Preliminary Exam

The Graduate School requires that students complete the Preliminary Examination by the end of Year 3. In Ethnomusicology, the Portfolio & Prospectus Workshop is analogous to the Preliminary Exam in Musicology and Composition. The exam cannot be taken until all departmental course and language requirements (including unresolved Incompletes) are fulfilled.  After successfully completing the Preliminary Exam, the student enters candidacy for the Ph.D.

Doctoral Committee

The Doctoral Committee administers the Preliminary Exam. After consultation with the student and dissertation supervisor, the DGS nominates a Doctoral Committee for the approval of the Dean of the Graduate School. Ordinarily, the committee has four members drawn from the Duke University Graduate Faculty. Three members must be faculty in the Department of Music (one of these, the committee chair, serves as a dissertation supervisor). The fourth member serves as a Minor Area Representative, that is, a scholar whose specialization plays a subsidiary role in the candidate’s dissertation. The DGSA requires a brief (one-sentence) statement that explains how the MAR’s subsidiary role is not directly related to the candidate’s primary research focus. 

If a prospective committee member is not a member of the Duke Graduate Faculty, the DGSA will require the prospective member’s contact information to obtain documents to secure approval by the Graduate School.

In general, it is recommended that the student take a course with each faculty member on the Doctoral Committee before the Preliminary Exam.  This is not always possible nor is it a strict requirement, but it helps if the faculty member is already familiar with the student’s work.

The Doctoral Committee must participate in exams in person. In exceptional cases remote participation, e.g., by Zoom or Skype, may be permitted with prior authorization. In such cases, only one member of the Committee can participate remotely, and the remote participant cannot be the dissertation supervisor.

Scheduling

Students should identify their dissertation adviser during semester 5 (Year 3, fall semester) and finalize the Doctoral Committee in consultation with their adviser. Once determined, the student must submit names of the committee members (and CVs if necessary) to the DGS and DGSA no later than February 1 to ensure timely approval of the committee by the Graduate School.  If for some reason the membership of the Doctoral Committee should change, the student should immediately notify the DGS and DGSA so that a new committee member can be approved by the Graduate School. 

The DGSA will schedule the Preliminary Examination during semester 6 (Year 3, spring semester) in consultation with the student and dissertation supervisor. Under no circumstances should the student schedule the exam.

Outcome

The outcome of the Preliminary Exam is Pass or Fail; the Graduate School does not allow for a “conditional pass.”  In the event of a failed exam, the Doctoral Committee may allow the candidate to retake the exam three to six months after the first exam.  The Doctoral Committee must remain the same in the event of a retake.

The Preliminary Examination in Composition has two parts: a written exam and an oral exam. The written exam consists of an assigned essay and a short composition written over the course of five days, Monday - Friday.  The oral exam follows at least one week after the end of the written exam and consists of a discussion with the Doctoral Committee of the Doctoral Portfolio, the essay and short composition, an undergraduate course proposal, a proposal for an article of publishable quality, and the Dissertation Composition proposal. The exam must take place no later than semester 6 (Year 3, spring semester).

Timetable

During semester 5 (Year 3, fall semester), students should select a dissertation adviser, with whom they discuss the membership of their Doctoral Committee.  The names of the committee members must be submitted to the DGS and DGSA no later than February 1 for approval by the Dean of the Graduate School.

Two months before the written exam

The student, in consultation with the adviser and Doctoral Committee, determines the topics that will comprise the exam and prepares a reading and score study list. The exam topics include the following:

  • Proposal for the Dissertation Composition
  • Proposal for a scholarly article of publishable quality
  • Proposal and annotated syllabus for an undergraduate course
  • A timetable for completing the dissertation and article

One month before the written exam

The student submits to the committee a Doctoral Portfolio, a Dissertation Composition proposal, a proposal for an article of publishable quality, a proposal and syllabus for an undergraduate course, and a timetable for completing the dissertation and article.

Exam week

Student works on the assigned essay and short composition between Monday 9:00 AM and Friday 5:00 PM. 

Oral Exam with the Doctoral Committee

Follows one week after completing the written exam (2 hours).

Doctoral Portfolio

The Doctoral Portfolio consists of pieces composed at Duke.  There should be enough music for an entire concert, i.e., at least 60 minutes of music. Copies of scores and recordings, including the works in the Qualifying Exam portfolio, should be in the Doctoral Portfolio, prepared in accordance with standards described in the Qualifying Exam.  The student should provide each member of the Doctoral Committee with a copy of the portfolio. It can be helpful to prepare a website for the portfolio (scores and recordings), though committee members may request printed scores. 

Dissertation Composition Proposal

The Dissertation Composition is the most substantial component of the composer’s Ph.D. work at Duke.  The music should demonstrate a distinctive artistic voice as well as superb technical accomplishment. 

In most cases, the Dissertation Composition is a single large-scale work, often in several movements comprising 30 minutes of music or more.  In general, the student should consider a project that can realistically be performed by musicians and ensembles elsewhere besides those we engage at Duke.  The goal is to produce music that can readily circulate in the professional contemporary music-making world rather than a piece that may receive a single performance.

Some students propose a portfolio of compositions that together comprise the Dissertation Composition.  The portfolio may include two or three shorter pieces (i.e., each 10 – 15 minutes in duration) for a variety of ensembles or media that demonstrate the full scope of the composer’s artistic interests and abilities.

Often, the student wishes to align the Dissertation Composition with a visiting ensemble that will be in residence during the dissertation period. The faculty recognizes that plans for visiting ensembles are sometimes in flux, compelling the student to adjust the Dissertation Composition proposal within the one-month deadline before the written exam. 

The Department will not contract individual performers selected by the composer unless (1) they will perform with the visiting ensemble (e.g., a vocal soloist), and (2) the ensemble agrees to work with the individual.  Funding for additional performers is limited.  Once the ensemble is confirmed, the Department will make every effort to prepare a professionally performed and edited recording of the dissertation composition by the visiting ensemble.  That said, a recording of the composition is not required for the dissertation defense.

In some cases, a student will have secured a commitment from another ensemble to perform the Dissertation Composition, e.g., a presenting organization may commit to producing a new opera, or a professional orchestra may perform a new work by the composer.  While recognizing the importance of such opportunities, the Department cannot offer funding or a recording of the composition.  Priority is always given to the visiting ensemble that the Department has engaged for a Duke residency.

The Dissertation Composition Proposal should provide (for each piece) a provisional title, instrumentation, texts (if appropriate), approximate duration, equipment needs (e.g., for digital audio playback), a score study list, a statement on the significance of the composition in the composer’s artistic development, and a proposed schedule for completing the composition.

In all cases the student should keep the dissertation adviser fully apprised of plans for the Dissertation Composition.

Article of Publishable Quality Proposal

The proposal for an article of publishable quality should be 2-3 pages long and provide a well-defined argument.  The proposal is accompanied by a bibliography of academic writings, recordings, and scores, as well as a timetable for submitting drafts.   

The article itself centers on a research area that interests the student. It is a secondary component of the student’s dissertation work, usually 20-30 pages long, including musical examples.  In most cases, the article is an analytical project or a series of case studies focusing on specific pieces, recordings, transcriptions, and the like.  Often, the topic is an outgrowth of the student’s research for Category A from the Qualifying Exam.  The student should strive to contribute new knowledge to the field rather than explore a topic that has already been extensively covered.

Ideally, the article will target a specific academic publication, e.g., Music Theory Online or Tempo, which serves to define typical subject matter, length, and overall structure.  It should be well-aligned with the student’s skills (e.g., facility in a foreign language, computer programming, instrument building, etc.).  The article must be submitted in its final, fully edited form at least two months before the dissertation defense.

Undergraduate Course Proposal

The course proposal includes a course title and description, annotated syllabus, a list of assigned readings, recordings, and scores, and a description of the objectives for each section of the course. The course topic may be related to the dissertation composition or publishable article and should target undergraduates at a liberal arts college or university (possibly students who do not read music) rather than a school of music. 

Library Reserves

The most relevant items from the reading and score study list should be placed on reserve in the Music Library or made available online.  Requests to acquire materials not in the Music Library collection should be made before the start of Year 3, if possible.

Written Examination

The Doctoral Committee will prepare an essay question related to the dissertation composition or article proposal as well as an assignment for a short composition.  The dissertation adviser or DGSA will send the student the essay question and composition assignment by email no later than 9:00 AM on the Monday of the exam week.  The student must submit the completed essay and short composition by 5:00 p.m. the following Friday. The student may use all library or studio resources. The essay should be double-spaced and printed on only one side of the page to facilitate copying.

Oral Examination

The oral exam will follow approximately one week after the completion of the written exam and consists of a discussion of the following:

  • Essay and short composition prepared during the written exam
  • Dissertation Composition proposal
  • Article of publishable quality proposal
  • Undergraduate course proposal
  • Doctoral Portfolio

The Doctoral Committee may ask the student to revise the portfolio, the dissertation composition proposal, the course proposal, or the proposal for the article of publishable quality. Following the oral exam, the dissertation adviser will send a letter to the student, copying the DGS, summarizing the Doctoral Committee’s assessment of the exam, and listing any required revisions or remedial actions.  All revisions and remedial actions must be completed and approved by the Doctoral Committee before the student enters candidacy for the Ph.D.

For the Ph.D. in Ethnomusicology, the Portfolio & Prospectus Workshop is analogous to the Preliminary Exam.  It consists of an in-person discussion with your Doctoral Committee (2.5 hours) of the portfolio typically taking place in semester 6 (Year 3, spring semester). In the first half of the workshop, the discussion focuses on the three fields developed in the Field Specialization Workshop, for which you are expected to demonstrate fluency in the key themes in each field. The second half of the workshop focuses on your dissertation prospectus and plans for research.

Students who fail to defend the portfolio and prospectus by the end of Year 3 risk not being allowed to continue in the program. If the Doctoral Committee judges that your performance in the workshop is inadequate, the committee may allow you to reschedule the workshop no earlier than three months and no later than six months afterwards. All Doctoral Committee members must participate in the workshop.  In some circumstances, one member may participate via conference or video call.  The dissertation adviser must participate in person.

En Route Master of Arts (A.M.)

Students who wish to receive the en route A.M. should notify the DGSA of their intention at the beginning of the semester in which they take the Portfolio & Prospectus Workshop (normally semester 6). Following the successful completion of the Portfolio & Prospectus Workshop, students may receive the en route A.M. at the end of Y3.

Terminal A.M.

A student who wishes to leave the program for professional or personal reasons may graduate with a terminal A.M. In this case, the Portfolio & Prospectus Workshop serves as the terminal exam if students have met all other academic requirements for the A.M.   Students should apply for the terminal A.M. at the beginning of semester in which they take the Portfolio & Prospectus Workshop (normally semester 6).   The terminal A.M. will be awarded at the end of Y3 following the successful completion of the Portfolio & Prospectus Workshop.

Students who do not successfully complete the Portfolio & Prospectus Workshop will not continue graduate studies in music and may not receive an A.M. at Duke.

Portfolio Requirements

The portfolio is a body of work produced since beginning graduate studies at Duke.  It should demonstrate and prompt discussion about the ways your ideas have developed over the years preceding the workshop. The portfolio includes:

  • Three annotated reading lists - two theoretical in focus, and one geographic - displaying the contours of each of the student's fields of specialization. Each list should include 35 items. Annotations may vary in length (from a short paragraph to a page), a balance to be determined by the committee member for that particular reading list in consultation with the student. The list for each field should be introduced by a synthetic overview that charts the genealogy of the readings and/or that critically reviews its key themes (2-3 double-spaced pages per list).
  • Five exemplary papers written for Duke seminars (10-25 double-spaced pages). These should include at least two research papers based on original research or analysis (20-25 double-spaced pages). The remainder may be shorter theoretical essays (10-15 double-spaced pages). An essay comparing two theorists discussed in the Theories seminar (i.e., CA 801S and 802S) would be a typical submission in this category, as would a critical essay developed around an issue or a set of recordings. One of the research papers should be substantially revised. The rest may be submitted in their original form. Each submission should be identified by the class and instructor for whom it was written and the year it was produced.
  • One example of an audio or audiovisual work, such as a field recording. This should be accompanied by an explanation of the objective of the recording and of the recording methods selected (2-3 double-spaced pages). Approximately ten minutes of the recording should be excerpted for methodological discussion in the accompanying explanation.
  • One book and one recording or documentary film review along the lines of those published in scholarly journals. Each review should be 3-5 pages in length. An example of such a review could be a revised seminar response paper.
  • One sample grant proposal
  • One self-designed undergraduate-level course syllabus
  • Dissertation prospectus

If necessary and agreed upon by the dissertation adviser and student, some modifications may be made to the exact content of the portfolio to better accommodate the student’s needs.  All changes must be approved by the Ethnomusicology faculty.

Dissertation Prospectus

The Dissertation Prospectus (20-25 double spaced pages) should be comprised largely of your grant proposal for dissertation fieldwork, to which you will append a discussion of changes that have occurred in the thinking, design, and framing of the project since the grant was written (particularly considered in relation to the field lists). This document should also include a provisional outline of the dissertation; any questions about implementation of the project that the student would like to raise with your committee during the Portfolio Workshop; discussion of human subjects issues that pertain to the project, and formal approval by Duke's Human Subjects Committee if the project includes human subjects (IRB).

Optional Appendix

Students may also include in their portfolio an appendix of additional material, such as conference papers, op-eds or other journalistic interventions relating to their ethnomusicological expertise, audio or audio-visual material, documentation of performances, i.e., anything that they believe reflects favorably on their scholarly or teaching potential.

Reading Lists

One member of the student's Doctoral Committee will be responsible for the evaluation of each field and will provide the student with guidelines identifying the materials that should be included on the field reading list and the nature of the synthetic writing about each field. The dissertation adviser may be responsible for one of the student's fields.

The student should meet regularly with each examiner to discuss progress on the respective field reading lists. Each student should assemble their materials for the portfolio on their own website at sites.duke.edu, a university-supported WordPress site. Committee members may also request hard copies of the contents.  An overall timetable follows below.

Timetable

Year 1

Begin collecting materials for your portfolio during your first year using work produced in your classes, even though you have yet to finalize your choice of fields or faculty examiners/committee members. You will submit a Mini-portfolio covering course materials at the end of the first year.  The Mini-portfolio constitutes your qualifying examination.

Year 2

During Semester 3, you should select a dissertation adviser and discuss formation of your Doctoral Committee in consultation with your adviser.  In this year you will focus on preparations for Field Specialization Workshop, which culminates in a meeting with at least three members of the Doctoral Committee at the end of the spring semester (semester 4).  In this meeting you will discuss your preliminary field lists, your summer research proposal, the courses you are planning to take during your third year, and what you expect to produce for the Portfolio.  

Year 3

This year centers on preparing for the Portfolio & Prospectus Workshop described above.  You will finish assembling the portfolio, with a focus on writing the dissertation prospectus and the synthetic essays. You must complete at least one field section of your portfolio by December 15 of that year.

If you have not done so already, you must enlist a fourth faculty member for your Doctoral Committee, which must be approved by the Associate Dean of the Graduate School before you can take the Portfolio & Prospectus Workshop near the end of the spring semester.  Make sure you have submitted the Doctoral Committee membership to the DGSA no later than February 1. 

The remaining field sections of the portfolio must be submitted to all committee members no later than March 15 of Year 3.  A final version of a dissertation prospectus must be distributed to all committee members at least two weeks before the Portfolio & Prospectus Workshop, typically held in April of Year 3. Upon receipt of faculty assessments of all sections of the portfolio, your dissertation adviser will review the portfolio in its entirety, including the dissertation prospectus, and notify you, the other Doctoral Committee members, and the DGS as to whether you may proceed to the oral Portfolio & Prospectus Workshop.

Year 4

You conduct dissertation research in your fourth year.  All teaching assignments are waived during this year.

Year 5

You return to campus for dissertation-writing in your fifth year.

In Musicology, the Preliminary Exam consists of a defense of the Dissertation Prospectus. The specific format of the Preliminary Exam is determined in consultation with the dissertation supervisor.

Dissertation Prospectus

The Dissertation Prospectus is an important document and, once approved, serves as an agreement between the candidate and the committee. In addition, it is often submitted to support an application for a dissertation fellowship. It should include a clear statement of the problem to be investigated and of its significance (1-2 pages), the current state of knowledge about this problem, the methodology to be followed, the nature and accessibility (insofar as it is known) of the primary and secondary sources, a brief account of the candidate’s preliminary studies related to the topic, an outline of proposed chapters within the planned dissertation, special skills (if any) necessary for investigating the topic, e.g., foreign languages, instrumental or vocal performance, paleography, etc., along with evidence that you already have acquired these skills, and a tentative time schedule outlining the successive steps the candidate expects to follow in the course of his/her work.

Candidates should keep in mind, however, that a prospectus is not a dissertation but rather a research proposal; that at this stage they are expected to present questions rather than answers, and that their work may move in unforeseen directions. A bibliography, using a consistent standard format, should be included and should be confined to items of direct relevance (avoid “padding”); the prospectus should make clear to the reader which titles have already been consulted. Ordinarily, the main narrative of the dissertation proposal will run 15-20 pages, followed by the bibliography. A writing sample – showing the kind of work to be accomplished – may also be included as an Appendix, following the bibliography. Students are encouraged to consult previously approved Dissertation Prospectus documents as models.

As soon as the proposal has been approved, candidates in Musicology should complete and submit a form for Doctoral Dissertations in Musicology to register the topic. This is done at the American Musicological Society (AMS) website at http://www.ams-net.org/ddm/ddm-submission.php.

Timetable for Preliminary Exam in Musicology

During semester 5 (Year 3, fall semester), you should select a dissertation adviser, with whom you will discuss the membership of your Doctoral Committee. 

At least two months before the exam

Membership of your Doctoral Committee must be approved by the Dean of the Graduate School. The deadline for submission of the Committee Approval Form to the DGSA is February 1.  A committee will not be approved if the two-month deadline has passed. You must determine the general area for examination, based on the Prospectus, in consultation with your dissertation adviser and members of the Doctoral Committee.

One month before the exam

You must present a written Prospectus and a reading list to the Doctoral Committee.

After completing the Preliminary Exam

The committee may ask the student to revise the Prospectus after the Preliminary Exam, by the end of the semester, and may require that the exam be repeated. Passing the Preliminary Examination as a whole is contingent upon the approval by the committee of this final version of the Prospectus.

If you fail the Preliminary Exam, you may request to take a second exam no sooner than three months and no later than six months after the first exam. In this case, you must obtain consent to take a second exam from your Committee and the Dean of the Graduate School. Failure to pass the second exam renders you ineligible to continue work on the Ph.D. at Duke.