Table of Contents: A Guide for Graduate Students Preparing for a

Defense
I. Before Defense
a. Get Permission to Start Writing
b. Nominate Faculty to Serve as Chair for Your Defense
c. Selecting a Defense Date
d. International Students and Work Visas
e. Registration Categories for Defense
f. Thesis Writing and Guidelines
i. The Preparation of Doctoral Theses A Manual for Graduate Students
ii. SMD Guidelines for the Content of a PhD Thesis
g. Rooms for Your Defense
h. Printing and Binding Your Thesis for Defense
i. Committee Authorization of Thesis Readiness for Defense
j. Registering Your Thesis for the Final Oral Exam
II. The Defense
a. Know the Rituals
b. Guidelines for Presentations
i. Use PowerPoint
ii. Public Lecture
iii. Audience
iv. Dress Professionally
v. Items to Bring to the Defense
vi. The Closed Examination
vii. Address Questions with Confidence
viii. Outcomes
III. After the Defense
a. Paperwork
b. Exit Interview with the Dean
c. Department/Program Requirements prior to Termination of Student Status
d. Publishing Your Final Thesis
e. Binding Your Final Thesis
f. Date of Degree Completion
g. Date of Degree Conferral
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h.
i.
j.
k.
l.
m.
n.

Commencement
Proof of Completion
Student Loans
URMC Email Address
Non-URMC Email Address
Mailing Address
Stay in Touch

A Guide for Graduate Students Preparing for a Defense

I. BEFORE DEFENSE
Get Permission to Start Writing
After completing all course, seminar, publication and research requirements for your program
of study, there are many things that must be done before a thesis defense can occur. Most
importantly, you must meet with your advisory committee at least 6 months before you intend
to defend your thesis. Your advisor and committee need to agree to your intentions to conclude
experiments and data collection and begin writing. Once you get the go-ahead to start writing
your thesis, you will need to decide on a date by which the defense should occur. You will also
need to inform your program director and graduate coordinator that you have started the
process to defend.
Nominate Faculty to Serve as Chair for Your Defense
A Chair is appointed for each PhD oral defense exam to monitor and promote fairness and rigor
in the conduct of the defense. The Chairs status as a nonmember of the advisors and students
working group, program, or department enables distance from previously established
judgments on the candidates work.
At least 4 months prior to your defense, your program director (with input from you and your
advisor) will identify 3 individuals to serve as Chair for your defense. These individuals must be
current full-time faculty members at assistant professor rank or higher from outside the
department offering the degree program or not a core member of the interdisciplinary degree
program faculty.
Nominations are submitted to the Senior Associate Dean for Graduate Education via a
Nomination Form for PhD Defense Chairperson along with your thesis title page and an abstract
of your work. The nominations are reviewed by the Senior Associate Dean and 1 faculty
member is approved as Chair. Notice of the selection is provided to the Chair, the student, the
advisor, the program director and the graduate coordinator. You will include the Chair in
planning for specific dates and times for your defense.

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Selecting a Defense Date

If all goes as planned and you have made sufficient progress in your writing, schedule the actual
defense date three months in advance to ensure that your advisor, all committee members and
your appointed Chair are able to be present at your defense and that rooms are available on
the date and time selected.
The academic calendar includes important dates for defense for each semester of the academic
year. When you and your advisor begin thinking about defending, check the academic
calendar for deadlines and blackout dates (periods of time when defenses are not permitted).
This will make identifying possible dates for defense a lot easier for you, your committee
members and your Chair.
When all members of your committee and your Chair agree to a specific date and time for
defense, inform your graduate coordinator of the scheduled defense date as soon as you
possibly can but no later than 6 weeks prior to your defense date. She will advise you of any
program-specific requirements for the defense as well as prepare your thesis defense
paperwork. This paperwork includes:

Appointment form for PhD Final Oral Examination

Biomedical Science Program of Study for the purpose of degree audit
Health Sciences Program of Study for the purpose of degree audit
Program Statement on Completion of PhD Requirements

This paperwork requires signatures from your advisor and department chair/program director,
and your committee members. Check with your Graduate Program Coordinator to determine if
you or she will obtain the signatures for your paperwork. Once approved and signed, this
paperwork will be submitted with your title page and abstract (2 copies of each) and other
forms that you will prepare (an Exit Interview Form and your CV/Resume and a Diploma Order
Form).
International Students and Work Visas
We strongly recommend that international students meet with an International Services Office
rep as soon as permission to start writing is granted. The ISO will provide information on visa
options, documentation and timelines for applying for a visa for employment in the US.
Registration Categories for Defense
In your final semester (the semester in which you defend), you will register for a placeholder
registration category rather than PhD Research.
The categories are:
Dissertation non-credit bearing registration category that indicates the PhD student has
completed all of the requirements for the degree except the dissertation and is in residence as
a full-time student.
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You must be in residence full-time and planning for a defense in the upcoming
semester. If a defense does not occur, the Registrar will change your registration for the
semester to reflect credit hours.
You are eligible for student health insurance, loan deferments, and University housing,
but not eligible for financial aid in the form of student loans.
Continuation of Enrollment non-credit bearing registration category that indicates the PhD
student has completed all of the requirements for the degree except the dissertation and is not
in residence as a full-time student. When registered for Continuation of Enrollment, your time
status is X, meaning not full-or part-time.

Appropriate for the student who has left the University prior to completion for a job or
personal reasons but has a defense planned during the upcoming semester.
Requires permission of the advisor, the program director, and the Dean.
You are not eligible for student health insurance, loan deferments, University housing,
or financial aid in the form of student loans.

Thesis Writing and Guidelines

The Preparation of Doctoral Theses A Manual for Graduate Students
The University of Rochester offers this manual to graduate students and it is meant to help you
to bring your thesis up to the required standard of organization, appearance, and format for
the University of Rochester. Before preparing the defense copy of your thesis, check the
contents of the manual systematically. In so doing, you may avoid mistakes that can be timeconsuming and costly to correct. The manual does not deal with the art of scholarship. There
are numerous guidebooks and style manuals available for dissertation writers. However, before
beginning the writing of your dissertation, you should consult with your department regarding
preferred styles.
Including material produced by other authors in your dissertation or thesis can serve a
legitimate research purpose, but you want to avoid copyright infringement in the process.
Republishing someone else's work, even in abbreviated form, requires permission from the
author or copyright owner. You must receive permission from the author(s) and include it with
your submission before it can be published in your dissertation.
For detailed guidance on avoiding copyright infringement, please see Proquests Copyright
Guide.
SMD Guidelines for the Content of a PhD Thesis
The School of Medicine and Dentistry offers this manual to graduate students in the basic
sciences, Epidemiology, Health Services Research and Policy, and Statistics programs. These
guides focus on how a thesis should be structured for writing and for the content that
comprises a well-written thesis. They are meant to be a supplement to the general guidelines of
the University of Rochester for preparation of a thesis (The Preparation of Doctoral Theses: A
Manual for Graduate Students).
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Statistics students should consult their program director for thesis requirements specific to the
discipline.
Rooms for Your Defense
Two rooms must be reserved: the first for your oral presentation and the second for your
closed exam. Most often, the oral presentation is held in an auditorium and the closed exam is
held in a departmental conference room. Check with your Graduate Program Coordinator to
determine if you or she will schedule rooms for your thesis defense.
Printing and Binding Your Thesis for Defense
The University requires that you provide printed and bound copies of the thesis to your
committee members and for the faculty member who will chair the exam. These copies do not
need to be printed on heavy-weight, expensive paper unless there is the need to do so for
figures and images. Double-sided pages are permitted for the defense copies of the thesis. The
cover page should be a heavier card stock and can be any color you choose.
Printing and binding a thesis can be expensive. You may be responsible for the cost. In some
departments, the cost is covered by the advisor or by department funds. Check with your
Graduate Program Coordinator to determine how the cost for copies is covered.
Most students use the Copy Center to print and bind their theses. If you have questions about
the process, including turn-around time for the finished product, call (585) 275-3879 or visit the
Medical Center location. Binding at the Copy Center is black tape binding. Printing at the Copy
Center includes a proof before the final copies are printed and this can take up to a week; it is
advisable to check into turnaround time well before printing is needed.
On occasion, some students use FedEx/Kinkos to print and bind their theses. FedEx/Kinkos
offers a 24 hour turn-around time for printing and binding, which is a plastic spiral and is
perfectly acceptable. Although requesting a proof copy will extend the turn-around time at
FedEx/Kinkos, it is advisable to do so before your final copies are printed. Printing costs are
generally higher at FedEx/Kinkos.
Committee Authorization of Thesis Readiness for Defense
The University requires the thesis advisor and each committee member (not including the
appointed Chair) to read the thesis and personally sign off that it is acceptable for defense. You
must provide your completed thesis to committee members at least 2 weeks prior to the date
of registration for defense. After your committee receives the thesis, no revisions are permitted
until after the defense occurs.
Registering Your Thesis for the Final Oral Exam
Registering simply means that you have presented a thesis, which you intend to defend, to
the Dean of your School and to the University Dean that governs all doctoral candidates.
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Registration generally occurs on a date that allows 10 full working days to pass between the
registration date and your actual defense date. At your registration appointment with the
Registrar, you will present the bound defense copy of your thesis, and all paperwork required
for defense:

PhD Defense Appointment Form

Program of Study for the PhD
Program Statement on Completion of PhD Requirements
Diploma Order Form
Exit Interview Form
CV or Resume
Title Page 2 copies
Abstract 2 copies

When the thesis and paperwork are received, the Dean reads the thesis and if approved, signs
off on your defense paperwork. You will receive notification from the Registrar indicating that
the thesis is ready for you to deliver to the University Dean for Graduate Studies on the River
Campus.
Your registration date is also the date that you must provide your Chair with a copy of the
thesis.
It is important to walk into the defense knowing that your Committee really WANTS you to
pass. Even if criticism is harsh, it is meant to be constructive. After all, the defense is not solely
an opportunity for the Committee to compliment and congratulate you for the work you have
done. It is also meant to challenge you and force you to consider tough questions.

II. THE DEFENSE

Below you will find suggestions to help you get ready for the defense and information to give
you a sense of what to expect:
Know the Rituals
What happens at a thesis defense? The best way to know what happens and the best way for
you to prepare for your defense is to regularly attend the defenses of your colleaguesthose
internal and external to your field of expertise. You should be doing this throughout your
graduate program, not just several weeks prior to your own defense.
Talk to people from your lab and in your department who already defended to find out what
their defense was like. They know well what occurs in the closed exam and will likely want to
share their experiences with you. You should also speak with your advisor to get a sense of
his/her specific expectations of a defense. Dont be afraid to ask!
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Guidelines for Presentations

Use PowerPoint
PowerPoint is a professional approach to presenting the research that comprises the thesis.
Your slides should encapsulate the study and focus on its most salient findings. In preparing, ask
yourself these questions: What do I want people to know about my thesis? What is the most
important information that I can present and talk about? Keep in mind the rules of
chartsmanship and create a goal-oriented presentation that navigates attendees through a
logical, point-by-point sequence of information that builds to the conclusion in a clear and
focused direction.

Use text large enough to be readable (especially text from figures)

Ensure graphics and tables are clear
Dont clutter your slides if necessary have things come up on mouse clicks
Use spell check and also proof-read
Practice presentation with your lab and peers
Work on pronunciation, if required
Time presentation to ensure it is long enough but will also allow time for questions

Public Lecture
It is recommended that you do a trial run of your presentation a day or two before your
defense in the auditorium or room that has been booked for your public lecture. This will allow
you to familiarize yourself with the space and the equipment and to address any problems that
arise during the trial run.
Plan your public lecture to allow a 50 minute talk with 10 minutes for questions. Present
enough information so that the audience understands what you did, why you did it, what the
implications are and what your suggestions are for future research.
Audience
The date/time/location of your defense and thesis topic are published on the schools website
to invite the larger community to attend. Departmental/program announcements are sent by
your Graduate Program Coordinator to invite faculty and students. Friends and family are
welcome to attend the public lecture. Faculty and students in the audience are given the
opportunity to ask questions when committee members conclude their questions.
Friendly Advice: Just before your talk, chat with friends and mingle with the crowd. This may
reduce your anxiety and nervousness.
Prior to the defense, plan to provide friends and family with a map and directions to visitor
parking lots at the Medical Center or Saunders Building as well as the name, room number and
directions to the auditorium or room booked for your defense. You may also want to ask
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another student or postdoc to assist your friends and family on the day of your defense to get
to your public lecture and to gather somewhere while you are engaged in the closed exam.
Dress Professionally
Plan to dress professionally for the defense in the same way you would if presenting a paper at
a conference or for a job interview. Suits, ties, dresses, and skirts are the norm. You will be
standing for a long time on the day of your defense. You might want to keep this in mind when
selecting the shoes youll wear for your defense.
Items to Bring to the Defense
Your presentation, a laser pointer, a copy of your thesis, a pen or pencil, a note pad and a bottle
of water are essentials that you should bring to the public lecture. Other things you feel you
need (e.g. Kleenex tissues, a lucky charm, etc.) are acceptable to bring with you as well.
The Closed Examination
You will be asked to leave the room while your Committee reviews your program of study,
grades and decides whether the thesis is acceptable/not acceptable. The Committee decides
whether members will ask sequential questions or whether each member will be allotted a
specific time period for questioning.
The person to start the questioning is designated. You will be called back into the examining
room and questioning will begin. After all questions have been addressed you will be asked to
leave the room. Your Committee decides the outcome of the exam. You will be asked to return
to the room to be informed of the outcome by the Chair of your exam committee.
Address Questions with Confidence
Listen to the entire question no matter how long it takes the faculty member or student
to ask it. (Take notes if necessary.)
Pause and think about the question before answering.
Rephrase the question succinctly.
Answer the question to the best of your ability. If you do not know the answer, remain
calm and say so in a professional way.
Remember no one will know the ins and outs of the thesis and your research materials
as well as you. You are the foremost expert in the thesis topic and YOU really do know
the science involved. Be positive!
Outcomes
Passed successfully performed in the final oral examination and thesis was acceptable
Passed pending revisions to the thesis - successfully performed in the final oral
examination and thesis will be acceptable with revisions which are approved by the
advisor and sometimes by all members of the committee
Did not pass often based upon performance in the final oral examination

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III. AFTER THE DEFENSE

Paperwork
You will receive annotated copies of your thesis from the members of your examination
committee. The Chair will give you a packet of paperwork that includes:
Survey of the Earned Doctorate
Instructions for submission of the final thesis to ProQuest Dissertation Publishing
University of Rochester publishing agreement
The survey and UR publishing agreement are expected to be submitted to the University Dean
by the date the final copy of the thesis is submitted to ProQuest. Students have 30 calendar
days after the defense to complete all final requirements (revisions and upload to ProQuest)
except when defenses are scheduled late in the semester and are subject to a deadline date
that is shorter than 30 calendar days. Review the Schools academic calendar to be aware of
deadline dates.
Exit Interview with the Dean
After your defense, and most likely after the final thesis is submitted to ProQuest, you will meet
with the Dean for an exit interview. The meeting is intended as an opportunity for you to share
your graduate school experiences with the Dean. This is a confidential meeting at which you
may express your comments and discuss your concerns openly and honestly.
Department/Program Requirements prior to Termination of Student Status
Each department and program has its own process for students who are ending their student
status. Be sure to check with your Graduate Program Coordinator to determine if there is
additional paperwork that youll need to complete before your student status is terminated.
Publishing Your Final Thesis
The University of Rochester requires all doctoral candidates to deposit their theses for
publication with ProQuest Dissertation Publishing and with the University libraries. Hard copies
of the thesis are not required by the Deans Office or the Miner Library. Miner Library receives
an electronic copy of the thesis from ProQuest but students must give the University their
permission in writing to obtain it.
SMD graduate students are given 30 calendar days following the defense to submit the final
copy of the thesis to ProQuest (except when a semester deadline does not allow 30 days for
revisions).

For questions regarding publishing through ProQuest, contact Author Relations at

disspub@proquest.com or 800.521.0600 ext. 77020.
For questions regarding University publishing, contact Michele Shipley 275-6878 in the
Miner Library.

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Binding Your Final Thesis

Your department may want a bound copy of your thesis. Please check with your Graduate
Program Coordinator to determine this and how the cost of binding is covered. You may also
want a bound copy for yourself and others. Printed and bound color copies are available for
purchase through ProQuest.
Date of Degree Completion
Degree requirements are met on the day your final thesis is submitted online to ProQuest.
Date of Degree Conferral
Conferral is the act of officially awarding a degree. The University of Rochester Board of
Trustees confers degrees 3 times each year (October, March and May). Your conferral date will
be determined by the semester in which all degree requirements are completed.
Completion late-May through late-August = October conferral date
Completion Sept 1 through mid-January = March conferral date
Completion late-January through late-April = May conferral date
Exact deadlines for completion in a given semester are published in the Schools academic
calendar.
Commencement
The graduation ceremony for all University of Rochester doctoral candidates is held in May of
each year. Only the students that have completed degree requirements including the
submission of the final thesis to ProQuest are eligible to participate in the ceremony. Diplomas
are distributed at Commencement or mailed to those that do not attend.
Information on the Commencement Ceremony and graduation regalia will be mailed to you in
early-March.
Proof of Completion
Many employers want proof of the degree earned. The Registrar can provide you with a
letter indicating the date degree requirements were satisfied and the date the Board of
Trustees will confer/conferred the degree. This is your best option for proof of degree
immediately following graduate school.
You may also supply employers with your official transcript, which will be notated to include
the date of degree conferral after conferral occurs (October, March or May).
Your diploma can also be used as proof of the degree if you wish to copy it for an employer.
Some employers work with agencies that search for, screen and hire employees. They often
submit forms to the academic institution that request enrollment information as well as degree
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verification. The Registrar will provide this information to an agency if your signature is
provided with the forms indicating approval of the release of information.
Student Loans
If your student loans have been in deferment, youll need to notify your loan servicer of a
completion date. Some loan servicers accept the completion date via your phone call while
other servicers require that you submit a final loan deferment request form or letter from your
Registrar before the repayment process can begin. Once a completion date is reported, your
loan servicer will provide you with the information needed to start repayment or to continue
deferred status, when applicable.
URMC Email Address
Student URMC email addresses will remain active for a short time after completion of the
degree if the email address is hosted by the Miner Library. You can determine this by
contacting the Miner Library email support or University IT. If you remain at the URMC after
your defense, your email address will be transferred to a non-student server by the hiring
department.
Non-URMC Email Address
You will be asked for a non-URMC email address when you submit your Exit Interview form.
Correspondence from the Graduate Education and Postdoctoral Affairs Office will be directed
to your non-URMC email address after your student status terminates. You will provide us with
this email address on the Exit Interview Form.
Mailing Address
We ask that you provide a forwarding address so that we may mail Commencement and other
correspondence to you. If you move again, please remember to update us. We want to keep in
touch with you as you move ahead in your career. You will provide us with this address on the
Exit Interview Form.
Stay in Touch
Please provide us with your whereabouts so we can keep in touch, cheer you on your way up
the career ladder, and provide you with useful, up-to-date information about professional
development and about the School.

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