. Associated Faculty cannot chair dissertation committees.
The primary director of dissertation work and the dissertation chair need not be the same person. For example, if a student is working closely with a member of the associated faculty, that faculty member is not eligible to chair the dissertation committee. However, the student may appoint an eligible member of the Standing Faculty in the Graduate Group to be the committee chair with the mutual understanding that the roles of committee chair and principal director of work are divided among different committee members.
Proposal Defense
Students develop a dissertation proposal through collaborations with the members of their dissertation committee. The student must submit a copy of the final draft of the proposal to the Administrative Coordinator to the Doctoral Program 15 work days before the proposed defense date. This includes an abstract to be circulated electronically to the school community. .
The proposal defense is a discourse on scholarship between the candidate and his or her committee that may include other faculty and students from the university community. The proposal should demonstrate a high level of scholarship and research competence to substantiate the implementation of the planned proposal. The dissertation research proposal defense is commonly characterized by four components, (1) a brief meeting between the chair and other committee members prior to the student’s presentation, (2) the student’s presentation and discussion, (3) voting by the Chair and committee members, and (4) feedback by the Chair and Committee members to the student. Other faculty and doctoral students may attend the presentation and participate in the discussion segment of the defense. After the presentation and discussion of the proposed plan, the committee formally votes in private on the acceptability of the proposal. Following the vote, the Chair of the Committee with other members of the committee presents the decision to the candidate in a closed meeting. A successful proposal defense admits the student to candidacy for the doctoral degree.
Proposal Content
The proposal for dissertation research is generally no 80-120 double-spaced, typed pages and follows the format listed below. However, an alternative is preparing a proposal in a format that is consistent with applications to grant-making entities. For examples, a proposal modeled after an NIH proposal would have the headings “Abstract; Specific Aims; Background and Significance; Methods…” etc. This may be a useful strategy if the proposal is going to also serve as an application for funds from such sources.
Abstract
An abstract, not to exceed two (2) double spaced, typed pages, summarizing all of the elements of the proposal, along with a full copy of the proposal itself, must be given both electronically and in hard copy to the Administrative Coordinator to the Doctoral Program 15 work days prior the scheduled date of the defense of the proposal. The abstract will be distributed to faculty, students, and the Social Welfare Graduate Group. The Office of the Administrative Coordinator to the Doctoral Program will retain a copy of the complete proposal for reading by faculty, students, and members of the Social Welfare Graduate Group prior to the proposal defense.
The introduction of the proposal should provide a statement on the social welfare research problem, questions, or issues the dissertation will address. This section of the proposal should also briefly summarize background information relevant to the problem, questions, or issues of concern, and state briefly the conceptual framework to guide the explorations to address the problem or questions.
Significance of the Research
This is a specific discussion of the significance of the proposed research for advancing the state of knowledge in social welfare, with reference to policies, social trends, and/or service practices.
In most cases, hypotheses to be tested should be stated explicitly as derived from the conceptual framework and background introduction. Some students may present more general, theoretically- grounded research questions. The form and content of these hypotheses and/or research questions will vary according to the student’s methodological approach. It is the responsibility of the committee to guide the student in making a cohesive proposal, consistent with scholarly expectations.Research Design/Methodology
A description of the research methods to be used in the dissertation should be provided in sufficient detail to acquaint the reader with the type, character, scope, design, and step-by-step procedures for the project. This should include details of procedures, sample selection, experimental and control groups, (i.e., size, selection procedures, differences in treatment between groups), measures to be used, the plan for data analysis, and other details. If services are to be provided, then a thorough description of the services (in all conditions) should also be given here. A rationale for the proposed design, including a frank discussion of limitations to the proposed design, must also be provided.
Timetable
As part of this section, provide a tentative sequence or timetable for the project.
Human Subjects
This is a thorough discussion of ethical issues in the proposed research, including plans for protection of human participants in the research. This includes consent, confidentiality, and protection from harm. Students must secure approval of the Office of Regulatory Affairs to assure compliance with Federal and University regulations regarding human participants in research before contact is made with human participants.
Resources and Obstacles
This section provides a brief statement evidencing that resources are available that are essential for successfully completing the proposed work. This section should include a discussion of the availability of data, agency cooperative agreements, funding, as well as technical support. In addition, this section should also list and describe potential obstacles and how the student plans to overcome potential obstacles to dissertation completion.
Bibliography
A list of literature cited in the proposal, presented in the most current APA format.
Appendices
Appendices should contain copies of any standardized instruments that will be used for data collection purposes. The process for describing new instruments for use in the study should be described within the methodology section. Sample tables, illustrating the general plan for data analysis, should be included in this section as well.
The degree candidate is responsibility for making adequate progress toward completing the dissertation. The Committee Chair or Chair of the Doctoral Program may require regular reports from the student to insure adequate progress is made toward completion of the dissertation.
The degree candidate must apply for graduation to the Graduate Division of the School of Arts and Sciences by the deadline designated for the particular semester, i.e. usually mid to late September for a December degree date. Application does not obligate the student to finish at the designated date. Submission of the application registers the degree candidate for graduation. Upon registering for graduation the degree candidate is provided information on the administrative process including procedures and policies for depositing the completed approved dissertation. Candidates for the Doctorate Degree in Social Welfare are required to adhere to the guidelines of the Graduate Division of the School of Arts and Sciences. (See the Dissertation Manual found on the web site of the Office of Graduate Studies.)
General Procedures for Submitting the Dissertation
The final draft of the dissertation must be submitted for review to the Committee 28 days prior to the earliest date posted by the Office of Graduate Studies for conferring doctorate degrees. In order for the degree to be granted on this date, acceptance of the dissertation by the Committee of the final dissertation must occur 45 days prior to the conferral date.
The candidate is required to submit a copy of the final draft of the dissertation to the Doctoral Program Coordinator 15 days prior to the date of the dissertation defense. At the time of submitting a copy of the final draft the candidate must provide the following information to announce the defense of the dissertation to the Administrative Coordinator of the Doctoral Program: an abstract (not exceeding 120 words) providing a comprehensive summary of the dissertation; a sentence verifying that a copy of the final draft of the dissertation is available for reading through the Office of the Administrative Coordinator of the Doctoral Program; and information providing the date, time, and room location of the defense.
Defending the DissertationThe dissertation defense is a scholarly discourse between the candidate and his/her Dissertation Committee on the substantive work to be submitted to the Graduate Group evidencing independent research and the individual’s mastery of his/her chosen subject and research method. Members of the Social Welfare Graduate Group, other faculty of the University, and doctoral students in particular, are invited to attend. The Graduate Group Chair or a designee (usually the Chair of the Dissertation Committee) chairs the defense. The Chair and committee members are responsibility for conducting the defense proceedings.
The dissertation defense, similar to the dissertation proposal defense, is commonly characterized by four components: (1) a brief prefatory meeting of the Chair or Dissertation Chairperson and Committee members, (2) the presentation by the degree candidate that is followed by discussion, (3) voting by the chair and committee members, and (4) reporting of the decision on acceptance by the Chair or Dissertation Chair to the degree candidate.
Decisions on acceptance are based on majority vote of the Dissertation Committee. Voting is conducted in a closed meeting of the committee and reported to the Graduate Group Chair within three days of the defense. The Chair of the Dissertation Committee reports the results of the vote to the Graduate Group Chair. The Graduate Division of Arts and Sciences forward a confirmation list of graduating students each term to the Graduate Group Chair. This list is based on candidates who have applied for graduation with that office earlier in the term and are on record with the Graduate Group Chair as having defended their dissertations within the allotted time period.
Depositing the Dissertation
After candidates have successfully defended their dissertation, completed revisions requested in the defense, and successfully gained the approval of the committee members, they are responsible for preparing the required documentation for depositing the dissertation. Each term, there is a time period allotted for depositing dissertations at the Graduate Division. In addition to the preparation of the document in accordance with the Graduate Division of the School of Arts and Sciences, http://www.upenn.edu/grad/DissManual.html, the candidate must also complete and submit two University-Wide forms: (1) Form 152, which documents the approval of the dissertation by the dissertation committee; and (2) Form 153, which certifies a copy of the dissertation as the approved copy. Additionally, degree candidates must complete and submit Form 155, which is the School of Social Policy & Practice’s certification that degree requirements have been met.
Degree candidates must also make sure that they have a zero balance and have completed an ‘exit interview’ with Student Financial Services, document current health insurance coverage, and complete the Survey of Earned Doctorates. Degree candidates must contact the Graduate Division for up to date information on these fees and requirements.
