D. 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. See the complete policy on doctoral committees. This chart provides an overview of committee structure and rules. For complete information and further details, see the relevant sections below.

Overview

1. Qualifying Examination and Qualifying Examination Committee:
   The Graduate College does not require qualifying examinations, but departments may. Qualifying exams, usually given at the end of Stage I of the doctoral work (see chapter VI.C), evaluate the student's knowledge in the field and preparation for the doctoral program. The format of these examinations may be written, oral, or both, as determined by the program. The program must clearly communicate information about the format and rules (i.e. closed-book) to all students in advance. Departments may internally appoint committees to conduct these examinations.
   
   
2. Preliminary Examination and Preliminary Examination Committee:
   The preliminary examination is required for completion of Stage II of graduate study. Preliminary examinations may be oral or written or both, depending on the unit's policy, and generally evaluate the student's overall and specific knowledge in the field. Preliminary examinations also usually include an oral presentation to review the feasibility and appropriateness of a student's dissertation research proposal. The doctoral degree program prescribes the scope, format and procedures associated with the examination. The program must clearly communicate information about the format and rules (i.e. closed-book) to all students in advance.

   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. 

   • 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.
   • The Policy on Graduate Faculty Membership allows the tenure requirement to be met by term members of the Graduate Faculty who retired or resigned with tenure for a period of five years following the resignation or retirement, if requested by the unit executive officer.
   • Non-voting members may be appointed but are rare on preliminary examination committees.
   • The process for selection of committee chairs varies by unit.

   The student and committee chair must be physically present for any oral presentation (e.g. presence by teleconference is not acceptable). Ideally all committee members should be present. In exceptional circumstances, the Graduate College allows 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.

   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 option 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 Study Abroad, Graduation and Graduate Support unit of the Office of the Registrar as soon as possible at the conclusion of the exam. If this office is not informed of the result of the preliminary examination within six months after the scheduled examination date, the committee is considered dissolved. If the examination took place, but the committee failed to submit the results within six months, a petition must be submitted to the Graduate College requesting that the result be accepted from the committee after the 6-month deadline (see, www.grad.illinois.edu/PetitionInstructions). If the examination did not take place within six months of the scheduled date, then a new committee must be appointed before the examination occurs. The newly appointed committee may, but does not have to, consist of the same members as the dissolved committee.

    

3. Dissertation Committee:
   The dissertation committee does not need to be formally appointed or approved. The purpose of this committee is to advise the student with dissertation research and effectively monitor the student's progress, often before the student is ready to form the final examination committee. The Graduate College encourages formation of a dissertation committee as early as possible after the successful completion of the preliminary examination. 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.
   
   
4. Final Examination and Final Examination Committee:
   The final examination committee is appointed by the dean of the Graduate College, upon recommendation of the unit executive officer. The student's dissertation adviser (or director of research) need not be the chair of the committee. 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 Study Abroad, Graduation and Graduate Support unit of the Office of the Registrar. 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.

   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. These procedures and requirements must be clearly communicated to all students in advance of the exam.

   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.

   • Individuals who are not members of the Graduate Faculty who would like to 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.
   • The tenure requirement can be met by term members of the Graduate Faculty who retired or resigned with tenure for a period of five years following their resignation or retirement, if requested by the unit executive officer.
   • 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 of academic guidance in the dissertation process.

   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.

   Note: 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 Time Limits in chapter VI.E for details).

   The committee chair and the defending student must be physically present at the final examination (e.g. presence by teleconference is not acceptable). Ideally, 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.

   As a crucial milestone in a student’s doctoral experience at Illinois as well as a significant event within the campus scholarly community, the final examination should take place on campus. Final examinations are oral and open to the public.

   Decisions of the committee for final examinations must be unanimous and are recorded on the Certificate of Result. The committee may make one of four decisions:

   • pass the candidate with no revisions required,
   • pass the candidate pending revision of the dissertation; the candidate will receive the signed Certificate of Committee Approval when the prescribed revisions have been completed,
   • defer the decision; this option 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.
    

5. Certificate of Result:
   The Certificate of Result verifies that the student has completed the final examination, regardless of the outcome. Original signatures are required on the Certificate of Result; signatories must sign for themselves.  Only the voting members of the final examination committee sign the Certificate of Result.

   The result of the examination is communicated to the student and to the Study Abroad, Graduation and Graduate Support unit of the Office of the Registrar as soon as possible at the conclusion of the exam. If this office is not informed of the result of the final examination within six months after the scheduled examination date, the committee is considered dissolved. If the examination took place, but the committee failed to submit the results within six months, a petition must be submitted to the Graduate College requesting that the result be accepted from the committee after the 6-month deadline (see, www.grad.illinois.edu/PetitionInstructions). If the examination did not take place within six months of the scheduled examination date, then a new committee must be appointed before the examination occurs. The newly appointed committee may, but does not have to, consist of the same members as the dissolved committee.

    

6. Certificate of Committee Approval:
   All voting members of a doctoral student’s final examination committee are required to sign the Certificate of Committee Approval (CCA); signatories must sign for themselves. Non-voting committee members are not required to sign, but may do so. Department heads are also required to sign the Certificate of Committee Approval. Persons authorized by the department to sign CCAs (as recorded on the Authorized Signatures Form filed with the Graduate College) may sign in place of the department head. The signature of the department head, or the authorized signatory, is an assertion of the authenticity of the committee signatures and of the acceptability of the dissertation to the department; therefore this signature must be original (wet). Because the CCA asserts a unanimous decision in favor of acceptability of the dissertation, all required signatures must be submitted to the Graduate College on the same form in support of the dissertation deposit.