PhD thesis defence process

Process and duties

Stage 1: Prior to the defence

1. Verify with your unit’s graduate coordinator that all the courses and milestones required to graduate are completed.
2. Confirm your PhD thesis examining committee meets the Graduate Studies Postdoctoral Affairs (GSPA) PhD thesis examining committee regulations. Ensure that the committee has been approved by the Faculty Graduate Studies Committee (GSC).
   • The GSC meets monthly (with some exceptions) and once the examining committee’s membership has been confirmed to be consistent with University of Waterloo regulations, the unit’s graduate coordinator will prepare the PhD Thesis Examining Committee Form (PDF) for consideration at the next meeting of the Faculty Graduate Studies committee.
   • Students and supervisors should recognise that the student’s PhD thesis examining committee may not necessarily have the same membership as the student’s PhD advisory committee; indeed, there are different regulations regarding their respective memberships. As the PhD advisory committee is formed, usually after the student’s successful comprehensive examination defence, all should be aware that membership on it does not necessarily mean membership on the PhD thesis examining committee.
   • It is the supervisor’s responsibility to conform up-to-date adjunct or cross-appointment status of any committee members with the unit’s administrative manager. Evidence of such confirmation should be provided to the unit’s graduate coordinator.
   • When the PhD thesis examining committee is approved by GSC (and the unit’s graduate coordinator will inform the student and the supervisor), the student and supervisor may proceed to the next step when they are ready.
3. When ready, the following should be put into a ‘package’ and sent by single email to the Associate Dean, Graduate Studies (professor Ian Rowlands, irowlands@uwaterloo.ca) with a cc (copy) to the unit’s graduate coordinator. In that email should be the following attachments:
   • Copy of the entire thesis as a single PDF file. Please review the GSPA Preparation of the Thesis page to ensure the formatting standards established by the University of Waterloo are met. The entire thesis should usually have been approved by all committee members.
   • Copy of the abstract (on its own) as a single PDF file.
   • All of these four items, together in one file (either Word or PDF):
     • List of at least four different examination dates and times (three consecutive hours) that are acceptable to, and being held by, the student, the supervisor, and all other members of the PhD thesis examining committee. These dates should be within a six to nine-week period following the submission of the thesis to give the external examiner time to read the thesis and to prepare an assessment of the thesis, which is due one week in advance of the defence. When considering PhD examination arrangements, keep in mind that external examiners are not always available during the summer months because of vacation, field work, etc. Please also refer to the Graduate Studies Academic Calendar for important dates (e.g., fall or spring convocation deadlines, the 100% and 50% refund deadlines, etc.). Finally, please ensure the committee members keep all the dates provided blocked on their calendars until the defence has been scheduled. It can sometimes take a week or two to finalise an external examiner.
     • Provide four names (in consultation with the committee) of potential external examiners. Details about the requirements for an external examiner are listed in the Graduate Studies Academic Calendar. For each individual, provide their name, title, institution and website (which outlines their career achievements, academic record, etc.). Note whether the list is in order of preference or not. And please note that neither the student, nor the supervisor, nor any member of the PhD thesis examining committee should contact any of the persons on the potential external examiner list. They are to remain at arm’s length from the student and others until the conclusion of the examination.

     • Please identify whether the defence is preferred to be:

       • In-person (where all members of the examining committee, with the exception of the external examiner, are planning to be in the same place at the University of Waterloo for the defence; please also indicate whether you prefer to have the external examiner also there, in-person (in which case, please comment on resources available to cover travel costs for the external examiner) or to have the external examiner on-line); or

       • Remote (where all members of the examining committee will be online); or

       • Hybrid (where, at a minimum, the student and the supervisor are planning to be in the same place at the University of Waterloo for the defence; at least one other member of the committee will be on-line).

     • A statement that the student, the supervisor and all members of the PhD thesis examining committee have each confirmed that, to the best of their knowledge, they have no conflicts of interests with any of the potential external examiners. More specifically, they have reviewed the Graduate Studies Academic Calendar, and they can confirm that none of the following is true: 
       • A proposed external examiner is, or was in the last six years, from the same university, organization or department, or belongs or belonged, in the last six years, to the same research unit as the supervisor(s) or candidate; or
       • There is an administrative or family link between the proposed external examiner and the supervisor(s) or candidate (e.g., head of the department, dean of the faculty, etc.); or
       • A proposed external examiner is an industrial or government representative or professional who is or was in the last six years directly involved in collaborative activities with the supervisor(s) or candidate; or
       • A proposed external examiner is a former research supervisor or graduate student of the supervisor(s) or candidate; or
       • A proposed external examiner has collaborated or published with the supervisor(s) or candidate within the past six years; or
       • A proposed external examiner is a planned future research supervisor or employer of the candidate or plans to collaborate or publish with the candidate in the foreseeable future; or
       • The proposed external examiner is uncomfortable with reviewing the proposal due to previous conflicts or any other reason (e.g., past student or supervisor, even if more than six years ago, or personal conflict); or
       • The faculty associate dean, graduate studies, has reason to believe that a specific proposed external examiner should not be involved in the review.
       • In cases where the candidate's thesis research has involved collaborations with other local members of the examining committee beyond the supervisor(s) within the past six years, the external examiner must be free of potential conflict of interest under the guidelines above with those members as well.
4. The Associate Dean, Graduate Studies, will select the External Examiner from the list provided by the Supervisor and confirm the date/time of the defence based on the External Examiner's availability.
5. Apply to graduate for the next available convocation after the defence date, using Quest.

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Stage 2: Day of defence

1. For in-person or hybrid defences, plan on arriving in the room booked for the defence 30 to 60 minutes before the scheduled defence to ensure the room is prepared and the equipment to be used are functional.

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Stage 3: After the defence

1. The Chair will send the results of the defence to the Administrator, Graduate Studies or delegate.
2. Revision and UW Space Submission:
   • Accepted: Thesis to be revised to the satisfaction of the Supervisor and submitted to UW Space within one month of the date of the defence.     
   • Accepted Conditionally: The PhD Thesis Examining Committee's report must include a brief outline of the nature of the changes required and must indicate the time by which the changes are to be completed. Changes must be completed to the Committee's satisfaction and submitted to the UWSpace within four months of the date of the defence. At least two members of the Committee must confirm that required changes have been made
   • Any extension to the time limits for either of the above must be requested in writing and approved by the Graduate Officer and Faculty Associate Dean, Graduate Studies. 
   • If there are any changes in the thesis title, please inform the Administrator, Graduate Studies as the thesis may be rejected from UW Space otherwise.
   • Please refer to the PhD Thesis Examination Regulations page for more information and for next steps on reexamination and failed defence decisions.

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