Doctoral Degrees

The doctorate is a degree representing broad scholarly attainments, a deep grasp of a field of study, and expertise in conceiving, conducting and reporting original and individual research. As such, its attainment is no mere matter of meeting requirements. Those requirements described below should be viewed only as a minimal formal context in which the student is expected to grow to the professional stature denoted by the doctoral degree. Please consult the appropriate section of this catalog for the particular requirements of individual programs.

See also: Master of Fine Arts degree.
See also: Master of Business Administration
Doctoral Degree General Requirements
  1. A minimum of 48 hours of graduate credit course work (certain graduate programs require more hours).
  2. Must be enrolled in at least one hour of graduate credit in the semester in which the doctoral comprehensive examination is taken.
  3. At least 24 hours of graduate credit course work must be completed at the University of New Mexico.
  4. At least 18 hours graduate credit course work must be completed at the University of New Mexico after admission to the doctoral program.
  5. A minimum of 18 hours of graduate credit course work must be earned in the University of New Mexico courses numbered 500 or above.
  6. No more than 6 credit hours of course work in which a grade of C (2.0), C+ (2.33) or CR (grading option selected by student) was earned may be credited toward a graduate degree. Courses offered only on a CR/NC basis and required by the graduate program are excluded from this limitation. (See Grade Requirements for Graduation policy.)
  7. No more than 50% of the required course credits at the University of New Mexico may be taken with a single faculty member. (Course work that has been completed for the master’s degree is included in this limit.)
  8. A minimum of 18 hours of dissertation credits (699) is required for the doctorate.
  9. Doctoral candidates must be enrolled the semester in which they complete degree requirements, including the summer session.

NOTE: Detailed information on doctoral graduation requirements are available on the OGS website.
Transcripted Minors

A Ph.D. degree student may declare a transcripted minor in a different graduate unit.

  1. Transcripted minors must be fully approved through the UNM curricular process. A list of approved minors is available on the OGS web site.
  2. Approved minors have a minimum of 9 credit hours of course work; the program may require more.
  3. The student must submit a “Transcripted Minor” form to OGS, approved by both the major and minor units, with the Program of Studies.
  4. Approved minors may use no more than 25% of the course work required for the Ph.D. degree.
  5. The minor must be outside the student’s major code.
  6. The student’s comprehensive exam committee must contain one faculty member from the minor field, unless the minor department on the Transcripted Minor form waives this requirement.

Eighteen (18) hours of course work must remain exclusive to the PhD
Time Limit for Completion of Degree Requirements

Doctoral candidates have five (5) calendar years from the semester in which they pass their doctoral comprehensive examination to complete the degree requirements. The final requirement is generally the acceptance of the student’s dissertation by the Dean of Graduate Studies.

Doctoral Committee on Studies

Each doctoral student is strongly encouraged to assemble a committee on studies to assist in planning a program of studies. This program should be designed to foster a fundamental knowledge of the major field, both in depth and in breadth. The committee generally includes three University of New Mexico faculty members approved by the student’s graduate unit. The chairperson is usually the student’s major advisor. If the committee on studies will also serve as the doctoral comprehensive examination committee, they must meet the requirements listed in that section (see Faculty Approval section for details).

The basic role of the committee is to plan, with the student, an integrated individual program of study and research meeting general University and specific graduate program requirements. The Committee may also establish prerequisites when needed; recommend transfer of credit; certify proficiency in a foreign language or alternative skill; approve significant changes in the program of studies; and may serve as the core of the doctoral comprehensive examination committee and/or the dissertation committee (see composition criteria for dissertation committees).

Appointment of the Committee usually involves the following steps:

  1. The student arranges for an appropriate faculty member to serve as Committee Chair;
  2. The student and the Committee Chair agree upon the remaining members of the Committee;
  3. The Committee must be approved by the graduate unit chairperson or graduate unit advisor, as evidenced by his/her signature on the student’s "Application for Doctoral Candidacy."

Application/Transfer of Credit

The following regulations apply to the application or transfer of credits toward a doctoral degree:

  1. Course must have carried graduate credit.
  2. Course work must be from an accredited institution.
  3. Student must have obtained a grade of “B” or better. A maximum of 6 hours of thesis from a completed master’s degree or other course work graded Pass or Credit (CR) is transferable.
  4. Course must be approved by the doctoral Committee on Studies and the graduate unit.
  5. Course must be listed on Application for Doctoral Candidacy. form.
  6. All courses must have final approval from the Dean of Graduate Studies.

NOTE: Course work that has been counted toward a previous degree may not be counted toward any subsequent degrees, with the exception of master’s degree to a doctoral degree.
Foreign Language or Alternative Requirement

While there is no University-wide foreign language requirement, most graduate units require a demonstration of competence in one or more foreign languages, or in some area of skill related to scholarship or research in the particular discipline. Students should consult the graduate unit itself or its particular section in this catalog regarding the details of this requirement.
Doctoral Comprehensive Examination

A doctoral student must pass a comprehensive examination in the major field of study. This examination, which may be written, oral or both, is not limited to the areas of the student’s course work, but tests the student’s grasp of the field as a whole. It is strongly recommended that the Application for Doctoral Candidacy. be completed and approved by the graduate unit before the student takes the doctoral comprehensive examination. The administration of this exam is governed by the following guidelines:

  1. The student must have a cumulative grade point average of at least 3.0 at the time of the examination.
  2. The student must be enrolled in a minimum of one credit of graduate course work the semester in which he/she takes the doctoral comprehensive examination.
  3. At least two weeks prior to the date of the examination, the major graduate unit must request approval from the Dean of Graduate Studies to hold the exam. It may not be conducted until the Dean of Graduate Studies approves the appropriate announcement form and it is returned to the unit.
  4. The doctoral comprehensive examination committee (usually the student's Committee on Studies) consists of a minimum of three members approved for committee service. Two members must be in Category 1 or 3; the chair of the committee must be in Category 1, or 3 if within the student’s major; one member must be from Category 1; and no more than one voting member can be in Category 4.
  5. In order to qualify to sit for a doctoral exam during the intersession, the student must be registered for the following semester.
  6. Barring extraordinary circumstances, the graduate unit will notify the student of the results of the examination no later than two weeks after the date on which it was administered. Should such circumstances arise, the graduate unit will notify the student in writing of the reason for the delay and let him/her know when notification can be expected.
  7. The results of the examination must be reported to the Dean of Graduate Studies on the "Report of Examination" form no later than two weeks after the date of the examination.
  8. If a student fails the examination, the Committee on Studies may recommend a second examination, which must be administered within one calendar year from the date of the first examination. The doctoral comprehensive examination may be taken only twice. A second failure will result in the student’s termination from the program.
Conditional Pass

Having evaluated the materials required for the examination, if the Committee feels that, although the student has demonstrated knowledge and understanding of the field, it is not quite sufficient to justify a grade of “pass”, the committee may assign the grade of “Conditional Pass” and require that the student meet additional conditions before a grade of pass will be awarded. The student must meet the conditions noted on the Conditional Pass by the end of the subsequent term. However, students who plan to graduate in a specific term must resolve a Conditional Pass by the posted deadline for submission of examination results. The committee will note the conditions that need to be met by the student on the examination form.
Advancement to Candidacy for the Doctoral Degree

A key requirement that must be satisfied in order to earn the doctoral degree is Advancement to Candidacy. The process is begun by completion of the "Application for Doctoral Candidacy," which formally summarizes a student’s doctoral program of studies. Approval of that program of studies by the student’s doctoral Committee on Studies is indicated by their signatures on the form, along with that of the graduate unit chairperson.

The completed "Application for Doctoral Candidacy" is usually forwarded to the Dean of Graduate Studies during the semester in which the student has passed his/her doctoral comprehensive examination and no later than the semester before he/she wishes to graduate. It should be accompanied by the “Report of Examination” and, if the program has a language or a skill requirement that the student has met, completion of this requirement should be noted on the application form where indicated. If the language/skill requirement is not noted on the Application for Candidacy a "Certification of Language or Research Skill Requirement" form must be submitted before the student is advanced to candidacy.

After determining that all requirements except for outstanding course work and the dissertation have been fulfilled, the Dean of Graduate Studies will advance the student to candidacy.
The Dissertation

Each doctoral candidate must prepare a written dissertation. The requirements for the Ph.D. and Ed.D. dissertations are described below.

Ph.D. The dissertation for the degree of Doctor of Philosophy must demonstrate ability to do independent research and competence in scholarly exposition. At an advanced level, it should present the results of an original investigation of a significant problem and should provide the basis for a publishable contribution to the research literature in the major field.

Ed.D. The dissertation for the degree of Doctor of Education must demonstrate ability to do independent research and competence in scholarly exposition. A dissertation may be a professional project, such as the development of a curriculum or an account of the results of an educational innovation. A professional project must involve scholarly research, and the dissertation must demonstrate knowledge of theories, experiments, and other rational processes pertinent to the project.

UNM accepts both traditional and non-traditional (hybrid) dissertations. If a graduate unit accepts both dissertation options, the student, in consultation with his/her dissertation committee, must decide which format is appropriate.

A traditional dissertation is a single written document, authored solely by the student, presenting original scholarship. A non-traditional (hybrid) dissertation, as defined by the graduate unit, consists of a collection of related articles prepared and/or submitted for publication or already published. Each dissertation must include “introduction” and “conclusion” sections. The student must meet the general manuscript format criteria set forth in the UNM Catalog/website on manuscript guidelines. Students must adhere to copyright policies for obtaining permission to use a previously published manuscript.
Dissertation Committee

The dissertation committee (whose members often include those on the Committee on Studies) is charged with the supervision of a doctoral candidate’s dissertation activities, including the review and approval of the student’s research proposal. Doctoral candidates initiate the process of selecting the dissertation committee by first arranging for a qualified faculty member to serve as the director/chair of their dissertation/committee chairperson. The faculty director and the candidate jointly select the remainder of the committee. The "Appointment of Dissertation Committee" form must be signed by the candidate, the dissertation director, and the chairperson or graduate advisor of the graduate unit, and approved by the Dean of Graduate Studies. The form should be filed no later than the first semester of 699 enrollment. If the committee changes, a revised "Appointment of Dissertation Committee" form must be submitted to the OGS along with a written rationale for the change. OGS may request additional documentation as appropriate.
Composition of the Dissertation Committee

The committee will consist of at least four members all of whom are approved by the Dean of Graduate Studies (see Faculty Approval section for details).

  1. Two members must be Category 1.
  2. The chair must be Category 1, or 3 if within student’s major.
  3. One member must be category 1 AND outside the student's major, or in Category 2.
  4. One member must be Category 1, or 3 within the student’s major
  5. One member may be in Category 4 if the above requirements are met.

(No more than one voting member may be in Category 4.)

NOTE: If the graduate unit approves, Emeriti/Emeritae faculty are allowed to continue to chair existing dissertation committees for up to one calendar year from the date of their retirement. They may not be appointed chair of any new dissertation committees once retired. If the student has not completed his/her dissertation within one year of the chair’s retirement, the retired faculty member may continue to serve on the dissertation committee as a co-chair or member of the committee.

Graduate students may supplement the minimum committee membership described above. All supplemental appointments must be identified on the “Appointment of Dissertation Committee” form, and must be approved by the Dean of Graduate Studies.

NOTE: All expenses incurred for member services on a Dissertation Committee are the responsibility of the student.
Dissertation Hours

During the course of their dissertation work, doctoral candidates are required to enroll in a minimum of 18 hours of dissertation (699) credit. Enrollment in 699 should not begin prior to the semester in which the student takes the doctoral comprehensive examination. Only those hours gained in the semester during which the comprehensive examination is passed and in succeeding semesters can be counted toward the 18 hours required. A student who fails the comprehensive exam cannot apply any 699 credits toward his/her program of studies until the semester in which the comprehensive examination is retaken and passed.

Enrollment for dissertation (699) may be for 3, 6, 9 or 12 hours per semester, with 9 hours the maximum in Summer session. Minimum enrollment in 699 for one semester is 3 hours. Graduate units may require a higher minimum enrollment in dissertation hours each semester.

Students who have enrolled in 699 and subsequently stopped enrollment for one or more semesters (not including summers) must follow the procedures listed under “Reinstatement Policy” previously given in this catalog. (Procedures for reinstatement are available on the OGS web site).
Dissertations in a Foreign Language

Prior to writing a dissertation in a language other than English, students must receive written approval by the Dean of Graduate Studies. A dissertation submitted to the OGS in another language must be accompanied by an abstract in English approved by the student’s dissertation committee.
Dissertation Format

The student is responsible for preparing a dissertation in proper format that is of high reproduction quality and free of grammatical and typing errors. Guidelines on dissertation format are detailed and should be carefully followed. Students are urged to print current guidelines from the OGS Web site before defending their dissertations. The Manuscript Manual and most required forms are available on the OGS website. Examples of the front matter and reference pages are available on the OGS website
(http://www.unm.edu/grad/manuscripts/example/front_matter.doc).
Notification of Intent to Graduate

Students must inform their graduate unit in writing of their intent to graduate. The graduate units must submit their proposed graduation list to OGS no later than 5:00 p.m. on the last day of the semester immediately preceding the semester of graduation.
The Final Examination for the Doctorate (Dissertation Defense)

The doctoral final oral examination is the last formal step before the degree is awarded and is conducted with due respect to its importance as such. The focus of the final examination is the dissertation and its relationship to the candidate’s major field. Its purposes are:

  1. To provide an opportunity for candidates to communicate the results of their research to a wider group of scholars;
  2. To afford an opportunity for the members of the examination committee, as well as others (faculty, students, staff, etc.), to ask relevant questions;
  3. To ensure that the research reflects the independence of the thought and accomplishment of the candidate rather than excessive dependence on the guidance of a faculty member; and finally,
  4. To ensure that the candidate is thoroughly familiar not only with the particular focus of the dissertation but also its setting and relevance to the discipline of which it is a part.

At least two weeks before the final examination is held, and no later than November 1 for Fall graduation, April 1 for Spring or July 1 for Summer, the major graduate unit must notify the OGS of its scheduled date by submitting the appropriate announcement form. In order to qualify to sit for a doctoral exam during the intersession, the student must be registered for the following semester. The student is responsible for providing each member of the dissertation committee with a complete copy of the dissertation in ample time for review prior to the examination.

The presentation and examination phases of the exam are open to the University community and are published in various sources; the deliberation phase is only open to the committee. At the conclusion of the examination, the dissertation committee members will confer and make one of the following recommendations, which must be agreed upon by at least three of them:

  1. That the dissertation be approved without change;
  2. That the dissertation be approved subject only to minor editorial corrections, or
  3. That the dissertation be rewritten or revised before approval.

If either the first or second recommendation is made, the committee may decide that no further meetings are needed. In the second instance the director of the dissertation will be responsible for seeing that all necessary corrections are made before the dissertation is submitted to the OGS. If the third recommendation is made, the full committee may elect to meet again to determine that their concerns have been addressed.
Member Attendance at Dissertation Defense

All members of a student’s dissertation committee must be present at the manuscript defense. Although physical presence is strongly encouraged for all members, synchronous participation by telephone/video conference is allowed when necessary.
Proxy Signature
An original signature of each committee member is required for each examination and thesis or dissertation defense form. In the rare cases where an original signature cannot be provided, the committee member may request a proxy signature by submitting the Proxy Request Form at least two weeks prior to the student’s examination.
Conditional Pass

Having evaluated the materials required for the examination, if the Committee feels that, although the student has demonstrated knowledge and understanding of the field, it is not quite sufficient to justify a grade of “pass”, the committee may assign the grade of “Conditional Pass” and require that the student meet additional conditions before a grade of pass will be awarded. The student must meet the conditions noted on the Conditional Pass by the end of the subsequent term. However, students who plan to graduate in a specific term must resolve a Conditional Pass by the posted deadline for submission of examination results. The committee will note the conditions that need to be met by the student on the examination form.
Quality of the Dissertation

The responsibility of the dissertation committee (especially the director) includes the evaluation of the substance and methodology of the dissertation as well as an assessment of the candidate’s competence in scholarly exposition. The dissertation should reflect a high level of scholarship in the conduct and presentation of the study. If serious questions concerning substance, methodology or exposition arise through a review of the “Report on Thesis or Dissertation” forms, the Graduate Dean may seek the counsel of the dissertation committee, graduate unit chairperson and/or other scholars with particular competence in the field of study before the dissertation receives final approval.
Submission and Approval of the Dissertation

The dissertation defense is scheduled once the student and their major advisor have agreed that the manuscript is in its final form. Doctoral students must submit his/her dissertations to the Dean of Graduate Studies within ninety (90) days of their final examination for the dissertation. If the manuscript is not submitted within that time, the student must schedule and complete a second final examination for the dissertation. In all cases the results of the dissertation defense must be submitted to OGS no later than two weeks after the announced date of the dissertation defense.

Two unbound copies of the dissertation, each with an abstract of not more than 350 words, all in certified final form and approved by at least three members of the dissertation committee, must be submitted for approval by the Dean of Graduate Studies. The deadline dates for submission are: November 15 for Fall graduation, April 15 for Spring or July 15 for Summer. The graduate unit may require additional copies of the dissertation. The “Certification of Final Form,” certifying that the director of the dissertation has proofread the final manuscript, must accompany the dissertation.

This form may be obtained from the OGS website. If the format of the manuscript is incorrect, the author and the committee chairperson will be immediately notified. A letter from the Dean of Graduate Studies will also notify the student when the manuscript has been officially accepted.
Accompanying Forms

The following forms, which must be submitted along with the manuscript, may be obtained from the OGS or the OGS website
(http://www.unm.edu/grad/forms/forms.htm):

  1. A "Report on Thesis or Dissertation" completed by each committee may accompany the manuscript, and must be received by the OGS before the student’s dissertation receives final approval.
  2. A "Certification of Final Form."
  3. An "Information Cover Sheet" which should be included in the box with the manuscripts.
  4. A "Survey of Earned Doctorate." - available at the OGS.
  5. The “UMI Dissertation Microfilm Agreement” form (available at the Office of Graduate Studies) and a Cashier’s check or money order covering UNM fee (with an expiration date of at least one year from the purchase date).

Students are responsible for including two complete sets of the “red-bordered pages” (Signature Approval Page, Dissertation Title Page and Abstract Title Page) with the two manuscripts submitted to the Office of Graduate Studies. The red-bordered pages are available on the OGS website, or from the UNM Bookstore.
Fees

A manuscript-binding fee must be paid at the Cashier’s Office. The fee covers the cost of binding for the two manuscript copies submitted to OGS. One copy will be placed in the library archives and the other in circulation. Students should check with the OGS for the exact amount of the fee.
UMI Fee

As part of graduation requirements, all doctoral students must have their dissertations published through University Microfilms International (a subsidiary of ProQuest. Doctoral students should complete a “UMI Dissertation Agreement” form, available from the manuscript reviewer at the OGS. Copies of the dissertation abstract and the title page as well as the microfilming fee must accompany the form. The fee is currently $55 but is subject to change. It is payable by money order or cashier’s check made out to ProQuest (with an expiration date of at least one year from the purchase date).
Copyright Registration
Copyright Registration is optional. If choosing to copyright the manuscript through UMI, the fee is currently $65 payable by Cashier’s check or money order made out to Proquest (with an expiration date of at least one year from the purchase date).