Health Services PhD Program Handbookd. Graduate Appointee health insurance paid for by the...

PhD Program in Health Services Handbook – Revised Wednesday, October 16, 2019 - 1 -

Health Services PhD Program

Handbook

Always use the most recently updated version of the handbook,

available online at the PhD Student Resources Canvas Page https://canvas.uw.edu/courses/1178516

https://canvas.uw.edu/courses/1178516


TABLE OF CONTENTS

SECTION 1 – INTRODUCTION ................................................................................................................................ - 5 - WELCOME .............................................................................................................................................................................. - 5 - ABOUT THIS HANDBOOK ....................................................................................................................................................... - 5 -

Websites ................................................................................................................................................................. - 5 - Program Staff ........................................................................................................................................................ - 5 - Office Locations .................................................................................................................................................... - 5 -

SECTION 2 – PROGRAM LOGISTICS .................................................................................................................... - 6 - PROGRAM WEBSITES AND LISTSERVS .................................................................................................................................. - 6 -

Websites ................................................................................................................................................................. - 6 - PhD Student Email Lists ..................................................................................................................................... - 6 - Establishing A Students-Only Email List.................................................................................................................. - 6 - Computing Requirements/Information ........................................................................................................... - 6 -

STUDENT FACILITIES ............................................................................................................................................................. - 6 - Mailboxes ............................................................................................................................................................... - 6 - Student Office Space ........................................................................................................................................... - 6 - Keys .......................................................................................................................................................................... - 7 -

ACADEMYHEALTH STUDENT CHAPTER ............................................................................................................................... - 7 - FINANCIAL INFORMATION ..................................................................................................................................................... - 7 -

Tuition and Fees ................................................................................................................................................... - 7 - Tuition Waivers .................................................................................................................................................... - 7 - UW Assistantships .................................................................................................................................................... - 7 - Graduate Fellowships & Traineeships ..................................................................................................................... - 8 - Employee Tuition Exemption .................................................................................................................................... - 8 - Research Assistantships, Teaching Assistantships, and Staff Assistantships .......................................... - 8 -

REGISTRATION INFORMATION .............................................................................................................................................. - 9 - Codes ........................................................................................................................................................................ - 9 - General Registration Tips & Best Practices ................................................................................................... - 10 - How many credits do PhD students register for? ................................................................................................... - 10 - When can students register for dissertation credits? ............................................................................................. - 10 - How many dissertation credits can students take per quarter?.............................................................................. - 10 - I still need help fixing a registration problem. What can I do? .............................................................................. - 10 -

STUDENT GRIEVANCE PROCEDURES................................................................................................................................... - 11 - Conflict Resolution Process .............................................................................................................................. - 11 - The Office of the Ombuds ................................................................................................................................ - 11 - Employment-Related Grievances for UW/UAW Labor Contract Positions............................................. - 11 -

SECTION 3 – PROGRAM STRUCTURE ................................................................................................................ - 12 - MISSION AND GOALS ........................................................................................................................................................... - 12 - PROGRAM STRUCTURE AND GOVERNANCE ........................................................................................................................ - 12 -

Program Director and Associate Director ...................................................................................................... - 12 - Admissions Committee (Chair: Dr. Emily Williams, Program Director) ................................................. - 12 - Academic Affairs Committee (AAC) (Chair: Dr. Jesse Jones-Smith, Associate Director) .................... - 13 -

PROGRAM CORE COMPETENCIES ....................................................................................................................................... - 13 -

SECTION 4 – PROGRAM REQUIREMENTS ........................................................................................................ - 15 - CURRICULUM ....................................................................................................................................................................... - 15 -

Required Courses ............................................................................................................................................... - 16 - Suggested Courses .................................................................................................................................................. - 17 - Doctoral Seminar Attendance Policy (8 seminar classes) ........................................................................... - 18 - Overview ................................................................................................................................................................ - 18 - Approved Seminar Classes ..................................................................................................................................... - 18 - AHRQ R36 Dissertation Grant Funding and PhD Seminar ................................................................................... - 19 - Area of Emphasis (5 courses; 15 credits) ......................................................................................................... - 20 - Concept .................................................................................................................................................................. - 20 -


Review and Approval.............................................................................................................................................. - 20 - Substituting AOE Courses ...................................................................................................................................... - 20 - Work in Progress ................................................................................................................................................ - 20 - Transfers and Waivers ....................................................................................................................................... - 21 -

TRAININGS ........................................................................................................................................................................... - 22 - Working with Human Subjects ....................................................................................................................... - 22 - Responsible Conduct of Research ................................................................................................................... - 22 -

EVALUATING STUDENT PROGRESS ..................................................................................................................................... - 22 - Grading System for Graduate Students at the University of Washington .............................................. - 22 - Faculty and Student Norms for Course Participation.................................................................................. - 25 - Mentorship .......................................................................................................................................................... - 26 - PhD Program Committee Faculty .......................................................................................................................... - 26 - Individual Development Plans (IDP) ..................................................................................................................... - 26 - Policy on Unsatisfactory Performance and Progress ................................................................................... - 27 - Satisfactory Performance and Progress ................................................................................................................. - 27 - Guidelines for Recommended Action ..................................................................................................................... - 28 - Progress Review .................................................................................................................................................. - 30 -

SECTION 5 –PRELINARY EXAM ............................................................................................................................ - 31 - PRELIMINARY EXAMINATION ............................................................................................................................................. - 31 -

Schedule and Structure ..................................................................................................................................... - 31 - Scoring/Evaluation ............................................................................................................................................. - 31 -

SECTION 6 – STEPS TO A DISSERTATION ........................................................................................................ - 32 - STEP 1—WORKING CLOSELY WITH A MENTOR TO CHOOSE A DISSERTATION TOPIC, DEVELOP RESEARCH QUESTIONS, AND FORM A DOCTORAL SUPERVISORY COMMITTEE ................................................................................................................. - 32 -

Structure and Function of the Doctoral Supervisory Committee .............................................................. - 33 - Chair...................................................................................................................................................................... - 33 - Chair Responsibilities ............................................................................................................................................ - 33 - Graduate School Representative (GSR) ......................................................................................................... - 34 - Changing Chair/Members of a Supervisory Committee............................................................................. - 35 - Changes to Dissertation: Minor versus Major .............................................................................................. - 35 -

STEP 2—PRELIMINARY DISSERTATION PROPOSAL (PDP) ................................................................................................ - 35 - Prerequisites ........................................................................................................................................................ - 35 - Writing the PDP: Formatting Requirements ................................................................................................ - 36 - Specific Key Formatting Guidelines and Page Limits ............................................................................................ - 36 - Sections .................................................................................................................................................................. - 36 - Scheduling AAC Review and Identifying an External Reviewer ............................................................. - 38 - Submitting the PDP for AAC Review ............................................................................................................ - 39 - Committee Chair’s Presentations of their Students PDPs to the AAC ..................................................... - 39 - AAC Review and Outcome ............................................................................................................................... - 39 -

STEP 3—GENERAL EXAMINATION (WRITTEN EXAM AND ORAL EXAM) .......................................................................... - 40 - Written Examination (General Exam Part 1) .................................................................................................. - 40 - Format, Timeline and Process ............................................................................................................................... - 40 - Scoring and Outcome ............................................................................................................................................. - 41 - HSERV 800 Dissertation Credits ........................................................................................................................... - 41 - Oral Examination (General Exam Part 2) ....................................................................................................... - 41 - Requirements for Attendance ................................................................................................................................. - 41 - Timing and Registration Requirements .................................................................................................................. - 41 - Scheduling .............................................................................................................................................................. - 41 - Publicizing and hosting the event ........................................................................................................................... - 42 - Format .................................................................................................................................................................... - 42 - Evaluation and Outcome ........................................................................................................................................ - 42 -

STEP 4 – FINAL DISSERTATION PROPOSAL (FDP) ................................................................................................ - 42 - STEP 5 – CONDUCTING DISSERTATION RESEARCH ............................................................................................ - 42 -

Tips for Time Management/Sample Schedules ............................................................................................ - 43 - Final Dissertation Format ................................................................................................................................. - 45 -


Chapters 2 - 4: Three Articles ................................................................................................................................ - 46 - STEP 6—FORM DISSERTATION READING COMMITTEE ..................................................................................................... - 46 - STEP 7—DISSERTATION DEFENSE (FINAL EXAMINATION) ............................................................................................... - 46 -

Requirements for Attendance ................................................................................................................................. - 46 - Scheduling and Requesting an Exam with the Graduate School ............................................................................ - 47 - Publicizing and hosting the event ........................................................................................................................... - 47 - Format .................................................................................................................................................................... - 47 -

STEP 8—FINAL STEPS AND GRADUATION .......................................................................................................................... - 47 -


SECTION 1 – INTRODUCTION

WELCOME Welcome to the PhD Program in Health Services Student Handbook! We hope this will be a useful resource to students during their studies at the University of Washington’s School of Public Health. Please contact the Student Services Counselor, Emily Bernet, ([email protected]) with questions about this document. ABOUT THIS HANDBOOK

Websites

Web URLs in this document were current as of Autumn 2019. However, web URLs are subject to change without notice. If a broken link is discovered, please inform the Student Services Counselor at [email protected].

Program Staff

PhD Program directors and staff are listed below with their contact information. Title Name Email Phone Office

Program Director Dr. Emily Williams [email protected] 206-277-6133 H670E Associate Program Director Dr. Jesse Jones-Smith [email protected] 206-685-4579 306B Raitt Program Manager Suzanne Yates [email protected] 206-616-2979 H690G Student Services Counselor Emily Bernet [email protected] 206-221-4504 H690B

Office Locations

The Program Director and support staff are located in the H-wing of the Health Sciences Building on the 6th floor (http://www.washington.edu/maps/#!/hsh). The 6th floor of the H-wing does not connect to other wings in the Health Sciences Building. For easiest access, please take the elevators labeled 69 & 70 next to the Rotunda Café directly to the 6th floor. There are staff in the Health Services H-690 office who can help find offices located within our wing.

mailto:[email protected]






http://www.washington.edu/maps/#!/hsh


SECTION 2 – PROGRAM LOGISTICS PROGRAM WEBSITES AND LISTSERVS

Websites

Health Services PhD Program: http://depts.washington.edu/hservphd/ Health Services Department: http://depts.washington.edu/hserv/ School of Public Health: http://www.sph.washington.edu/ UW Graduate School: http://www.grad.washington.edu/ PhD Student Email Lists

All Health Services PhD Students [email protected] First-year PhD Students [email protected] PhD and Post-doctoral Alumni [email protected] NOTE: Email sent to these lists will also be sent to the Program Director, Associate Director, Manager and Student Services Counselor. Only subscribed users can email the listserv.

Establishing a Students-Only Email List Because the official program lists function as official conduits, students may wish to have a mailing list for students only. The UW offers free UW Mailman lists to any student in the furtherance of their education and research. These lists are not monitored, and they are simple to set up and administer: go to http://www.washington.edu/itconnect/connect/email/mailman/owners-and-moderators-guide/#starting. The Student Services Counselor can assist if needed.

Computing Requirements/Information

The PhD Program requires students to own a computer. STUDENT FACILITIES

Mailboxes

Student mailboxes are located near the elevators on the 6th floor of the H-wing. Departmental and program announcements will be placed in these mailboxes, and instructors may return graded papers and exams to them. The address is the department name (Health Services – PhD) and mail stop (Box 357660). Student Office Space

All PhD Students have access to a private, secure, shared communal office space in the T-wing, near the Health Sciences libraries. The space is equipped with a small number of desktop computers, software (Stata, SPSS, SAS, EndNote, Microsoft Office, etc.) and printers, as well as Ethernet jacks for laptop connectivity. A small (6 seat) conference room is available solely for PhD Students. The space can be used for informal group discussions and study sessions.

Health Sciences T-Wing T-341 Suite Rooms: 329A, 329B, 329C

http://depts.washington.edu/hservphd/

http://depts.washington.edu/hserv/

http://www.sph.washington.edu/

http://www.grad.washington.edu/





http://www.washington.edu/itconnect/connect/email/mailman/owners-and-moderators-guide/#starting


Keys • Entrance to suite (T341): key # 24F38 or 24F-38 • PhD Student Space room (T329): key # 24F41 or 24F-41 Each incoming PhD student will receive copies of the above keys, and should return them to the Student Services Counselor prior to graduation.

ACADEMYHEALTH STUDENT CHAPTER The student chapter of AcademyHealth is the primary health services research organization. This is a Registered Student Organization (RSO) at the University of Washington, with students filling the leadership and member positions. Please contact the Student Services Counselor ([email protected]) for more information about membership and upcoming events. FINANCIAL INFORMATION

Tuition and Fees

Summary information about tuition and fees can be found here: http://sph.washington.edu/prospective/tuition.asp Comprehensive information broken down by quarter can be found here: http://opb.washington.edu/content/tuition-and-required-fees Select “Graduate Student Tuition and Fees”. Use the filter section to select residency status, level (doctoral), and graduate program (Health Services). Tuition Waivers

There are different classes of tuition waivers at the University of Washington. Below is an explanation of these tuition waivers, plus associated forms of student support, and how they are administered.

UW Assistantships Students must be enrolled for at least ten credits (two credits in summer quarter) to receive a graduate tuition waiver. Research Assistantships (RAs), Teaching Assistantships (TAs), and Staff Assistantships (SAs) at .50FTE AUTOMATICALLY receive the following benefits:

a. Resident Operating Fee Waiver (most of resident tuition). b. An exemption from the non-resident differential portion of tuition (NRD) if the appointee is

non-state resident. c. An exemption from the technology fee. d. Graduate Appointee health insurance paid for by the University for the appointee, and half

the cost of insuring their dependents. Students should be sure to fill out the insurance form and submit it by the quarterly due date (see graduate appointee insurance information) and be registered for 10 credits by the 10th day of the quarter. The Graduate Appointee Insurance Program (GAIP) website is located at: http://www.washington.edu/admin/hr/benefits/insure/gaip/


http://sph.washington.edu/prospective/tuition.asp

http://opb.washington.edu/content/tuition-and-required-fees

http://www.washington.edu/admin/hr/benefits/insure/gaip/


Notes: • A University of Washington TA position covers the cost of tuition UP TO 18 credits during

the academic year. If a student registers for more than 18 credits during the academic year, he or she would pay the difference out of pocket.

• Some RA positions do not always include a tuition waiver. Students should speak with the PI or grant administrator for details about non-UW RA appointment benefits.

Graduate Fellowships & Traineeships If the fellowship or traineeship provides a tuition waiver, it will be requested by the staff member in charge of administering it. USUALLY the same exemptions and health insurance benefits are received as with RA/TA/SA appointments. If the fellowship, traineeship, or other competitive award does not include a tuition waiver, it may be possible for the Department to request one from the Graduate School’s Fellowship Division. Students should check with the PhD Program Manager if they receive one of these. Employee Tuition Exemption Staff or faculty employees of the University of Washington or of Washington State may qualify for tuition exemption. This exemption does not apply to RA/TA/SA positions (see UW Assistantships information). Every quarter, eligible employees must submit a completed Faculty Staff Tuition Exemption Request (Form UoW 1374) or Application for Tuition Exemption Program (Form UoW 1250 for non-UW employees) to the Registration Office, 225 Schmitz Hall, Box 355850, Seattle, Washington, 98195-8580, at least ten days before the quarter begins. Tuition Exemption Forms are available online at http://depts.washington.edu/registra/forms/staffindex.php or at the Office of the Registrar. When using tuition exemption, registration is available the 3rd day of the quarter. Note: HSERV 600 independent study and HSERV 800 dissertation credits are not eligible for tuition waiver exemption under the Faculty/Staff Tuition Exemption Program. The waiver covers courses numbered 599 and under.

For more information, see http://www.washington.edu/students/reg/tuition_exempt.html

Research Assistantships, Teaching Assistantships, and Staff Assistantships

Teaching assistant (TA), research assistant (RA), and staff assistant (SA) positions are available through various departments in the University. Many TA, RA, SA appointments, and other student positions are labor union positions (with a few exceptions, such as the GSFEI first-year no-service RA appointments) and are governed by the UW/UAW contract. Information about the contract is available from the Academic Student Employees (ASE) website, located at: http://www.washington.edu/admin/hr/laborrel/contracts/uaw/addons/

http://depts.washington.edu/registra/forms/staffindex.php

http://depts.washington.edu/registra/offices.html#Q6

http://www.washington.edu/students/reg/tuition_exempt.html

http://www.washington.edu/admin/hr/laborrel/contracts/uaw/addons/


Some Graduate Student Service Appointment (GSSA) positions are posted on the UW Human Resources website. To view current employment listings, visit the Handshake site https://careers.uw.edu/resources/?ctag%5B%5D=job-search. Opportunities in our Department are listed on our website at http://depts.washington.edu/hserv/jobs. The Fred Hutchinson Cancer Research Center, the Center for Health Studies at Group Health, and the VA Medical Center also have positions available to students. We will email position announcements as we hear of available RA and TA appointments within the Department and elsewhere. Though the Health Services Department cannot guarantee all students will be eligible for or placed in a TA, RA, or SA position, the PhD program directors and staff can help navigate opportunities.

REGISTRATION INFORMATION

Students are responsible for registering themselves for the appropriate classes each quarter during the corresponding registration window. The registration window for every quarter, along with other important dates and deadlines can be found on the UW Academic Calendar: http://www.washington.edu/students/reg/calendar.html. Information on how to register for courses can be found on the Registrar’s website: https://helpcenter.uw.edu/registration-resources/. There are two main ways to register for courses.

1. Registering with MyPlan: MyPlan is a course planning and registration tool accessed in MyUW. It’s a helpful tool to plan out future courses. However, it can sometimes produce errors when trying to register for Graduate courses, so if there’s an error with MyPlan, try registering with the SLN number.

2. Registering with an SLN: The registration via SLN portal, accessible via MyUW, allows enrollment in courses directly with an SLN number which can be found on the UW Time Schedule.

The UW Time Schedule is the quarterly class schedule website: https://www.washington.edu/students/timeschd/. Please check the Time Schedule when looking for available courses, instructions on how to get add codes, or any other course specific information.

Codes

Some courses may require add codes or faculty codes for enrollment. Add codes are used to control who can enroll in a course. If a course requires an add code, refer to the Time Schedule for instructions on how to obtain the add code. If a course requires a faculty code, such as independent study or dissertation credits, contact the faculty advisor or the Student Services Counselor. Courses that require add codes are usually impacted or limited in size. Students should request add codes EARLY in the registration window. Even if they are unable to register until a later date, an add codes holds a seat in the course.

https://careers.uw.edu/resources/?ctag%5B%5D=job-search

http://depts.washington.edu/hserv/jobs

http://www.washington.edu/students/reg/calendar.html

https://helpcenter.uw.edu/registration-resources/

https://www.washington.edu/students/timeschd/


General Registration Tips & Best Practices

How many credits do PhD students register for?

Ten credits is considered full-time for a graduate student, and needed to maintain at least this level of enrollment for some forms of financial aid, and also for appointments on training grants and for RA/TA positions.

The Grad School requires enrollment (≥1 credit) when the Oral General and Final exams are taken. If the defense and submission of the dissertation occur across the boundaries of an academic quarter, students must be registered both for the quarter in which they defend and for the quarter in which they submit (≥1 credit each quarter). For some RA positions -- and for TAs or students on a training grant -- students need to be registered for at least 2 credits in the summer. Other students do not typically need to register in the summer.

When can students register for dissertation credits?

Students may begin taking dissertation credits (HSERV 800) once they have formed a dissertation supervisory committee and have passed the written general exam. If the committee approves, a student may begin taking these credits in the same quarter as the exam is taken.

How many dissertation credits can students take per quarter?

Students may take up to 10 dissertation credits per academic quarter, as per Graduate School policy, which states: "With the exception of summer quarter, students are limited to a maximum of 10 credits per quarter of dissertation (800)." Dissertation credits must be spread out “over a period of at least three quarters.” The ideal way to satisfy this requirement is to register for 10 dissertation credits over three consecutive quarters. More information from the Graduate School on these issues is here: http://grad.uw.edu/policies-procedures/doctoral-degree-policies/doctoral-degree-requirements/

I still need help fixing a registration problem. What can I do?

Intervention from the Registrar’s Office is needed if a student drops a course late and wants to re-add it, to recover a registration-related fee that shouldn’t have been received, to audit a course, or to take a course that conflicts in time with another (with instructor’s permission). Forms are available here: https://registrar.washington.edu/students/student-forms/ . The most commonly used form is the “Registration Transaction Form.” The Student Services Counselor and Program Manager are always happy to answer questions about registration. Please do not hesitate to contact us for any remaining questions.

http://grad.uw.edu/policies-procedures/doctoral-degree-policies/doctoral-degree-requirements/

http://grad.uw.edu/policies-procedures/doctoral-degree-policies/doctoral-degree-requirements/

https://registrar.washington.edu/students/student-forms/


STUDENT GRIEVANCE PROCEDURES Conflict Resolution Process

In the rare case that a conflict and/or grievance arises, PhD program directors and staff are available for support. In the Graduate School’s Memo 33, “Academic Grievance Procedure” both formal and informal processes are described. http://grad.uw.edu/policies-procedures/graduate-school-memoranda/memo-33-academic-grievance-procedure/. We encourage trying to address the problem “locally” before escalating the resolution process, as needed. This includes first discussing the situation with the mentor, then the Program Director. If a student has not been able to resolve the problem or achieve desired results after talking with one of these individuals, they should next make an appointment with the Health Services Department Chair. Alternatively, depending on the type of concern, they may also consult the Health Services Department administrator. If a resolution has still not been achieved, students should follow the UW Graduate School grievance procedures outlined in the link above. Per UW Graduate School policy, students with a grievance should initiate resolution (either at the program or departmental level or through the informal conciliation or formal complaint filing processes) within three months of the relevant incident.

The Office of the Ombuds

The Office of the Ombuds of the University of Washington has been established to assist in the protection of the rights of all members of the University community. In order to facilitate early and informal resolution of grievances, the Ombuds will be available, at the request of any party concerned, to act as an impartial conciliator. The Office of the Ombuds may be called upon to intervene in the grievance procedure at any stage. To make an appointment with the Ombud, please contact 206-543-6028 or [email protected]. Employment-Related Grievances for UW/UAW Labor Contract Positions

If a complaint arises from circumstances or an incident related to Academic Student Employment RA, TA, or SA appointment that is governed by the UW/UAW labor contract, please follow the union’s grievance procedures: https://hr.uw.edu/labor/academic-and-student-unions/uaw-ase

http://grad.uw.edu/policies-procedures/graduate-school-memoranda/memo-33-academic-grievance-procedure/


https://hr.uw.edu/labor/academic-and-student-unions/uaw-ase


SECTION 3 – PROGRAM STRUCTURE MISSION AND GOALS The mission of the Health Services PhD Program is to train the next generation of health services researcher and to prepare them to provide leadership in the field. The program is designed to prepare graduates for research careers in universities, research and policy-making organizations, the healthcare industry, and government agencies. Its goal is to train health services researchers and health policy analysts to conduct independent, collaborative research by offering multidisciplinary, applied research opportunities under the close mentorship of faculty. The program distinguishes itself from others by, first, providing a curriculum that balances comprehensive knowledge of the determinants and disparities of population health with knowledge of the health care system and health policy. Second, it provides rigorous methodology training in key disciplines so that students can conduct interdisciplinary research and translate it into practice and policy. Students also acquire expertise in an Area of Emphasis through intensive preparation in theory, content, and methods. Detailed information about the Areas of Emphasis can be accessed here: http://depts.washington.edu/hservphd/emphasis Working collaboratively with faculty, each student applies the expertise gained from their chosen area to health services research and health policy issues. PROGRAM STRUCTURE AND GOVERNANCE

Program Director and Associate Director

The program leadership is carried out by Program Director, Dr. Emily Williams and Associate Program Director, Dr. Jesse Jones-Smith. The program is supported by a student services counselor. Together, this team is responsible for the overall direction of the program and its committees and ensuring students meet and exceed doctoral program competencies in student-centered ways. This includes overseeing curriculum and teaching, building relationships with faculty and members of internal and external research partners to enable mentorship and training opportunities with students, supporting and recognizing students, and growing and maintaining community of the program within the program, as well as within the department of Health Services, the School of Public Health, and the University of Washington. In addition to leadership team meetings, the operations of the PhD program are supported by two committees—the Admissions Committee and the Academic Affairs Committee (detailed below). Both committees include student representatives. Admissions Committee (Chair: Dr. Emily Williams, Program Director)

The Admissions Committee oversees recruitment and admissions processes, and allocates merit-based funding to students. The Committee is comprised of the program director and associate director, as well as representatives from across the department, and aims to identify and recruit the top candidates with strengths across multiple domains and research interests that overlap with faculty research interests to optimally support students and create mutually beneficial mentorship relationships with faculty.

http://depts.washington.edu/hservphd/emphasis


Academic Affairs Committee (AAC) (Chair: Dr. Jesse Jones-Smith, Associate Director)

The Academic Affairs Committee (AAC) sets overall program competencies and policies, reviews student progress, and provides leadership for strategic planning for the program. The AAC is comprised of the program director and associate director, as well as faculty who serve as lead instructors for core program courses. The AAC meets monthly and has broad responsibility for curriculum development and maintenance, and review and oversight of student affairs, including preliminary exam development and grading, and review of the Preliminary Dissertation Proposal. It also approves students’ Area of Emphasis applications.

PROGRAM CORE COMPETENCIES The PhD program’s goals translate to specific learning objectives and competencies for trainees. The competencies, which follow, are worded in the form of “action” statements to assure and measure specific achievements in competencies and skills. Learning objectives are incorporated in the PhD program via formal coursework, mentorship, and research and experiential training opportunities.

HSERV PHD CORE COMPETENCIES 2019 Domain Sub-Domain Competency Foundational Knowledge

Develop content expertise in the context of health and healthcare systems, institutions, actors, and the environment focusing on the determinants, trends and major issues confronting U.S. healthcare/policy and its effect on individual and population health and health inequities.

Conceptual Knowledge

Understand and contribute to theory and conceptual models relevant to health services research and the range of related disciplines.

Specialized Knowledge

Develop in-depth substantive disciplinary knowledge and methods skills in an area of emphasis and apply to health services problems.

Conduct of HSERV Research

Relevant and important HSR question development

Pose important research questions informed by structured evidence assessment, stakeholder positions, and pertinent theoretical and conceptual models and formulate solutions to health problems, practice and policy.

Applying conceptual models to operational methods

Use theory and conceptual models to specify relevant study constructs and develop variables that reliably and validly measure these constructs.

Study designs Develop and execute study designs to appropriately address specific health services research questions while recognizing their strengths and weaknesses.

Data collection Understand how to sample and collect primary health and health care data via survey, abstraction of medical records data, or qualitative methods, and assemble and manage existing data from public and private sources.

Research study conduct and management

Ensure the ethical and responsible conduct of research in the design, implementation and dissemination of HS research, including executing and documenting procedures that ensure the


reproducibility of the science, responsibly managing resources, and ensuring the ethical treatment of research subjects.

Data analysis Demonstrate proficiency in the appropriate application of analytical techniques to evaluate HSR questions.

Professional Development

Collaboration Work collaboratively in multidisciplinary teams, across disciplines, and/or with stakeholders.

Effective communication

Effectively communicate the process, findings, and implications of health services research through multiple modalities with internal and external stakeholders.

Knowledge transfer

Use knowledge of the structures, process/quality, performance, policy, and environmental context to formulate solutions for health and health care problems.

Critical Appraisal and Writing

Demonstrate competence in critical appraisal and writing of grants and journal articles.

Publication Publish first-author health services research in peer-reviewed literature.

The School of Public Health also has learning objectives for the PhD program, which are available on the website: https://sph.washington.edu/program/competencies-all-degrees Current competencies were updated by the program director and associate director in August 2019 and approved by the AAC in September 2019.

https://sph.washington.edu/program/competencies-all-degrees


SECTION 4 – PROGRAM REQUIREMENTS CURRICULUM All students admitted to the PhD program are required to complete a minimum of 100 credits. This curricular requirement includes:

• Required Courses, including doctoral courses in Advanced Theory and Methods in Health Services, a minimum of 30 dissertation credits, and a minimum of 5 courses (15 credits) in an Area of Emphasis

Other requirements for the PhD program include:

• Preliminary examination • Dissertation

o Preliminary Dissertation Proposal o General Exam

Written examination Final Dissertation Proposal Oral examination

o Written Dissertation (5 chapters with 3 paper format) At least two papers submitted for publication to peer-review journals >2 months from

defense o Dissertation defense (Final examination)

Please see examples of sample schedules on the website: http://depts.washington.edu/hservphd/sample-schedules

http://depts.washington.edu/hservphd/sample-schedules

http://depts.washington.edu/hservphd/sample-schedules


Required Courses

Course No. Course Title Credits Notes HSERV 512 Health Systems and Policy 3 HSERV 513 Health Policy Research 3 HSERV 514 Social Determinants of Population

Health and Health Disparities 3

HSMGMT 514 Health Economics 4 BIOST 511 Medical Biometry I 4 BIOST 517/518 series

BIOST 512 Medical Biometry II 4 BIOST 513 Medical Biometry III 4 EPI 512 Epidemiologic Methods I 4 EPI 513 Epidemiologic Methods II 4 HSERV 522 Program Evaluation 4 For students starting 2018

and beyond without previous Program Eval coursework

HSERV 523 Advanced Health Services Research Methods I 5

HSERV 524 Advanced Health Services Research Methods II 5

HSERV 525 Advanced Health Services Research Methods III 5

HSERV 579 Racism & Public Health 1 For students starting 2017 and beyond

HSERV 578 Preparing Writing and Critiquing Scientific Research Proposals 3 For students starting 2017

and beyond HSERV 592 PhD Seminar (5 quarters required) 10 total 3 additional quarters of seminar Varies Minimum 3 See Doctoral Seminar

Attendance Policy HSERV 800 Dissertation credits Minimum 30 Area of Emphasis courses Varies Minimum 15 CS&SS 508 Introduction to R for Social Scientists 1 One theory course from the following list:

• HSERV 590, Organizational Theory and Applications in the Study of Health Services • PPM 506 (4), Advanced Microeconomics for Policy Analysis • SOC 510 (3), Seminar in Sociological Theory • CSDE 513/SOC 513 (3), Demography and Ecology (Students completing the CSDE Graduate Certificate must

take a different theory course) • SOC 518 (3), Social Stratification • HSERV 581 (4), Strategies of Health Promotion (Not an option for SDOH AOE students) • HSERV 548 (3), Research Methods of Social and Contextual Determinants of Health (Not an option for SDOH

AOE students) The required courses consist of a minimum of 100 credit hours concerning general health services knowledge, theory, and methods.* These courses emphasize the interdisciplinary nature of health services research. Course descriptions are available online in the course catalog: https://www.washington.edu/students/crscat/hlthsvcs.html Advanced students entering with equivalent training in these areas are allowed to opt out of a specific course by passing an exam or presenting documentation of the level of coursework completed. (See “Transfers and Waivers,” below, for information about the procedure for petitioning for a waiver.)

https://www.washington.edu/students/crscat/hlthsvcs.html


*100 is the actual minimum credit load to graduate with a PhD from our program, per an agreement with the Graduate School in the Program’s founding documents. The variation in minimum credit hours depends on which required courses are selected, when courses with varying credit loads may fulfill the same requirement.

Suggested Courses

• Students are strongly encouraged to take additional research methods courses that aid their

dissertation work. • Doctoral students are strongly encouraged to pursue independent studies (HSERV 600) under

faculty supervision, or to conduct collaborative research by working as research assistants on faculty projects. These collaborations provide a base of experience from which the doctoral student can form a research question and conduct dissertation research.


Doctoral Seminar Attendance Policy (8 seminar classes)

Overview The elements of the PhD Seminar attendance policy are as follows:

1) Student must complete eight (8) seminar classes from the approved list.

2) At least 5 of the seminars must be the PhD Program Seminar (HSERV 592H). Doctoral students in

their first year of the Program are required to attend the PhD seminar in Autumn and Winter quarter in their first year of the Program.

3) The remaining 3 seminar classes may be fulfilled by attending other research-oriented seminars that

meet weekly and have an organizational sponsor. Some of these seminars have a UW course number, and students sign up for the seminars through the UW registration system (see Section A below). Other seminars may not have a course number and require documentation of weekly attendance (for example, PHeNOM and KPWHRI host weekly research seminars; attendance required for at least 80% of the weekly sessions; see Section B below).

If a student wants to take a seminar that is not listed in “Approved Seminar Classes” below, prior approval from the PhD Program Director is required.

Approved Seminar Classes

A. The following seminars with UW course numbers are approved as counting toward the requirement

of attending 8 seminar classes:

Couse No. Course Title Credits BH 560 CGHE Summer Health Seminar: Genomics, Ethics, and Policy 1 CSDE 501 Population Studies Seminar Series 1 CSDE 502 Population Studies Proseminar 1-2 CS&SS 590 CSSS Seminar 1 EPI 583 Epidemiology Seminar 1 FIN 599 Doctoral Seminar in Finance 1 GH 580 Doctoral Seminar 2 HSERV 592I Bio-Behavioral Cancer Affinity Group Seminar 1 PHARM 597 Graduate Seminar (CHOICE) 1 UCONJ 599 Clinical Research Seminar (ITHS) 1

B. The following seminars without individual UW course numbers usually meet weekly and are

approved as counting toward the requirement of attending 8 seminar classes:

Course No. Course Title Credits HSERV 592 – Section G KPWHRI Seminar* 1 HSERV 592 – Section G PHEnOM Seminar 1

*The KPWHRI (formerly GHRI) seminar may not offer 10 sessions in a given quarter. If the seminar schedule is less than 10 sessions, students will need to attend another approved seminar (e.g., PHEnOM), to make up the missing seminars, meet the minimum attendance requirement, and receive credit.


To receive credit for a course without a UW course number, students must complete three requirements.

1) Register for the seminar using HSERV 592 – Section G. Please register for one (1) credit, where the grade is credit/no credit.

2) Complete the Seminar Attendance Record available on the PhD Resources Canvas Page: https://canvas.uw.edu/courses/1178516/modules. The first column indicates the session number, and the assumption is that the seminar will have 10 sessions corresponding to the 10 weeks of the quarter. In the second column, please enter the name of the speaker. The third column is documentation of attendance. In each week of the seminar, a student asks the faculty/leader of the seminar to initial/sign the attendance sheet for that week (for example, this could be done before or after the seminar starts). When the quarter is over, please scan the attendance sheet and send the pdf to the PhD Student Services Counselor, who will add it to the student’s file for documentation and notify the PhD Program Director. The student should retain the original attendance sheet for her/his records.

3) In most cases, weekly seminars in this category are assumed to meet 10 times in a quarter, and attendance at 80% of the sessions is required to receive credit. Please note that the PhD Program Director is the UW faculty of record for the seminars in this section. After documentation of seminar attendance is received, the PhD Program Director will authorize credit at the end of the quarter.

AHRQ R36 Dissertation Grant Funding and PhD Seminar

In general, all students in the program must complete 8 seminar classes. However, the AHRQ R36 dissertation grant RFA requires student awardees to have completed all non-dissertation work (including seminar classes) at the time of grant submission, and the program wishes to make a provision so that otherwise eligible students may still be able to apply for the award. Therefore, in the event that a student applies for an AHRQ R36 dissertation grant, yet has completed fewer than the required 8 seminar classes, he or she may waive up to 2 (out of 8) seminar classes. No waivers will be given to students who have completed fewer than 6 of the 8 seminar classes. Students requesting this waiver should forward documentation of the AHRQ R36 grant submission to the Program Director and Student Services Counselor.

https://canvas.uw.edu/courses/1178516/modules


Area of Emphasis (5 courses; 15 credits)

Concept

Students are required to define an individual Area of Emphasis (AOE) and take a minimum of 5 courses (15 credits) in this area. Areas of Emphasis are outlined here: http://depts.washington.edu/hservphd/emphasis The specific elective courses to be taken are selected by the student and his/her mentor based on the student's past course work, experience, proposed dissertation topic area, and future job goals. In general, only 500-level courses with 3 credits or more apply, and 400- or 600-level courses do not qualify (but might be considered if no equivalent 500-level course is available). Students should take the AOE courses for a decimal grade. AOE courses may not be taken S/NS. Students demonstrate their proficiency in the AOE as part of the written General Exam. It is anticipated that the expertise gained through taking the AOE courses will aid students in their job search, as well as make them desirable members of research project teams. Students who have completed the MS in Health Services at the University of Washington must complete, at a minimum, five new courses to complete their AOE requirement.

Review and Approval The AOE form (available from the PhD program Student Resources Canvas Page; https://canvas.uw.edu/courses/1178516/modules) should be completed by the student in the first-person, and must entail a thoughtful reflection on the coursework. The AOE form needs to be signed and approved by student and mentor, and then submitted to the Student Services Counselor. We recommend the student completes the form before any AOE courses, as the PhD Academic Affairs Committee (AAC) must give final approval of the proposed AOE and courses. This is because the Committee, upon review, may require revisions or additions to any proposed AOE. Substituting AOE Courses The PhD program requires that students complete a minimum of 5 courses (15 credits) in an Area of Emphasis. If a student has mastered the content for a required course in an AOE, and does not wish to take that course, he or she must: 1) Follow the process for waiving a required course, including completing the course waiver

petition available on the PhD Student Resources Canvas page, and 2) Substitute another course. It is not permissible to complete an AOE with fewer than 5 courses.

Work in Progress

Each student is required to give one research Work in Progress (WIP) presentation in doctoral seminar before graduation. Students may give additional WIPs as the schedule allows.

http://depts.washington.edu/hservphd/emphasis



Students must sign up for a WIP session by completing a WIP Form (https://canvas.uw.edu/courses/1178516/modules), which they submit to the Student Services Counselor at least four weeks prior to the quarter start. Any handouts or readings associated with the presentation must be sent to the course instructor (Program Director Dr. Emily Williams) and the Student Services Counselor at least 1 week before the scheduled session. Transfers and Waivers

To waive a course or to substitute a course from another school for one of the required courses in Health Services (prefixes HSERV or HSMGMT), a petition must be submitted, including the course description and syllabus to the Health Services faculty member who teaches the relevant course. After obtaining his/her signature, the petition should be submitted to the PhD Program Director for final approval. The form is available online in the PhD Student Resources Canvas page: https://canvas.uw.edu/courses/1178516/modules.




TRAININGS

Working with Human Subjects

All students must have current certification of IRB training by the end of Autumn quarter. We recommend the CITI training for Human Subjects Protections. CITI also offers other components, such as VA IRB training, and students conducting research at the VA may be required by the VA to complete additional training. The NIH course is also acceptable. Please submit documentation of certification of IRB training to the PhD Program Student Services Counselor. Information on arranging for training (in-person sessions or web-based training) is available at https://www.washington.edu/research/hsd/training/required-training/web-based-citi-training/ . There is no fee for this training. All students who conduct research of any kind involving human subjects are conducting research as member of the UW community. Therefore, all students conducting human subjects research MUST complete the UW’s required Human Subjects Training and MUST obtain either an Internal Review Board (IRB) exemption or IRB approval for the project PRIOR to beginning to work on any aspect of the project (even if you are using previously collected data with approvals at other institutions). IRB approval may take several weeks so it is important to plan ahead. The UW Human Subjects manual is online at http://www.washington.edu/research/hsd/. Responsible Conduct of Research

All students are strongly encouraged to participate in the summer Biomedical Research Integrity (BRI) series on the responsible conduct of research. Students being funded by some training grants, including AHRQ and ERC are required to participate in this series. This series complements the responsible conduct training built into the PhD curriculum. This series consists of 5 lectures, with discussion sessions that may be optional (AHRQ and ERC trainees must attend all 5 lectures and 3 discussion sections). Lectures are also videotaped, but discussion sessions require in-person attendance. For registration and additional information, visit http://depts.washington.edu/uwbri/index.php.

EVALUATING STUDENT PROGRESS Student progress is evaluated in many ways, including course grades, and assessments by mentors, program faculty, and dissertation committees. The preliminary, general written, and oral general exams also serve as methods of evaluating student progress, and will be discussed in context in Section 6, “Steps to a Dissertation.” Student performance and progress is also assessed at the end of each quarter, as part of the Policy on Unsatisfactory Performance and Progress (see below).

Grading System for Graduate Students at the University of Washington

Units that offer graduate degrees use the following numeric grading system for graduate students. Correspondence between number grades and letter grades is as follows:

https://www.washington.edu/research/hsd/training/required-training/web-based-citi-training/

http://www.washington.edu/research/hsd/

http://depts.washington.edu/uwbri/index.php


Numeric Grade-Point Equivalent Letter Grade

4.0 - 3.9 3.8 - 3.5 3.4 - 3.2 3.1 - 2.9 2.8 - 2.5 2.4 - 2.2 2.1 - 1.7 1.6 – 0.0

A A- B+ B B- C+ C E

A minimum of 2.7 is required in each course that is counted toward a graduate degree. A minimum GPA of 3.00 is required for graduation. The Department of Health Services has written descriptive statements for numerical grades for graduate students, which can be found on the website: http://depts.washington.edu/hserv/grading

The following letter grades also may be used:

I Incomplete. An incomplete may be given only when the student has been in attendance and has done satisfactory work to within two weeks of the end of the quarter and has furnished proof satisfactory to the instructor that the work cannot be completed because of illness or other circumstances beyond the student’s control. A written statement giving the reason for the incomplete and indicating the work required to remove it must be filed by the instructor with the head of the unit in which the course is offered. Graduate students should finish incompletes as soon as possible. PhD students will not be allowed to take the preliminary or general exams until all incompletes have been completed. Recipients of training grants only have two quarters, including summer, to convert an incomplete to a grade. Instructors may also have difficulty accepting work which (without compelling reason) is submitted later than the last day of the next quarter. In no case may an incomplete be converted into a passing grade after a lapse of two years or more. An incomplete received by a graduate student does not automatically convert to a 0.0 but will remain a permanent part of the student’s record.

N No Grade. Used only for hyphenated courses and courses numbered 600 (Independent Study or Research), 601 (Internship), 700 (Master’s Thesis), 750 (Internship), or 800 (Doctoral Dissertation). An N grade indicates that satisfactory progress is being made, but evaluation depends on completion of the research, thesis, internship, or dissertation, at which time the instructor or supervisory committee Chair should change the N grade(s) to one reflecting the final evaluation.

S/NS Satisfactory/Not Satisfactory. A graduate student, with the approval of the graduate Program Director or supervisory committee Chair, may elect to be graded S/NS in any numerically graded course for which he or she is eligible. The choice should be indicated at the time of registration or by the first week of the quarter. (As with all registration changes, a $20 change fee will be charged beginning the second week of the quarter.) Only in very unusual cases may S/NS grades be converted to numeric grades or vice-versa. The instructor submits a numeric grade to the Registrar’s Office for conversion to S (numeric grades of 2.7 and above) or NS (grades lower than 2.7). S/NS should not be chosen for courses required by the degree program the student is pursuing, or for some

http://depts.washington.edu/hserv/grading


elective courses counting toward certificate requirements, or for Area of Emphasis courses for the doctoral program.

CR/NC Credit/No Credit. With the approval of the faculty in the academic unit, any course may be designated for grading on the credit/no credit basis. For such courses, the instructor submits a grade of CR or NC to be recorded by the Registrar’s Office for each student in the course at the end of the quarter. In addition to classroom courses, courses numbered 600, 601, 700, 750, and 800 may be graded with a decimal grade, a CR/NC, or N. In general, students should take the AOE courses for a decimal grade. Students requesting to take an AOE course CR/NC should request a written exception from the Faculty Lead for that AOE, and should provide documentation to the Student Services Counselor. (Required AOE courses that the instructor has designated as CR/NC by default do not require written documentation.)

W Withdrawal. Official withdrawal from a course may be done on MyUW through the seventh week of the quarter. Drops are unrestricted during the first two weeks of the quarter and no entry is made on the permanent academic record. Drops after the second week are restricted to one per academic year (September – August). In the third week through the seventh week of the quarter, a W is recorded on the transcript. Refer to the Time Schedule after the seventh week of the quarter. Note: Unofficial withdrawal from a course may result in a grade of 0.0

HW Hardship Withdrawal. Grade assigned when a graduate student is allowed a hardship withdrawal from a course after the seventh week of the quarter.

X Grade Pending. The Grade Recording Office at Schmitz Hall has not received the grade sheet. Check with the instructor of the course on its status if a week has elapsed since the end of exam week and all course requirements were finished on time. The first run of grades occurs on the Monday following exam week; most X’s clear by the end of that week.

The grades of X, W, I (before converting to a decimal grade), and HW count neither as completed credits nor in computation of the GPA. Decimal grades for HSERV 600, 700, and 800 are also not computed into the GPA.


Faculty and Student Norms for Course Participation

Expectations for students’ class performance go beyond grades. Please refer to the following table for course participation norms for both faculty and students.

Faculty Students Have course materials prepared on time (textbooks, reading packs, syllabus/website, and schedule of assignments). Dates should be coordinated with Program Office.

Carefully review syllabi and course expectations. Ask questions for clarification.

Coordinate content of actual class lectures with the assigned readings and class assignment.

Actively participate--be productive before and during class.

Length and content of readings should be appropriate to the class.

Critically read all materials on time (including cases, emails, etc.).

Decide whether and when to provide copies of slides/handouts/extra readings.

Bring copies to class; if received ahead of time via mail, email, or web.

Effectively communicate deadlines. Submit work on time. Give timely, helpful feedback on assignments. Participate in discussion/setting of standards at

the beginning of the first class/session for each course.

Set/discuss standards at the beginning of the first class/session for each course; clearly establish expectations.

Ask for clarification, if necessary.

Lay out goals/objectives in the beginning of each class session.

Know and be able to apply principles, models and concepts that are being taught.

Effectively explain the necessity of learning and using the principles, models, and concepts that are taught.

Have positive, respectful discussions; deal with conflict effectively.

Have positive, respectful discussions; deal with conflict effectively. All parties in a class should be encouraged to respectfully and professionally challenge other’s ideas and comments.

All parties in a class should be encouraged to respectfully and professionally challenge other’s ideas and comments. Be willing to challenge the instructor. Be willing to challenge fellow students.

Come to class and arrive on time. Come to class and arrive on time. Give realistic grades that reflect the Department and Graduate School guidelines. Inform students at the beginning of the quarter of the grading structure and outcomes expectations for the particular course.

Focus less on grades and more on integrative learning.

Decide on additional assistance for the students who would like it.

Seek help when needed.


Mentorship

Prior to entering the Program, all incoming students are assigned a Faculty Advisor. The advisor aids the student in course selection and networking with faculty to begin to think about developing research plans. In the first year of the program, the PhD Program Director also serves as an additional faculty mentor for all incoming students on day-to-day issues and advising, as needed. As the student’s interests evolve, they are encouraged to choose a mentor with expertise in the dissertation topic from among the Department’s graduate faculty. The faculty advisor from Year 1 may or may not go on to serve this role. This mentor is expected to serve as the Chair of the student's doctoral supervisory committee, to aid the student in developing a feasible research topic and agenda and developing a dissertation committee, to provide dissertation curriculum counseling, to assist the student in searching for appropriate funding, and to review the students Individual Development Plan (IDP) on a semi-regular basis.

PhD Program Committee Faculty For a list of all PhD faculty, please visit http://depts.washington.edu/hservphd/faculty

For current contact information and faculty profiles, please visit the Department of Health Services faculty web pages at http://depts.washington.edu/hserv/faculty/, or link to faculty pages from the PhD program listings above.

Individual Development Plans (IDP)

PhD Students and their mentors (first year advisors and then mentors) should meet regularly to work on the student’s Individual Development Plan (IDP). The purpose of the IDP is to prepare students for their future career after graduation from the PhD Program in Health Services. The IDP includes information on the student’s dissertation timeline, coursework choices, funding plans, career goals, professional development, and more. The IDP template can be accessed on the PhD Student Resources page, available here: https://canvas.uw.edu/courses/1178516/files/51087082?module_item_id=7636185 , and should be updated on a regular basis. Every year at the end of October all students should submit their updated IDP to the Student Services Counselor at [email protected].

http://depts.washington.edu/hservphd/faculty

http://depts.washington.edu/hserv/faculty/

https://canvas.uw.edu/courses/1178516/files/51087082?module_item_id=7636185



Policy on Unsatisfactory Performance and Progress

Satisfactory Performance and Progress

A. Satisfactory Performance: Each Health Services PhD student must maintain at least a 3.0 GPA each quarter. Students must also have a cumulative GPA of 3.0 or greater to graduate. At the University of Washington, any grade below 2.7 is considered failing for a graduate student (including in an undergraduate class). The Graduate School grading system is available here: http://grad.uw.edu/policies-procedures/graduate-school-memoranda/memo-19-grading-system-for-graduate-students/

B. Satisfactory Progress: Each student must make satisfactory progress towards their degree. Below are the milestones PhD students must complete during the program, along with the approximate expected timeframes for those milestones:

Notes:

1. The Preliminary Exam is held in June of Year 1, generally any needed revisions are completed by July 31 and all sections are passed prior to start of Year 2 Autumn quarter. But, needed additional work and timelines for such work are determined in student-centered processes.

2. PhD students generally complete their degree in 4 to 6 years or less (average is 4.4 years).

C. Evaluation At the end of every academic quarter, once grades are reported, the PhD Student Services Counselor will review the academic performance and time since enrollment for every enrolled student, and will report the results to the Program Manager, Program Director and Associate Director, who will then determine if any actions are to be taken. A student who exceeds the expected completion date for the milestones described above may be deemed not to have made satisfactory progress by their Supervisory Committees and/or the Graduate Program Director.

Sep Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug

YEAR 1

YEAR 4

SUMMER

Preliminary Exam

YEAR 2AOE form approved at AAC meeting AOE credits completed

Preliminary Dissertation Proposal (PDP)

Oral General Examination Final Exam (Dissertation Defense)

AUTUMN WINTER SPRING

Oral General Examination

Graduation

YEAR 3

Preliminary Dissertation Proposal (PDP)

Written General Examination

Final Dissertation Proposal (FDP)

http://grad.uw.edu/policies-procedures/graduate-school-memoranda/memo-19-grading-system-for-graduate-students/

http://grad.uw.edu/policies-procedures/graduate-school-memoranda/memo-19-grading-system-for-graduate-students/


Below are guidelines to determine recommended action for unsatisfactory performance or progress in the PhD Program in Health Services. Guidelines for Recommended Action

A. Warning Letter

A Warning Letter is recommended for students in the following situations:

1. Cumulative GPA between 2.95-2.99 2. Quarterly GPA between 2.95-2.99 3. Grade in a required course below 3.0 4. Preliminary Dissertation Proposal not presented to Academic Affairs Committee (AAC) by end

of Year 3 (or by 9th academic quarter enrolled in the program). 5. Degree not earned by end of Spring quarter Year 5 (or 15th academic quarter enrolled in the

program). If a student meets any of the above criteria, the PhD Program will:

1. Send the student and his or her advisor/mentor a written “Warning Letter” notifying them of the situation requiring corrective action. This warning will be documented in the student’s file.

2. Require that the student meet with his or her advisor to discuss any issues contributing to the student’s unsatisfactory performance and progress, and how best to resolve them. - The student and his or her advisor are responsible for creating a written Action Plan for

resolving these issues, which both parties will sign and send to the Student Services Counselor, to be shared with the Program Manager and Program Director, and saved in the student’s file.

3. Document this warning and save the Warning Letter in the student's file. Note: A warning is not reported to the Graduate School and does not appear on the student's transcript.

B. Probation Probation is recommended for students in the following situations:

1. Those who have not corrected the deficiency which caused the warning within the time specified in the Action Plan.

2. Cumulative GPA below 2.95 3. Quarterly GPA below 2.95 4. Preliminary Dissertation Proposal not presented to AAC by end of Year 4 (or 12th academic

quarter enrolled in the program). 5. Degree not earned by end of Spring quarter Year 7 (or 21st academic quarter enrolled in the

program) Notes: Decisions regarding probation will be subject to review by the Academic Affairs Committee and will take into account the context for the above situations.

If Probation will be recommended, the PhD Program will:

1. Notify the student and their advisor in writing. 2. Require that the student meet with their advisor and the Program Director to discuss any issues

contributing to the student’s unsatisfactory performance and progress, and how best to resolve them. - The student and their advisor are responsible for creating or updating a written Action Plan

for resolving these issues, which both parties will sign and send to the Student Services


Counselor, to be shared with the Program Manager and Program Director, and saved in the student’s file.

3. Submit a Probation recommendation to the Dean of the Graduate School for review, cc’ing the Health Services Department Chair.

4. Document the Probation recommendation in the student's file.

Notes: 1. Probation is recommended on a quarterly basis. The Graduate School recommends no more than

three consecutive quarters of probation. 2. Students who depart suddenly and substantially from scholarly achievement (as defined by their

quarterly GPA dropping below 2.95) may be recommended for Probation without a previous Warning Letter.

3. Probation recommendations will be noted on a student's unofficial transcript. 4. Probation recommendations do not persist and must be reported to the Graduate School every

quarter. No action will appear on the transcript for any subsequent quarter unless a new recommendation is made to the Dean of the Graduate School.

C. Final Probation After at least one quarter of Probation, the PhD program may recommend Final Probation.

Final Probation is recommended for students in the following situations:

1. Those who have not corrected the condition(s) that caused the Probation recommendation within the time specified in the Action Plan.

2. Those who may have corrected previous Probation conditions but failed additional performance requirements and did not progress toward completion of the PhD program.

If Final Probation is recommended, the PhD Program will:

1. Notify the student and his or her advisor in writing. 2. Require that the student meet with his or her advisor and the Program Director and Department

Chair to discuss any issues contributing to the student’s unsatisfactory performance and progress, and how best to resolve them. - The student and their advisor are responsible for updating the written Action Plan for

resolving these issues, which both parties will sign and send to the Student Services Counselor, to be shared with the Program Manager and Program Director, and saved in the student’s file.

3. Submit a Final Probation recommendation to the Dean of the Graduate School for review, cc’ing the Health Services Department Chair.

4. Document the Final Probation recommendation in the student's file.

Notes: 1. Final Probation may only be recommended for one quarter, though the Graduate School will

consider one additional quarter in extenuating circumstances. 2. Final Probation recommendations will be noted on a student's unofficial transcript. 3. Final Probation Recommendations do not persist and must be reported to the Graduate School

every quarter. No action will appear on the transcript for any subsequent quarter unless a new recommendation is made to the Dean of the Graduate School, cc’ing the Health Services Department Chair.

4. In addition to notification from the PhD program, students will receive Final Probation status letters from the Dean of the Graduate School.


D. Drop

A graduate program may recommend a student be dropped from their program after one quarter of Final Probation. This is the final action to be recommended for students who have not corrected the condition(s) that caused the Final Probation recommendation within the time specified in the Action Plan. If a Drop is recommended, the PhD Program will:

1. Notify the student and his or her advisor in writing. 2. Submit a Drop recommendation to the Dean of the Graduate School for review, cc’ing the Health

Services Department Chair. 3. Document the Drop recommendation in the student's file.

If the Graduate School accepts a Drop recommendation, the Registrar is notified by the Graduate School, and the student is immediately removed from the graduate program.

Note: In addition to notification from the PhD program, students will receive Drop status letters from the Dean of the Graduate School.

E. Appeals

Students may appeal these recommendations directly to Director of the PhD program. Appeals beyond this point must follow the process outlined in Graduate School Memorandum No. 33, Academic Grievance Procedure, found here http://grad.uw.edu/policies-procedures/graduate-school-memoranda/memo-33-academic-grievance-procedure/.

Progress Review

The academic and research progress of students is reviewed regularly by the Program Director and Associate Director, and once annually by the Academic Affairs Committee (AAC). If a student is not making steady progress, their mentor, or mentor and doctoral supervisory committee, and/or Program Director meets with them to identify barriers to progress and to suggest strategies or resources to overcome these barriers. Satisfactory performance is described in the above Policy on Unsatisfactory Performance and Progress. Unsatisfactory performance can result in a recommendation that the student discontinue graduate studies. It is anticipated that unsatisfactory performance will be rare, owing to careful admission screening and the close mentoring of new students.




SECTION 5 –PRELINARY EXAM PRELIMINARY EXAMINATION After completing the core courses of the PhD Program, the first-year PhD students are required to complete the preliminary examination. The purposes of the preliminary examination are to: 1) serve as a diagnostic tool for identifying the student’s strengths and weaknesses; 2) identify areas of improvement that require addressing in order for students to continue in the Program and conduct independent dissertation research; and 3) evaluate the Program’s strengths and weaknesses in preparing students to be health services researchers.

Schedule and Structure

The examination is scheduled in June on days when every first year student can take the examination. The examination is administered by the PhD Program’s Academic Affairs Committee and consists of five parts divided into two sections: In-class written examination: tests students’ ability to critically analyze and synthesize, via timed writing, the topics discussed in 1st year core coursework. Students are generally given a choice of or within questions.

1. Essay question on U.S. health care (HSERV 512) 2. Essay question on health policy research (HSERV 513) 3. Essay question on the social determinants of population health and health disparities (HSERV 514)

Take home: 4. Take-home methods examination – tests students’ ability in methods and analysis. Students are

given a dataset in advance and then asked, on the day of the test, to apply quantitative methods and to interpret trends within the data. The examination requires statistical analysis of a data set that applies content from BIOSTAT 511/512/513 or 517/518

5. Take-home article review examination – tests students’ ability to critically analyze a recently published health services article. Students receive the article in advance and, on the day of the test, create an article review that answers specific questions and provides a comprehensive critique.

Scoring/Evaluation

Each part of the exam has three possible scores: pass, revision, or no pass. If a student receives “no pass” grades for three or more parts of the June Preliminary Examination, the student cannot advance in the PhD Program. Eventually, students must pass all five sections of the examination. If a section’s score is “revision,” the revision must be completed by July 31. If a component’s score is “no pass,” the retake must be completed before the first day of class in Autumn Quarter. Student continuation in the program will depend on a favorable decision by the PhD Academic Affairs Committee that is based on the preliminary examination results, the student’s progress-to-date in the Program, and the student’s potential for independent dissertation research. A student who does not pass the examination has the option of transferring to the Masters of Science Program in Health Services.


SECTION 6 – STEPS TO A DISSERTATION Steps to dissertation include:

1. Working closely with a mentor to choose a dissertation topic, develop research questions, and form a full doctoral supervisory committee

2. Writing a preliminary dissertation proposal with mentor(s) and receiving approval from the AAC 3. Passing a General Examination, including:

a) Part1: Written Examination (part 1 of the “General Exam”) b) Part 2: Oral Examination (defense of the final dissertation proposal in Step 4)

4. Writing a final dissertation proposal and receiving doctoral committee approval 5. Conducting dissertation research

a) Finalizing all analyses b) Writing a 5-chapter dissertation, including 3 independent publishable papers c) Submitting ≥2 papers for submission at least 2 months prior to defending the dissertation

6. Forming the Dissertation Reading Committee 7. Final Exam (Dissertation Defense) 8. Final Steps (Submitted Dissertation) and Graduation

STEP 1—WORKING CLOSELY WITH A MENTOR TO CHOOSE A DISSERTATION TOPIC, DEVELOP RESEARCH QUESTIONS, AND FORM A DOCTORAL SUPERVISORY COMMITTEE Overview. Doctoral students are required to write a dissertation that significantly advances the state of knowledge in the field. The topic of the dissertation is chosen by the student in consultation with a mentor, and must represent independent (yet collaborative) design and analysis. Students may choose to collect primary data or analyze existing data. The dissertation must demonstrate an understanding of the theory, content, and methods in that topic area and must conform to Departmental, School and University guidelines. It is the responsibility of the student to function as the principal investigator, leading a team of investigators (the supervisory committee) to produce high quality team-based research. The goal of the committee is to support the student in meeting their own goals and meeting the requirements of the program. After students have passed the Preliminary Examination, they begin to focus on a dissertation topic. Most dissertations will flow from Area of Emphasis courses, independent studies, and research assistantship projects. A student may choose to conduct a dissertation that is an offshoot of a faculty member's research project, or a student may choose a dissertation topic unrelated to currently funded research but supervised by faculty interested in the area who is willing to mentor them on the proposed studies. In either case, the student will work closely with a mentor to conceive of research that can be independently led by the student in partnership with the lead mentor and a complementary committee. In partnership with the lead faculty mentor, the student identifies a dissertation chair (generally the same person as the lead faculty mentor) and identifies other faculty as potential committee members based on their expertise in an area related to the content or methods of the dissertation. The lead mentor can help students navigate how to reach out to possible committee members. Students notify the Student Services Counselor of the final committee membership as part of the process of obtaining review of the preliminary dissertation proposal by the AAC (see: below). The Student Services Counselor formally proposes the formed committee to the Graduate School, and email notices are automatically sent from the Graduate School to all members when the committee is approved.


Structure and Function of the Doctoral Supervisory Committee

The Doctoral Supervisory Committee, also referred to as the Dissertation Committee, must consist of at least four members: a Chair, at least two members, and a Graduate School Representative (GSR). At least three of the committee members must be members of the UW Graduate Faculty with an endorsement to chair doctoral committees. At least two committee members, including the Chair, must have an appointment within the Department of Health Services. The GSR, by Graduate School rules, cannot have an appointment in Health Services. Please read “Memo 13: Supervisory Committee for Graduate Students” for more information: http://grad.uw.edu/policies-procedures/graduate-school-memoranda/memo-13-supervisory-committee-for-graduate-students/.

The Doctoral Supervisory Committee advises the student on the development of the preliminary dissertation proposal and ultimately approves of the proposal prior to submission to the AAC. The committee also conducts the written and oral General Examinations, advises the student concerning the dissertation research, participates as a co-author in all related publications, and conducts the oral defense of the dissertation. The committee should also socialize the student into the field of health services research and assist in career planning. As such, the committee may recommend additional courses that would aid in the dissertation process. The specific time commitment required of the committee members will vary depending on the relationship between the committee and the student, and the student’s needs.

Chair

The Chair of the committee must have an appointment within the Department of Health Services and be endorsed to Chair doctoral supervisory committees. For a list of Graduate faculty, visit http://grad.uw.edu/for-faculty-and-staff/faculty-locator/, and for information about endorsements to Chair committees, please read Memo 12 (http://grad.uw.edu/policies-procedures/graduate-school-memoranda/memo-12-membership-in-the-graduate-faculty-and-endorsement-to-chair-doctoral-supervisory-committees/). The Chair of the committee will assume principal responsibility for advising the student and helping the student to gain independent research skills, including having lead responsibility for reviewing and helping to shape early drafts of all dissertation-related products. The student and the Chair work together on each step of the dissertation with the student taking increasing leadership to push the project forward. The Chair should be accessible and responsive to the student, the student should work to optimize efficiency in partnership with the Chair (i.e., be respectful of time constraints of the faculty). Emeritus and affiliate faculty may serve as a Chair if the above conditions are met. Co-Chairs may be appointed when both serve with equal importance on a student’s supervisory committee and equally share the responsibility for the student's progress.

Chair Responsibilities

• Guide student’s expectations about the appropriate scope of a dissertation. • Assess the student’s ability to carry out all parts of the proposed dissertation project and, if gaps are

identified, advise the student on how to gain the skills necessary for completion of the dissertation project.

• If applicable, provide student access to data consistent with research protocols, in a timely manner. • Help the student negotiate with stakeholders (i.e. internal—other committee members, and

external—agencies for research opportunities).

http://grad.uw.edu/policies-procedures/graduate-school-memoranda/memo-13-supervisory-committee-for-graduate-students/

http://grad.uw.edu/policies-procedures/graduate-school-memoranda/memo-13-supervisory-committee-for-graduate-students/

http://grad.uw.edu/for-faculty-and-staff/faculty-locator/

http://grad.uw.edu/policies-procedures/graduate-school-memoranda/memo-12-membership-in-the-graduate-faculty-and-endorsement-to-chair-doctoral-supervisory-committees/




• Support the student as they set up clear timelines and measurable benchmarks (e.g., chapters, paper submissions) for completion of the dissertation consistent with their own goals. Encourage the student to work backwards from their stated timeline goals. (NOTE: it is the student’s responsibility to ensure they submit written materials with adequate time for review by the Chair and committee members).

• Advise student on designing the project, collecting and analyzing the data, and writing up the dissertation.

• Review first drafts of all written materials to help refine materials prior to review by the rest of the committee.

• Help the student negotiate committee members’ roles on the dissertation. • Respond to student’s requests for review of materials within a reasonable timeframe (students should

generally plan on giving faculty mentors at least 2 weeks for document review while acknowledging their availability is dependent on other responsibilities; thus students should always communicate with their committee and chair in advance with regard to timelines for review and availability).

• Administer the Written General Exam and provide feedback in a timely manner. • Support the student in meeting their goals and benchmarks, while helping the student learn it is their

responsibility to move their work forward (i.e., it is not the Chair’s responsibility to “hold the student’s hand.”).

• Help the student convene meetings of the committee and support them in preparing materials for such meetings. Chairs should recommend all-committee meetings at key junctures, such as finalizing the aims of the dissertation and after the written exam but before the final dissertation proposal.

• Be a mediator when conflict arises to the extent that the student wishes.

Graduate School Representative (GSR)

The GSR represents the broad concerns of the Graduate School with respect to high standards of scholarly performance, ensuring that the student’s mastery of the subject matter is broad and comprehensive, and assures that all dissertation procedures are carried out fairly and according to the guidelines of The Graduate School. The GSR is a voting member of the doctoral committee. The GSR must be deemed graduate faculty by the Graduate School and must be endorsed to chair doctoral committees (faculty marked with an asterisk in the Graduate Faculty locator, here: http://grad.uw.edu/for-faculty-and-staff/graduate-faculty-locator/ ).

The GSR cannot have an appointment in Health Services (except adjunct appointments, which are permissible), or hold any departmental affiliations in common with the doctoral committee Chair. (In situations where there are Co-Chairs, the GSR may be in the same department as one of the Co-Chairs, although this is not recommended). The GSR may have a center affiliation in common with the doctoral committee Chair, as long as the GSR can attest to the following: “Budgetary relationships, personal relationships, or research and/or publication relationships between the GSR and either the student or the committee chair are examples of possible conflicts of interest. The GSR is responsible for ensuring that no such conflicts of interest, or appearance of conflicts of interest, exist, and must attest to this upon request” (from Graduate School Memo 13). The Graduate School has provided a helpful chart on who is eligible to serve as GSR: http://grad.uw.edu/policies-procedures/doctoral-degree-policies/graduate-school-representative-gsr-eligibility/.

http://grad.uw.edu/for-faculty-and-staff/graduate-faculty-locator/

http://grad.uw.edu/policies-procedures/doctoral-degree-policies/graduate-school-representative-gsr-eligibility/

http://grad.uw.edu/policies-procedures/doctoral-degree-policies/graduate-school-representative-gsr-eligibility/


For more information on the roles of doctoral committee Chairs, members, and GSRs, please visit http://grad.uw.edu/policies-procedures/doctoral-degree-policies/doctoral-supervisory-committee-roles-and-responsibilities/. Changing Chair/Members of a Supervisory Committee

Once a Chair of the doctoral supervisory committee is appointed, the vast majority of students do not change the committee’s Chair. However, some students may decide to change the Chair of their committee. Before taking any steps to implement the change, the student must meet first with the Program Director and the Director of the student’s Training Grant (if applicable) to discuss the reasons for the change and the consequences of doing so. If the Program Director is the Committee Chair, the student should seek counsel from the Student Services Counselor and identify another key faculty person (proxy) who can help them navigate the situation. After these meetings, if the student wants to change the Chair, a change can be made after the current Chair agrees with the change, a new Chair is identified, and the Graduate School is informed of the change in accordance with Graduate School procedures. If the change in Chair results in a change in the dissertation topic, the procedures for changing the dissertation topic (see below) must be followed. In the event the Chair or other committee members oppose the change, the Graduate School Representative, the Program Director (or proxy), and the Director of the student’s Training Grant (if applicable) will address the issue. If a solution is not found, the remaining alternative is to dissolve the committee. If the student decides to change a member of the committee, other than the GSR, and the committee member and the Chair agree with the change, the student will contact the Student Services Counselor to update their committee. If one of the committee members opposes the change, the Chair will discuss and resolve the issue, with the assistance of the Program Director (or proxy) if requested. Changes to Dissertation: Minor versus Major

It is common for students to change dissertation topics multiple times during the process of developing a Preliminary Dissertation Proposal (PDP). After approval of the PDP by the PhD AAC changes to dissertation topics are considered major. If a student wishes to change the topic of their dissertation after approval of the PDP, the student needs to revise the PDP and it needs to be re-reviewed by the PhD AAC.

STEP 2—PRELIMINARY DISSERTATION PROPOSAL (PDP) Once a doctoral committee is formed and the student has worked with their lead mentor/chair to develop a dissertation plan, the student writes a Preliminary Dissertation Proposal (PDP) with iterative review and approval from their mentor/chair and ultimate approval from their full committee. Writing a dissertation proposal is an iterative process that can take 6 to 12 months. Students should begin by writing a 1-to-2-page outline of their dissertation plans to discuss with the chair and then their committee.

Prerequisites

Students are eligible to have their PDP presented to the PhD AAC by their committee Chair once they have completed the core courses, at least two of the three Advanced Research Methods courses, and at least three of the five Area of Emphasis courses. Students must also have solidified their committee. This typically occurs during the second or third year.

http://grad.uw.edu/policies-procedures/doctoral-degree-policies/doctoral-supervisory-committee-roles-and-responsibilities/

http://grad.uw.edu/policies-procedures/doctoral-degree-policies/doctoral-supervisory-committee-roles-and-responsibilities/


Writing the PDP: Formatting Requirements

The Preliminary Dissertation Proposal (PDP) should be precisely formatted consistent with requirements for the Agency for Healthcare Research and Quality (AHRQ) Health Services Research Dissertation Awards R36 – please see the following website: https://grants.nih.gov/grants/guide/pa-files/PA-18-765.html

This format is chosen because writing a proposal in AHRQ/NIH format is an important step toward becoming an independent researcher, which is a goal of the Program. It is important that students learn to write concisely for a grant application rather than a lengthy document. The committee can support them in achieving this. The AHRQ R36 follows the grant application requirements in the S424 (R&R) Application Guide for NIH and other PHS Agencies, which is available here: https://grants.nih.gov/grants/how-to-apply-application-guide/forms-e/general/g.200-sf-424-(r&r)-form.htm Students should read this extremely carefully and ensure their proposal meets all stated requirements. For more information on NIH grant writing, please see their website: http://grants.nih.gov/grants/writing_application.htm

Specific Key Formatting Guidelines and Page Limits

Use black Arial font that is 11 points or larger. (A Symbol font may be used to insert Greek letters or special characters).Type density, including characters and spaces, must be no more than 15 characters per inch. Type may be no more than six lines per inch. Use standard paper size (8 ½" x 11). Use at least one-half inch margins (top, bottom, left, and right) for all pages. No information should appear in the margins. Page limits should be consistent with those outlined in the below table.

Single-spaced

Coversheet and Student Letter 3

Specific Aims 1

Research Strategy 6

TOTAL 10

See http://grants.nih.gov/grants/forms_page_limits.htm#other

Sections The format of the PDP should contain the following sections of the R36. Page-lengths given below are single-spaced. PDPs that exceed the stated page lengths will not be accepted. I. Coversheet and Student Letter (3 pages)

A. Project title

B. Student’s name

C. Chair of committee, committee members, and GSR – Provide each committee member’s area of

expertise related to the dissertation. Put a line next to each committee member’s name for signature of approval. Signatures are required from each committee member.

https://grants.nih.gov/grants/guide/pa-files/PA-18-765.html

https://grants.nih.gov/grants/how-to-apply-application-guide/forms-e/general/g.200-sf-424-(r&r)-form.htm

https://grants.nih.gov/grants/how-to-apply-application-guide/forms-e/general/g.200-sf-424-(r&r)-form.htm

http://grants.nih.gov/grants/writing_application.htm

http://grants.nih.gov/grants/forms_page_limits.htm#other


D. Areas of knowledge – Identify the areas of knowledge (content and methods) necessary for

successful completion of this dissertation. Discuss how these have been met or will be met through courses, independent study, etc.

E. Student letter -- The student letter should discuss career goals, background and interest in health services research, and the anticipated manner in which the proposed dissertation will contribute to career goals. It should also list the source of funding for the dissertation research.

F. Dissertation Abstract -- A Dissertation Abstract is required. The Dissertation Abstract is a

succinct and accurate description of the proposed work and should be able to stand on its own (separate from the PDP). This section should be informative to other persons working in the same or related fields and understandable to a scientifically literate reader. Avoid both descriptions of past accomplishments and the use of the first person. Please be concise. The Dissertation Abstract is limited to 30 lines of text. The Abstract should indicate the PDP’s broad, overall purpose(s) and specific aims, making reference to the health relatedness and importance of the proposed research. The Abstract also should describe the research design and methods for achieving the stated aims.

II. Specific Aims (1 page) – List the project’s specific aims or immediate goals. Also list specific

hypotheses to be tested or research questions to be answered for each aim. If desired, the overall purpose of this line of investigation may be mentioned in order to indicate the long-term importance of the specific information being sought through this study.

III. Research Strategy (6 pages) – Section III’s format may be tailored to meet the needs of the specific

study being proposed. It could be organized for the study as a whole, for each specific aim, or for each paper to be written. However, the following sub-headings usually apply:

A. Significance – Provide clear support for the specific aims (for instance by explaining the

importance of the public health/health services problem, describing critical barriers to progress in the field and/or gaps in the literature that the proposed project addresses). Explain how the proposed project will advance the field and improve scientific knowledge, technical capability, and/or clinical practice in one or more broad fields. Describe how the concepts, methods, technologies, treatments, services, or preventative interventions that drive this field will be changed if the proposed aims are achieved.

B. Innovation – Explain how the application challenges and seeks to shift current research or clinical practice paradigms. Describe any novel theoretical concepts, approaches, or methodologies, instrumentation or interventions to be developed or used, and any advantage over existing methodologies, instrumentation, or interventions. Explain any refinements, improvements, or new applications of theoretical concepts, approaches or methodologies, instrumentation, or interventions.

C. Approach - Describe the overall strategy, methodology, and analyses to be used to accomplish

the specific aims of the project. Methods should include references and rationale for selection of methods. Include how the data will be collected, analyzed, and interpreted as well as any resource sharing plans as appropriate. Discuss the potential difficulties and limitations of the proposed procedures and alternative approaches to achieve the aims.

As part of this section, provide a tentative sequence or timetable for the project, including IRB/Human Subjects review and approval.


IV. Protection of Human Subjects Follow the NIH SRF424 R&R guidelines for Sections A-D, here: In particular, follow the instructions for the Protection of Human Subjects. A. Protection of Human Subjects – This section covers only the initial information regarding the

Protection of Human Subjects. Follow the instructions in the SRF424 R&R Guidelines.

B. Inclusion of Women and Minorities – To determine if Inclusion of Women and Minorities applies to this application, refer to the SRF424 R&R Guidelines.

C. Targeted/Planned Enrollment – If this application involves the Inclusion of Women and

Minorities (which most do), complete the Targeted/Planned Enrollment Table for each protocol

D. Inclusion of Children – To determine if “Inclusion of Children” applies to this application, refer to the SRF424 R&R Guidelines.

Note: Students should be sure to have a plan for obtaining human subjects (IRB—Institutional Review Board) approval before beginning any work with human subjects. Even if using an established data set, students should make sure that they have either an official exemption or an IRB approval.

V. AHRQ Priority Populations

Describe whether the proposed studies include AHRQ priority populations, including: individuals living in inner city and rural (including frontier) areas; low-income and minority groups; women, children, the elderly; and individuals with special health care needs, including those with disabilities and those who need chronic or end-of-life health care. For NIOSH ERC trainees only: In place of addressing “AHRQ Priority Populations” in this section, please address the NIOSH National Occupational Research Agenda (NORA) priorities by including a brief statement about which of the industry sector programs, cross-sector programs, and/or core and specialty programs are being addressed and a rationale for how the proposal will contribute to the specified priority area(s). (Examples from NIOSH grant applications are available on request from the ERC OHSR program director.)

VI. References Cited – Provide citations to literature references used in the proposal.

VII. Appendix – The Appendix is optional and may include survey or other types of data collection instruments. The Appendix should not present additional information about the dissertation’s aims, background and significance, preliminary studies and methods that should have appeared in the prior sections.

Scheduling AAC Review and Identifying an External Reviewer

Once the PDP is nearing finality, the student should schedule AAC review of the PDP, based on their chair’s availability, and identify an external reviewer.

• Scheduling AAC Review. The PhD Academic Affairs Committee meets once per month on the second Wednesday from 9:00-10:30am in H679. The AAC can review up to two PDPs per meeting, and the chair must be present for the review. Students who are nearing readiness for the


AAC to review their PDP need to submit the PDP form available on the PhD Student Resources Page (https://canvas.uw.edu/courses/1178516/modules) to the Student Services Counselor at least 2 months in advance of the AAC meeting (but slots fill fast, so submission prior to 2 months before the meeting is recommended).

• Identifying an external reviewer. With the assistance of their committee, students shall identify and confirm an external reviewer for their PDP and inform the Student Services Counselor who the reviewer is by the time the PDP request form is submitted. The external reviewer is generally a faculty member at UW (inside or outside Health Services) who has expertise in the area of the dissertation topic but is not a member of the dissertation committee (or AAC) who can provide comments supplementary to the PhD Academic Affairs Committee. It is the responsibility of the student to speak with the outside reviewer and confirm that they are willing and able to provide the review by the Friday before the AAC meeting. However, once confirmed and communicated to the Student Services Counselor, the student does not have further direct contact with the external reviewer regarding the proposal.

o External Reviewer Duties. The student services counselor will communicate with the external reviewer that they should review the PDP and provide 1 page of bulleted critique, with regard to: The significance of the research and likelihood of publishing 3 individual peer-

reviewed papers from the research Methods strengths and limitations Feasibility issues - the likelihood of collecting data for all the studies, whether the

timeline for completing the research is realistic, and whether the resources (money, personnel, etc.) exist to conduct the study

Whether IRB issues exist o The external reviewer will not attend the AAC but should send comments to the Student

Services Counselor the Friday before the meeting. Submitting the PDP for AAC Review

Students should submit both PDF and Word format versions of their PDP signed by all dissertation committee members to the Student Services Counselor via email two weeks before the PhD AAC meets. Committee Chair’s Presentations of their Students PDPs to the AAC

The Chair of the dissertation committee must attend the PhD Academic Affairs Committee in-person. It is the student’s responsibility to ensure the Chair can attend this AAC meeting. The chair makes an informal presentation of the student’s work and PDP and then receives feedback from the AAC. Usually the Chair opens with ~5 minutes describing the students’ trajectory and work to date with the mentor, as well as the aims and significance of the PDP/3 papers. The Chair may also provide an assessment of the student (past mastery of coursework and work experience) and evaluation of whether the student is ready to take the written exam.

AAC Review and Outcome

During the review meeting, the AAC will offer the chair comments on the content and feasibility of the scientific proposal, providing supplementary information to that of the external reviewer. The AAC’s comments may indicate that there are major limitations to the content and feasibility of the proposed research and ask to review a revised PDP (e.g., if a PDP is underdeveloped, has significant quality issues, or proposes research with a low likelihood of publication). However, in most cases (due to committees assuring prior to the meeting that their students PDPs are ready for review and feasible), the



AAC’s role is largely to provide feedback that supports the committee in creating and administering the Written Exam and the student in improving the dissertation quality. Following the AAC review, if the PDP is approved by the AAC, the Chair will receive written comments from the external reviewer and oral comments from the AAC to share with the rest of the committee in order to support the written exam (the Chair may wish to take notes during the AAC meeting). The chair will communicate results of the review with the student, and the student should begin preparing for the Written Exam, which will be followed by revising the PDP into a Final Dissertation Proposal (FDP).

STEP 3—GENERAL EXAMINATION (WRITTEN EXAM AND ORAL EXAM) The General Examination is administered by the Doctoral Supervisory Committee and consists of two parts, a Written Exam (required by the Department of Health Services) and an Oral Exam (considered by the UW Graduate School to be the student’s required General Examination). The examination covers the student's advanced methods course work, chosen Area of Emphasis, and the general topic of the dissertation. It is designed to: 1) measure the student's ability to analyze and synthesize information, 2) determine whether the student has significant breadth and depth of knowledge in the Area of Emphasis and the dissertation topic, including an understanding of the disease under investigation when pertinent, and 3) evaluate whether the student has adequate knowledge of recent advances in methodological issues relevant to the area of interest.

Written Examination (General Exam Part 1)

The Written General Examination is a “take-home” exam (students can use all resources), which generally focus on theory, content, and methods that are specific to the student’s dissertation topic area and Area of Emphasis. Questions are designed to address weaknesses identified in the Preliminary Dissertation Proposal and content and methods areas for improvement to ensure readiness to conduct dissertation research. It is the student’s responsibility to know the relevant literature and methods applicable to the Area of Emphasis and dissertation. The written exam process is designed to be rigorous and correct key issues in the dissertation proposal at this stage, to improve the quality of the Final Dissertation Proposal (FDP), increase the chances that the student will pass the oral general examination (the defense of the FDP), and support the student in carrying out and completing a sound and rigorous dissertation.

Format, Timeline and Process The format of the written exam varies across students and committees but is generally composed of 4-7 questions. Students are generally given 2 weeks to complete the exam, but time range is at the discretion of the committee. The exam is administered by the doctoral supervisory committee and written at their discretion with support from the PhD program directors as needed. Often, each member of the supervisory committee (except the GSR) writes at least one question for a topic in which they have expertise. The chair compiles the questions into an exam (sometimes editing them and/or asking for additional information). The full exam is reviewed and approved by the full committee (including the GSR) before being offered to the student. On the day the exam starts, the chair will send the final approved exam to the student via email, cc’ing the full committee and the Student Services Counselor. If a student has a question about an exam question at any time during the exam, they should email the question to all of the committee members, including the GSR. Then, the committee member who wrote


that exam question may reply to the message. When the student completes the exam, the student should send the exam to the Chair, cc’ing the full committee and the Student Services Counselor.

Scoring and Outcome The full supervisory committee reviews the completed exam, and all members except the GSR suggest initial grade recommendations. Based on the assessments and initial recommendations of all committee members, the Chair assigns a grade of Pass, Rewrite, or No Pass for each question. If all questions receive Pass grades, the student has passed the exam. If this is not the case, the Chair informs the student about the responses that are problematic and must be addressed to pass the exam, resulting in rewrites and/or revisions. The Committee is expected to convey the outcome of the exam to the student within one month of exam completion. The committee members may require additional course work to remedy perceived deficiencies in any relevant area. The exam must be passed prior to completing the final dissertation proposal (see: below) and subsequently moving onto Part 2 of the General Exam—The Oral Exam.

HSERV 800 Dissertation Credits Students may begin taking dissertation credits (HSERV 800) once they have formed a dissertation supervisory committee and have passed the Written General Exam. If the committee approves, a student may begin taking these credits in the same quarter as the exam is taken.

Oral Examination (General Exam Part 2)

The Oral Exam is a defense of the Final Dissertation Proposal (see: below), which must be completed and approved by the full doctoral supervisory committee prior to the oral exam.

Requirements for Attendance

All committee members should be present for the Oral Exam. Because the Oral Exam is the UW official exam required for a student to pass to doctoral candidacy, the Graduate School Representative must be present at the Oral Exam.

Timing and Registration Requirements

The Oral Exam is usually scheduled one to six months after successful completion of the Written Examination, and after completing the Final Dissertation Proposal. The committee must have sufficient time to review and discuss the dissertation proposal before the oral examination is held. The Graduate School requires enrollment (for at least 1 credit) when the Oral Exam is taken.

Scheduling Students must schedule the exam date, time, and location with their dissertation committee members prior to submitting an official exam request. Committee members must agree, in advance, to the date and time. After coming to agreement on a date and time with their committee, students must apply formally for a general exam date at least three weeks prior to the examination at the following link: http://www.grad.washington.edu/mygrad/student.htm Oral examinations should be held within the UW Health Sciences Building; students should contact the Student Services Counselor for help with scheduling a room immediately upon securing the date.

http://www.grad.washington.edu/mygrad/student.htm


Publicizing and hosting the event

Oral exams are open to the public, and students are encouraged to invite friends, family, and colleagues to this event. The Program will also publicize the event to students and faculty and the SPH community via an email invitation and a flyer. Students need to be responsive to requests from the Student Services Counselor in order to produce the email invitation and flyer. Students often take on the role of “host” of their oral exams and bring light refreshments for those in attendance.

Format

The Oral Examination is a defense of the Final Dissertation Proposal and includes a presentation of the students’ proposed final research plan (as honed from the written exam and writing of the FDP) followed by questions from the public and the committee.

The student presentation should be approximately 45 minutes and should include information on the background/significance, aims, hypotheses, methods, and possible significance of expected results. The dissertation committee may inquire into any aspect of this presentation to determine the depth of understanding the student has of the project in either an open or closed question session. Students are encouraged to practice their presentations with their peers and committee prior to the exam and to share and seek examples of presentations with/from other students in the program.

Evaluation and Outcome

To evaluate the oral exam, the doctoral supervisory committee weighs the strength of the presentation and soundness of the proposed methods, feasibility of the timeline, and overall readiness to move onto executing the research and becoming an independent health services researcher.

At the conclusion of the exam, the dissertation committee recommends either:

1) approval of the oral examination and admission to candidacy (PhC) status, or 2) further work and a repeat of the oral examination within six months of the first attempt.

If the exam is failed a second time, the student's enrollment in the PhD program is terminated, per Graduate School policies, and s/he is offered an opportunity to complete a Master’s degree program instead.

STEP 4 – FINAL DISSERTATION PROPOSAL (FDP)

Using the final written exam and any comments received from the committee, AAC, and external reviewer in response to the PDP and written exam, students will revise the PDP into a Final Dissertation Proposal (FDP) prior to the oral general exam. The format of the FDP is the same as the PDP, although there is not a page-limit for the FDP. The FDP should remain succinct but should include a sufficient level of detail about analytic modeling and approaches needed to complete the work. The FDP needs to be vetted and approved by the full committee at least 1 week prior to the Oral General Exam and submitted to the Student Services Counselor. STEP 5 – CONDUCTING DISSERTATION RESEARCH After passing the oral examination, students can begin to conduct dissertation research. This process includes finalizing analyses for all three aims and writing all three papers, writing an introduction and a conclusion for


the dissertation as a whole, and submitting at least 2 papers to peer-review journals at least 2 months prior to defending the dissertation. It is a long and often challenging process and should be done in good communication with the committee, including regular meetings as needed with the chair and other members to iteratively review products and results. Students are required to submit at least 2 manuscripts to peer review journals at least 2 months prior to their dissertation defense. In general, students should aim to finish the dissertation and graduate with published or nearly-published papers. To do this, students should: Set reasonable, short-term goals to finishing each individual paper (most work on one at a time), Ensure all committee members comment on paper outlines, target journals, analysis plans, tables and drafts, Expect to write multiple drafts (3-20) of the manuscript prior to submission and plan for this with respect to

others’ schedules. Include all committee members as authors of all papers and obtain their sign off on all final products. [Note:

Inclusion of the GSR as an author should be considered and discussed with the committee chair and GSR]. Work with their committee to identify target journals to which they will submit their manuscripts and to

respond promptly to reviewers’ comments. Tips for Time Management/Sample Schedules

Completing a dissertation requires good planning, time management and organizational skills to move the process forward, coordinate with a committee, and graduate by a target date. Many factors influence how long it takes to complete a dissertation, including the schedule of data collection/acquisition, whether the dissertation is based on primary or secondary data collection, whether the dissertation is based on a single or multiple data sets, the amount of time to complete quantitative or qualitative analyses, competing demands on student’s time and the time of the committee, etc. In particular, the amount of time allocated to complete the three aims of a dissertation greatly affects whether a dissertation is completed by a target date. As the amount of time to complete the dissertation shrinks, the likelihood of not graduating by the target date increases.


To illustrate this point, the table below shows a hypothetical 12-month timeline, which may be sufficient to complete a dissertation in the 12th month on the last day of a quarter. For instance, if the target date is the last day of summer quarter in August, work on the dissertation must start in September of the previous year. Two dissertation papers must be submitted for publication no later than the 10th month. The 12-month hypothetical timeline assumes the PhD candidate works more-or-less sequentially on the dissertation’s three aims. Other assumptions are: Each Aim 1-3 Chapter requires 3 months to finish analyses & write 1st draft Each Aim 1-3 Chapter requires at least 3 drafts to complete (3rd draft is final edition) 2 months required to receive Committee comments and revise a draft Chapter S indicates chapter submitted to journal for publication 2 months before dissertation defense

12 Month Dissertation Timeline 1 2 3 4 5 6 7 8 9 10 11 12 Introduction Chapter Aim 1 Chapter Draft 1 Draft 2 Draft 3 S Aim 2 Chapter Draft 1 Draft 2 Draft 3 S Aim 3 Chapter Draft 1 Draft 2 Draft 3 Discussion Chapter

Months 6-8 are challenging because the PhD Candidate may be working on all three aims at the same time. Months 7-10 are challenging for PhD Candidate and Committee because 2-3 chapters are being reviewed by the committee at the same time, which requires excellent coordination and communication skills by the doctoral candidate to keep the committee members on the same page.


In contrast, the 8-month timeline below requires that the PhD Candidate must work on all three papers at the same time, which is not recommended. Two of the three chapters must be submitted for publication by the 6th month. Assumptions of the 8-month timeline are: Each Aim 1-3 Chapter requires 3 months to finish analyses & write 1st draft Each Aim 1-3 Chapter requires at least 3 drafts to complete (3rd draft is final edition) 1-2 months is required to receive Committee comments and revise a draft Chapter S indicates chapter submitted to journal for publication 2 months before dissertation defense

The timeline is extremely challenging for the PhD Candidate and Committee because Aim 1-3 Chapters are in development and review at the same time in Months 2-6. Committee members may be neither available nor willing to mentor dissertation work when a timeline is too short to produce high quality chapters that are ready for journal submission.

Final Dissertation Format

The final dissertation should be formatted consistent with graduate school requirements: http://grad.uw.edu/for-students-and-post-docs/thesisdissertation/etd-formatting-guidelines/ The final dissertation product should consist of 5 chapters and any related appendices:

• Chapter 1—an introduction which describes the importance of the general topic and a conceptual model,

• Chapters 2-4—three related journal articles, and • Chapter 5—a conclusion that summarizes the importance of the findings and how they might be

used in practice or policy. Liberal use of appendices to document a more extensive literature review and details of methods and analyses is recommended as useful.

8 Month Dissertation Timeline 1 2 3 4 5 6 7 8 Introduction Chapter Aim 1 Chapter Draft 1 Draft 2 Draft 3 S Aim 2 Chapter Draft 1 Draft 2 Draft 3 S Aim 3 Chapter Draft 1 Draft 2 Draft 3 Discussion Chapter

http://grad.uw.edu/for-students-and-post-docs/thesisdissertation/etd-formatting-guidelines/


Incorporating articles that are published prior to finishing the dissertation would be covered by copyright “fair use” since they would be considered to fall within the “study and teaching” factors. Copyright status would need to be reevaluated if a dissertation, containing previously published articles, is itself published.

Chapters 2 - 4: Three Articles

It is required that students write three articles for publication in peer-reviewed journals as the basis of the final dissertation product. Papers reporting the results of research, novel methods, or meta-analysis are acceptable, but critical literature reviews are not. A review article may be included in the dissertation as a fourth paper.

At least 2 of the 3 papers must be submitted for publication no later than 2 months before the final defense. Ideally, by the time of the final defense, at least 1 of the 3 papers would have been accepted for publication (even with revisions), or presented at a conference (podium or poster presentation).

STEP 6—FORM DISSERTATION READING COMMITTEE As students near a final draft of the dissertation and the final exam (Step 7 below), they need to finalize the “Dissertation Reading Committee” with the graduate school. To do this, please email the Student Services Counselor the final dissertation reading committee members (usually all members of the committee except the GSR). They will submit this to the Graduate School. The Reading Committee will need to sign a Reading Committee Approval form, found here https://canvas.uw.edu/courses/1178516/files/43216314?module_item_id=7636186 that must be uploaded with the final Dissertation to the Graduate School no later than 11:59pm PST on the last day of the quarter in which they plan on graduating(see Step 8 – Final Steps and Graduation).

More information about graduate school policies for the formation of the Reading Committee is available here: http://grad.uw.edu/policies-procedures/doctoral-degree-policies/appointment-and-responsibilities-of-a-doctoral-reading-committee/ STEP 7—DISSERTATION DEFENSE (FINAL EXAMINATION) After 2 of the dissertation papers have been submitted to peer-reviewed journals, PhD students should begin planning and scheduling their final examination (oral defense of the dissertation). To prepare for this step, all PhD students are strongly recommended to attend at least one Health Services dissertation defense per year. In addition, to prepare for the dissertation defense, students are encouraged to practice their presentations with their peers and committee prior to the exam and to share and seek examples of presentations with/from other students in the program.

Requirements for Attendance

All committee members need to be present for the Final Exam.

https://canvas.uw.edu/courses/1178516/files/43216314?module_item_id=7636186

http://grad.uw.edu/policies-procedures/doctoral-degree-policies/appointment-and-responsibilities-of-a-doctoral-reading-committee/

http://grad.uw.edu/policies-procedures/doctoral-degree-policies/appointment-and-responsibilities-of-a-doctoral-reading-committee/


Scheduling and Requesting an Exam with the Graduate School Students must schedule the exam date, time, and location with their supervisory committee members prior to submitting an official exam request. Committee members must agree, in advance, to the date and time. After coming to agreement on a date and time with their committee, students must apply formally for a general exam date at least three weeks prior to the examination at the following link: http://grad.uw.edu/for-students-and-post-docs/mygrad-program/ Students should be registered for at least one credit in the quarter that they defend their dissertation. Final examinations should be held within the UW Health Sciences Building; students should contact the Student Services Counselor for help with scheduling a room immediately upon securing the date. K069 and H679 are recommended for final exams.

Publicizing and hosting the event

Final exams are open to the public, and students are encouraged to invite friends, family, and colleagues to this event. The Program will also publicize the event to students and faculty and the SPH community via an email invitation and a flyer. Students need to be responsive to requests from the Student Services Counselor in order to produce the email invitation and flyer. Students often take on the role of “host” of their final exams and bring light refreshments for those in attendance.

Format

The final examination for the PhD degree consists of a public defense of the student’s fully completed dissertation before the doctoral supervisory committee. The defense usually includes a presentation by the student summarizing his/her research (~45 minutes) and questions from the committee and audience concerning the dissertation (~15-25 minutes). Example protocol:

• Introduction to purpose of defense, student and committee – 5-10 minutes • Student presentation – 35-45 minutes • Questions from committee and general audience – 20-40 minutes • All guests are asked to leave. Committee will ask any remaining questions – 15 minute • Student asked to leave. Committee discussion and consideration of warrant – 5-10 minutes • Student invited to return and given result of defense • Celebration!!

To prepare for the dissertation defense, students are encouraged to practice their presentations with their peers and committee prior to the exam and to share and seek examples of presentations with/from other students in the program.

STEP 8—FINAL STEPS AND GRADUATION

The student must successfully defend her/his research before the PhD can be granted, and may repeat their defense if the initial defense is unsatisfactory.

http://grad.uw.edu/for-students-and-post-docs/mygrad-program/


After the dissertation is successfully defended, the student incorporates into the dissertation any changes recommended by the reading committee and the supervisory committee before the final award of the degree. Once the final dissertation is complete, consistent with graduate school requirements (http://grad.uw.edu/for-students-and-post-docs/thesisdissertation/etd-formatting-guidelines/), and any additional committee recommendations, students are required to submit an electronic thesis/dissertation to the graduate school consistent with steps outlined here: http://grad.uw.edu/for-students-and-post-docs/degree-requirements/preparing-to-graduate/ Students must be registered for at least one credit in the quarter that they wish to graduate. Students are required to fulfill all of the above-described steps prior to graduation. The mean time to graduation in the program is 4.4 years, though some variability has been observed over the years. Students will not be able to graduate until all of the above steps are met, so strong organizational skills and optimizing use of the committee to help meet the goals are strongly recommended. Because students often apply for post-doctoral fellowship positions, faculty positions, or other research positions, and sometimes receive offers of employment before the Final Exam, it is particularly important to stay on schedule and be clear that no student will graduate without meeting the program requirements. Graduation decisions are the sole province of the University of Washington and the Graduate School and its constituent programs and faculty.

Students who are slated to complete all graduation requirements within an academic year (including during summer quarter) are eligible and STRONGLY ENCOURAGED to participate in graduation services. This includes an all-school UW School of Public Health graduation and a Department of Health Services graduation ceremony. Further information will be emailed to students in Winter Quarter of each Academic year.

http://grad.uw.edu/for-students-and-post-docs/thesisdissertation/etd-formatting-guidelines/

http://grad.uw.edu/for-students-and-post-docs/degree-requirements/preparing-to-graduate/

http://grad.uw.edu/for-students-and-post-docs/degree-requirements/preparing-to-graduate/

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