The Graduate College Handbook for Students, Faculty and Staff
Chapter VI: Requirements for the Doctoral Degree
B. Doctoral Committees and Examinations
Committees may be formed and examinations given at various stages of graduate study in order to monitor and ensure the quality of graduate work.
Qualifying examinations are not required by the Graduate College, but are required by some departments. Qualifying exams are generally given at the end of Stage I of the doctoral work (see chapter VI.A). Departments may internally appoint committees to conduct these examinations.
The preliminary examination is required for completion of Stage II of graduate study. The Graduate College does not require that students be registered to take preliminary examinations, although individual departments may have such a requirement. Preliminary examinations may be oral or written or both, depending on the unit's policy. Preliminary examinations generally evaluate the student's overall and specific knowledge in the field. Preliminary examinations usually also include an oral presentation to review the feasibility and appropriateness of a student's dissertation research proposal. The doctoral degree program prescribes the scope of the examination or other procedures.
The preliminary examination is conducted by a committee appointed by the dean of the Graduate College upon recommendation of the executive officer of the unit. In some units the same committee acts for all students taking preliminary exams in a given year. In other units, the preliminary examination committee may be comprised at least in part of those members who will serve on the student's dissertation or final examination committee. In either case, the committee must include at least four voting members, at least three of which must be members of the Graduate Faculty, and two of which must also be tenured. The Policy on Doctoral Committees allows this last requirement to be met by term members of the Graduate Faculty who retired or resigned with tenure for a period of three years following their resignation or retirement. Individuals who are not members of the Graduate Faculty who will be voting members of the committee must be approved in advance by the dean of the Graduate College. To request approval, a curriculum vitae for the individual and a justification from the chair of the committee should accompany the request for appointment of the doctoral committee. Non-voting members may be appointed but are rare on preliminary examination committees. The process for selection of committee chairs vary by unit.
The student and committee chair must be physically present for any oral presentation (e.g. presence by teleconference is not acceptable). Decisions of the preliminary examination committee must be unanimous. The committee may make one of three decisions:
- pass the candidate,
- fail the candidate, or
- defer the decision. This result category should be used only if the committee intends to hold another examination within six months, and that date should be included on the form.
The result of the examination is communicated to the student and to the graduation unit of the Office of Admissions and Records as soon as possible at the conclusion of the exam. If the Office of Admissions and Records is not informed of the result of the preliminary examination within six months after the scheduled examination date, the committee is considered dissolved. In this case, a new committee must be appointed before the examination occurs. The newly appointed committee may or may not consist of the same members as the dissolved committee.
The Graduate College encourages formation of a dissertation committee as early as possible after the successful completion of the preliminary examination. This committee does not need to be formally appointed or approved. The purpose of this committee is to advise the student with dissertation research, often before a student is ready to form the final examination committee. In units with preliminary examinations that include the presentation of a proposal for the doctoral research, the dissertation committee membership may be substantially the same as the preliminary examination committee. The dissertation committee membership may also be the same or essentially the same as the final examination committee. There is no time limit on the duration of service of the dissertation committee, other than the length of time that the student is allowed to complete the degree. The intention is that the committee be formed early in the student's dissertation research work so that the committee can most effectively monitor the student's progress toward completion.
The final examination committee is appointed by the dean of the Graduate College, upon recommendation of the unit executive officer. The chair of the final examination committee must be a member of the Graduate Faculty. The final examination committee chair is responsible for convening the committee, conducting the examination, and submitting the Certificate of Result of Final Examination to the department in which the student is enrolled and to the graduation unit of the Office of Admissions and Records. A contingent chair, who must also be a member of the Graduate Faculty, may be designated to serve as the chair of the final examination committee should the original chair be unable to serve for any reason. The student's thesis adviser need not be the chair of the committee. If more than five years elapse between a doctoral student's preliminary and final examinations, the student is required to demonstrate that his or her broad knowledge of the field is current by passing a second preliminary examination (see Chapter VI.C).
The final examination committee must include at least four voting members, of which at least three must be members of the Graduate Faculty and at least two must be tenured. This last requirement can be met by term members of the Graduate Faculty who retired or resigned with tenure for a period of three years following their resignation or retirement. If there are more than four voting members on the committee, at least half of the voting members should be members of the Graduate Faculty. Committee members should be chosen for their expertise in the student's research area, but may also be chosen to give diversity in viewpoint, methodology, or academic discipline. Such diversity may be achieved by including members from more than one sub-discipline within the department, from other departments, or from other institutions. The faculty of a department may establish procedures or requirements for introducing diversity in the membership of the final examination committee. Students must adhere to departmental procedures or requirements. Individuals who are not members of the Graduate Faculty who will be voting members of the committee must be approved in advance by the dean of the Graduate College. To request approval, a curriculum vitae for the individual and a justification from the chair of the committee should accompany the request for appointment of the doctoral committee. Upon departmental request, the dean of the Graduate College may also appoint non-voting members to doctoral committees, such as an external reader, an Urbana-Champaign faculty member who is on leave, or others who have made a significant contribution to the dissertation.
The committee chair and the defending student must be physically present at the final examination (e.g. presence by teleconference is not acceptable). All voting members of the committee must be present at and participate in final examinations. In exceptional circumstances, the Graduate College will allow up to two voting members to participate via electronic communication media such as speaker phone or video conference link. Students wishing to take advantage of this option should seek approval from the department. Non-voting members do not need to be present at the final examination. Final examinations are oral and open to the public.
For the final examination, each committee member must indicate that the thesis has been read and approved. Decisions of the committee for final examinations must be unanimous. The committee may make one of four decisions:
- pass the candidate with no revisions required,
- pass the candidate pending revision of the thesis; the candidate will receive the signed Certificate of Committee Approval when the prescribed revisions have been completed,
- defer the decision; this result should be used only if the committee intends to hold another defense within six months of the first defense date, and registration is required during the semester when a second defense is held, or
- fail the candidate.
Students who fail the first exam may, at the discretion of the committee and according to departmental rules, be granted another opportunity to take the examination after completing additional work. The chair will inform the Graduate College if the student is allowed a second examination.
At the completion of the final examination, both voting and non-voting committee members may sign the Certificate of Committee Approval that becomes a part of the thesis document. Only the voting members of the final examination committee sign the Certificate of Result. Only original signatures are acceptable on the Certificate of Committee Approval and the Certificate of Result, and signatories must sign for themselves. Department heads also sign the Certificate of Committee Approval, and persons authorized by the Graduate College to sign dissertations, may sign in place of the department head on the Certificate of Committee Approval form.
The result of the final examination should be reported to the graduation unit of the Office of Admissions and Records immediately, on the original form with all necessary signatures.
