Beyond the Written Quals: Tips for Doctoral Students
Nov 12, 2007
This page summarizes some important points about the timeline,
contents, and procedures for oral exams, dissertation completion, and
dissertation submission in the IUCS doctoral program. (Please remind
your fellow students of this page as they reach these milestones!)
The exams and doctoral program paperwork are milestone events at which
time it is easiest to make "course changes" if needed. The objective
is to find the best possible supervising faculty according to your
individual interests and goals. You need to take the initiative in
achieving this goal.
Prior to identifying a faculty member to be your advisor, the Director
of Graduate Studies (DGS) is your primary contact for discussing plans,
questions, and expectations. As soon as you have a faculty member as
advisor, that person will become your primary advisor, able to
provide a wealth of additional information relevant to your specific
research interests.
The department
PhD program page summarizes official rules on committee
makeup, etc. For any remaining administrative questions not addressed
there, please contact the Director of Graduate Studies. Responses to
questions of general interest will be added to this page.
The IUCS doctoral process is the department's implementation of the
requirements in the IU Graduate
Bulletin. Be sure to read those requirements carefully.
The first oral exam, the oral area qualifier, is normally taken after
you have passed both written qualifiers. However, you should
not wait for that milestone to begin seeking an advisor and getting
involved in research.
- When moving towards the oral, first identify a topic area, and
then a potential advisor, preferably one you've impressed with your
work. Start discussions with your potential advisor as early as
possible. Topics relevant to the advisor's current work are
desirable. Sometimes, your potential advisor will direct you to
another faculty member closer to your interests.
- After you have sufficient background, sign up for Y790's for
exploratory research. In addition to refining your research skills,
this gives an opportunity for you to get to know your potential
advisor and for your potential advisor to get to know you. Do your
best in order to show the potential advisor why s/he should want you
as a research colleague.
- If you and your potential advisor both agree on continuing your
research relationship, with the intention of the advisor guiding you
towards your PhD, file the paperwork to form your Advisory Committee,
which must include at least two members from CS and one representative
from your minor area (see the Graduate Bulletin). The form is
available from the PhD
program documents list. This must be signed by your committee
members
and submitted to the Graduate Administrator (the DGS does not need to
sign it before submission).
Unlike the written qualifiers, which test breadth, the oral area
qualifier tests your knowledge and mastery of the more specialized
research domain in which you expect to do your research. In this
exam, you demonstrate readiness to move to the next step of the
process, the beginning of dissertation research.
The oral is administered by your Advisory Committee.
The advisor and Advisory Committee members often continue as
three of the four members of the Research Committee, by mutual
agreement with the student. However, this is not required.
Normally, the oral qualifier is taken after the successful
completion of the written qualifier, but the exams are independent,
and it may occasionally be appropriate to take the oral before the
written has been completed.
The oral qualifier is normally taken no later than the first semester
of the third year, even if that is the year of the second attempt at
the written qualifiers. You are encouraged to complete the oral
qualifier as early as possible after completing the written
qualifiers.
The oral area qualifier may be retaken once, normally no later than
the beginning of the fourth year of study.
Content and procedures:
- The oral qualifier examines your deep knowledge of a
research area (e.g., databases). Within that specialized area,
coverage should be broad; the area should not be construed as
the thesis topic.
- The oral is not for presentation or examination of your
research plans, which are examined in the proposal defense.
- You should start preparing for the oral area qualifier as
soon as you have chosen a research area and formed your Advisory
Committees.
- The oral answers the question "is this person prepared to start
research in area X," where X is a coherent area approved by the
Advisory Committee. This area may be one of the 9 "middle digit"
areas defined by the department, but it need not be an entire area
from the list, and may bridge multiple "middle digit" areas. It
should be sufficiently coherent that it is possible to generate a
concise description of it for the oral exam form. (The form is
available from the PhD
program documents list.)
- Submit the Advisory Committee paperwork
first, to be sure your committee is approved. Then, at least
some months before the exam, you collaborate with your Advisory Committee
to develop a reading list (e.g., which might include
seminal papers from the area). This must be approved by both the
Advisory Committee and the DGS. You should take the oral exam
form, with the reading list attached,
to the DGS prior to beginning preparing for the
exam, for the DGS to approve the reading list and sign the form.
- The form of the exam can range from free-form unstructured
questions to a short presentation (summarizing the context of
the material on the reading list or responding to a few questions
provided in advance; not on intended research), followed by
general questions on any part of the material the committee finds
appropriate. You should discuss the form with the chair of
your Advisory committee, who determines the format of the exam. In
all cases, the exam emphasizes questions over presentation. The
committee may interrupt presentations with questions, and
committee members may ask you to skip over some slides.
- The purpose of the reading list is to assure coverage of the
larger concepts and issues of the area. The Committee may also ask
questions beyond the list.
- You are responsible for arrangements such as:
- Contacting all committee members well in advance of the target
exam date (often 2-3 months in advance) to find a date and time which
works for everyone. Although the exam normally lasts 2 hours or less,
you should reserve a 3-hour slot.
- Contacting the receptionist in LH215 well in advance to reserve the exam room
(usually LH215D or LH101) and a projector to use with your
laptop.
- Sending reminders to the committee about the exam, a month, a
week, a day before the exam, and on the exam day itself.
(Do not hesitate to send these; the committee will
appreciate them.)
- At the start and end of the exam, you are asked to leave
and the committee meets privately for a few minutes before the you
are asked to return.
- You should bring the Oral Exam Form (previously signed by
the DGS) to the exam, for the committee to sign after the exam. The
form, with reading list attached, is then submitted to the Graduate
Administrator.
- Other details are determined by your Advisory Committee,
and should be discussed with the committee chair.
After completing the written and oral quals, the 24 credits of core
PhD coursework, and the minor, you must file (1) the candidacy form
(if you have an internal minor, indicate it as "CSCI internal,"
followed by the area, e.g., "CSCI internal - databases"), and (2) the
form to establish your Research Committee (be sure to attach the
required 1-2 page research summary!).
See the PhD program documents list for the forms and the
PhD
program page for the requirements.
Candidacy is the transition point for switching from research in
Y790's to Y890's. You will normally register for 9 cr of Y890 each
semester until reaching 90 cr, at which time you will switch to G901
(which has much lower tuition cost). Grading for Y890 and G901 is
deferred until you have completed your dissertation. Until you finish
and a grade is recorded, your Y890/G901 grades will be recorded as "R"
(deferred).
The goals of the thesis proposal defense are for you to demonstrate
that you have a research direction likely to lead to a successful
dissertation, and for the Research Committee to identify issues and
provide guidance.
To sharpen your sense of what is expected in a dissertation,
you are encouraged to look at prior dissertations in the
department.
Content and procedures:
- You must prepare a writeup of the proposal, usually 10-15
pages, and provide it to the committee with sufficient time to go over
it before the exam (usually at least a few weeks).
- The proposal should have (1) a clear problem statement, (2) a
survey of what others have done in the area, identifying the
shortcomings of that work in addressing the problem, and (3) a
direction of research that addresses the shortcomings and is of
suitable scope for a dissertation, and (4) a proposed
timeline/workplan through the intended completion date. The timeline
can and will change, but the committee will look for an appropriate
scope (neither too large nor too small) and a realistic plan.
- The exam will normally begin with you presenting the
proposal.
- The prepared material is often about 45 minutes. At the start of
the exam, you should provide the committee with handouts of
the slides.
- The actual presentation time is likely to be extended by
questions from the committee, and committee members may ask the
you to skip over some slides.
- As for the oral qual, you are responsible for arranging the
date, time, room, and projector. You should reserve a 2-hour slot for
the proposal defense.
- As for the oral, be sure to send reminders to the committee
about the exam, a month, a
week, a day before the exam, and on the exam day itself.
- You should bring the Thesis Proposal Oral Examination form
to the exam, for the committee to sign after the exam.
- Details are determined by your Research Committee.
You are encouraged to remain in regular contact with your
Research Committee members after the proposal defense. If they are
not in regular contact in the course of their research, it is
recommended (but not required) that you schedule meetings at least
once a year for progress reports and feedback. Meeting plans should
be discussed with the Research Committee chair.
You should remain in especially close contact with the
Research Committee chair while preparing the dissertation, getting
feedback on incremental progress and asking questions whenever you are
unsure of what is expected.
In the Thesis Defense, you present a summary of the
research in the thesis and respond to questions from the Research
Committee.
Content and procedures:
- It is highly desirable for you to have
authored/co-authored a number of research publications prior to the
defense. The review process for the papers provides valuable feedback
for refining the dissertation material, and the publications provide
"outside evidence" supporting the research contribution. However, the
thesis is a unified document, not a concatenation of papers. You
should consult with the committee chair about how to integrate
the material from the papers into the dissertation.
- You must provide a draft of the thesis with sufficient
time to go over it before the exam (usually six weeks or more;
scheduling must respect committee members' time constraints). The
draft should be complete except for the acknowledgments, which are
added prior to submission to the graduate school. You should
consult with the committee chair on when the draft is ready for
distribution to the committee.
- As for the proposal defense, you are responsible for
arranging the date, time, room (in a 2-hour slot), and projector.
- The Graduate School requires that the announcement of the exam be
posted at least 30 days in advance (this a hard deadline which
cannot be waived). Be sure to provide needed information to the
Graduate Administrator well before the 30 day point. In
addition to the announcement page in the format required by the
Graduate School, you must provide a plain text electronic version to
post to students and faculty.
- As for the oral, be sure to send reminders to the committee about
the exam, a month, a week, a day before the exam, and on the exam day
itself.
- At IU, whether to open the exam to those outside the committee is
the decision of the Research Committee chair. If you wish to invite
visitors to your defense, you should discuss this in advance with the
chair. Likewise, it may be very valuable for students to attend
the defenses of their peers. If you wish to attend another student's
defense, as a courtesy, please ask the presenting student, who can
then discuss this with the committee chair to secure permission.
- Exam format:
- At the start of the exam, you are usually asked to leave while the
committee meets privately for a few minutes.
- When you return, you present your research. You
should consult with the committee chair about how long a
presentation to prepare, but the prepared material is often about 45
minutes. At the start of the exam, you should provide the
committee with handouts of the slides.
- The actual presentation time is likely to be extended by
questions from the committee, and committee members may ask you
to skip over some slides.
- If non-committee members have been allowed to attend the exam, the
committee chair may offer them an opportunity to ask questions and
then ask them to leave, for a private session with more questions from
the committee.
- You will then leave, for the committee to make its
decision on the exam outcome.
- You should bring one (1) copy of the
Acceptance
Page,
and one (1) copy of the
Abstract Page.
If you will be submitting the
dissertation electronically (which is recommended), both may be on
regular printer paper. After the exam is passed, the full committee
must sign each sheet. If the dissertation is passed contingent on
changes, the committee may wait to sign until changes are completed.
- Other exam details are determined by your Research Committee.
- See the Graduate School
Thesis Guide for preparation rules and details on Graduate School
formalities, formatting, and submission.
Note that with the electronic submission option you do not
have to provide the Graduate School with a hard copy of your
dissertation.
- In addition to the steps required by the graduate school,
the Computer Science Department requires that you submit a bound copy
of the dissertation, including a sleeve containing a Portable Document
Format (pdf) file of its contents on CD. This must be submitted to the
CS Graduate Administrator.