thesis proposal exam

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Thesis Proposal Exam

The Thesis Proposal Examination consists of the preparation of a written research proposal (15 pages maximum) and an oral presentation and defense of the same before a faculty committee. The purpose of the examination is to judge the student’s apparent ability to plan and conduct high-quality, PhD-level research in chemical engineering. The topic, magnitude and significance of the proposed research should be suitable for the ensuing doctoral program.

There are no restrictions on candidate/advisor consultations, but the extent of these interactions must be disclosed to the examining committee and the graduate office.

The examination will be taken no later than May 31 in the year after passing the Doctoral Candidacy Exam (DCE). For most students, this thesis proposal exam will be taken during their second year in the graduate program. Failure to take the thesis proposal exam in a timely fashion, absent approval of a petition to the faculty for special consideration, constitutes a lack of satisfactory progress toward the PhD degree and constitutes grounds for removal from the PhD program.

The examination date must be chosen in consultation with the candidate’s advisor and the other committee members at least three (3) weeks in advance of the proposed examination date. After scheduling the exam, the candidate informs the graduate program office by completing and submitting the  Request for Thesis Proposal Examination Form .

A one-page  Project Summary  (PDF)for the written research proposal must be submitted with the Written Proposal. The Written Proposal and Project Summary must be distributed to the Graduate Program Office and the committee members at least one week in advance of the scheduled examination date.

A reminder of the various due dates will be sent to the student and committee after the examination is scheduled.

Examining Committee

The Thesis Proposal Examination Committee consists of at least three faculty members from chemical engineering (including the proposed Dissertation Committee Chair(s) and at least one cognate faculty member from outside the Chemical Engineering Department. Most students use the Thesis Proposal Exam Committee members as their Dissertation Committee members as well.

The examination consists of the preparation of a written research proposal and an oral presentation and defense of the same before the Thesis Proposal Examination Committee. At the oral examination, the candidate will present a 20-30 minute summary of the research proposal and subsequently be asked questions on the proposal and related matters. The total time for the examination is typically 60–90 minutes. The committee may be expected to pose any question relating to the substance and background of the proposed research and the applicant’s preparation for conducting the research.

Immediately before the oral examination, the advisor shall inform the other committee members of the extent of the collaboration with the candidate and also give an impression of the candidate’s performance in research already conducted.

In evaluating the thesis proposal examination, the primary criterion will be the applicant’s apparent ability to plan and conduct high-quality, PhD-level research in chemical engineering, as measured by the scholarly and technical breadth and depth displayed in the examination.

The examining committee will rate the written proposal and oral presentation as Excellent, Very Good, Good, Fair or Poor and provide a few comments to explain the basis for the rating. A rating of Good signifies a proposal and presentation that just meets minimum standards and is the lowest possible passing score. These ratings and comments will be shared with the student and given to the graduate office.

Success on the examination fulfills one of the requirements for the PhD degree. A student who does not pass the thesis proposal exam in their first attempt may take it a second time but no later than October 15. Failing twice to pass the thesis proposal examination is considered sufficient reason to terminate the applicant’s enrollment in the Department’s Doctoral Program.

Thesis Proposal Exam Results Report

Guidelines for Preparing for the Thesis Proposal Examination

• The applicant should read the  Proposal Writer’s Guide  (Office of Research and Sponsored Projects of The University of Michigan). The discussion of the Introduction, Background and Description of Proposed Research sections will likely be the most useful.
• The  written proposal (WP)  may be organized in any form that the applicant feels is most appropriate but should include the items listed below. Some suggestions for suitable preparation for the  oral examination (OE)  are also indicated.

Introduction  (including a statement of the problem, purpose and significance of the research).

Background  (including a literature survey and a description of research already performed by the applicant).

WP:  The literature review should be selective and critical.

OE:  The applicant is expected to be intimately familiar with the relevant literature, the opinions of previous workers in the subject, and to be critical of shortcomings in earlier work.

Description of Proposed Research  (including method or approach and expected difficulties). This must constitute about 50% of the text of the written proposal. The Project Description should provide a clear statement of the work to be undertaken and must include: objectives for the period of the proposed work and expected significance; relation to the present state of knowledge in the field and to work in progress at Michigan and elsewhere. The Project Description should outline the general plan of work, including the broad design of activities to be undertaken and, where appropriate, provide a clear description of experimental methods and procedures.

WP:  A specific research program should be put forth (e.g., identify variables to be studied and their levels); the expected research program sequence; decision points expected during the course of the research; the methods of data reduction, evaluation, interpretation and presentation, etc.

OE:  The applicant is expected to display a thorough grasp of the physics, biology, chemistry, mathematics, etc., relevant to the conduct of the theoretical or experimental research program. The methods used by others or proposed to be used should be thoroughly understood.

A  timetable  for conducting and reporting the research: The timetable should be clearly based upon the scope of the work described in the description of the proposed research.

List of references . Each reference must include the names of all authors (in the same sequence in which they appear in the publication), the article and journal title, book title, volume number, page numbers and year of publication.

Curriculum Vitae .

The written research proposal must not be longer than 15 pages of text (including figures, excluding title page, list of references, and CV), of which about 50% must be the description of the proposed research.

Use one of the following typefaces: Arial, Times, Times New Roman, Palatino (if using a Mac), Courier New, Palatino Linotype, Computer Modern family of fonts at a font size of 11 points or larger. A font size of less than 11 points may be used for mathematical formulas or equations, figure, table or diagram captions and when using a Symbol font to insert Greek letters or special characters.

No more than six lines of text within a vertical space of one inch.

Margins, in all directions, must be at least an inch.

While line spacing (single-spaced, double-spaced, etc.) is at the discretion of the proposer, established page limits must be followed.

The  project summary  (pdf) is not more than one page, and it should be a self-contained description of the activity proposed. The summary should include a statement of objectives and methods to be employed. It must clearly address the intellectual merit of the proposed activity. It should be informative to other persons working in the same or related fields and, insofar as possible, understandable to a scientifically or technically literate lay reader. Potential hazards and safety precautions should be identified. The members of the proposed dissertation committee should be included on the Project Summary.

Thesis Proposal/Oral Exam

Oral examination, thesis proposal document.

Students are required to pass an oral examination to qualify for the doctoral degree. This proposal consists of a document submitted to an approved Thesis Committee at least one week prior to an oral presentation of the proposal to the Committee.

The nature of the proposal may vary, depending on the project, but it should provide motivation as well as describe and justify the envisioned approach along with summarizing progress made to date. Preliminary results supporting the proposed research are beneficial, but not required, for the Thesis Proposal/Oral Exam.

Each committee is free to choose its own criteria by which to judge the quality of thesis proposal. These criteria tend to include:

• a proposal document that conforms to the BE Handbook’s guidelines,
• a feasible research plan proposed and defended by the student that will result in a body of work that will meet the committee’s criteria for graduation, and
• scholarship in the research field demonstrating that the student is capable of executing original, informed research in that field.

Thesis Committee

The Thesis Committee must be approved prior to the scheduling of the thesis proposal/oral exam presentation. See the Thesis Committee page for more information on assembling a committee.

The Thesis Proposal/Oral Exam must take place by December 1 of the 3rd year, with the specific date scheduled before the beginning of the Fall Semester of the third year.

If the student and advisor are convinced that a delay would serve the student’s interests better, they must petition the Graduate Committee by August 1st of the summer following the 2nd year with their reasoning along with their commitment for a target date; the Graduate Committee will approve or deny the petition request. Failure to complete the Thesis Proposal/Oral Exam according to this policy will constitute unsatisfactory progress with respect to subsequent enrollment and funding support. Under these circumstances the student will not be able to register for the spring semester of their 3rd year.

Registration

The student should be sure to register for  Thesis Proposal (20.951)  for 0-24-0 credit units during the term in which the Proposal is defended.

The formal presentation of the Thesis Proposal will serve as the Oral Examination. The purpose of the Oral Exam is to test the student’s ability to explain their thesis project, defend their scientific rationale, and propose alternate approaches, as necessary. BE’s oral examination is focused on subject matter in the proposal and related to the proposal. It is not intended as a general examination on biology.

Format of the exam

The student should prepare a 30-minute presentation based on the research plan outlined in the Thesis Proposal Document . The Thesis Committee members will have read and thought about the Thesis Proposal Document ahead of time. Given that the meeting lasts up to 2 hours, there will be ample time for questions/discussion during your presentation. If questions arise about the format or style of the presentation, the student should contact the Thesis Committee Chair.

The student is responsible for arranging the Thesis Proposal/Oral Exam meeting with the Thesis Committee Members. Students should plan for the meeting to take 2 hours. Generally, this meeting should be scheduled at least two months in advance because it may be difficult to find a mutually agreeable time for all involved. Students are also responsible for reserving the location; they may contact the BE Academic Office for help reserving a room. Once this meeting has been scheduled, the Thesis Committee members and the Academic Office must be notified by e-mail about the day, time, and location of the presentation.

The student should hand out printouts of their presentation slides to the Thesis Committee Members on the day of the meeting.

Evaluation Form

The day of the presentation, the student should provide the Committee Chair with an “ Oral Examination for the Doctoral Degree [pdf] ” form. The Committee Chair must complete this form to confirm the outcome of a Thesis Proposal/Oral Exam Presentation. The completed form should be submitted along with any comments or recommendations made by the Thesis Committee to the Academic Office. From there, copies will be distributed to the student, the advisor, and the Committee Chair.

If the proposal as presented is acceptable, a Pass grade will be recorded for 20.951, the student changes status from a graduate student to a PhD candidate, and the student is expected to begin a schedule of regular meetings with their thesis committee.

If the proposal requires changes or improvements to be considered acceptable, a Pass grade will be recorded and the student will advance to PhD candidacy but the student will be expected to improve the proposal according to the committee’s specifications before their next meeting.

If the proposal is unacceptable, the student will not be admitted to PhD candidacy. The student may either leave the program or complete a Master’s thesis . A student that completes a Master’s may apply for reinstatement into the PhD program or graduate with a Master’s degree.

At least one week prior to the Thesis Proposal presentation, the student should deliver a copy of the Thesis Proposal Document to each of the Oral Exam Committee Members and to the BE Academic Office. A signature from the Academic Office is required to confirm that the proposal adheres to the format described below.

Students who would like assistance in improving their writing skills or in any stage of writing a thesis proposal should contact the BE Communication Lab or the MIT Writing and Communications Center .

Thesis Proposal Guidelines

Title Page (One page) Include the title, the date, your name and signature, the advisor’s name and signature, and the notation “Thesis Proposal”.

Abstract (Less than 300 words on One page)  State the significance of the proposed research. Include long-term objectives and specific aims. Describe concisely the research design and methods for achieving these objectives. Highlight the specific hypotheses to be tested, goals to be reached, or technology to be developed, which are intended to be your original contributions. Avoid summaries of past accomplishments.

Overall & Objective Specific Aims (One page Maximum)  Articulate the overall objective of your thesis project, and outline a set of specific aims by which your work is intended to accomplish this objective. Be sure to clearly state the hypotheses to be tested, goals to be reached, or technology to be developed.

Background & Significance (Three to Five pages)  Sketch the background leading to the present research, critically evaluate existing knowledge, and specifically identify the gaps that your research is intended to fill. State concisely the importance of the research described in this proposal by relating the specific aims to the broad, long-term objectives.

Research Design & Methods (Six to Eight pages)  Along with the Objective & Aims section, this is the most important part of the proposal. The majority of your time should be spent making this part of your proposal strong, direct, and completely clear. Describe the research design and the procedures to be used to accomplish the specific aims of the project; it is generally most effective to do this according to the same outline as in the Objective & Aims section. Include how the data will be collected, analyzed, and interpreted. Describe any new methodology and its advantage over existing methodologies. Discuss the potential difficulties and limitations of the proposed procedures and alternative approaches to achieve the aims. As part of this section, provide a tentative timetable for the project. Point out any procedures, situations or materials that may be hazardous and the precautions to be exercised.

Preliminary Studies (Three to Four pages)  This section may alternatively be located before the Research Design & Methods section) Use this section to provide an account of your preliminary studies that are pertinent to your research project and that support your specific aims. Note: it is not necessary to have obtained a substantial amount of preliminary data in order to submit or defend the proposal, although it will be expected that you have begun to undertake some of the key methods to assess their feasibility.

Literature Cited (No page limits)  List all references. Each reference must include the title, names of authors, book or journal, volume number, starting and ending page numbers, and year of publication. References should be limited to relevant literature. References are not included in the page limits. However, only references pertinent to the proposed research should be included.

Appendix (No page limits)  Copies of published or submitted articles pertinent to the proposed research for which you are an author may be included. Such publications are neither expected nor required at the time of Thesis Proposal presentation.

Format and Page Limitations 

Proposals must be single spaced using 12 pt font and 1 inch margins. Figures may be embedded into the text, but they must be readable. The font within figures must be at least 9 point and the figure captions must be at least 10 point.

• Devote one page each for the title page, abstract and specific aims.
• Use between 13–17 pages for the remaining sections (Background & Significance, Preliminary Results, and Research Design & Methods). Note that although the maximum recommended page limits for these sections add up to a total of 17 pages, you are expected to expand and contract these sections as you see fit so that the total is no more than 17 pages.
• Page limits include both text and figures. References are not included in the page limits.
• The total length of the document should not exceed 20 pages (including 3 pages for the title page, abstract and specific aims; not including references or appendices).

Preliminary exam guidelines

PURPOSE : The purpose of the preliminary examination is to determine if a student is adequately prepared to pursue doctoral research under the direction of a dissertation committee. The examination includes: 1) an evaluation of the student’s academic preparation, 2) an evaluation of a detailed dissertation proposal, and 3) an oral examination. In order to advance to Candidacy, the student must demonstrate the following:

• 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.

1. 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.

2. EXAMINATION PROCESS, EVALUATION AND OUTCOMES: The examination process involves the following steps:

• 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.

1. 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.

2. TIME LIMIT:  To remain in the PhD program, a student must take the preliminary examination within three terms of completing the qualifying process.

3. SUBMITTING THE DISSERTATION RESEARCH PROPOSAL AND OTHER REQUIRED STATEMENTS:  At least two weeks prior to the preliminary examination, the student must submit the following items to the preliminary examination committee and the Graduate Program Office:

• 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)

It is expected that the student will work closely with their advisor and committee members in developing the proposal and accompanying statements.

4. GUIDELINES FOR RACKHAM INTERDISCIPLINARY STUDENT-INITIATED JOINT PHD STUDENTS The following guidelines apply only to those students who:

• 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.

Students in Rackham joint degree programs satisfy the following requirements for the IOE preliminary exam:

• 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.

Where do I begin? Navigating the Thesis Proposal Process

Introduction.

The thesis proposal is a challenging task to complete itself and does NOT need to be any harder. In this article, we outline the steps needed to complete the thesis proposal, some common challenges graduate students face, and resources to help you navigate them. If you have specific interest in the written thesis proposal, we encourage you to check out our guide on the thesis proposal document . If you want to learn more about the oral component of thesis proposal, check our guide to the oral component .

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Planning Your Thesis Proposal

Timeline. The following timeline should give you a general sense of when you need to complete each step in the process. Make regular appointments with Comm Fellows to keep yourself accountable to internal deadlines you set for yourself!

Choosing your committee. Your thesis committee serves as subject matter experts and technical consultants to your research project. Therefore, you want to choose faculty members whose expertise is closely related to your research project and who you are comfortable going to for advice, feedback, and consultation. Aside from your thesis proposal and thesis committee meetings, you are encouraged to have frequent one-on-one interactions with committee members to discuss technical aspects of your project. In addition, your committee members will potentially serve as recommendation writers for your career beyond your PhD.

You should work with your advisor to carefully select committee members who fit these characteristics and will best help you achieve success in your PhD. In doing so, consider the following requirements from the graduate student handbook:

“The Thesis Committee must have two or more members in addition to the research advisor(s). At least two members of the Thesis Committee must be faculty members in Chemical Engineering. At least one committee member must be a Chemical Engineering faculty member who is not the research advisor. The research advisor will serve as the Thesis Committee Chairperson. For students in the PPSM program, the research advisor need not be a Chemical Engineering faculty member, but must be a PPSM faculty or affiliate. For students in the CSE PhD program, the Thesis Committee must contain a member of the Center for Computational Engineering (CCE).”

Scheduling your proposal. Once you have identified committee members, you should personally invite them to be part of your thesis committee. If they accept, you can immediately start planning a date for your oral presentation, which will dictate your individual timeline. Consult with your advisor (or their administrative assistant) to identify a series of potential dates and times, and relay these to your committee members (and their administrative assistants). Once you establish a date and time, you should immediately reserve a conference room – your group’s administrative assistant can help with this. Consider resources you will need when presenting, such as whiteboards/chalkboards, projectors, and ample seating.

Typically, in the fall, thesis proposals will be anywhere from late October to mid-December, depending on your committee’s availability. When scheduling, keep in mind major conferences in your field that may restrict availability, such as AIChE, BMES, etc.

Advisor input

Advisor input on your thesis proposal varies widely across the department and there are no uniform guidelines. Some advisors will treat this as an exam and provide little to no support while others will be with you every step of the way. Discuss with your advisor how much input/feedback you can expect and what their expectations are for your proposal before you begin the process.

Identify the idea of your proposal

Interact with your advisor and peers to evolve your idea. Interesting ideas usually arise from interpersonal interactions, where multiple parties sharing different perspectives all contribute to the ideation process. If you are unsure what topic is appropriate for your thesis proposal, you can seek suggestions from your advisor. Summarize the data you have so far (it can be your preliminary data, data that others in your lab have collected, or literature data), give some thoughts on your own ideas for your thesis proposal, and ask your advisor for feedback. If you don’t have an idea in mind, be honest with your advisor and ask for your advisor’s opinions. Apart from your advisor, who might be too busy to give you timely feedback, you could also seek suggestions from your lab mates. They are the ones who have recently gone through their own thesis proposal, and they may have invaluable insights for you to learn!

Create a bulleted list of your project’s vision and impact. When you have a clearer understanding of your project, a good way to organize your thoughts is to write, item-by-item, a list of your project’s vision and impact. This list could serve as a reference when you are writing them in a coherent way.

List out a set of aims to solidify your idea. Once you have a clearer idea in mind, the next step is to list out a set of aims to solidify your idea. These aims should provide achievable steps that allow you to approach your thesis. Again, consult your advisor or your lab mates to see if they agree with your plan, or they can suggest other alternatives for you to consider.

Understand your Committee

Your thesis committee members are your only audience. This is a unique situation, because you know who your audience is and their technical background. While this defined audience and scope is different from what you typically experience, you could use this to your advantage to effectively motivate them.

Learn your committee’s background. One of the important steps to motivate your audience is to learn their background. Once you are aware of who will be on your committee, you can tailor the amount of background and technical content directly to your audience. Consider what your committee members already know as experts in their specific field. Provide enough detail that all committee members will be able to understand your proposal. Consult with other students in your group or in classes above you who have had overlapping thesis committees to get a sense of the background and technical detail required for each committee member.

Your committee should be your ally! Consider your committee members as your allies who are trying to help you to navigate the field that you will be exploring. They want to learn your critical thoughts on a scientifically challenging problem, because that is what is going to help you grow to become an independent researcher. To cultivate this independence, you can provide your problem with a scope and show what you are feasibly planning to accomplish.

Tips for preparing your thesis proposal

Seek help regardless of where you are in the process. Not only ideation, but also the rest of the process, needs participation and help from others. It is through interacting with others that we gain insight from our practice and grow as a researcher. Talk to your advisor, lab mates, friends, and Comm Fellows and ask for help! This shouldn’t be a lonely process . Comm Fellows are often the most available and accessible resource for you to discuss about the content and structure of your thesis proposal. We provide a safe space for you to share concerns about your work. You can sign up for an appointment at any point in the process. Book an Appointment here .

Begin with the end in mind. You will need a plan to carry out your thesis proposal, as this is typically a weeks-long project to complete. Reverse plan from the day you will finish your thesis proposal presentation, to the day you need to submit a copy of your written thesis proposal, and eventually to the day that you need to start. Lay out what needs to be finished and when it needs to be completed, which will allow you to keep yourself accountable. Allow for some flexibility in your plan so you can adapt to the roadblocks and new challenges that arise along the way.

Focus on the now and your plans. Sometimes, worries about limited data and past challenges can be overwhelming and distract you from preparing your proposal. In addition, you may feel stressed leading up to the day when you hand in or present your proposal. It is perfectly human to have concerns about the past and future, everyone experiences them to some degree. What you have control of is the present and your plans for future events. Focusing on these tangible aspects will give you a much better sense of control and reduce your worries.

If you are concerned that your committee might ask about your past work, you can prepare a response to their inquiry, and ask your advisor or your lab mates for feedback. If you think that the state of your research is unclear to the point that you don’t feel comfortable presenting it, then you could consider moving your proposal timeline to a later time. If you decide to do this, make sure to consult with your advisor and propose a timeline to verify that you are on track.

Start small and start often. Instead of trying to tackle the entire document at once, which often will lead to anxiety, burnout, and frustration, see if you can break it down into manageable steps. Often, we fall into the trap of worrying about the completion of the document, despite the worries themselves not helping us in anyway. Gently remind yourself to focus on starting instead of finishing, because that is what you can choose to act on. Starting small will give you confidence and starting often (for even half an hour) will lessen your workload.

Be patient with yourself. Everyone’s thesis proposal has some challenge – it is universal and unavoidable. Being aware that the process is nonlinear for everyone and expecting setbacks when you start can help you respond more efficiently when difficulties occur. Be kind and patient towards yourself, because you need them to take care of yourself. Ask yourself: What can I do now to make myself comfortable when working on my proposal?

Use tools to manage your reference. As the number of references you are reading and citing during your preparation stage becomes larger, it is easier to organize them using a dedicated citation management software (e.g., Zotero, Mendeley, Endnote). A citation management software not only does a good job in bookkeeping, it also can help you to track your own ideas that stemmed from the literature. Since you will be likely to co-write and edit manuscripts with your lab mates, you can use the same citation management software as your lab. Plan ahead some time to install the software and become familiar with how to use it – it might take more time to learn than you think.

Grad Policies: Qualifying Examination and Thesis Proposal

In this page.

• Eligibility

Thesis Proposal Defense

• Application and Scheduling

Meeting with the Qual Chair

• Tips and Suggestions for Quals

The Qualifying Examination (Qual) is an important checkpoint meant to show that you are on a promising research track for the Ph.D. It is a University examination, administered by the Graduate Council, with the specific purpose of demonstrating that students are “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.

The EE Division has recently restructured the Qualifying Exam process in order to help students through the Ph.D. in a timeframe closer to that expected by the University, and to ensure that students get feedback from a group of faculty earlier in their research, when it can have the most impact on the direction of their work.

In the past, the Qualifying Exam in EECS doubled as a Thesis Proposal. Under the new system, students, in consultation with their advisors, are given the option of taking a single exam (Format B) as before, or splitting the process in two (Format A): a research area summary as a Qualifying Exam, followed (typically semesters later) by a Thesis Proposal.

The intent of the current Qual system is that very few students should fail; with proper preparation, the examination should not be overly stressful. Rather, it is an opportunity for you to get feedback and constructive criticism on your research ideas from four professors at a time when such criticism can potentially help your research. 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.

Qual Deadlines

For EE students entering Fall 2003 or later, the  Qualifying Examination must be taken within 6 semesters of starting the program,  and if the Qual is not a Thesis Proposal, then a satisfactory Thesis Proposal should be presented by the end of 10 semesters. CS students usually take the Format B (see below) Qual by the end of their fourth year; you should consult with your research advisor. In some cases, it may be necessary to delay these deadlines depending on the format of the exam (please see the Qual Format section for more details). Significant delays, however, will be brought to the attention of the research advisor and to the faculty at large at the EE and CS Student Review meetings. The exam is meant to demonstrate readiness to do research; it is not intended as a defense of an all-but-completed dissertation. An inability to successfully pass or take the Qualifying Exam may result in probationary status, and eventual ineligibility to complete the Ph.D. program.

Qual Eligibility

Since the Qualifying Exam is a University requirement, it can be taken only with the approval of, and at a time approved by, the Graduate Division. Eligibility requirements for taking the exam are as follows:

• You must be registered for the semester in which the exam is taken (an exam may be taken during the summer or winter break if the student paid fees for the semester immediately preceding the exam or intends to pay fees for the semester immediately following the exam).
• You must have completed at least one semester of academic residence at Berkeley.
• You must have passed the Preliminary oral exam and met the breadth course requirements.
• You must have a GPA of at least 3.5 in your major subject area, at least 3.0 in each of your minor areas (298 and 299 not included), and have no more than 2 “Incomplete”. grades.

Qual Committee

In consultation with your research advisor, you should choose an appropriate examination committee. Your committee must consist of 4 members, all regular faculty members at Berkeley. Your advisor or co-advisors are usually members of the committee, but cannot be the chair. Another committee member must be from outside the EECS Department, representing some area of expertise relevant to your research area, and usually from one of the areas declared as the outside minor in your Ph.D. program. All members of the Quals Committee must be able to examine the student on at least one of the 3 subjects of the examination. The outside minor need not be one of the 3 subject areas.

Qual Format

Format for Students Who Began the Program Fall 2003 or Later

Qual may be in format A or B below, at the choice of the examinee, after consultation with his/her advisor.

• Prepare a write-up and presentation summarizing a specific research area, preferably the one in which you intend to do your dissertation work. Your summary should survey that area and describe open and interesting research problems.
• Describe why you chose these problems and indicate what direction your research may take in the future.
• Prepare to display expertise on both the topic presented and on any related material that the committee thinks is relevant.
• You should talk (at least briefly) about any research progress to date (e.g. M.S. project, Ph.D. research, class project etc.). Some evidence of your ability to do research is expected.
• The committee will evaluate you on the basis of your comprehension of the fundamental facts and principles that apply within your research area, and your ability to think incisively and critically about the theoretical and practical aspects of this field.
• You must demonstrate sufficient command of the content and the ability to design and produce an acceptable dissertation.

This option includes the presentation and defense of a thesis proposal in addition to the requirements of option A.  This will include a summary of research to date and plans for future work (or at least the next stage thereof). The committee shall not only evaluate the student’s thesis proposal and his/her progress to date, but shall also evaluate according to option A. As in option A, the student should prepare a single document and presentation, but in this case additional emphasis must be placed on research completed to date and plans for the remainder of the dissertation research.

Students not presenting a satisfactory thesis proposal defense, either because they took option A for the Qual, or because the material presented in an option B exam was not deemed a satisfactory proposal defense (although it may have sufficed to pass the Qual), must write up and present a thesis proposal which should include a summary of the research to date and plans for the remainder of the dissertation research. They should be prepared to discuss background and related areas, but the focus of the proposal should be on the progress made so far, and detailed plans for completing the thesis. The standard for continuing on with Ph.D. research is that the proposal has sufficient merit to lead to a satisfactory Ph.D. dissertation. Another purpose of this presentation is to provide feedback on the quality of work to date. For this step, the committee should consist of at least 3 members from EECS familiar with the research area, preferably including those on the dissertation committee.The Departmental Thesis Proposal Application can be found online. This form should be submitted to the Staff Graduate Advisor before your Thesis Proposal Defense.

Qual Application & Scheduling

On the Graduate Division Qualifying Exam Application and the Departmental Qualifying Exam Application , indicate the names of the proposed examination committee members, as well as the date, time, and location of the examination. (It is your responsibility to find a date and time when all the members of your exam committee are available.) The applications must be approved by your advisor and submitted to the EECS Graduate Office   at least one month before  the proposed date of the exam. Once again, EE students should take the exam before the end of the 6th semester of graduate study. Failure to do so may result in probationary status, and eventual ineligibility to complete the Ph.D. program.

The Vice Chair reviews and signs the applications which will then be sent to Graduate Division. Graduate Division then officially appoints the exam committee and approves your admission to the exam. Students must not take the Qual exam without prior receipt of an approval notice from Graduate Division. One week before the exam date, the Graduate Office sends a reminder about the exam to each member of the committee, so be sure to keep your Staff Graduate Advisor updated about any change of time, location, etc.

If a student wishes to change the membership of the exam committee after the application has been approved by Graduate Division, the committee must be “reconstituted” by petition. The petition, signed by your advisor, must be submitted to the EECS Graduate Office for department approval and forwarding to Graduate Division. Fill out a Request for Change in Higher Degree Committee petition form and take it to your staff Graduate Advisor for processing.

Since research areas differ, the format of the exam may vary somewhat.  It is most important to meet with the Chair of your examination committee well in advance of the exam to be sure you share common understanding of the structure and format.  You will prepare a written research proposal or short summary of your research area according to your exam chair’s direction. Distribute the proposal to the committee in advance of the exam. In some cases, the committee may request a 2nd proposal. Occasionally, one or more of the committee members may give some feedback prior to the exam, but the aim of the written proposal/summary is to provide appropriate background so that the discussion during the exam can move more quickly.

Qual Structure

The exam begins with a formal presentation of a summary of your research area or a research proposal, typically following the write-up submitted to your committee in advance of the exam. In planning the length of the presentation, you should think in terms of giving 45 minute seminar if there were no interruptions.

The committee will listen, interrupt, and ask questions. It is almost certain that not all committee members will be expert in all aspects of your research area, so you should give clear definitions and explanations, and be prepared to answer questions of a fundamental nature. Graduate Division instructs outside examiners that their responsibilities include ensuring “that the student’s mastery of the subject matter is both broad and comprehensive.”

As the exam develops, the questions may range further from the specific topic of research, especially if the questions posed by the research do not appear to be interesting and challenging or if there appear to be gaps or misconceptions in your understanding of the issues. Any and all questions which address the fundamental purpose of the exam should be expected.

Normally, at the conclusion of the exam you will be asked to leave the room while the committee discusses the result of the exam. You will be invited back once the committee has reached an agreement.

Tips and Suggestions for Qualifying Exams

The following tips on preparing for your Qual are taken from the Graduate Division’s 1986 publication, The Graduate:

Studying for the Qualifying Exam

• Find out about the format of the exam .   Talk to students who have recently passed their exams, especially students with whom you have committee members in common. Ask about the format of their exams. Did the exam begin with a short summary of the student’s academic career by either the chairperson or the candidate? If your department includes a talk as part of the exam, how long was it? Did the faculty members interrupt the talk with questions?
• Talk to your committee.   Many students neglect this all-important resource, even though much of the intimidating mystery of the exam lies in what the faculty members will ask. Don’t fly blind. Find out what you’ll need to know for the exam. A suggestion: Prepare a brief outline of what you know about your 3 areas and take this with you when you talk to your committee members. Ask them what else you need to know. This outline will help you to organize your studying, and you can plug facts into this framework to illustrate your ideas. If the outline approach isn’t appropriate, present a bibliography for a particular area to your committee and ask what other sources you should study. Ask which publications the professor would read to review a certain area quickly and effectively.
• Synthesize, not memorize.   As you study, keep in mind that part of your task during the qualifying exam is to be convincing, as well as accurate, in your arguments. Professors want to see how you’ve organized your knowledge and how you can use facts to bolster your arguments. Many questions will have no “right” answer; intelligent, informed conjecture is acceptable in many cases.
• Begin studying early enough to permit rehearsal time.   Be sure to give yourself time to practice. Most students report that practicing for the exam was extremely helpful. Besides giving you a chance to review what you know about the subject matter, a mock exam gives you the experience of answering questions before a group and makes you more confident in that setting. Often major advisors, as well as other students and postdocs are glad to give you a mock exam. If an oral presentation will be part of your exam, practice it several times. Use a blackboard if you plan to use it during the actual exam.
• Prepare for the occasional mistake.   Imagining a perfect exam in which you know every answer and are consistently brilliant for 2 or 3 hours simply is not realistic. Instead, rehearse saying that you don’t know and plan what you will say in case you draw a blank. You can gain time, for example, by saying, “Let me take some time to consider that question.” Your committee will understand and wait for you to recover.
• Organize a mock examination administered by your fellow students.

During the Exams

• If you are nervous, say so.   Keep in mind that the committee members are instructed by the Graduate Division to “try to humanize an inherently difficult examination” and that the chair should “do all in his/her power to put the student at ease.” It’s perfectly fine to say, “I’m a little nervous right now; I’ll have to get myself organized.” And it will give you time to think.
• Take control of your exam as much as possible.   If you’ve talked to your committee and other students, you should have a good idea of what to expect. In some cases, you may be asked your preference about the order of topics. If you have prepared answers to questions you are fairly certain you will be asked, you will have well-organized responses with no unfortunate tangents that may lead to questions you can’t answer.
• Take your time in answering questions.   Listen to the questions and give yourself time to think about them. Although the silence can be unnerving while you think about an answer, rushing in with a disorganized response is worse.
• If you can’t answer a question, say so.   Don’t pretend that you know the answer. Going off on a tangent is a transparent attempt to avoid the question. Most committees will simply re-state the question. Say you don’t know.
• If you can’t answer a question or feel you have given a poor or incorrect answer, don’t dwell on it.   Remember that no one expects you to know all the answers. Most likely, the very people who are examining you didn’t know all the answers on their qualifying exams. (Twenty years later, one Berkeley professor remembers the exact wording of a question he couldn’t answer on his exam. ) Instead of worrying about a wrong answer, concentrate on the next question, the one you will field with confidence.

Antidotes to Anxiety

• If you’re worried about failing the exam, fortify yourself with the knowledge that your chances of passing are excellent. Since 1975, only 6 percent of Berkeley students have failed their 1st qualifying exam.
• Recognize that your committee wants you to pass. These faculty members have a great interest in seeing you do well. They selected you for graduate study and trained you in courses. Most students report that their committee members were very cordial and gave them every opportunity to show what they knew during the exam. Often committee members would re-state questions of other committee members so that students would understand.
• Finally, believe it or not, 83% of Berkeley doctoral candidates consider the qualifying exam to be a beneficial experience, according to the Graduate Division exit questionnaire. It is a rite of passage that can build your confidence and affirm your readiness to take the next step in becoming a scholar.

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Ph.D. Student Handbook

Advancing to ph.d. candidacy:  submission and defense of the dissertation proposal.

To be eligible to defend your proposal and advance to candidacy, a student must have passed the Qualifications Evaluation and be in good academic standing. All Ph.D. students should defend their dissertation proposal by the end of the fall semester of their third year of graduate studies.

Step 1: Getting Started - Registration for Your Dissertation Proposal Defense

Access the Dissertation Registration web form here .

Before the third year, each student and advisor should identify a dissertation research topic, select potential committee members, and develop a timeline to defend their dissertation proposal by the end of the fall semester of their third year of study. All students must formally register for the Dissertation Proposal  ( access registration form here ) by the end of the fifth semester of graduate study. If the student took a leave of absence during his/her studies, or believes he/she may have other extenuating circumstances, contact the Graduate Group Chair so that a timeline to defend the proposal can be determined based on individual circumstances.

Step 2: Registration Review - Committee Approval and Appointment of Chair

The Graduate Group Chair will review the topic, committee members and timeline proposed on the registration form. After reviewing your registration and committee recommendations, you will receive an email confirmation and approval of your registration. Changes or additions to the committee require approval of the Graduate Group Chair.

Download the Guidelines for Selecting Your Committee.

Step 3: Write your proposal - and have your advisor read, edit and approve it.

The advisor must approve the dissertation proposal before it can be distributed to the committee. The dissertation proposal is based on the NIH application format, and should have the following sections: Cover page including title, student and advisor name and contact information, Table of Contents, Abstract (<1 page), Specific Aims (1 page) and Research Strategy (6-12 pages). There is a 13-page limit, single-spaced with minimum font size of 11, excluding the Cover Page, Table of Contents, Abstract and References. The Specific Aims section states the specific objectives of the research proposed (e.g., to test a stated hypothesis, create a novel design, solve a specific problem, challenge an existing paradigm or clinical practice, address a critical barrier to progress in the field, or develop new technology). The Research Strategy section includes subsections: Significance (e.g. importance of the problem and how project will improve scientific knowledge, technical capability), Innovation (e.g. methods, instrumentation, theories, etc.), and Approach (overall strategy, methods and analyses, as well as preliminary data, potential problems and alternative strategies). This format emphasizes scientific and technical merit of the proposed studies, with less emphasis on preliminary data.

Step 4: Schedule the Proposal Defense Date/Location

Concurrent with the final stages of writing, the student should schedule a date for the proposal defense allowing a minimum of two weeks for the proposal to be reviewed by the committee. The student should copy his/her advisor on all correspondence with committee members. To facilitate rapid convergence on convenient meeting time and dates, students should find 5-7 dates/times that work for the student and advisor, and use meeting planner websites (e.g. www.doodle.com or when2meet.com) to help schedule the meeting. If the student has continued difficulty scheduling due to an unresponsive committee member, he/she should inform the advisor for help. If the member is non-responsive for more than a week, do not hesitate to contact the Graduate Program Coordinator or Graduate Group Chair to expedite the scheduling of the oral exam.

When the student has finalized a date, he/she must inform the Graduate Program Coordinator. Meeting rooms can be reserved through the SEAS Room Reservation Request Form found on-line: https://www.seas.upenn.edu/about-seas/room-reservation/  The student should send an email to all committee members with confirmation of the date and meeting place. The student will send a reminder to all committee members of the time and location one week before the meeting. The Graduate Group Chair and Graduate Program Coordinator should be copied on the reminder, which can be distributed by e-mail.

If there is a need to change the meeting time of the presentation the student must confirm these changes with committee members and make sure that everyone is agreeable to the change. The student must also inform the Graduate Program Coordinator and the Graduate Group Chair of any changes that are made.

Step 5: The Dissertation Proposal Defense

The Oral Presentation period of the dissertation defense should last approximately 45 minutes and will be followed by a question-answer period of similar length. Adjustments may be made with regard to the length of the presentation and subsequent discussion based on committee discretion, but the student should tailor his/her presentation roughly to these guidelines. The conference room should be reserved for two and a half hours to also allow the committee time for evaluation and discussion. The committee chair will report the recommendations to the Graduate Group Chair  through the form below: Acceptance of Proposal Form

It is imperative that all committee members be present at the oral presentation. If a member of the committee is unable to attend, the student must obtain approval of the committee chair and Graduate Group Chair to go on with the proposal. In this case, the absent member will be required to send comments to the Committee Chair two days prior to the presentation. At the Committee Chair’s discretion, these comments or questions may be used to test the candidate’s knowledge of the subject area.

The dissertation advisor is an ex-officio member of the committee and should always be present at the examination and at all meetings of the committee. However, the advisor must allow the student to demonstrate his/her knowledge and command of the subject on his/her own and will be recognized by the committee chair only to clarify issues when requested by a committee member.

Step 6: Feedback from the Dissertation Proposal Defense

The student will be informed orally on the outcome of the dissertation proposal defense following the examination.  Confirmation of the outcome should be submitted by the Committee Chair through the Acceptance of Proposal Form.

The committee may request revisions to the proposal, accept it as is, or very rarely, suggest a retake or fail the student. The dissertation committee must accept the proposal before the student advances to Candidacy.

NOTE: Students who have not defended their dissertation proposal and advanced to candidcay by the end of the Fall semester of their 3rd year of graduate studies must petition to the Graduate Group Chair for an extension. The petition should explain why a proposal was not submitted and provide a schedule for submission. The University regulations state that the maximum time limit for a student to “Advance to Candidacy” is five years, after which time the student will be dropped from the rolls. Dissertation proposals must be defended and approved at least 12 months before the Doctoral Dissertation is submitted. The Graduate Group Chair will not accept a Doctoral Dissertation before this period has passed.

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