thesis defense rules

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Thesis Defense Rules

Colorado School of Mines Office of Graduate Studies (OGS) requires all thesis-based students to follow the Thesis Defense Rules. Students who do not follow the rules may put themselves in jeopardy of receiving a failing vote at the defense.

Please read and follow all the following steps to ensure you:

• Have completed all the steps necessary to defend,
• Have all your members in attendance
• Avoid failing votes
• Understand the upload and formatting rules
• Graduate on time

Required Forms/Apply to Graduate: Must be Completed Prior to Defending

All thesis-based students must submit the required forms before applying to graduate and defend.

Thesis Committee and Advisor Assignment Request form : Required for all thesis-based  students (commonly referred to as the Advisor/Committee form)

• Master’s student should establish a committee and submit the form by the end of the second semester of study.
• PHDs should establish a committee and submit the form by the end of the second year of study.
• Students who make changes to an OGS approved committee must submit another form and have the changes approved by OGS. It is   NOT ACCEPTABLE to receive departmental approval only or to state that you have changed your committee.   Your committee may only be changed if OGS approves it.
• Two failing votes means that the student has failed the defense, so it is imperative that students get any committee changes approved by OGS.   

Degree Audit Form : Required for all students

Master’s students:   you must submit a Degree Audit form to OGS before applying to graduate in Trailhead and you must apply to graduate before defending.

PhDs   must submit a Degree Audit form either before submitting the Admission to Candidacy form or with the form.

• All forms may take up to two weeks to process
• Students who do receive an email should check with your department to see if the form has been returned due to inaccuracies.   If you miss a deadline because you completed the form wrong,  then you missed the deadline and OGS cannot guarantee that we will be able to process your form in time to meet a deadline.
• Make sure to view the   deadlines   to ensure you submit your forms in time.

Admission to Candidacy Form :   Required for all PhDs

• Each department has different requirements, so please consult with your department for details.
• After this form has been processed, PhDs my apply to graduate in Trailhead.

Apply to Graduate in Trailhead :  Required for all students

After all forms are submitted, all students must apply to graduate in Trailhead. Failure to apply to graduate by the   deadline   will delay your graduation.

Thesis Defense Form

All thesis-based students must bring the Thesis Defense form to the defense and have it signed by all committee members and the department head/division director.

Where can the form be found?   After students have applied to graduate in Trailhead, they will be enrolled in a CANVAS Graduation Check-Out course. The first quiz of that course goes over:

• registration requirements
• the Thesis Defense Rules and
• the Thesis Formatting

At the end of the first quiz, you will be given a link to the   Thesis Defense form . So, it is important to complete the first quiz before you defend.   If you are not sure that you will be able to meet the deadlines to graduate, you may want to wait to complete any of the check-out quizzes. In the event that your graduation needs to be moved to the next semester, then we will have to enroll you in a new check-out course and any quizzes completed under the old graduation term will need to be repeated. 

Since students must be enrolled in the  CANVAS Graduation Check-Out course, under no circumstances should students share the link with any other students, faculty or staff. Students who access the link inappropriately could jeopardize their graduation term.

Students will be enrolled in the CANVAS Graduation Check-Out course at certain times of the year.

• December graduates will be enrolled early August through mid-September
• May graduates will be enrolled early December through late January
• August graduates will be enrolled in late April

If you have applied to graduate, but have not been enrolled yet, please refer to the time frames above.

Schedule Your Defense

• Please consult with your department to determine how far in advance you need to schedule the defense.
• OGS recommends that you defend at least 1 week prior to the upload deadline to ensure time for content revisions, but if your department/ committee tells you that you need to defend   more than 1 week   before the upload deadline, then you must follow those guidelines.
• To view the deadlines, visit the Graduation Deadline page

What to do if all Members Cannot Attend the Defense in Person

You must defend to all OGS approved committee members at one time. Remember, if you have changed a committee, it must be approved by OGS. No other means of approval are acceptable.

If an OGS approved member cannot attend the defense in person, you have a few options. The member who cannot attend may:

• Attend the defense virtually (Skype, etc.)
• Proxy for advisor:  Advisor must attend the defense, so no proxy may be selected.
• Proxy for co-advisor:  Proxy should be advisor. If advisor cannot be the proxy, then the chair.
• Proxy for committee member:   Proxy should be committee chair
• If the PhD has more than the required members and one of the  extra members is outside the department, then that member could be the proxy.
• If there are not extra members and/or the extra members are not outside the department, then the committee chair may select another faculty member meeting the  requirements of a PhD committee chair and have that faculty member act as the proxy.
• Proxy for Minor representative : Proxy should be committee chair.
• Member who cannot attend will create a list of questions and give to the proxy prior to the defense
• Proxy will ask the questions on behalf of the member and vote on behalf of the member
• OGS recommends that changing a committee only be used as a last resort just prior to defending and only be used if the member cannot attend virtually or get a proxy.
• Failure to get the change approved by OGS prior to the defense could result in a failing vote.

Defense Rules

Students must defend to the entire OGS approved committee at one time.  Students may not defend to one group or individual at one time, then another group or individual at another time.   If a member cannot attend the defense, please go to the section “What To Do If a Member Cannot Attend The Defense”.

Members will vote to either:

• Pass the student’s defense
• Two failing votes means that the student has failed the defense.   Remember, for every OGS approved committee member not in attendance at the defense (in person, virtually or via proxy), the student will receive a failing vote.  
• Students who fail a defense twice will be subject to   mandatory dismissal . 
• Departments that need to dismiss students for failing to successfully defend the thesis after two attempts must notify OGS.
• Abstain votes indicate that a member in attendance at the defense does not want to pass or fail the student.
• Members not in attendance at the defense MAY NOT cast an Abstaining vote . If a member does not attend and has not followed the rules on what to do if a member cannot attend the defense, then the student will receive a failing vote.

Upload Rules

To graduate in a particular semester, students must upload the content approved thesis in ProQuest by no later than the designated upload deadline.

To meet the upload deadline, students must:

• After students have applied to graduate in Trailhead, they will be enrolled in this course.   Please see the tab ” Required Forms/Apply to Graduate” for information on the time frame for each graduation term when students will be enrolled.   
• Submit the signed Thesis Defense form by the deadline 
• The student’s signature on the form indicates that the student understands the Thesis Defense Rules and the Thesis Formatting Rules.
• completed all credits for the degree,
• if the student has used any regulated materials that all materials have been disposed of properly,
• the research for the thesis has been completed,
• the student has passed the defense (may have 1 failing vote) and
• all content revisions are complete.
• If any of the above items don’t apply, then the form should not be signed.    
• Upload the content approved thesis in ProQuest and submit it by the deadline.

If the student does not complete all of these items by the deadline, then the student has missed the deadline and will have to delay graduation, which could mean registering for an additional semester.

Thesis Formatting Rules

All thesis-based students are required to follow the Mines thesis formatting rules, which can be found on our Thesis Writer’s Guide page. Templates in both Latex and Word are available there, along with details of the thesis preparation, upload and revision process.

Office of Graduate Studies

Alderson 451

[email protected]

Reference management. Clean and simple.

How to prepare an excellent thesis defense

What is a thesis defense?

How long is a thesis defense, what happens at a thesis defense, your presentation, questions from the committee, 6 tips to help you prepare for your thesis defense, 1. anticipate questions and prepare for them, 2. dress for success, 3. ask for help, as needed, 4. have a backup plan, 5. prepare for the possibility that you might not know an answer, 6. de-stress before, during, and after, frequently asked questions about preparing an excellent thesis defense, related articles.

If you're about to complete, or have ever completed a graduate degree, you have most likely come across the term "thesis defense." In many countries, to finish a graduate degree, you have to write a thesis .

A thesis is a large paper, or multi-chapter work, based on a topic relating to your field of study.

Once you hand in your thesis, you will be assigned a date to defend your work. Your thesis defense meeting usually consists of you and a committee of two or more professors working in your program. It may also include other people, like professionals from other colleges or those who are working in your field.

During your thesis defense, you will be asked questions about your work. The main purpose of your thesis defense is for the committee to make sure that you actually understand your field and focus area.

The questions are usually open-ended and require the student to think critically about their work. By the time of your thesis defense, your paper has already been evaluated. The questions asked are not designed so that you actually have to aggressively "defend" your work; often, your thesis defense is more of a formality required so that you can get your degree.

• Check with your department about requirements and timing.
• Re-read your thesis.
• Anticipate questions and prepare for them.
• Create a back-up plan to deal with technology hiccups.
• Plan de-stressing activities both before, and after, your defense.

How long your oral thesis defense is depends largely on the institution and requirements of your degree. It is best to consult your department or institution about this. In general, a thesis defense may take only 20 minutes, but it may also take two hours or more. The length also depends on how much time is allocated to the presentation and questioning part.

Tip: Check with your department or institution as soon as possible to determine the approved length for a thesis defense.

First of all, be aware that a thesis defense varies from country to country. This is just a general overview, but a thesis defense can take many different formats. Some are closed, others are public defenses. Some take place with two committee members, some with more examiners.

The same goes for the length of your thesis defense, as mentioned above. The most important first step for you is to clarify with your department what the structure of your thesis defense will look like. In general, your thesis defense will include:

• your presentation of around 20-30 minutes
• questions from the committee
• questions from the audience (if the defense is public and the department allows it)

You might have to give a presentation, often with Powerpoint, Google slides, or Keynote slides. Make sure to prepare an appropriate amount of slides. A general rule is to use about 10 slides for a 20-minute presentation.

But that also depends on your specific topic and the way you present. The good news is that there will be plenty of time ahead of your thesis defense to prepare your slides and practice your presentation alone and in front of friends or family.

Tip: Practice delivering your thesis presentation in front of family, friends, or colleagues.

You can prepare your slides by using information from your thesis' first chapter (the overview of your thesis) as a framework or outline. Substantive information in your thesis should correspond with your slides.

Make sure your slides are of good quality— both in terms of the integrity of the information and the appearance. If you need more help with how to prepare your presentation slides, both the ASQ Higher Education Brief and James Hayton have good guidelines on the topic.

The committee will ask questions about your work after you finish your presentation. The questions will most likely be about the core content of your thesis, such as what you learned from the study you conducted. They may also ask you to summarize certain findings and to discuss how your work will contribute to the existing body of knowledge.

Tip: Read your entire thesis in preparation of the questions, so you have a refreshed perspective on your work.

While you are preparing, you can create a list of possible questions and try to answer them. You can foresee many of the questions you will get by simply spending some time rereading your thesis.

Here are a few tips on how to prepare for your thesis defense:

You can absolutely prepare for most of the questions you will be asked. Read through your thesis and while you're reading it, create a list of possible questions. In addition, since you will know who will be on the committee, look at the academic expertise of the committee members. In what areas would they most likely be focused?

If possible, sit at other thesis defenses with these committee members to get a feel for how they ask and what they ask. As a graduate student, you should generally be adept at anticipating test questions, so use this advantage to gather as much information as possible before your thesis defense meeting.

Your thesis defense is a formal event, often the entire department or university is invited to participate. It signals a critical rite of passage for graduate students and faculty who have supported them throughout a long and challenging process.

While most universities don't have specific rules on how to dress for that event, do regard it with dignity and respect. This one might be a no-brainer, but know that you should dress as if you were on a job interview or delivering a paper at a conference.

It might help you deal with your stress before your thesis defense to entrust someone with the smaller but important responsibilities of your defense well ahead of schedule. This trusted person could be responsible for:

• preparing the room of the day of defense
• setting up equipment for the presentation
• preparing and distributing handouts

Technology is unpredictable. Life is too. There are no guarantees that your Powerpoint presentation will work at all or look the way it is supposed to on the big screen. We've all been there. Make sure to have a plan B for these situations. Handouts can help when technology fails, and an additional clean shirt can save the day if you have a spill.

One of the scariest aspects of the defense is the possibility of being asked a question you can't answer. While you can prepare for some questions, you can never know exactly what the committee will ask.

There will always be gaps in your knowledge. But your thesis defense is not about being perfect and knowing everything, it's about how you deal with challenging situations. You are not expected to know everything.

James Hayton writes on his blog that examiners will sometimes even ask questions they don't know the answer to, out of curiosity, or because they want to see how you think. While it is ok sometimes to just say "I don't know", he advises to try something like "I don't know, but I would think [...] because of x and y, but you would need to do [...] in order to find out.” This shows that you have the ability to think as an academic.

You will be nervous. But your examiners will expect you to be nervous. Being well prepared can help minimize your stress, but do know that your examiners have seen this many times before and are willing to help, by repeating questions, for example. Dora Farkas at finishyourthesis.com notes that it’s a myth that thesis committees are out to get you.

Two common symptoms of being nervous are talking really fast and nervous laughs. Try to slow yourself down and take a deep breath. Remember what feels like hours to you are just a few seconds in real life.

• Try meditational breathing right before your defense.
• Get plenty of exercise and sleep in the weeks prior to your defense.
• Have your clothes or other items you need ready to go the night before.
• During your defense, allow yourself to process each question before answering.
• Go to dinner with friends and family, or to a fun activity like mini-golf, after your defense.

Allow yourself to process each question, respond to it, and stop talking once you have responded. While a smile can often help dissolve a difficult situation, remember that nervous laughs can be irritating for your audience.

We all make mistakes and your thesis defense will not be perfect. However, careful preparation, mindfulness, and confidence can help you feel less stressful both before, and during, your defense.

Finally, consider planning something fun that you can look forward to after your defense.

It is completely normal to be nervous. Being well prepared can help minimize your stress, but do know that your examiners have seen this many times before and are willing to help, by repeating questions for example if needed. Slow yourself down, and take a deep breath.

Your thesis defense is not about being perfect and knowing everything, it's about how you deal with challenging situations. James Hayton writes on his blog that it is ok sometimes to just say "I don't know", but he advises to try something like "I don't know, but I would think [...] because of x and y, you would need to do [...] in order to find out".

Your Powerpoint presentation can get stuck or not look the way it is supposed to do on the big screen. It can happen and your supervisors know it. In general, handouts can always save the day when technology fails.

• Dress for success.
• Ask for help setting up.
• Have a backup plan (in case technology fails you).
• Deal with your nerves.

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Student Handbook

Thesis defense, before the defense, get permission to start writing.

After completing all course, seminar, TA, publication and research requirements for your program of study, there are many things that must be done before a thesis defense can occur. Most importantly, you must meet with your advisory committee at least 6 months before you intend to defend your thesis. Your advisor and committee need to agree to your intentions to conclude experiments and data collection and begin writing. Once you get the go-ahead to start writing your thesis, you will need to decide on a date by which the defense should occur. You will also need to inform your program director and graduate program coordinator that you have started the process to defend.

Chair for Your Defense

A Chair is appointed for each PhD oral defense exam to monitor and promote fairness and rigor in the conduct of the defense.

At least 4 months prior to your defense, you, with support from your advisor and/or program director, must identify a faculty member to serve as Chair for your defense. The Chair must be a current full-time tenure-track University of Rochester faculty member at assistant professor rank or higher who is external to the program, and without a significant scholarly relationship with the candidate or other committee members. You must include the Chair in planning for specific dates and times for your defense.

Selecting a Defense Date

If all goes as planned and you have made sufficient progress in your writing, schedule the actual defense date at least three months in advance to ensure that your advisor, all committee members and your appointed Chair are able to be present at your defense and that rooms are available on the date and time selected.

The  academic calendar  includes important dates for defense for each semester of the academic year. When you begin thinking about defending, check the academic calendar for deadlines and blackout dates (periods of time when defenses are not permitted). This will make identifying possible dates for defense a lot easier for you, your committee members and your Chair.

When all members of your committee and your Chair agree to a specific date and time for defense, inform your graduate program coordinator of the scheduled defense date as soon as you possibly can but no later than 8 weeks prior to your defense date. They will advise you of any program-specific requirements for the defense as well as prepare your  Program Statement on Completion of PhD Requirements . This form requires your program director’s signature. Check with your graduate program coordinator to determine if you or they will obtain the signature for your form. Once approved and signed, this form along with others will be scanned and submitted via an online thesis registration system along with a pdf of your thesis and an  Exit Interview  Form and your CV/Resume.

At Least 2 Months Prior to the Date of Defense

The TBS Program Coordinator will create your record in the  University of Rochester Graduate Studies PhD Completion website . This record will include your degree information, past degrees, important contact information, and attachments including the defense version of your thesis in pdf format, and other relevant documents. The version of your thesis submitted to your online record is considered the registration copy. “Registering” simply means that you have presented a thesis, which you intend to defend, to the Dean of your School and to the University Dean that governs all doctoral candidates.

Poll your committee on their format preference for the copy of your dissertation (hard copy vs. electronic PDF copy).

At Least 25 Full Working Days Prior to the Date of Defense

Provide a copy of the thesis to each committee member for review in their preferred format. (Some may prefer hard copy vs. electronic; therefore, it is advisable to make individual inquiries to each member in advance of document distribution).

At Least 20 Full Work Days Prior to the Date of Defense

The TBS Program Coordinator will submit the defense record through the online system. This generates an email to your Research Advisor, Advisory Committee, Defense Chair, and TBS Program Director to request the online approval of the thesis submitted for defense. Once the registration has been submitted to the online system, no changes may be made to the thesis before the final examination.

At Least 10 Full Work Days Prior to the Date of Defense

Advisor, Advisory Committee, Defense Chair, and TBS Program Director have approved your thesis for defense. The thesis and defense record is reviewed and approved by SMD Senior Associate Dean for Graduate Education and Postdoctoral Affairs.

At Least 5 Full Work Days Prior to the Date of Defense

Registration of thesis for defense. The University Dean for Graduate Studies reviews and approves the thesis and defense record. This generates an email to your Chair, Advisor and Advisory Committee announcing the date, time, and location of defense. The Chair receives instructions for the defense, forms and for reporting of the exam outcome.  

More detailed information can be found at GEPA's  Registering Your Thesis for the Final Oral Exam

More detailed information can be found at GEPA's  Before Defense  page.

Writing Your Thesis

Once permission to write has been acquired at the final committee meeting, the student may prepare their dissertation in one of two ways:

• The "Full Dissertation" Option : from start to finish, with introduction/background, methods, results, discussion, and conclusion sections
• The "Manuscript" Option : an introductory chapter, a body comprised of results chapters adapted from three distinct, submitted manuscripts, and a conclusions chapter

A booklet, last updated in 2014, entitled “ Preparing Your Thesis ” is  available online  or from the TBS Program Coordinator. This material provides specific information on the format to be followed. It is the student’s (not the mentor’s) responsibility to ascertain that the format of the thesis meets the approval of their Thesis Advisory Committee and follows all rules set forth by the University. The committee for the final examination decides on the acceptability of the quality of the research and the method of presentation (written and oral), following all University guidelines.  

The thesis (and all published papers) must explicitly acknowledge all sources of financial support. It is essential that students also acknowledge any individuals who assisted in the work presented, and clearly describe their specific roles. All data reported in the thesis that were not generated by the PhD candidate must be explicitly noted, along with the source of the particular data.

The cost of thesis preparation and copying is the responsibility of the student.  Students should notify the TBS Program Coordinator before the actual process of preparing the thesis is started . In this manner, the Program Coordinator can assist the student with the complex process of meeting all due dates for this final part of the PhD process.  

More detailed information can be found at GEPA's  Thesis Writing and Guidelines

The Defense

The PhD thesis defense in Translational Biomedical Sciences is held in the following format: the first hour of the exam is a public seminar open to the faculty, students, research staff at the University, and any guests. The student’s presentation should last about 45-50 minutes, with about 10-15 minutes allowed at the conclusion for questions from the audience. The student should be selective about the material presented, so that the seminar does not exceed the time available. Notes, slides, charts, and the usual visual aids for a seminar are permitted; however, the student needs to make arrangements for special audiovisual equipment well in advance. Following the public lecture, the student and the examining committee will adjourn to a closed session, where the remainder of the exam will be conducted.

At the start of the closed-door exam, the student will be asked to leave the room for a short period of time. Upon returning to the room, questioning for the oral exam typically lasts 1.5 - 2.5 hours. At the end of the oral exam, the student will be asked to leave the room. The committee will come to consensus regarding whether or not the student passed. The results of the closed oral exam and any changes required in the written document are communicated directly (verbally) to the student immediately at the end of the exam. The Chair of the examination committee is charged with the responsibility of conveying the results of the examination in writing to the Senior Associate Dean for Graduate Education and Postdoctoral Affairs and the Vice-Provost and Dean of Graduate Studies.  

More detailed information can be found at GEPA's  Thesis Defense

After the Defense

You will receive annotated copies of your thesis from the members of your examination committee. After a successful dissertation defense, you will receive an e-mail from University Graduate Studies that includes: (1) Survey of the Earned Doctorate (2) Instructions for submission of the final thesis to ProQuest Dissertation Publishing, and (3) the University of Rochester publishing agreement.

The survey and UR publishing agreement are expected to be submitted to the University Dean by the date the final copy of the thesis is submitted to ProQuest. Students have 30 calendar days after the defense to complete all final requirements (revisions and upload to ProQuest) except when defenses are scheduled late in the semester and are subject to a deadline date that is shorter than 30 calendar days. 

Students typically give a bound, corrected copy of the thesis to each of the committee members. Although not mandated by the program, students should determine whether the committee members want a final copy. 

The student must maintain continuous enrollment up until the time of submission of the corrected thesis to the Office for Graduate Education and Postdoctoral Affairs. If registration must be continued into a new semester, the student must register for IND 999 Doctoral Dissertation.  

More detailed information can be found at GEPA's  After The Defense