phd dissertation exam

• Dissertation and Final Oral Exam

[Part of the Policies of the CHD, last updated fall 2021]

Dissertation

The dissertation must represent an original and significant contribution to knowledge.  The dissertation should be a coherent document conforming with the customary standards of scholarly discourse and addressed to a broad audience in the corresponding subject rather than to a narrow audience of specialists in the field.  SEAS does not follow the practice in which a collection of manuscripts published or intended for publication as technical papers constitutes an acceptable dissertation.  It should be understood, however, that the student has an obligation to prepare the work for publication in the archival literature in timely fashion.  The dissertation must meet the GSAS requirements available at https://gsas.harvard.edu/degree-requirements/dissertations/formatting-your-dissertation  .

Final Oral Exam ("Defense")

The last two requirements are the final Ph.D. oral examination and an electronic copy of the dissertation submitted as a PDF file.  The student must deliver a complete penultimate draft of the dissertation (except for the acknowledgments) to all members of the research committee at least two weeks prior to the final examination. Once the student has agreed upon a time for the examination with all members of the research committee, the student is responsible for contacting the Office of Academic Programs ( [email protected] ) at least two weeks in advance in order to prepare the exam paperwork, and, if needed, to schedule a room.

The final oral exam (i.e., the defense) is the culmination of a student’s years of effort and formally marks the candidate’s entry into the community of scholars .   As such, the candidate and committee should strive to meet together in person for the exam.  If after attempting to schedule a time for the full committee to meet together in person it appears that no such time can be found, the candidate should consult with the Office of Academic Programs about alternatives, possibly including that one or more committee members attend remotely.

SEAS encourages candidates to provide a videoconferencing (e.g., Zoom) option for remote attendance by guests, community members and the public who may not be able to attend in person.

The final examination is essentially a presentation and defense of the dissertation, though more general questions relating to the field of the dissertation are in order.  At the end of the examination, the research committee may accept the dissertation, possibly subject to agreed-upon revisions, or specify further requirements.  If other than minor revisions are involved, the nature of the conditions that need to be met should be reported to the DGS.  The research advisor must certify in writing that these conditions have been met before award of the degree can formally be recommended by the Dean. 

SEAS facilities are the usual location for the final defense.  A student planning a defense to be held outside of SEAS must have the approval of all their committee members before finalizing the location of the defense. Arrangements as to location will be made by the student through the Office of Academic Programs. Public notice will be given.  The Office of Academic Programs strongly encourages students to schedule their defense not later than two weeks before the GSAS Ph.D. Dissertation submission deadline.

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How the PhD Program Works

Program Overview

Completing your doctorate at Wharton requires 5 years of full-time study. The first 2 years in the program prepare you for admission to candidacy by taking courses, qualifying exams, and starting research projects. In the last few years, you are primarily conducting research full-time including writing and defending your doctoral dissertation.

Admission to candidacy.

You begin by taking courses required for your program of study. All programs requires a preliminary exam, which may be either oral or written.

Some programs may have further requirements, such as an additional exam or research paper. If you enter with a master’s degree or other transfer credit, you may satisfy the formal course requirements more quickly.

Beginning the Wharton PhD Curriculum How the first two years of the Wharton program helped students discover their interests, learn the tools of the profession, and fuel their passion for teaching.

The Doctoral Dissertation

Upon successful completion of coursework and passing a preliminary examination, you are admitted to candidacy for the dissertation phase of your studies.

Your doctoral dissertation should contain original research that meets standards for published scholarship in your field. You are expected to be an expert in the topic you choose to research.

You are admitted to candidacy for the dissertation phase of your studies upon successful completion of coursework and passing a preliminary examination, but you can start thinking about and working on research of relevance at any time.

The dissertation process culminates with a “defense,” in which you defend the proposal orally before your dissertation committee.

While working on your dissertation, you interact extensively with Wharton faculty. Together with interested faculty, you create your own research community that includes your dissertation advisor and dissertation committee.

Policies and Procedures

Get more detailed explanation of course requirements, academic standards, the Teacher Development Program, time limits, and dissertation procedures and requirements.

Sample Program Sequence

Years 1 & 2.

Coursework Examination Research Papers Research Activities Field-Specific Requirements

Directed Reading & Research Admission to Candidacy Formulation of Research Topic

Years 4 & 5

Continued Research Oral Examination Dissertation

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What brought this cdc researcher to wharton's phd program.

Ph.D. Qualifying Examination

The Qualifying Examination is an important checkpoint meant to show that you are on a promising research track toward the Ph.D. degree. It is a University examination, administered by the Graduate Council, with the specific purpose of demonstrating that “the student is clearly an expert in those areas of the discipline that have been specified for the examination, and that they can, in all likelihood, design and produce an acceptable dissertation.” Despite such rigid criteria, faculty examiners recognize that the level of expertise expected is that appropriate for a 3rd year graduate student who may be only in the early stages of a research project.

See campus policies about the Qualifying Exam.

Professor Ana Arias and Professor John Wawrzynek have made available useful information for students planning to take the Qualifying Exam.  See slides  (Calnet authentication is required).

• For students entering Fall 2003 or later, the Qualifying Examination must be taken within 6 semesters of starting the program
• you need a total of at least four members on your committee
• at least three of the members must be regular UC Berkeley faculty that are member of the Academic Senate
• your advisor(s) cannot be the Chair
• One member must be from outside the EECS Department (As of spring 2020, the outside member can be a UCB faculty member with no more than 0% appointment in EECS, or a faculty member or distinguished researcher from another institution.  To request an off-campus person to be the outside member, students must request an exception by submitting a general petition , including the person’s CV, to their staff advisor for review with the Head Graduate Advisor. )
• Apply online through  Calcentral  under your “Dashboard”. On the right hand side for “Student Resources”, students will see an option to Submit a Form for Higher Degree committees. Choose the option for the Qualifying exam application.
• Department Qualifying Exam Application
• Completed and advisor approved White Card
• You must be registered the semester the exam is given. Summer quals are OK if you are registered the previous Spring or the following Fall semester.
• The prelim requirements (which include passing the oral exam and completing the prelim breadth course requirements) must be completed before a student is eligible to take the Qualifying exam. However, it is not required that all the coursework (e.g., the courses listed in the major and minors) be completed before taking the Qualifying exam.
• Students take quals, format A or B , within 6 semesters of starting the EECS graduate program. Format A : Research area survey, directions, evidence of research ability. Format B : Research area survey, directions, thesis proposal defense.
• Students passing only Format A for quals must also do a satisfactory thesis proposal defense within 10 semesters after matriculation.
• In the unfortunate case that a student does fail the qualifying exam twice, per the Graduate Division’s policy, a third attempt is not permissible. The student will not be eligible to continue in the doctoral program and may be dismissed.

In This Section

• Qual Eligibility
• Qual Deadlines
• Qual Committee
• Qual Format
• Applications for the Qualifying Exam
• Advancement to Candidacy
• Thesis Proposal Defense and Application

Ph.D. Student Guide

• Ph.D. Coursework
• Ph.D. Oral Exam
• Ph.D. Breadth Requirement
• Ph.D. Blue Card
• Ph.D. Applications for the Qualifying Exam
• Ph.D. White Card
• Ph.D. Advancement to Candidacy
• Ph.D. Thesis Proposal Defense and Application
• Ph.D. Qual Eligibility
• Ph.D. Qual Committee
• Ph.D. Qual Format
• Ph.D. Teaching Requirement
• Ph.D. Dissertation Filing Fee
• Giving the Ph.D. Dissertation Talk
• Ph.D. Dissertation Filing Procedure
• Ph.D. Technical Report Submission
• Ph.D. Graduate Division Surveys
• Ph.D. Commencement
• Ph.D. Diploma and Transcript
• Ph.D. Student Review Instructions
• Ph.D. Student Review Forms
• Ph.D. Student Review Frequently Asked Questions

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PhD Program in Epidemiology

Guidelines for the qualifying examination (dissertation proposal).

THE EPIDEMIOLOGY PH.D. DISSERTATION PROPOSAL

I. Establishing the Dissertation Committee

1) Once a student has passed the comprehensive examination, they will formally select a dissertation advisory committee of not fewer than four members.

• The student may begin to identify likely candidates for the committee in advance of passing the comprehensive exam.
• The dissertation committee is intended to bring specialized expertise and resources to a student’s research and career development process. The dissertation chair is primarily responsible for overall guidance of the student’s research and training.
• The dissertation committee is responsible for administering the qualifying examination (proposal defense) and the final dissertation examination.
• The student should review the list of Graduate Faculty and talk with the Program Manager about the specific individuals under consideration, to make sure they are qualified by the Graduate School to serve on a PhD committee.

2) The committee will be chosen in consultation with the student’s research mentor.

3) The committee must include two members of the Epidemiology faculty other than the mentor and at least one faculty member from Biostatistics, unless a different quantitative person is more appropriate.

4) The committee must be appointed by the Graduate School no less than two weeks before the time of the qualifying examination.

II. Preparing the Dissertation Proposal

1) The dissertation proposal is a comprehensive proposal detailing the motivation, approach, and feasibility of the student’s proposed doctoral dissertation research.

2) The dissertation will comprise, at the minimum:

1. Critical review of the literature, including quantifying results from previous studies

2. Motivation for the study, and how it fulfills certain gaps in the field

3. Statement of specific aims, and hypotheses for each aim

4. Proposed approach and analytic plan, including:

a) Table 1 equivalent descriptors with overview of population (for each aim if population differs)

b) Detailed operational definitions of key exposure and outcome variables in text and potentially figures/tables, including the construction of variables and any decisions that need to be made (spline, percentiles, categorical from continuous)

c) Detailed operational definitions of other variables proposed and their construction (can be in table format)

d) Rationale for candidate confounders for each aim

e) Rationale for consideration of effect modification

f) Detailed analysis plan that includes statistical methods to be used for each aim, and an explanation as to the assumptions and/or caveats associated with such methods

g) Clear defense of superiority of the modeling approach over common alternatives

h) Power calculations for each aim

5. Description of papers to be written from the research

6. Potential limitations of the study

7. Appendices with key source documents.

3) There is no page limit; the length of the proposal will vary.

4) It is highly recommended that students attend each other’s qualifying exams (proposal defenses), in preparation for their own.

III. Working with Your Committee

1) The first, full draft of the dissertation proposal should be presented to the dissertation committee at least 2 months prior to the planned date of the qualifying exam.

• The final, completed draft of the proposal should be given to the committee 3 weeks before the date of the exam.

2) The student is in charge of this process:

• You are responsible for organizing committee meetings and making sure that things progress. At this point in your career, you should be in charge of moving things along, not your committee.
• Provide your materials/rewrites/proposal to your committee members with plenty of time to review (three to four weeks ahead for formal meetings). Do not expect to give material to your committee the night before and get something in the next day or two. Demonstrate that you value the committee members’ input and time by being courteous.
• Make sure you give your committee members quality work, work that you and potentially others have edited, checking for grammar and spelling errors. There is nothing worse than when a student wants quality feedback, but hasn’t bothered to provide quality material. Furthermore, if a committee member suggests changes, don’t give it back to them for review without those changes. If you disagree – discuss it, but just don’t ignore it.
• Provide a schedule for your committee so they know what to anticipate and potentially make time for. An example:

– Aug 1- will provide 1st draft to committee members

– Aug 28- request that committee feedback be given by this date

– Sept 21- makes changes return to committee (repeat cycle as needed until committee is satisfied with your proposal)

– Oct 10- final proposal will be given to committee members

– Oct 31 – Committee meeting/proposal defense

• Prior to scheduling the qualifying exam, you should have agreement from all committee members that your proposal is ready, by their standards and taking into account their concerns, to be defended.
• Practice the oral presentation!

IV. Qualifying Exam (aka oral proposal defense)

1) The qualifying examination is an oral defense of the dissertation proposal.

2) The Graduate School must be notified of the time and place of the qualifying examination at least 2 weeks in advance.

3) To qualify for candidacy, a student must complete all of the required first and second year courses, must be in good academic standing (GPA ≥3.0), must pass the comprehensive examination and must pass an oral qualifying examination.

4) The examining committee is the student’s dissertation committee.

5) The examining committee assesses the written proposal and oral defense by rating the success of the student in the following components:

1. Familiarity with research literature

2. Ability to organize scientific data

3. Critical thinking skills

4. Mastery of principles and methodology proposed

5. Oral presentation of proposal

6. Ability to interpret and answer questions appropriately

6) The three possible outcomes of the examination are: Pass; Conditional Pass; or Fail.

1. A Fail requires a complete Qualifying Exam take-over (if a second Fail occurs, the student is dismissed from the program).

2. A Conditional Pass requires a set of conditions to be set out by the committee, with a due date by which such conditions must be fulfilled. Upon satisfactory completion by the due date, the Conditional Pass will then become a Pass; otherwise it will become a Fail.

Feel free to contact  [email protected]  with any questions.

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Department of Political Science

• Graduate Program

PhD Qualifying Examination and Dissertation

Phd qualifying examination (dissertation proposal defense).

In political science, the University PhD qualifying examination consists of the preparation, presentation, and defense of a dissertation proposal. After completing all course requirements (including the elimination of all incompletes) and fulfilling the requirements in two fields of concentration, students must take the PhD qualifying examination–also known as the dissertation proposal defense. To begin this process, students must form a dissertation proposal committee, consisting of the three faculty members (at least two of whom are from political science) who are serving as the student’s third-year paper advisors (see timing for selecting third-year advisors). All three must be tenured or tenure-track and hold the rank of assistant professor or higher at the University of Rochester. By the end of January, students must also submit to their advisors and to the director of graduate studies a one-page plan for the prospectus that describes the topic and format of the dissertation. This one-page summary must be signed by the student, as well as all members of the committee. Students are encouraged to begin discussions with faculty about expectations for the proposal well in advance of this deadline.

The PhD qualifying examination consists of three parts: a public presentation of the third-year paper (see above), a written dissertation prospectus, and an oral defense. If the dissertation is to take the form of three articles, then it is expected and encouraged that one of those articles will be the third-year paper; and if the dissertation is book form, then the third-year paper should form the basis for a part of the book. The prospectus must also include a plan for the remaining chapters of the dissertation: research problems to be addressed, a proposal for the analysis of those problems using appropriate methods, preliminary analysis and anticipated results, and relationship to the appropriate literature in political science.

Within two weeks of the third-year paper presentation, the student must have a meeting with all of the dissertation committee members to provide feedback on the third-year paper and determine its suitability for the dissertation prospectus. The student will then prepare a dissertation prospectus, which will serve a detailed plan for the organization and expected contributions of the dissertation to the discipline of political science. The prospectus must be completed and submitted to the director of graduate studies by July 1 and defended before the dissertation committee no later than July 31.

The student will pass the defense if the committee members are satisfied that the student is adequately prepared to undertake the dissertation work, and that there is good reason to believe the proposal will result in an adequate dissertation if executed appropriately. The oral defense must be formally scheduled two weeks in advance and the Dean’s Office notified. Program of Study forms for the MA and PhD degrees must be submitted at this time, if not earlier. Details on formally scheduling the examination and completing the Program of Study forms are available from the department administrator. The student must submit the final version of the proposal to each committee member at least one week in advance of the oral defense.

This examination is a University requirement for formal entry into PhD candidacy. The dissertation prospectus must be successfully defended by July 31 of the third year. If a student has not passed this exam by July 31, they are ineligible for departmental funding until the exam is rescheduled and the PhD qualifying examination and the dissertation successfully defended. At least seven months must elapse between the successful defense of the dissertation proposal and the oral defense of the completed dissertation.

Dissertation

Typically, after the student has entered into PhD candidacy, the members of the dissertation proposal committee continue to serve as the members of the dissertation committee, although this is not required. In any event, a PhD candidate must have a dissertation advisor during the dissertation phase, and this faculty member must be tenured or tenure-track and hold the rank of assistant professor or higher at the University of Rochester. Students are permitted to change their dissertation advisor at any time, in consultation with the director of graduate studies.

At least once a semester, usually at the end of the semester, students in the dissertation phase must prepare a written report on their progress toward completing their dissertation. This report is submitted to the student’s dissertation advisor and to the director of graduate studies. Students should also meet with their dissertation advisor and other members of the dissertation committee in order to discuss this report and consult about the direction of their research.

To receive the PhD in political science, each student must form a dissertation committee and defend their doctoral dissertation before the committee. The PhD dissertation committee must consist of at least two political science faculty members, one of whom is the dissertation advisor, and one outside faculty member. All three faculty members must be tenured or tenure-track and hold the rank of assistant professor or higher at the University of Rochester. (Some special exceptions to this are described in the Graduate Bulletin .) If an outside faculty member has not been involved in the proposal presentation and defense, the student should approach and obtain the consent of such a faculty member to participate on the thesis committee. This should be done as soon as possible after the PhD qualifying examination.

With the permission of the director of graduate studies and the dean of graduate studies, a student may invite a faculty member from another university to sit on the PhD dissertation committee. This faculty member may replace the outside faculty member or be in addition to the regular members of the committee. In no case can a member from another university replace one of the two political science faculty members of the committee or serve as the dissertation advisor.

As noted in the Graduate Bulletin, at least seven months must elapse between the PhD qualifying examination and the dissertation defense. Students planning a dissertation defense should obtain a copy of the University brochure on thesis requirements and also consult the graduate calendar to determine the periods during the year when such defenses cannot be scheduled. The student is responsible for arranging a time at which all committee members and outside chair (all selected by the student) can be present, and for registering the dissertation well in advance of the intended defense date. In order to leave sufficient time for administrative processing, the student must notify the department administrator of their plans to defend at least five weeks prior to the desired defense date. The defense consists of a brief public lecture and discussion, followed by a closed examination by the members of the committee.

Upon successful defense of the dissertation, a corrected copy of the dissertation, incorporating changes required by the dissertation committee during the thesis defense, must be submitted electronically by the student to the graduate dean. This should be done as soon as possible after the defense, and before the deadline set forth on the graduate calendar, as no PhD degree or completion letter can be awarded until these copies are submitted.

Degrees are conferred five times each year (March, May, August, October, and December). Students who must have degrees conferred by a specific date for job-related purposes should work closely with the department administrator to ensure that a defense is scheduled in time for the desired degree conferral date.

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Dissertations and Theses

The dissertation is the hallmark of the research expertise demonstrated by a doctoral student. It is a scholarly contribution to knowledge in the student’s area of specialization. By researching and writing a dissertation, the student is expected to demonstrate a high level of knowledge and the capability to function as an independent scholar. 

A thesis is a hallmark of some master’s programs. It is a piece of original research, generally less comprehensive than a dissertation, and is meant to show the student’s knowledge of an area of specialization.  

Document Preparation

PhD and master’s students are responsible for meeting all requirements for preparing theses and dissertations. They are expected to confer with their advisors about disciplinary and program expectations and to follow Graduate School procedure requirements.

The Graduate School’s format review is in place to help the document submission process go smoothly for the student. Format reviews for PhD dissertations and master’s theses can be done remotely or in-person. The format review is required at or before the two-week notice of the final defense. 

Access and Distribution

Ohio State has agreements with two organizations— OhioLINK   and   ProQuest/UMI Dissertation Publishing —that store and provide access to Ohio State theses and dissertations.  

Examinations

Graduate degree examinations are a major milestone in all graduate students’ pursuit of their graduate degree. Much hinges on the successful completion of these examinations, including the ability to continue in a graduate program. 

The rules and processes set by the Graduate School ensure the integrity of these examinations for graduate students, the graduate faculty, and for Ohio State. 

Final Semester

During your final semester as a graduate student there are many activities that lead up to commencement and receiving your degree. Complete the final semester checklist and learn more about commencement activities.

Graduation Calendar

Select your expected graduation term below to see specific dates concerning when to apply for graduation, complete your examinations and reports, submit approved thesis and dissertation, commencement, and the end-of semester deadline.

Applications to Graduate Due 1  : January 26, 2024

Examinations and Reports completed by 2  : April 12, 2024

Approved thesis and dissertation submitted and accepted by 3  : April 19, 2024

Commencement 4  : May 5, 2024

End of Semester Deadline 5  : May 6, 2024

Applications to Graduate Due 1  : May 24, 2024

Examinations and Reports completed by 2  : July 12, 2024

Approved thesis and dissertation submitted and accepted by 3  : July 19, 2024

Commencement 4  : August 4, 2024

End of Semester Deadline 5  : August 19, 2024

Applications to Graduate Due 1  : September 6, 2024

Examinations and Reports completed by 2  : November 22, 2024

Approved thesis and dissertation submitted and accepted by 3  : November 27, 2024

Commencement 4  : December 15, 2024

End of Semester Deadline 5  : January 3, 2025

Applications to Graduate Due 1  : January 24, 2025

Examinations and Reports completed by 2  : April 11, 2025

Approved thesis and dissertation submitted and accepted by 3  : April 18, 2025

Commencement 4  : May 4, 2025

End of Semester Deadline 5  : May 5, 2025

1  Applications to graduate include current semester or End-of-Semester deadline. Applications must be received by close of business.

2 Format reviews may occur electronically or in person at the Graduate School during announced business hours.  Both options require submitting a digital version of the dissertation or DMA document draft in a PDF format to  [email protected] .  

3  Approved documents must be submitted via OhioLINK and accepted by the Graduate School by the close of business before the Report on Final Document will be processed.

4  Students not attending commencement must complete the commencement section on the Application to Graduate to indicate how their diploma should be disbursed.

5  A degree applicant who does not meet published graduation deadlines but who does complete all degree requirements by the last business day prior to the first day of classes for the following semester or summer term will graduate the following semester or summer term without registering or paying fees

Still Have Questions?

Dissertations & Theses 614-292-6031 [email protected]

Doctoral Exams, Master's Examination, Graduation Requirements 614-292-6031 [email protected]

Oral Examinations

If you have questions about oral examinations, contact us at [email protected] .

Once your dissertation is nearing completion, it’s time to schedule your defense—your final oral examination.

You should begin making arrangements for your defense at the beginning of the semester (especially during the summer) in order to accommodate the schedules of your committee members.

Students must be currently enrolled in the dissertation course for the semester in which the defense is scheduled and held.

Committee Changes

Any changes to your dissertation committee must be approved by the Dean of the Graduate School. Changes should be approved at least 30 days prior to the date of the oral examination so that all new members have ample time to become familiar with your dissertation.

Defense Attendance

You, the student, and your supervisor, in negotiation with the dissertation committee members, should determine a time and date for the defense. Each member of your committee must receive a copy of your dissertation at least four weeks prior to your dissertation defense date. A defense cannot be held within two weeks of the last class day of the semester, unless the committee has consented to hold the defense within those last 2 weeks.

Request for Final Oral Examination Form

You must schedule the dissertation defense with the Graduate School at least two weeks prior to the defense date by completing the Request for Final Oral Examination form. All members of your committee must sign your request form indicating their intent to be present at your final oral. Your graduate adviser must also sign this form to indicate you have been approved to defend.

It is expected that all members of the committee attend the defense. The Graduate School does not distinguish between physical attendance or electronic/virtual attendance of the defense. One non-supervisory committee member may be absent from the defense in if necessary, but all members must read the dissertation and, when satisfied, sign the Report of Dissertation Committee form.

Contact for Questions

Email the Graduate School at the link above with any questions concerning defense attendance.

Format Check Requirements

When you submit the Request for Final Oral Examination form to the Graduate School, you should include one copy each of the dissertation abstract, title page and the committee membership page for a format check in separate PDF. You do not need to include the instructions page.

After the Defense

The official recommendation of your committee and your program is communicated to the Graduate School on the Report of Dissertation Committee. The Dean of the Graduate School depends on this document to determine your eligibility to receive the doctoral degree so it is essential that it be completed and returned in a timely fashion. A passing report signifies that your committee unanimously agrees that you have completed a dissertation that is an independent investigation in your major field.

In the event that revisions to your dissertation are necessary before your committee members approve your dissertation, the report will be retained by your supervisor until all revisions have been completed. After successful completion of your defense and any required revisions to your dissertation, the Report of Dissertation Committee should also be signed by all members of your committee and must be submitted to the Graduate School.

After you’ve made required or requested revisions to your dissertation, if any, check it carefully for grammar, spelling, punctuation, content and format, then convert it to the required PDF format and upload it.

Do not submit your report/thesis/dissertation via email . Final reports, theses and dissertations MUST be uploaded to the Texas Digital Library before your final paperwork and pages will be reviewed. After submission, no revisions or corrections will be allowed except for those required by the dean of the Graduate School.

Upcoming Oral Examinations

Doctoral students’ final oral examinations are open to all members of the University community and the public unless attendance is restricted by the Graduate Studies Committee. Scheduled oral examinations are published on the UT Grad School website.

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Phd dissertation, seminar and final oral exam.

The culminating experience for a BMMB PhD student is the preparation of a formal PhD dissertation, first author manuscript, public dissertation seminar, and final oral examination. The Graduate School has specific deadlines and formatting guidelines that must be followed both for the written dissertation and completing graduation requirements.

Ph.D. Dissertation

BMMB students must prepare and electronically submit a formal PhD dissertation that meets the format, style and semester deadline requirements of the Graduate School. A polished, draft dissertation must be turned in to the dissertation committee, at least two weeks prior to the oral examination to allow the committee time to review the dissertation. If a committee member finds that there are serious problems with the content or format of the dissertation, they should notify the adviser immediately (at least a week before the oral examination) and the Graduate School recommends postponing the oral examination until the dissertation is in acceptable draft form.  

First Author Manuscript

BMMB students are required to demonstrate the ability to collect, organize and present the results of their research in writing in a professional manner. This is accomplished by preparing a manuscript based on the PhD dissertation research. The manuscript must be primarily written by the student, approved by the dissertation adviser, and submitted for publication in a refereed journal before the committee can approve the dissertation .  

Public PhD Dissertation Seminar

Prior to the final oral examination, the student must give a public PhD dissertation seminar to the department. This seminar may be given at any time within a two-week period prior to the scheduled examination, but may also be done as an integral part of the actual final oral examination if the seminar and the examination can be so coordinated. The final oral examination is only presented to the student’s dissertation committee.

The Dissertation Seminar should be held in a room within easy walking distance of Frear and Althouse that seats at least 50 people. BMB does not have any department controlled seminar rooms. However, on Tuesdays and Thursdays BMB does have a room reserved from 12:05 PM to 1:20 PM as well as Mondays from 3:35 PM to 5:30 PM. Students should contact the Graduate Program Coordinator  to confirm whether the room is available for the desired date. Students may also schedule the seminar themselves through CollegeNET . A smaller conference room may be reserved for the final oral examination and this is suggested to ease scheduling a room for the seminar.

Students must inform the Graduate Program Coordinator of the title, date, time, location, committee members, and the student’s PSU ID# at least 3 weeks in advance so the Graduate School can process the needed paperwork.

• S tudent's Name:
• Student's Advisor:
• Dissertation Committee Members:
• Seminar Title:

Note: The seminar title MUST be submitted in correct title format with capitalization or Science Seminars will not accept it.  

Required Paperwork

The Graduate School will mail the “Report on the Doctoral Final Oral Exam” form to the Coordinator and the Coordinator will make three copies of the paperwork and pass the paperwork on to the student’s adviser along with a copy of the student’s transcript. Following the examination, two completed forms must be returned to the Coordinator so the report can be sent to the Graduate School. The adviser should keep the third copy for their records.  

Final Submission of Dissertation and Signatory Page

Following the oral examination, the student must electronically submit a final dissertation to the Graduate School with all revisions as suggested by the committee at the time of the oral exam. The student is also responsible for downloading and collecting signatures from the adviser and committee members for the “Doctoral Signatory Page”. Please see the Graduate School website for details on dissertation formatting, forms, and deadlines.  

Graduate School Thesis and Dissertation Information

Preliminary exam guidelines

• Preparation: The student must show sufficient breadth and depth of academic preparation to complete the proposed dissertation research without taking additional courses (other than the one course per term permitted by Rackham).
• Research Ability: The student must demonstrate evidence of research ability (e.g., publications, directed study project(s), Master’s thesis). Supporting documents should be submitted as an appendix to the written proposal.
• A suitable dissertation topic and plan: The student must present a detailed research proposal. The format and content (section titles, page limits, etc.) must follow either NSF or NIH guidelines for an unsolicited research grant. This proposal will be evaluated by the Preliminary Examination Committee (see Section 4) and defended in an oral examination.
• PREPARATION Selecting an advisor:  After a student completes the qualifying process, she/he works with a faculty advisor to prepare for the preliminary examination.  In order that the student obtains timely and appropriate advice, they must select an advisor within four months of passing the qualifying process  (i.e., by the beginning of the Fall Term). The selection of an advisor is reported to the Graduate Program Office and confirmed by obtaining the advisor’s signature on an endorsement form. A student is allowed to change advisors before taking the preliminary examination by obtaining an endorsement signature from the new advisor and notifying the Graduate Program Office. Coursework:  Before taking the preliminary examination, the student must satisfy the requirements for the qualifying process and complete: 1) at least eight three-credit-hour didactic courses approved by their advisor (four three-credit-hour didactic courses if the student enters with a relevant Master’s degree and obtains approval from the IOE Graduate Program Committee, 2) all Rackham course requirements, including coursework in residence and cognate requirements, as outlined at  https://rackham.umich.edu/academic-policies/section4/#4-3-1 , 3) required IOE doctoral seminars and directed study course (IOE 800, 801, 802), 4) at least one research seminar (e.g., IOE 813, 836, 837, 899), and 5) two semesters of IOE 990.
• To evaluate academic preparation, the preliminary examination committee will review undergraduate and graduate transcripts. If the student received a conditional pass during the qualifying process, the committee will confirm that all conditions have been satisfied.
• To evaluate the research ability and potential, the examination committee will review the research proposal and supporting documents (publications, research reports, etc.) provided by the student.
• The primary purpose of the oral examination is a presentation and defense of the proposed research. However, the examination committee may also ask questions related to specific knowledge and skills required to successfully execute the research plan. At the end of the oral examination, the committee will recommend one of the following outcomes:
• Advance to candidacy:  This recommendation is reserved for students who demonstrate outstanding performance on all aspects of the examination. Under special circumstances, the student may petition to defer formal Candidacy by one semester in order to take additional coursework. This petition must be approved by the student’s advisor and the IOE Graduate Program Advisor.
• Conditional advancement:  The student automatically advances to candidacy upon satisfying a specific requirement (e.g., completing a certain course(s) with a specified grade, performing additional pilot research or completing a specific assignment). This outcome occurs when the examination committee believes that the student has presented and defended a strong proposal, but has a deficiency (or deficiencies) that can be removed through additional work.
• Deferred advancement:  The student will be advanced to candidacy upon further clarification of the dissertation research and approval by the student’s dissertation committee. This outcome occurs when the examination committee believes that additional work is needed to define and/or focus the proposed dissertation research. The committee may also recommend additional coursework.
• Fail:  The student has not demonstrated satisfactory potential to perform doctoral research and is not permitted to register for additional terms as a Pre-Candidate. However, a student who is eligible to receive an IOE Master’s Degree and who is missing specific courses may register for a maximum of one additional term to complete this degree. A student who fails the preliminary exam is not allowed a retake.

For outcomes one, two and three the student is required to formally nominate their dissertation committee within one month of the oral defense.

• STRUCTURE OF PRELIMINARY EXAMINATION COMMITTEES:  The preliminary examination committee consists of at least four faculty members. The committee is nominated by the student and must be approved by the faculty advisor and the IOE Graduate Program Advisor at least one month before the oral exam. At least three members of the examination committee must be IOE tenure-track faculty. The additional member(s) of the committee must satisfy Rackham guidelines for service on dissertation committees.
• TIME LIMIT:  To remain in the PhD program, a student must take the preliminary examination within three terms of completing the qualifying process.
• The date and time of the oral defense. The student is responsible for scheduling the oral defense.
• The final draft of the dissertation proposal.
• A self-evaluation of preparedness to perform the proposed research, including a listing of additional necessary coursework (two-page maximum).
• A brief discussion of the resources (faculty advisors, lab/computational facilities, funding, etc.) needed to pursue the research (two-page maximum)
• Have been accepted as a Pre-candidate in IOE and completed the IOE qualifying process.
• Have been accepted as a Pre-candidate in another U-M doctoral program and completed appropriate sections of that program’s qualifying process.
• Have received formal Rackham approval for a student-initiated joint PhD degree program.
• Select an IOE advisor within four months of completing the IOE process. (In most cases, the advisor would eventually serve as a co-chair of the student’s Dissertation Committee.)
• Demonstrate that at least four Rackham-eligible faculty are willing to serve as members of the Preliminary Examination Committee. At least two members must be IOE tenure-track faculty. Committee membership must be approved by the IOE Graduate Program Advisor and the Graduate Program Advisor from the other department. This committee must be nominated and approved within four months of completing the IOE Qualifying process.
• The committee evaluates the student’s performance on the preliminary exam and determines the outcome using the criteria established in Sections one and three, above.

/images/cornell/logo35pt_cornell_white.svg" alt="phd dissertation exam"> Cornell University --> Graduate School

Defending your thesis or dissertation.

Certain special exams are required to earn an advanced degree in the research-based programs at Cornell. Often, these exams need to be taken with consideration of anticipated completion dates.  Enrollment in future semesters after the date a student passes their M or B exam is not permitted. See Taking Exams for more information.

All exam forms are available on our Forms  page.

Exams Required for M.A. and M.S. Degree Defense

If you are enrolled in an M.A. or M.S. degree program, you must pass the final examination for the master’s degree. You can take this after all degree requirements have been fulfilled, but no earlier than one month before completing the minimum number of enrolled semesters.

To pass the exam unconditionally and receive a degree, all regular, proxy, and field-appointed members of the examining committee must assent that the exam was passed unconditionally. If you are enrolled in an M.S./Ph.D. degree program where the M.A. or M.S. degree is a prerequisite for your Ph.D., you may petition your special committee to approve combining the final examination for the master’s degree with the examination for the admission to candidacy.

Exam forms required for the master’s degree include “Schedule Master’s Examination” and “Master’s Exam Results Form and Instructions.”

Exams Required for Ph.D. Degree Defense

The B exam is an oral defense of your thesis or dissertation. This exam can be taken after completing all degree requirements, but not earlier than one month before completing the minimum number of enrolled semesters. At least two semesters of successful registration must be completed between the passing of the A exam and the scheduling of the B exam.

Exam forms required for the Ph.D. degree include “Schedule A Examination and Research Compliance Form,” “Schedule B Examination,” “A Exam Results Form,” and “B Exam Results Form.”

The qualifying exam, or Q exam, is required in some fields for Ph.D. applicants. This exam helps the special committee determine your ability to pursue doctoral studies, continue in a program, and tailor an appropriate program of study.

Final Examination and Ph.D. Thesis Submission - Elmore Family School of Electrical and Computer Engineering - Purdue University

PhD Thesis and Final Examination

Printable copy of these instructions and check sheet

PhD students must follow the steps below for their final examination and to submit their thesis. The final examination is given after the thesis and all other requirements have been completed. The final examination covers primarily the thesis and related topics. 

The main steps of this process are as follows; details are below.

• Schedule the final examination with your advisory committee members.
• Reserve a room for the final examination.
• Submit Form 8 in myPurdue to officially schedule the final examination.
• Deliver a copy of the thesis to all committee members at least two weeks before the final examination.
• Following your final examination, submit the Thesis Acceptance Form (Form 9) through myPurdue.
• Deposit your thesis.

Step 1: Schedule your final examination with your advisory committee members.

Note: There must be at least two academic sessions/semesters (counting summer session) of research registration between the semester of the preliminary examination and the semester of the final examination. Contact Matt Golden ( [email protected] ) in the ECE Graduate Office for additional information.

At least 3 weeks before the desired date of the final examination, consult with your major professor and your doctoral advisory committee to find a suitable date and time to hold the examination. Your examination should be held on the West Lafayette campus or may, with the approval of your doctoral advisory committee, be held virtually.

Final examination committee members: The final examination committee is typically the student’s doctoral advisory committee. However, the Dean of the Graduate School reserves the right to appoint additional committee members.

Final examination timing:

• The final examination must be completed before the semester deadline (approximately one week before the last day of classes), but we strongly recommend you do not wait until this late date. See the Graduate School deadlines here:  Graduate School Calendar .  
• If you are registered for Exam Only , your final examination must be completed by the eighth week of classes in Fall or Spring or by the sixth week of summer session.

Step 2: Reserve a room for the final examination.

Once you have established the date of your final examination, reserve a room:

• Go to the Resource Allocation Tool .  
• Enter the desired date and select a room.
• Click View Calendar .
• Scroll down to see the calendar.
• After confirming the availability of the room, select Request Reservation in the left-hand navigation.
• Select the room and enter a date and time; click Continue .
• In the Select an Administrator list, select Elisheba Van Winkle.
• You will receive an email confirmation.

If you are unable to reserve a room using the instructions above, send the request by email to Elisheba Van Winkle ( [email protected] ). 

On the day of the exam: If the room is locked, see an area secretary for a key. If the area secretary is not available, see the ECE Graduate Office (MSEE 140).

Step 3: Submit Form 8 in myPurdue to officially schedule the final examination and submit an abstract.

Follow these steps to submit Form 8 and submit your abstract: 

• Log into   myPurdue and go to the Plan of Study Generator under the Academics tab.
• This request requires approvals from the Graduate Office, the chair of your advisory committee, and the Graduate School.
• Send an abstract (250 words or less) of the thesis research clearly defining the problem and its significance to Matt Golden ( [email protected] ) in the ECE Graduate Office.

Late requests: Please be aware that late requests to schedule your final examination do not allow sufficient time to process your request and adequately publicize your examination date.  Any requests to schedule a final examination less than three weeks in advance must be approved by Matt Golden and will be approved only in exceptional circumstances.

Final examination posting: The time and location of the final examination will be posted on the ECE website. University regulations permit visitors to attend the final examination.  Such visitors are permitted to ask questions of the candidate after having been recognized by the major professor, but they may not be present while the committee deliberates on its decision.

Step 4: Deliver a copy of your thesis to all committee members at least two weeks before the exam.

Preparing your thesis: Before beginning to write your thesis, you are strongly advised to review the information on the  Graduate School Thesis and Dissertation Office website .  

Templates: You must use the LaTeX (recommended) or MS Word  templates  that the Graduate School provides.

Step 5: Following your final examination, submit the Thesis Acceptance Form (Form 9) through myPurdue.

Follow these steps to submit Form 9: 

• Log into  myPurdue and go to the Plan of Study Generator under the Academics tab.
• Complete and submit for Form 9.

Results: The advisory committee will report the results of the final examination through the Graduate School Web Database. No more than one dissenting vote is acceptable in certifying the candidate to receive the PhD. If the final examination is unsatisfactory, at least one semester or summer session must elapse before the final examination is repeated.

Embargo and confidentiality: Be sure to discuss with your major professor whether your thesis should be confidential prior to submitting the request or if there will be a delay in the publication.  

Your major professor will certify that they have used  iThenticate  software to check your thesis for plagiarism in the electronic Thesis Acceptance Form.  They will also confirm confidentiality or Embargo (delayed publication of the thesis) if you have marked these. 

Students should consider an embargo over confidentiality in all cases. An embargo is commonly used when applying for patents, pending publications, or when proprietary rights are involved.

Confidentiality should only be used with ITAR/Export controlled or confidential sponsored information is included in the thesis. Indefinite confidentiality can only be requested when there is contract information on file with Sponsored Program Services. All indefinite requests will be subject to approval by the SPS office. All confidentiality requests will also be reviewed by Thesis Office staff to ensure this program is being utilized properly. 

Step 6: Deposit your thesis.

Follow the instructions on the Graduate School Thesis and Dissertation Office Deposit Requirements webpage to deposit your thesis.

For more detailed steps or questions about the on-line thesis deposit process, refer to the  Graduate School Thesis and Dissertation Office website or contact staff in this office.

Thesis deposit time limit policy: Effective Fall 2020, students are required to deposit their theses and dissertations within three consecutive sessions of receiving a decision of PASS on their final examination (including the session in which the final examination was passed). The thesis or dissertation must be deposited no later than the end of the semester Deposit Deadline of the third consecutive session for full consideration of the sought degree. For example, a student who passes the final examination in a fall session has through the end of the semester Deposit Deadline of the following summer to deposit. To uphold the integrity of the defended research, if a student is unable to deposit their thesis or dissertation within three sessions, they must re-defend their research and deposit within the session they receive the decision of PASS on the second final examination to be conferred the degree.

• Graduate Programs in Biostatistics

PhD Qualifying Exams & Dissertation Requirements

Phd qualifying exams, preliminary written statistics and biostatistics examination.

The PhD Written Qualifying Examination has two parts: A statistical theory part, developed and scored by the Statistics Group within the Math Department; and a biostatistics part, developed and scored by the Division of Biostatistics and Bioinformatics within the Department of FMPH. The exam committees in charge may be different for each part of the exam. Whether or not students pass or fail is determined separately by the exam committees for the Statistical Theory part and the Biostatistics part of the exam. The student must pass both QEs at the PhD-provisional pass level or higher, with one QE receiving a PhD pass grade. Each exam committee will forward its recommendation to the chair of the Graduate Program Committee, which will be the final arbiter of pass or fail.

The PhD written qualifying examination will be given at the end of each spring quarter and also at the beginning of each fall quarter. Students in the PhD program must attempt the exam in the spring quarter immediately after they complete both the Math 281A-B-C and FMPH 221-223 core course series. A well-prepared student will take these exams during the first year of the program. Otherwise, they are expected to take the exams during the second year of the program. Students must pass both QEs by the end of the second year in the program. At least one of the exams must be completed with a provisional PhD pass or better by the end of the first year. Failure to meet the passing requirements (i.e.,PhD-provisional pass or better on both QEs with at least one PhD-level pass by the end of the second year) on the QEs after two attempts will result in a recommendation to the Dean of Graduate Studies for disqualification of the student in the PhD program and dismissal from the University.

Scientific Research Examination

Students in the PhD program must also pass a Scientific Research Examination. This consists of a seminar presentation of a statistical application in a particular area of life sciences. The presentation will be evaluated by an ad-hoc committee of three faculty members, including at least one outside (non-statistician) member with expertise in the area of application. The exam is taken Pass/Fail. The student is allowed two attempts at taking this exam. The student should pass this requirement prior to the end of the third year of study. The presentation will be evaluated on the students’ demonstration of a sufficient understanding of the area of application, and on the relevance of the statistical approach to this area.

Advancement to Candidacy

It is expected that by the end of the third year (9 quarters), students should have a field of research chosen and a faculty member willing to direct and guide them. A student will advance to candidacy after successfully passing the oral qualifying examination, which deals primarily with the area of research proposed. The student will also have successfully completed at least 64 units of required and elective courses within the Program. More information on the process can be found   here .

Exams taken before receiving committee membership approval from Graduate Education and Postdoctoral Affairs (GEPA) may be deemed null and void. Students must be registered during the quarters in which they take any portion of their QE. To be eligible for the QE, the student must have:

• A “B” average in all work done in graduate standing;
• Satisfied all departmental or group requirements; and
• Removed all academic deficiencies

The preparation for the exam will be done by working closely with a faculty mentor (independent study) who is a regular member of the interdepartmental Program in Biostatistics. The exam committee consists of the Doctoral Committee. The PhD Qualifying Examination examines a student on the breadth and depth of knowledge expected from the coursework taken, and a special research topic approved by the committee. The primary purpose of the QE is to validate that the student is academically qualified to conceptualize a research topic, undertake scholarly research and clearly communicate its results, and successfully produce the dissertation required for a doctoral degree. A thirty minute presentation given by the student is followed by a question period that covers the special research topic as well as coursework in general.

GEPA guidelines for PhD Qualifying Examinations apply and may be viewed here . A student who passes the PhD QE is eligible for Advancement to Candidacy for the PhD degree. Title and abstract of the PhD QE presentation will be distributed to all faculty and students of the participating departments in the Program in Biostatistics, who are invited to attend the presentation portion of the examination. The subsequent question period is a closed session between the student and the committee. The student must file the appropriate paperwork with the Office of Graduate Studies (assisted by the Graduate Coordinator) and pay the candidacy fee to be promoted to Candidacy for the PhD degree. The candidacy fee will post to the student's bill and is the student's responsibility to pay. 

Qualifying Exam: Outcomes. A committee, having reached a unanimous decision, shall inform the student of its decision as “Pass” (no conditions may be appended to this decision), “Not Pass” (the Chair’s report should specify whether the student is required to retake all or part of the exam, list any additional requirements, and state the exact timeline for completion of requirements to achieve a “Pass”) or “Fail”. If a unanimous decision takes the form of “Not Pass” or “Fail”, the Chair of the QE committee must include in its report a specific statement, agreed to by all members of the committee, explaining its decision and must inform the student of its decision. Having received a “Not Pass” or “Fail”, the student may attempt the QE one additional time. After a second exam, a vote of “Not Pass” is unacceptable; only “Pass” or “Fail” is recognized. Only one retake of the QE is allowed. A student who fails the QE on the second attempt will be recommended to the Dean of Graduate Studies for disqualification from the PhD program.

PhD Dissertation Requirements

Doctoral dissertation.

The doctoral dissertation is an essential part of the PhD program. A topic will be selected by the student, under the advice and guidance of a Major Professor (thesis adviser) and a Dissertation Committee chaired by the Major Professor. The Committee is composed of at least 4 members with UC San Diego faculty appointments; at least 1 member must have a primary appointment in a different department than your chair's primary department; at least 2 members must be from Biostatistics. Students are encouraged to begin some research activity as early as possible during the second year of their graduate studies, and to use the Biostatistics Rotation to assess potential thesis advisers. The dissertation must contain an original contribution of quality that would be acceptable for publication in the biostatistics literature that extends the theory or methodology of biostatistics, or extends biostatistical methods to solve a critical problem in applied disciplines.  More details on the dissertation can be found here .

Dissertation Defense

The entire dissertation committee will conduct a final oral examination, which will deal primarily with questions arising out of the relationship of the dissertation to the field of Biostatistics. The final examination will be conducted in two parts. The first part consists of a one-hour presentation by the candidate followed by a brief period of questions pertaining to the presentation; this part of the examination is open to the public. The second part of the examination will immediately follow the first part; this is a closed session between the student and the committee and will consist of a period of questioning by the committee members. Title and abstract of the oral presentation will be distributed to all faculty and students of departments that participate in the Biostatistics.

Normative Time to Degree

The normative time for the PhD in Biostatistics is five years; a student must have advanced to candidacy by the end of 11 quarters. A student is eligible for support for a maximum of five years. The final thesis defense must have been conducted by the end of the 5th year.

Students must pass two written qualifying exams at the PhD level by the end of their second year. At least one of the exams must be completed with a provisional PhD pass or better by the end of the first year. In the second year, a student begins Biostatistics Rotations so that they become familiar with the process of doing research and familiarize themselves with a number of faculty members who may serve as their advisor. Optimally, a student advances to candidacy sometime in their third year; a student must have advanced to candidacy by the end of 11 quarters. This allows for the fourth and fifth year to concentrate on research and produce a thesis. In contrast to coursework, research is an unpredictable endeavor, so it is in the interest of the student to have as much time as possible to produce a thesis.

• PhD Milestones
• PhD Course Requirements
• PhD Qualifying Exams & Dissertation

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Participants gather for a group photo at the ODU Graduate Program in International Studies’ Annual Graduate Research Conference. College of Arts and Letters

Student Guide: The Ph.D. Comprehensive Examination

Introduction.

The comprehensive examination is a critical part of the GPIS PhD program. You should not view it simply as a bureaucratic hurdle to pass over on your way to the dissertation. Instead, before embarking on narrowly focused dissertation work, the comprehensive examination establishes that you have the broad familiarity and expertise with the field that is the mark of a doctoral education. It is the checkpoint that confirms that you are ready to pass from being a student to a scholar. The process of preparing for the comprehensive exam should help you organize and reflect on the variety of things you have learned over the past few years. While to this point, each of your seminars has been a distinct learning experience, you now can think about how your interdisciplinary work in international studies fits together. Preparation for the comprehensive exam should help you become better able to integrate and utilize the knowledge you have gained in your graduate study. It is also critically important for embarking on the dissertation. The best dissertations are effectively connected to the central questions and literature of the field. Unless you have developed an integrated overview of the field you will not have the necessary foundation for dissertation work.

The Comprehensive Character of the PhD Examination

It is important to note that the comprehensive PhD examination is not simply a test of your cumulative knowledge of seminar materials. It is, rather, a test of your preparation to work as an independent scholar at the highest level. By now you should be functioning like a scholar, and not just like a student. You should be aware of the major journals in your field and should be paying attention to them. You should know what the most important books, articles, and debates are regardless of whether they were used in your classes. It may have been a few years since you took IR theory, but it is unlikely that the scholars who work in that area have stopped pushing the field forward to wait for you to get through the comprehensive exams.

The Written Comprehensive Examination Process

The written comprehensive exams are usually scheduled for a Friday and Monday the weekend before the start of the new semester. You will do your major field on one day and your minor field on the other. We will try to schedule your major field for Friday and your minor field for Monday, but the order will be determined by the scheduling needs of the full set of students taking the written comprehensives on a given day. You will have eight hours to complete each part of the exam. The exam is closed book and no notes or other aids of any kind are allowed. For each of your fields you will be given five questions from which you will choose two to answer.

The Written Exam Grading

The exam will be graded by the appointed Doctoral Candidacy Examination Committee. The committee will usually, but not always, include the Committee Chair, and directors of the relevant tracks. It will usually take about two weeks to get the written exams graded.

Passing the Written Comprehensive Exam

Different examiners may read the exams in different ways, and it is the student's responsibility to write answers that are generally accessible and appealing across the variety of GPIS faculty. Most readers will be looking for a clear and direct answer to the question, evidence of familiarity and facility with the important literature, and an ability to integrate theory and empirical cases.

To pass the comprehensive exam, students must not receive more than one failing evaluation from a committee member.

Failing the Written Comprehensive Exam

Our goal and expectations are that every student will pass the comprehensive examination. The exam is not designed to be a barrier. It is meant to be a straightforward assessment of the student's command of their declared fields and their preparation to move on to the challenges of writing the dissertation. Nonetheless, and precisely because the exam is conceptualized as an assessment of this preparedness to move on, it plays a very important role in your doctoral education. Students who do not demonstrate an effective grasp of the relevant literature and empirics or who do not effectively and explicitly answer the questions as asked will not pass.

Students who do not pass the written portion of the exam on the first attempt will have to retake the exam in a subsequent semester. Failure on the second attempt will prevent the student from going on to write a dissertation. At the discretion of the examination committee, the failing student may be awarded the MA degree if the performance and coursework so merit, and if they do not already have a GPIS MA.

The Oral Comprehensive Examination process

Doctoral candidates are expected to be able to communicate effectively and knowledgeably both in writing and orally. Thus, the comprehensive examinations have both a written and an oral component.

The oral portion of the comprehensive examination will take place about three weeks after the written. Three to five faculty members will administer the examination. The examiners will usually, but not necessarily, include the Director or Associate Director of GPIS and the track coordinators from the student's major and minor fields. The examination will last about one hour. Each examiner will have a chance to ask questions, but the format will often shift between relatively structured questioning and a more free-flowing discussion.

The discussion will center on the student's answers for the written exam (students may use their written exam). The scope of the exam is not, however, limited to that material. The examiners will be looking to fill in any perceived gaps in the written work, and to assess the student's facility more generally with the literature and empirical material.

Passing the Oral Comprehensive Exam

Passing the oral comprehensive exam is a matter of convincing the committee members that you have an appropriate mastery of the central material of the field and are prepared to go on to focused and independent work on a dissertation. To pass, you must not receive more than one negative vote from a member of the examining committee.

Failing the Oral Comprehensive Exam

Students who do not pass the oral exam will be asked to return in one month for a second oral exam. Students who do not pass on the second attempt will not be allowed to continue for the PhD.

Tips for Preparing for the PhD Comprehensive Exam

The most important preparation for the PhD comprehensive examination is the GPIS coursework you have completed. Reviewing the notes and materials from your seminars and trying to organize it around some integrative themes is essential preparation. The following pages offer some further suggestions for effective preparation for the comprehensive examination, and for ensuring a strong examination performance.

1. Take appropriate classes

In consultation with your adviser and other faculty, be sure to select a variety of classes that will give you the broad background you need for the comprehensive exam. It is particularly important that you choose classes that will help you gain both a breadth of field knowledge, and a depth of knowledge in a few critical areas. The seminar papers you write should particularly help you develop depth in a few critical areas.

2. Keep effective class notes and reading notes

You should be thinking about preparation for the comprehensive exams from the beginning of your program. Keeping your seminar and reading notes in an organized manner will allow for more effective comprehensive exam review. You will particularly want to be careful about the material in the core classes.

You may find it useful to develop reading notes at different levels of depth. There may be a set of books and articles for which you will have 2-3 page summaries. There may be a second, larger, group for which you have paragraph length descriptions. Finally you should have a third very large group for which you have a sentence for each reading that gives you the central thrust of the argument.

3. Work on exam preparation in groups

Working with others can help you share the labor of summarizing and reviewing material. You can work with others on identifying the critical literature and on developing answers to hypothetical test questions.

4. Pay particular attention to the broad literature of international relations theory that will help you in answering a wide variety of questions

Many of the questions across the different tracks will benefit from an effective understanding of the broad currents and debates of international relations theory. One of the things a graduate education should help you do is to apply general theory to a variety of specific situations. Displaying that ability on the comprehensive exam is a good idea.

5. Identify some historical periods and important episodes and issues around which you will develop a particular expertise

Alas, no one can know everything about everything. You will see in this collection of sample questions that it is relatively rare for a question to demand knowledge of a particular event or historical period. Nonetheless, you will also see that you are often called upon to identify a critical historical period or event. You will be expected to evince in-depth knowledge of some issues or areas. Effective in-depth knowledge of a few critical issue areas or historical episodes can help you generate appropriate material for a wide variety of questions.

6. Identify some important literature with which you will be particularly familiar

You need to have a good feel for a very broad range of literature. For a lot of books and articles, remembering the author and the central thrust of their argument and evidence will serve you adequately for the comprehensives. But, just as it is essential that you have a greater depth of knowledge about a few historical episodes are critical issues, you will want to have a set of books and articles that you know extremely well. You should have an identified set of readings that you are confident you can apply to a reasonable range of questions and that you know very well and can talk about with some depth and sophistication.

7. Practice for the exam

Using the material in this booklet, you should write some practice exams. At the beginning you may want to take several hours and write an answer with open book resources. By the end you should be practicing with closed notes and a two-hour clock to simulate exam conditions. Such practice will not only help you think about how you will engage in the actual task of taking the exam, but will give you collection of sample answers that may be easily adapted to the real test questions. Just be careful that you don't mistakenly provide the answer to a similar old question and miss the slightly changed terms or requirements that are likely to show up in the real test.

The process of preparing practice exams is another area where working in groups can be extremely helpful. Having a study group can give you a larger stock of practice answers and will allow you to get feedback and to discuss the appropriate sources and arguments for a given question.

Tips for Writing an Effective Comprehensive Exam

1. Make sure you answer the questions explicitly and clearly.

The most common comprehensive exam mistake is to not explicitly and clearly answer the question. Read the question very carefully and make sure that you offer an explicit answer to the question. Do not rely on the readers to draw out implicit answers.

2. Make appropriate reference to the literature and relevant scholarly debates.

You will not, of course, be expected to provide detailed citations. But, you should demonstrate familiarity and facility with a range of the literature. You should be able to appropriately reference the scholars whose arguments are relevant to a particular issue. You may occasionally include the name of a book or article and the date of its publication.

3. Make appropriate use of theory and of empirical and historical knowledge.

If appropriately done, it is particularly effective to use theory to inform answers on history questions and history to inform answers on theory questions.

4. Write full answers that are structured with an introduction and conclusion.

As in all writing, structure and organization are important to effective communication. Just because it is a time-limited exam is no excuse for jumbled, incoherent writing. Take the time to think through and outline your argument and its structure before you write. As in all writing, signposting, headings, and clear explicit language can help communicate your ideas. Provide a clear introduction and conclusion that can help you summarize your central point and will reassure the readers that you have, in fact, explicitly answered the question.

5. Make an argument

As a scholar prepared to embark on independent thesis work, it is important that you demonstrate an ability to effectively articulate your own views. The comprehensive exam is not just about knowing the literature. It is also about demonstrating that you can think about international issues critically and come to your own conclusions. Avoid wishy-washy answers that simply describe some of the ideas extant in the field and then conclude that they are all correct. Take a stand and defend it with appropriate theoretical, analytical, and empirical material.

6. Make choices

You will notice that most of the questions are a lot bigger than can be fully answered in the two-hours you will have on average during the written exam. You have to make choices on how you will answer so that you can display your breadth and depth of knowledge while satisfying the committee that you have effectively addressed the question. It usually helps if you can be explicit about how you are managing the question ("While there are, of course, idiosyncratic elements in the complex relationship of each President to his national security team, I will focus in this short essay on the difficult relationship between Jimmy Carter, Zbigniew Brzezinski and Cyrus Vance because it effectively illuminates the problems every foreign policy team must face"). It is rarely a good strategy to try to present a broad and superficial survey of too many things ("In this essay I will discuss the relationship of each Post-WWII American president with his respective Secretaries of State and Defense").

7. Don't make big mistakes

This, of course, is common sense, but I can't overemphasize how difficult it is to certify someone as ready to move onto writing a dissertation who fundamentally misunderstands some essential literature, or who demonstrates a wanton disregard for historical accuracy.

Tips for the Oral Examination

1. Attitude matters

Attitude is important in the oral examination, just as it will be for the remainder of your career as a scholar. As a doctoral candidate, you should be able to present your views with confidence, but without becoming defensive. The examiners are likely to push against your views and expect to see you defend them effectively, but not irrationally.

The best way to figure out the right attitude is to attend the presentations of others at research workshops, dissertation defenses, and conferences. Start paying attention to the style as well as the substance. Take note of how other scholars deal with difficult questions and criticisms. What works and what doesn't work? What makes them sound defensive? What makes them sound arrogant? What makes them sound indecisive?

2. Being nervous is inevitable

It is likely that you will be nervous. How you perform when nervous is not irrelevant to your career as a scholar. You need to demonstrate that despite being nervous you can engage in appropriate scholarly discussion.

3. We probably know more than you, but knowing everything isn't required

It is likely that all together, the three to five professors conducting the examination know some things that you don't. With some pushing, they will probably be able to find out what some of those things are. We don't expect you to know everything. We do expect you to communicate effective knowledge of a broad range of subjects, and explicit and deep knowledge of a few selected areas.

4. Practice

The best way to practice for the oral exam is to speak up and engage in discussion in your seminars, in research workshops, and at conferences. If you aren't prepared to express and defend your views in the seminar setting, it is unlikely that you will be prepared to do so in the oral exam.

5. Work with other students

Again, preparing for the comprehensive examinations with other students will help you both with the substance and with the process. Scholarly discussions of exam questions with other students will give you the chance to practice articulating and defending your views with appropriate references to the literature and empirical facts.

TECHNICAL INSTRUCTIONS

This examination will be conducted in a BAL Computer lab. In an emergency, you must inform the proctor immediately.

• You may take short breaks (5-10 minutes) as needed
• You are not permitted to leave the building under any circumstance
• Food and beverages should be consumed during the exam
• Save your work often on the flash drive provided
• If any problems occur, notify the proctor immediately
• The examination is closed book and no notes or other aids including cell phone are allowed
• You will be given a blue book, pen, and pencil for writing notes
• Once the exam begins the computer browsers will be locked down
• You must sign and return the honor pledge provided

The ODU Honor Pledge will be strictly enforced, and you will be asked to sign off on this pledge on the date of the exam:

I pledge to support the Honor System of Old Dominion University. I will refrain from any form of academic dishonesty or deception, such as cheating or plagiarism. I am aware that as a member of the academic community it is my responsibility to turn in all suspected violations of the Honor Code. I will report to a hearing if summoned.

~Honor Pledge

On the day of the exam arrive 5-10 minutes early to log into the computer and be ready to start promptly at 8:30 a.m. when the exam questions are distributed.

You will receive the exam questions, a flash drive, a blue book for notes and the honor pledge to sign and return to the proctor. Use the flash drive to save your work and give to the proctor at the end of the exam.

The examination consists of two parts.

Part 1 - questions will be on your MAJOR concentration

Part 2 - questions will be on your MINOR concentration

On both days you must answer TWO out of five questions. The questions are written broadly, but your essays must remain explicitly responsive to what is asked; simply referencing texts is not sufficient. Time is ample and running out of time is not an option. Ending early is also not advised. The examination will conclude at 4:30 p.m. and all answers must be saved on the flash drive and turned in.

Guidelines to Answering Questions

(These are the instructions that come with the exam)

• There will be five questions. You must answer two.
• The exam lasts a total of eight hours. Allocate your time accordingly and make sure that each question has a concluding section.
• answer the questions as they are raised and not as you wish they had been raised b. illustrate your answer with appropriate empirical examples c. cite relevant sources d. make proper references to important interpretative debates, when appropriate
• how effectively you address each of the questions b. how well you know and manage your facts c. how soundly you handle and cite the literature d. how well you have developed and organized your argument e. the quality of your writing
• errors of fact b. misattribution of arguments in text and/or citation c. spurious citation of literature d. presentation of answer in bullet point format e. failure to develop coherent argument

Past Field Questions

American foreign policy.

• According to Henry Kissinger, "It is an illusion to believe that leaders gain in profundity while they gain experience.... The connections that leaders have formed before reaching high office are the intellectual capital they will consume" during their time in office. Explain and discuss this assessment, which Kissinger made after he had served as National Security Advisor and Secretary of State, with explicit references to two high level foreign policy practitioners during the two decades that followed the US intervention in World War II (1941-1961).
• "Our security, our vitality, and our ability to lead," recently observed Secretary of State Hillary Clinton, "must be based on a marriage of principle and pragmatism, not rigid ideology, on facts and evidence, not conviction or prejudice." Explain and discuss in the context of two high level foreign policy practitioners during the immediate postwar decade (1945-1965).
• Identify TWO crises, events, or issues that best characterize the latter part of the Cold War and its immediate aftermath (from January 1981 to January 2001). Do NOT describe any of these crises, events or issues at length but single out the features and patterns that best explain why these are so closely identified, in your judgment, with this initial post-Cold War period.
• Describe and discuss the evolution of U.S. policies toward any country (except the USSR/Russia) or region of your choice during a 6-year period of your choice, extended from January 1981 to January 2001. To introduce your answer, explain your choice of the period you wish to discuss. To conclude, explain the relevance of that region or country to current U.S. interests and policies.
• Whatever might be said about the events of September 11, 2001 and the wars that followed, their consequences have been epochal - meaning, system changing. After a quick review of these events, examine the conditions of what has been called a new "post-American world." What do you think of this emerging world: first, from the narrow perspective of U.S. interests, capabilities and purpose; but also, next, from the broader perspective of power and order during the coming decade? 2. "The United States," it has been noted, "never experienced what other nations experienced in achieving a position of world power. It moved within a very brief period from a position of isolation to one of global leadership, it has never been a mere nation among other nations." Explain and discuss the influence of the nation's distinctive past on the US role in the world in the twentieth century.

TRANSNATIONALISM AND INTERDEPENDENCE

• Great speculation exists on the extent to which the United States is in decline. Drawing on the central concepts and knowledge of the track, and on your broader study in the program, to what extent do you believe America is in decline? What factors could hasten or reverse this decline at the global level, insofar as you see it in play?
• To what extent, if any, is the world safer in the post-Cold War era? In what measure have transnational threats (terrorism, migration, energy interdependence, etc) replaced the threats inherent in the Cold War?
• Drawing on your coursework in this program, and especially on your courses in this track, to what extent do you think that the effects of anarchy can be tempered or lessened in world politics?
• Realists tend to assume that world politics is cyclical; and that the basic elements of world politics do not change much over time (such as power, balance of power politics, the centrality of states, and conflict). To what extent do you agree with this key realist assumption?
• To what extent, if at all, does interdependence decrease inter-state conflict in world politics?

INTERNATIONAL POLITICAL ECONOMY

• From World War II to the present, states have constructed regimes to manage some-but not all-aspects of the international economy. A once-strong regime to manage trade has weakened since the 1990s. Likewise, with the abandonment of dollar-gold convertibility in 1973, a robust regime to manage monetary relations collapsed. Conversely, states originally left finance unregulated but in 1988 created and progressively have strengthened rules to manage international banking. And in production, the proposed Multilateral Agreement on Investment collapsed in 1998 without ever securing necessary multilateral support. What explains these variations in institutions, both across issue areas and over the course of the last 65 years?
• The integration of gendered analyses of globalization has led to a substantive body of literature within the field of international studies. Imagine that an international studies department hires you to design and teach a graduate seminar on gender and globalization. What theoretical and empirical movements within the field would your seminar emphasize? How would you elucidate the central connections between gender and globalization? In your essay response, please explain how your choice of authors, themes and content provides an innovative approach to teaching graduate students about the complex interconnections between gender and global restructuring.
• After the May 2010 parliamentary elections in the United Kingdom, one observer wrote: The outcome in Britain underscores a problem roiling so many democracies. The economic change brought about by globalization and technological advances is not creating the happy, unified world of progress its promoters keep promising. Instead, it is splitting regions within nations that are fully part of the global market from those left behind. Does globalization foster or undermine democracy? Your answer should address at least one of the following dimensions of democracy: political behavior, democratic institutions, responsiveness, equality, and legitimacy. Please illustrate your argument using one democratic state of your choice.
• Numerous scholars argue that historical experiences condition a nation-state's contemporary political economy. That is, a state's past policies for economic development may profoundly affect its contemporary prospects for industrialization, the reduction of poverty, and the development of political institutions. To what degree are development and democratization path-dependent processes? Can states in the contemporary political economy escape the tyranny of their history? If so, how? If not, why not?
• Developing states face different economic, political and social challenges than do the wealthiest and most powerful states. Can international political economy offer us a coherent set of theoretical tools to explain such diverse problems in the global economy? Or must it rely upon ad-hoc, degenerative hypothesizing to accommodate such empirical challenges? To illustrate your theoretical argument, please compare at least one developing and one developed state.

CONFLICT AND COOPERATION

• For a region of your choice identify two instances of cooperation between states that advanced/improved the regional security environment. Explain your selections in detail. Choose your examples from the last decade.
• The spread of nuclear weapons is often cited as a major challenge to the international community. How might this threat best be countered? Your answer should critically review state policies and institutional responses.
• In an increasingly global security environment it is far from obvious how security should be organized. Reflecting on what you have learned, how would you conceptualize a 21st century security order? Why would you conceptualize it this way?
• To what extent does the transatlantic security community exist? Is it strong and if so, why? Is it weak and if so, why? What factors/developments are likely to determine its future?
• For a region of your choice, discuss two events or developments over the past decade that have significantly affected regional expectations about conflict and cooperation. In your answer, make sure to demonstrate familiarity with the scholarly literature and debates at the policy levels.
• Virtually absent from national policy agendas since the end of the Cold War, arms control is back. From a scholarly perspective and against the background of Cold War arms control, how do you evaluate the return of arms control, the emerging arms control agenda, and arms control's contribution to international peace and stability?
• How useful are policies of deterrence in a global security environment?
• From your understanding of the scholarly literature, single out two contributors whose work(s) you think have been critical in advancing the field of Security Studies. Carefully explain your choices.
• Critical theorists have issued a number of challenges to traditional understandings of peace and security. Identify three such challenges and discuss. Ultimately, do these challenges represent anomalies, in the Kuhnian sense, or are they the products of normal science?

COMPARATIVE AND REGIONAL STUDIES

• Both Rational-Choice and Political-Culture theories are prominent approaches in the field of comparative sociopolitical studies. What are the similarities and differences between these two approaches in terms of their intellectual geneses, theoretical assumptions, and major arguments (or hypotheses)? Discuss the major strengths and weaknesses of each approach.
• New Institutionalism is believed to have succeeded the so-called "Old" Institutionalism in comparative sociopolitical studies. Explain the intellectual genesis, theoretical assumptions and major arguments (or hypotheses) of the New Institutionalism. In what respects is the New Institutionalism similar to and different from the Old Institutionalism? Do you think that the New Institutionalism has helped advance comparative sociopolitical studies? Why or why not?
• Some analysts of comparative studies have advocated Statism, emphasizing the profound role of the state in shaping socioeconomic and sociopolitical developments in various countries. Explain theoretical assumptions and major arguments (or hypotheses) of Statism. Do you agree with Statism's arguments for the importance of the state (vs. society)? Why or why not?
• Social movement and revolution
• Democratization
• Social capital
• To study socioeconomic development in different regions or countries, scholars have developed two distinct approaches: Modernization Theory and Dependency Theory. Briefly explain these two approaches in terms of their fundamental assumptions and theoretical arguments. Which theory do you prefer when studying socioeconomic development in developing countries? Use evidence from any region(s) or country (countries) with which you are familiar to support your reference.

INTERNATIONAL CULTURAL STUDIES

• Explain the social construction of culture(s) and its significance to current political economic realities.
• Cite a case study of a post-colonial critique of nationalism. Explain the role of the imperial power and how that is legitimized or not.
• How is the concept of "nation" constructed in Modernity? How is this construction relevant to issues in international studies? Cite case studies where appropriate.
• Explain how cultural studies theories are important to the study and practice of international relations.
• Explain the importance of the media in the construction or reflection of the identity of immigrant, multicultural or diaspora communities.
• Graduate Program in International Studies (GPIS)
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Program Director

Regina Karp

• NORFOLK, VA 23529
• [email protected]

NATO Accreditation

NATO, a military alliance of 31 North American and European countries, accredited the ODU GPIS degree program as a "Selected Program" for alliance members' education and training. Currently, no other civilian academic institutions have been awarded the "Selected Program" designation by NATO.

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Preparing for the Comprehensive Examination and the Dissertation

The comprehensive examination and the dissertation are the final projects in your doctoral journey.  These projects allow learners to demonstrate their skills as independent scholars and researchers.  In a real sense, the entire range of academic preparation up to this point has been preparation for this.  Between the conclusion of Track 3 of the Colloquia and the start of the comprehensive examination, there is time for continuing development and strengthening of one’s scholarly and research knowledge and skills.

Preparing for the Comprehensive Examination

As you know, in the comprehensive examination (hereafter called “comps”) you will be asked to answer sophisticated questions in your specialization or field of study.  Although you have a generous time period in which to answer the questions, you should have brought your skills to their highest level for the greatest chance of success.  These are skills in (a) using the library to discover relevant research and theory on the questions, (b) critically thinking about and analyzing that research, (c) formulating a focused and thorough answer to the question, and (d) writing in a professional or scholarly voice.

Scholarly Skills Needed in the Comps

There is a set of interrelated skills needed to pass the comps.  They derive from the four competencies of the Colloquia (scholar-practitioner, critical thinker, researcher, and professional writer): 

• Can you deconstruct complex questions to identify what is actually being asked?  (The “Comprehensive Manual” in the “Learning Resources/Comprehensive and Dissertation Resources” section of iGuide has a chapter on how to deconstruct questions.)
• Can you appropriately identify the levels of critical analysis needed? (Remember Bloom’s famous taxonomy of critical thinking?)
• Can you organize a sophisticated literature search for existing work on the various elements of the question?
• Can you thoroughly analyze and critique that existing work in order to build a framework for your own answer to the question?
• Can you write your answer using all the elements of APA formatting, proper citation, good grammar, word usage, and mechanics (punctuation, spelling, formatting, etc.)?
• Can you present your answer using the correct paper and paragraph formatting—the introduction, main body, and conclusion model for the paper and the M.E.A.L. plan for paragraphs?
• Can you answer the question thoroughly—answering all elements that are asked—and concisely—answering no elements that are not asked?
• Can you use the analytic service provided by Capella (e.g., Turnitin.com, SafeAssign.com) to check your writing for originality and make all necessary corrections?
• Can you work in an organized and focused way within a carefully constructed timeline, ensuring timely delivery of the answers?

If you are weak or unready in any of these skills, develop a plan (which you will present to the Courseroom instructor) for improving your skills between now and the quarter when you will take comps.  This plan can be proactive—that is, a positive approach to developing or strengthening a particular skill.  It can also include reactive elements, such as deciding to take a quarter off to concentrate heavily on developing or improving your skills.  The comps and the dissertation are crucial to your success:  Only successfully completing both will achieve your dream of becoming doctoral.  Don’t mistake that: Careful and thorough preparation is the key.  The more ready you are going in, the greater your chances of success.

Some Ideas for Your Readiness-for-Comps Plan

• Identify the courses that you still need to complete.  How can each of them be used to enhance your skill set for independent scholarship?
• Make a list of the various skills you’ll need in the comps.  Make a plan to practice them intentionally in your remaining courses.
• Set goals for that practice and assess your progress weekly.
• Inform your instructors about your plans and ask them to help you with feedback focused on your needs.
• Figure out how you can use remaining courses to deepen your literature review for your dissertation.  For instance, if a course is a methodology course, use it to deepen your literature on your own methodology and design.  If it is a content course, figure out how that content relates to your dissertation topic and try to focus your course paper or product that way.  In whatever way, build your lit review.
• Decide if you want or need to take an additional residency.  Capella offers “Track 4,” a colloquia refresher.  The tuition is much less than that of the required tracks, and many learners find Track 4 to be helpful in solidifying their skills.
• Capella also offers the “Dissertation Writers’ Retreat,” concurrent with the PhD Colloquia, in which faculty from the Writing Program and methodologists from the schools are on site to assist learners who are working on a part of their dissertation.  Although this is not likely to be as productive prior to comps, you might consider using it after the comps to prepare more fully for starting the dissertation.
• Review your Research Plan carefully as you continue to discover existing research.  Do not let it go fallow, but add in new work, revise your plans, and continue to develop it as you approach the comps.  Some courseroom mentors (the leaders of the comps courseroom) allow a question or two based on the learners’ own dissertation topic.  Some do not.  But if your mentor does, then the depth of your lit review will be extremely important and useful.
• Review the “Comprehensive Examination Manual” thoroughly before starting the exam.  Learn the process, the timelines, the requirements, and how to handle (understand and deconstruct) the questions.  You cannot ask for help once the examination starts—it is an examination, after all—and you may not use an editor or librarian at any point.  Consequently, come as prepared as you can so that you don’t waste time trying to understand the “rules and regulations.”

Preparing for the Dissertation

When you meet your dissertation mentor, one of the first things you and the mentor will discuss is your research plan, developed through the Colloquia.  So it is important that it be as well-prepared as you can make it before you have that discussion.  You should have been updating your literature review in the research plan through all the quarters you’ve been taking courses and attending Colloquia.  Between now and the comps, continue that.  Once you have passed the comps and are on track to start dissertation, continue building that lit review and revising your research plan according to your latest findings.

Before you start the dissertation, become very familiar with the resources available to you in your school.  Go to Research at Capella , and then click on the link to "Research in [your school's name]" at the bottom of the page.  Open every document and discover what is there for you.  Prepare yourself for talking with a mentor so that you sound knowledgeable about the processes and the various elements of the dissertation—do not wait for a mentor to tell you what is needed or how to find something.  The dissertation is a demonstration of independent research.

Before you pass the comps, do not spend a lot of time preparing for dissertation (except to keep working on your research plan and building that lit review).  Instead, devote the time to preparing for the comps—when you pass the exam, there will be plenty of time for gearing up for the dissertation.

Keep one thing in the forefront of your vision:  The comps and the dissertation demonstrate your independence , as a scholar (comps) and as a researcher (dissertation).  You will be asked to demonstrate not only that you have knowledge, not only that you can present that knowledge in a manner appropriate to a PhD, but that you can use that knowledge to generate new knowledge on your own initiative, independently.  Consequently, evaluate honestly the level of your scholarship skills, the breadth of your knowledge, and the degree of true independence in your work.

Independence does not mean isolation, though.  Scholars form a community, and they talk together, recognizing their limitations and asking for help when they need it.

Knowing when one needs help is a genuine dimension of independent scholarship.  Can you ask for help when you need it?  Can you tell when you need it?

Another thing to look at as you prepare for the dissertation (and the comps, for that matter), is to assess your comfort with difficult feedback.  Particularly in the dissertation, you will receive a lot of difficult feedback—about your ideas, about your writing, about details of your research design, about any and every aspect of the project.  You may even get differing feedback from different evaluators, and you’ll have to negotiate with them if the differences are extreme.  Are you ready to not take tough feedback personally, but to use it to strengthen your work?  Don’t pass over that point lightly—self-assess carefully on this point.

Finally, evaluate your time management skills.  Perhaps the hardest problem to solve with the dissertation is how to ensure that you get done in a reasonable period of time.  There are no real deadlines—although there are milestones—like there are in courses.  The work is relentless, but there is no one expecting a document on a certain day.  It is far too easy to get lost.  This is another aspect of the independence you must demonstrate: the ability to get the job done on your own.  If procrastination and time management have been problems during your coursework, they will be magnified enormously during the dissertation.  If you have all the other necessary skills but allow yourself to procrastinate, your chances of success drop.  So if that has been a problem, take time to investigate it and develop a plan to overcome it.  You can do it, with a plan.

Doc. reference: phd_t3_u06s1_h01_prepcomp.html

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Section 10: PhD Dissertation Defense: Final Oral Examination Overview, Committee, and Process

​​​​​​10.1 composition of the final oral examination committee & process.

The dissertation committee will consist of at least three graduate faculty members, including at least one core BME departmental faculty member, and will be chaired by the research advisor, who must have level-P graduate faculty status in BME. Soon after passing candidacy, students should obtain official approval of a dissertation committee by emailing a brief request, addressed to the BMEGSC, to the Graduate Studies Coordinator at [email protected] . For most students, this simply will be the candidacy committee minus one member. These three BMEGSC-approved dissertation committee members plus one assigned Graduate School Representative comprise the final oral examination committee. Petitions to add external, non-voting members must be completed via gradforms.osu.edu. Students should be sure to work closely with members of their dissertation committee.

It is the student's responsibility, with the approval of the research advisor, to contact all examiners on the dissertation committee and schedule the final oral examination (also called the dissertation defense). Typically the student provides committee members with a dissertation draft when doing this. Students also must take a copy of their dissertation draft to the Graduate School for a required formatting review. When the date and time for the dissertation defense are arranged, students may schedule a room for a 2-hour block of time in BME or elsewhere on campus if it is more convenient for the committee. (Under normal circumstances, a teleconferenced exam would require a petition; due to COVID 19, all exams are currently required to be teleconferenced via Zoom so no petitions are needed unless for external members.)

The final oral examination committee will examine the student on the research project and dissertation in accordance with Graduate School regulations and must comply with the deadlines published by the Graduate School at the beginning of each term. The examination should not exceed two hours. Only examination committee members may be present during a BME PhD examination; however, students and faculty may attend presentations given before the exam begins. Students are welcome to advertise their presentations.

The graduate faculty representative is assigned by the Graduate School after the student files the Application for Final Oral Examination. This form is to be submitted by the student to the Graduate School via gradforms.osu.edu and approved by the advisor at least two full weeks before the date of the oral examination. Failure to meet this deadline will result in the rescheduling of the exam. The location (or indication of teleconferencing) and 2-hour time block must be listed. (Note that a copy of the dissertation must be sent to the assigned graduate faculty representative at least one full week before the defense, if not longer.) This application generates a link to the Final Oral Examination Report form, which is sent to the osu.edu email addresses of the final oral examination committee. The committee’s decision is recorded by each committee member via gradforms.osu.edu.

The student is considered to have completed the final oral examination successfully only when the decision of the final oral examination committee is unanimously affirmative. A student must be registered for at least three graduate credit hours during the term in which the final oral exam is held. For information on teleconferencing the doctoral defense in the event that a committee member may need to participate while off-site or petitioning to include an extra or non-voting, non-OSU committee member, please see gradforms.osu.edu. For policies governing the Final Oral Examination rules see the GSH.

 10.2 Dissertation Guidelines

The dissertation should be an original research project that makes a new contribution to the field. Proposals and protocols should be approved by the student’s advisor(s) prior to beginning research. The dissertation must be completed in accordance with Graduate School policies and must comply with the deadlines published by the Graduate School at the beginning of each term. Students may reach out to their lab mates, peers from BMEGSA and/or student mentors for advice on completing the thesis. For Dissertation formatting and submission procedures, see the Graduate School website.

Students are encouraged to read the Graduate School Newsletter for leads on Graduate School and Writing Center workshops on dissertation writing or to schedule a review at the Graduate School ( Graduation Services area) to learn about formatting and electronic document submission. Visit the Graduate School for detailed information on the required format.

If a student fails to submit the final copy of the dissertation document to the Graduate School within five years of being admitted to candidacy, their candidacy is cancelled. In such a case, with the approval of the advisor and the Graduate Studies Committee, the student may request to take a supplemental candidacy examination. If the student passes this supplemental candidacy examination, the student is readmitted to candidacy and must then complete a dissertation or

D.M.A. document within two years. See GSH. Students who do not complete the requirements above within the timeframe may be dismissed from the program.

FINAL ORAL EXAMINATION PLANNING: A SAMPLE TIMELINE

Results for the Defense (Final Oral Examination) and Dissertation must be reported by the Dissertation Committee by Graduate School deadlines. Exam dates should be chosen to meet the deadlines.

• Application to Graduate : Department Deadline - first day of the intended semester; Graduate School deadline - 3 rd Friday of the semester of graduation
• Application for Final Oral Exam : File 3-4 weeks ahead of time to ensure meeting Graduate School deadline of at least 2 full weeks before the actual defense
• Dissertation Formatting check at Graduate School : as early as possible, aligned with the Application for Final Oral Examination
• Send copy of dissertation to Graduate Faculty Representative as soon as one is assigned, no less than one full week before the defense

AFTER THE DEFENSE:

• Make sure your Dissertation Committee completes the Exam Report by posted deadline
• Revise and submit approved Dissertation by posted deadline via Ohiolink
• Make sure your Dissertation Committee completes the Dissertation Approval by posted deadline

10.3 Required Seminar Presentation & Publication Submissions

PhD students are expected to present an open seminar on their dissertation as part of the BME seminar series. To avoid delays in graduation, this should be done at least one or two semesters before graduation is anticipated. It is the student’s responsibility to contact the seminar faculty coordinator to get scheduled before all spaces are filled. In the event that there is a conflict, students may advertise the presentation portion of their dissertation defense to be counted as a seminar presentation, making sure to notify the BMEGSC via email to the graduate studies coordinator. As detailed in the curriculum requirements, PhD students also are expected to have submitted two manuscripts for publication and to have made one oral or poster presentation at a scientific meeting in order to graduate. This information is to be emailed to the graduate studies coordinator when applying to graduate.

10.4 Graduation for PhD Students

In order to graduate with a Doctoral (PhD) degree students must meet all requirements established by the department and the Graduate School. An Application to Graduate must be filed on gradforms.osu.edu no later than the first day of the term in which a student intends to graduate to allow time for a BME graduation audit and approval by the Advisor and Graduate Studies Committee Chair. Graduating students must be enrolled for at least 3 credit hours in the term of graduation. Visit the Graduate School’s graduation checklist for PhD students in their final term of enrollment for more information .  If requirements go unmet or exam or thesis deadlines are missed, students may be able to meet the Graduate School’s end-of-semester deadlines without having to register the following term. If the E-O-S deadlines are missed, it will be necessary to resubmit a new Application to Graduate the following term.

DEGREE COMPLETION REMINDERS FOR PhD

• Students & advisors may jointly petition the BMEGSC for waivers of program or committee requirements. These should be accompanied by a proposed or approved program of study whenever possible.
• Petitions should be submitted in the form of a brief letter addressed to the BMEGSC and sent to [email protected] and will be considered at convened monthly BMEGSC meetings. Last-minute petitions may not be reviewed.
• Changes to an approved Program or Committee must be reviewed by the BMEGSC at least one full semester  before an Application to Graduate is filed.
• Applications to Graduate will not be approved unless the student’s final BMEGSC-approved Program and Committees are on file in the Graduate Office and most other graduation requirements, as stated in the GSH and BMEH, are met.
• Applications to Graduate should be submitted via gradforms.osu.edu at least one full week in advance of the Graduate School deadline. No forms will be signed by the Chair of the Graduate Studies Committee until a graduation audit has been completed by the BME graduate studies office.
• Be sure to build in time for a Graduate School review of the formatting of your dissertation draft.
• Be sure to build in time for any gradforms.osu.edu committee member petitions.
• Review your advising report each semester and contact your faculty about missing/outstanding grades.
• Publication and presentation lists should be emailed to the Graduate Studies Coordinator at [email protected] before the end of the semester in which you plan to graduate.
• Complete the BME assessment graduation survey. (Contact the graduate studies coordinator for the link at [email protected] .)

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Guidelines on Conducting MPhil and PhD Thesis Examinations

A. introduction.

• The thesis examination is mandatory for those enrolled in research postgraduate programs. It is conducted by a Thesis Examination Committee (TEC).
• An MPhil TEC normally consists of at least three faculty members. One is the thesis supervisor; if there are two thesis supervisors, they will both be on the committee, which will then comprise four members. Of the other two members, one is appointed as Chairperson. All three (or four) are voting members.
• A PhD TEC normally consists of a Chairperson and at least five voting examiners. The examiners include the thesis supervisor(s), two faculty members from the candidate’s major Department, one faculty member from outside the Department, and one faculty external to the University who has expertise in the field being examined.

B. Protocol

• A thesis examination takes place in a single session, comprising four parts. The first two parts are open to all members of the University and to departmental guests. The third part is closed to all but the candidate and the TEC, and the fourth is a closed session of the TEC in the absence of the candidate.
• The first part is an oral presentation by the candidate, emphasizing the major elements of the research and the results obtained. The candidate is expected to apportion no more than 60 minutes for the presentation.
• The second part is an open questioning session, involving the TEC members, and others in attendance. During this part of the examination, all questions are addressed through the Chairperson, and any dialogue is limited to the candidate and the individual questioner.
• The third part is a closed session involving a less formal discussion between the candidate and the TEC. Other than the candidate and the TEC, other persons are not ordinarily allowed to attend this part. However, in exceptional circumstances, with the prior agreement of the candidate, the thesis supervisor and the TEC Chairperson, other persons may be allowed to attend as observers. It should be noted that observers are not permitted to participate in the examination or attempt to influence the examiners in their assessment of the thesis examination. At the end of this part of the examination, the candidate and any observers must leave the examination venue.
• The fourth and final part is a closed session involving only the TEC, who then assess the quality of the thesis, and the performance of the candidate during the examination. In arriving at a decision, the votes of members of the TEC carry equal weight.
• The TEC will convey the outcome of the thesis examination to the student immediately after the thesis examination. The outcome will be recorded in a proforma report, the “ Report on Thesis Examination Results for Research Postgraduate Degrees ”, as described below.

The examination result will be reported in a proforma entitled “ Report on Thesis Examination Results for Research Postgraduate Degrees ” and submitted by the TEC Chairperson.

• This Report comprises several parts, to be completed by the examiners. Some parts need to be completed before the examination.
• The TEC Chairperson shall collect Part 2 of the report from all the examiners and complete Part 3 and Part 4.1 of the report.
• The report must include all comments that the TEC or the Chairperson wishes to make on the conducting of the examination, the quality of the thesis, the contribution of the thesis to the field of study, the performance and competency of the candidate in the thesis examination, and any other remarks relating to the thesis and the examination.
• All TEC members must sign the report.
• The TEC Chairperson shall return the completed form to Department for further follow up, as described below.

The Chairperson is also required to submit an online “ Chairperson’s Report on Thesis Examination ” to the HKUST Fok Ying Tung Graduate School (FYTGS)  within one week from the date of the thesis examination, reporting any irregularities observed during the conduct of the thesis examination.

D. Outcomes

A thesis examination, whether MPhil or PhD, will have one of the following results:

• Passed subject to minor corrections;
• Passed subject to major corrections;
• Failed but may be resubmitted; or

The protocols for handling each outcome are described below.

• Procedure. The Chairperson will forward the completed “ Report on Thesis Examination Results for Research Postgraduate Degrees ”, together with the final thesis, to the head of the candidate’s Department. After signing the report, the Department Head/Program Director will forward it to the Dean or the Dean’s designee for endorsement. Finally, the Department will forward it to the Academic Registry for action and record.
• Thesis submission deadline. If a thesis has been graded “Passed”, the candidate must, within one week of the date of the thesis examination, submit an electronic copy of the final thesis, together with the electronic copy of the authorization page containing the student’s signature, and a signature page containing signatures of the thesis supervisor(s) and Department Head/Program Director, to the University’s Thesis Submission System.
• Procedure. In this case, the Chairperson should pass the entire set of documents to the thesis supervisor(s) who should keep the report until the candidate has submitted a revised thesis to his/her satisfaction before the deadline as described below. The full set of documents, with the final thesis, should then be forwarded to the Department Head/Program Director and the Dean or the Dean’s designee for endorsement before passing to the Academic Registry for action and record.

Thesis submission deadline. In this case, the final thesis and the iThenticate report must be submitted within three months from the date of the thesis examination, or a date specified by the TEC, whichever is earlier. The iThenticate report should be handed in to the supervisor(s), via the Department for review and endorsement.

• The thesis supervisor will record whether the corrections are satisfactory in the “ Report on Thesis Examination Results for Research Postgraduate Degrees ”.
• Upon approving the thesis, the supervisor will forward the signed report, together with the final thesis, to the Department to obtain signatures of Department Head/Program Director.
• Candidates should allow sufficient time for the above approval processes.
• Finally, the candidate must submit an electronic copy of the final thesis, with the electronic copy of the authorization page containing the student’s signature and the appropriate signatures of approval, to the University’s Thesis Submission System.
• Procedure. In this case, the Chairperson should pass the entire set of documents to the thesis supervisor(s) who should keep the report until the candidate has submitted a revised thesis approved by the TEC before the deadline as described below. The full set of documents, with the final thesis, should then be forwarded to the Department Head/Program Director and the Dean or the Dean’s designee for endorsement before passing to the Academic Registry for action and record.

Thesis submission deadline. In this case, the final thesis and the iThenticate report must be submitted within 12 months from the date of the thesis examination, or a date specified by the TEC, whichever is earlier. The iThenticate report should be handed in to the TEC via the Department for review and endorsement.

• The revised thesis requires the approval of the full TEC.
• The TEC may recommend that a re-examination be held before a final assessment is arrived at. If a re-examination is required, the TEC membership should be the same as that for the first examination, unless otherwise recommended by the Department or FYTGS. In this case, the protocol is repeated, as for the first examination.
• The TEC will need to indicate whether the major corrections are satisfactory by completing the “ Report on Thesis Examination Results for Research Postgraduate Degrees ”. If the members are satisfied with the revised thesis, the final thesis must be submitted, with the electronic copy of the authorization page containing the student’s signature and the appropriate signatures of approval, to the University’s Thesis Submission System.
• In this case, the Chairperson should forward the duly completed “ Report on Thesis Examination Results for Research Postgraduate Degrees ” to the head of the candidate’s Department. After signing the report, the Department Head/Program Director will forward it to the Dean or the Dean’s designee for endorsement.
• The TEC membership may or may not be the same as that for the first examination.
• Failure in the second attempt of thesis examination will result in the automatic withdrawal of the candidate from the program of study and termination of registration at the University.
• Timeline. At least six months should pass before the second thesis examination. The protocol is repeated, as for the first examination.

E. Submission of Final Thesis

Thesis copy. On successful completion of the thesis examination, and after any required corrections, a candidate must submit a copy of the thesis (either hard or electronic) to the Department.

For final theses which have been graded “Passed subject to minor corrections” or “Passed subject to major corrections”, students are required to submit the thesis for originality check via iThenticate. The iThenticate report should be handed in to their thesis supervisor(s), and the Thesis Examination Committee if applicable, for review and endorsement via their Department.

The Department will arrange for the appropriate signatures of approval to be obtained, and then return the signed copy to the candidate. The candidate will upload and submit the Signature Page and the Authorization Page as a PDF file and the final thesis as another PDF file to the University’s Thesis Submission System. The candidate does not need to replace the two unsigned pages in the thesis PDF with the scanned signature pages. The candidate will receive email acknowledgement of successful upload. The final thesis will be forwarded to the thesis supervisor(s) for approval via the Thesis Submission System. 

Note: Candidates should allow sufficient time for the thesis supervisor(s) to check and verify their final version of the thesis, and for the Department to obtain signatures of approval before the submission deadline.

• The “ Report on Thesis Examination Results for Research Postgraduate Degrees ” will be submitted by the Department to the Academic Registry.
• Other documents. Candidates are also required to submit other documents to the Department together with the final thesis. Details are available on the FYTGS website.
• Failure to meet submission deadline. If a candidate fails to submit the final thesis before his/her specific deadline, the candidate will be deemed to have failed to meet the thesis examination requirements of the University and to have failed the requirements of the degree program being pursued. If the candidate fails to meet the deadline in submitting the final thesis, and the delay is through no fault of the candidate, the candidate may appeal for an exception to the above rules in a written letter. The appeal must be supported by the thesis supervisor(s) and PG Coordinator of the Department, and endorsed by the relevant School. It should then be submitted to FYTGS for further arrangements.