PhD thesis examination regulations

Before submitting the thesis, candidates are encouraged to meet with their supervisor and advisory committee to confirm that the research is of sufficient quality to proceed. A negative assessment does not prohibit a candidate from proceeding, but should only occur in rare cases.

The graduate officer recommends a PhD Thesis Examining Committee to the faculty associate dean, graduate studies for approval. The defence date is set based on committee availability; candidates should be prepared to defend within 4–6 weeks of depositing the thesis. 

The committee consists of a minimum of five voting members, comprised of an external examiner and a minimum of four voting members who have an appointment with the University of Waterloo:

• External Examiner
• Supervisor or Co-supervisors
• Internal Member (from the student’s home Department/School or Academic Program)
• Internal-external Member (external to the student’s home Department/School or Academic Program)
• Other Member(s)

The examination is chaired by an impartial SSPS2 faculty member from outside the candidate's department, appointed by GSPA. The chair oversees the conduct of the examination but does not vote.

For full details on committee composition, including the external examiner arm's-length requirements, supervisor and co-supervisor rules, internal member and internal-external member eligibility, and adjunct faculty on examining committees, see 7.1 Graduate students’ supervisors and committees and 7.4.5 Minimum requirements for PhD degree: Thesis examination in the Graduate Studies Academic Calendar.

Once the thesis is submitted to the faculty graduate office, it is distributed to the examining committee and held available to any University member for at least 20 business days. The defence date and location are announced publicly.

Committee members with major criticisms are encouraged to submit written comments to the faculty associate dean at least one week before the defence.

See 7.4.5 Minimum requirements for PhD degree: Thesis examination for full display period details.

In most cases, thesis defences are open to the university community. However, where a thesis contains commercially sensitive material, intellectual property under protection, or content presenting personal safety risks, a student may request that the thesis display be restricted and the defence closed. These requests are made at the time of thesis submission and are adjudicated by the faculty associate dean, graduate studies. See 7.4.5 Minimum requirements for PhD degree: Thesis examination for more information. 

In cases of a thesis examination without public disclosure: 

1. The graduate student and supervisor(s) must begin the process to restrict disclosure of the thesis results as early as possible to ensure timely completion of the thesis examination. Normally, this recommendation to restrict disclosure will be forthcoming from the supervisor and, where appropriate, the Advisory Committee, to the faculty associate dean, graduate studies.
2. Any request for a closed thesis examination must be forthcoming, at the latest, one week prior to the submission of the thesis to the faculty associate dean, graduate studies by completing a Request for a Closed Thesis Examination Form. This ensures that committee members are aware of the requirements for non-disclosure before examination of the thesis.
3. Examining Committee members, including the external examiner, will be asked by the University of Waterloo to sign a Confidential information thesis non-disclosure agreement form (Graduate Studies forms website) regarding the contents of the thesis before examining the thesis. Potential committee members have the right to refuse to sign the agreement; however, this will result in the requirement to resign from the committee. Any member who refuses to sign the agreement will not be permitted to view the thesis and/or attend the defence.
4. All parties should recognize that the time required to secure this agreement from all Examining Committee members may result in a longer period between submission and defence of the thesis, unless this consent is obtained in advance of the thesis submission.
5. The thesis will be displayed but with the requirement that a Confidential Information Thesis Non-Disclosure Agreement Form (Graduate Studies forms website) be signed by anyone wishing to review the thesis.
6. The examination, including any oral presentation associated with the examination, will be open only to members of the University community who agree to sign a non-disclosure agreement under these terms. It is the responsibility of the graduate student and/or thesis advisor(s) to prepare and manage these agreements.
7. The requirements for non-disclosure will expire once the thesis is published in UWSpace. In most cases, students will request a one-year restriction on the circulation of the thesis in UWSpace. Any extension to that time period must be approved by the Associate Vice-President, Graduate Studies and Postdoctoral Affairs.

Failure to follow these guidelines in their entirety will result in the normal practice of public disclosure and circulation of the thesis.

Students may request to write their doctoral thesis in French. This requires a declaration of support from the supervisor and proposed committee members, all of whom must have sufficient linguistic proficiency to evaluate both the content and presentation of the thesis. See 7.4.5 Minimum requirements for PhD degree: Thesis examination for full details.

The defence is an oral examination chaired by an impartial faculty member with SSPS2 from outside the candidate's department, appointed by GSPA. The chair is responsible for the proper conduct of the examination and does not vote.

Defences may be held in person, fully remote, or in a hybrid format, by agreement between the student and supervisor. For full procedural guidelines, including the structure of questioning, in-camera deliberations, the chair's responsibilities, and absent committee member rules, see 7.4.6 Minimum requirements for PhD degree: Thesis defence. 

Note that recording of the thesis defence is not permitted, including via Teams, Zoom, or other platforms. The chair has the right to cancel any recording.

In alignment with the University of Waterloo’s campus closure protocol, PhD defences affected by a campus closure are managed to prioritize academic continuity while ensuring appropriate oversight and clear communication. This guidance applies to PhD defences scheduled in-person or in a hybrid format at the time a campus closure is declared. PhD defences scheduled to be fully online are not impacted by campus closures and may proceed as planned.

When an in-person or hybrid defence is affected by a campus closure, the following process applies: 

1. Confirmation by the faculty administrator (or their delegate)  
   • The faculty administrator confirms with the student, supervisor, and defence chair that there is a request to shift the defence from in-person or hybrid to a fully online format. If either the student or supervisor does not wish to shift online, the defence will be cancelled and rescheduled for a later date.
2. Committee consultation 
   • The faculty administrator contacts all members of the examination committee to confirm their availability and ability to participate in a fully remote format.
3. Agreement requirement 
   • If all committee members confirm their ability to participate remotely, the defence may proceed online.
   • If consensus cannot be reached, or if one or more committee members are unable to participate in a fully online format, the defence will be cancelled and rescheduled for a later date.

Upon confirmation of a shift to a fully online format for the defence, the faculty administrator will notify the associate dean (graduate studies), for final approval.  

The examining committee's decision is based on both the written thesis and the candidate's performance at the defence, and is made by majority vote. If the external examiner's vote differs from the majority, or if there is a tie, the decision is referred to the associate vice-president, Graduate Studies and Postdoctoral Affairs.

The possible outcomes are set out in full in 7.4.6 Minimum requirements for PhD degree: Thesis defence. In summary:

• A. Accepted: Minor typographical or editorial corrections only; thesis must be submitted to UWSpace within one month of the defence.
• B. Accepted conditionally: The defence was satisfactory but the thesis requires content changes that do not warrant reexamination. Changes must be completed within four months of the defence.
• C. Reexamination: Required if the defence was unsatisfactory or the thesis requires substantial modifications. Reexamination must occur within one year; a decision to reexamine may only be made once.
• D. Failed: If the candidate does not achieve Category A or B after reexamination, they will be withdrawn from the program.

Any extension to the timelines for Categories A or B must be requested in writing and approved by the graduate officer and faculty associate dean, graduate studies.

A request for reexamination is a type of academic grievance under Policy 70. Students wishing to request reexamination should contact the associate vice-president, Graduate Studies and Postdoctoral Affairs. See 7.4.6 Minimum requirements for PhD degree: Thesis defence for details.