APS Ph.D.

Defense Procedures
This is a brief synopsis of the role of the chair in a typical Ph.D. defense in APS. Unusual things
like video / audio conference require some adaptation of procedures.
1) Pre-exam meeting with the committee (15 minutes prior to the defense, usually in the
office of the person chairing the exam)
Wendy provides a red folder with all the paperwork. There are two sets of papers
(usually), one for the exam chair and one for the student. In the chairs papers, are all the
forms that need signing and the students grade summary. Prior to the exam, the external
examiners report should have arrived. That should be shared with the advisor and the
student. Also, it is good to remind the candidate that they need to appoint a grad
representative (fellow grad student) to remain in the room during the entire defence
(except the deliberations and result).
a. Introductions, especially if people dont know the external examiner
b. Review course grades (pass around the grade summary)
c. Inquire about significant concerns from the committee (other than the external)
d. Review examiner order and time per round. The student can select the order but if
they dont or prefer the usual, here is the default order:
i. External examiner: 20 minutes in round 1 / 15 minutes in round 2
1. Thank the external examiner as per Grad Studies letter
ii. Additional member: 15 minutes / 10 minutes
iii. Advisory Committee member: 15 minutes / 10 minutes
iv. Advisor: 10 minutes / 5 minutes
v. Exam committee chair: 10 minutes / 5 minutes
vi. 10 minute break between rounds
2) Exam
a. Welcome audience to Ph.D. defense of candidate, introduce Committee
i. Thank external examiner on behalf of U of G and Dept.
b. Run through procedures
i. Order and duration of rounds of questions
ii. Audience question(s) at the end of the first round
iii. Identify grad student rep, excuse rest at end of first round
iv. Remind audience members to leave in gaps between examiners
c. Introduce candidate (candidate biography optional)
d. Candidates Presentation (20-25 minutes)
i. At end, optionally shut down the computer and projector or TV screen
equipment if committee agrees and get the candidate settled
e. First round of questions
i. Keep track of time for each examiner. You have discretion to adjust the
time of questioning for the chair to extend a bit of time for an examiner
who is exploring a thread that merits finishing.
ii. Take notes regarding the areas of questioning raised by each examiner. In
case of an appeal, there is a record of the type of questions.
iii. Between examiners, ask student if theyre ready for next examiner and
perhaps give them a chance to catch their breath or have a sip of water.
f. Audience question(s) limit of one per person please

g. Break 10 minutes, remind grad rep to return after the break

h. Second round of questions
i. Same style as the first round, less time each, more casual and you can
allow for interaction between examiners if the candidate seems to be
relaxed enough to handle it.
3) Post-exam
a. Ask the candidate if they have any questions for the exam committee. They dont
have to ask any but occasionally they have question they want to know the answer
to.
b. Excuse candidate and the grad rep, instruct them to wait in the main office (or
somewhere nearby)
c. Non-binding vote using paper ballots but how each person voted is not revealed
d. Review results (one unsatisfactory OK, two is a failure)
i. Have a round of discussion, include exam performance, thesis issues as an
overall package and discuss SAT / UNSAT. If the vote is unanimously
SAT then unless 2 people want to change their vote go straight to a discuss
of the disposition of the thesis
ii. If one UNSAT vote is there another? If the external votes UNSAT then
that is worth discussing with the whole committee to decide if a second
UNSAT is warranted. If a local committee member votes UNSAT, it
could be appropriate to leave that as it stands to reflect the lower quality of
the defense / thesis the student still passes but it is not a stellar
performance.
iii. Decide on disposition of thesis
1. Revise and examiner wants to see it again before signing off
2. Revise at student and advisor discretion, exam chair receives
assurance from the advisor once the changes are complete and
exam chair signs off.
3. No revisions or exam chair can decide to sign off immediately and
leave it for the advisor to decide when the thesis is ready to submit
iv. Sign forms, recall candidate and wrap up (package, forms etc).
If the external examiner (or others) are connected via video link, then the pre-exam meeting is
held in the room where the exam is being held and uses the video link. Chase any audience from
the room and post someone to prevent entry until the discussion is complete. During the exam,
the external examiner view can be changed by switching cameras or by moving / zooming
cameras. Use discretion as to how much this is done since it can be distracting. It is usually good
to have the video conference display showing picture in picture so you can see what signal is
being send to the external examiner. At the end of the exam, dont use the paper ballots and go
straight to a live discussion of the outcome of the defense. Each person should vote clearly SAT
or UNSAT.

APS M.Sc. Defense Procedures

This is a brief synopsis of the role of the chair in a typical M.Sc. defense in APS. Unusual things
like video / audio conference require some adaptation of procedures.
4) Pre-exam meeting with the committee (15 minutes prior to the defense, usually in the
office of the person chairing the exam)
Wendy provides a red folder with all the paperwork. There are two sets of papers
(usually), one for the exam chair and one for the student. In the chairs papers, are all the
forms that need signing and the students grade summary. It is good to remind the
candidate that they need to appoint a grad representative (fellow grad student) to remain
in the room during the entire defense (except the deliberations and result).
a. Introductions, especially if people dont know the additional examiner
b. Review course grades (pass around the grade summary)
c. Inquire about significant concerns from the committee
d. Review examiner order and time per round. The student can select the order but if
they dont or prefer the usual, here is the default order:
i. Additional member: 15 minutes / 10 minutes
ii. Advisory Committee member: 15 minutes / 10 minutes
iii. Advisor: 10 minutes / 5 minutes
iv. Exam committee chair: 10 minutes / 5 minutes
v. 10 minute break between rounds
5) Exam
a. Welcome audience to M.Sc. defense of candidate, introduce Committee
b. Run through procedures
i. Order and duration of rounds of questions
ii. Audience question(s) at the end of the first round
iii. Identify grad student rep, excuse rest at end of first round
iv. Remind audience members to leave in gaps between examiners
c. Introduce candidate (candidate biography optional)
d. Candidates Presentation (20-25 minutes)
i. At end, optionally shut down the computer and projector or TV screen
equipment if committee agrees and get the candidate settled
e. First round of questions
i. Keep track of time for each examiner. You have discretion to adjust the
time of questioning for the chair to extend a bit of time for an examiner
who is exploring a thread that merits finishing.
ii. Take notes regarding the areas of questioning raised by each examiner. In
case of an appeal, there is a record of the type of questions.
iii. Between examiners, ask student if theyre ready for next examiner and
perhaps give them a chance to catch their breath or have a sip of water.
f. Audience question(s) limit of one per person please
g. Break 10 minutes, remind grad rep to return after the break
h. Second round of questions

i. Same style as the first round, less time each, more casual and you can
allow for interaction between examiners if the candidate seems to be
relaxed enough to handle it.
6) Post-exam
a. Ask the candidate if they have any questions for the exam committee. They dont
have to ask any but occasionally they have question they want to know the answer
to.
b. Excuse candidate and the grad rep, instruct them to wait in the main office (or
somewhere nearby)
c. Non-binding vote using paper ballots but how each person voted is not revealed
d. Review results (one unsatisfactory OK, two is a failure)
i. Have a round of discussion, include exam performance, thesis issues as an
overall package and discuss SAT / UNSAT. If the vote is unanimously
SAT then unless 2 people want to change their vote go straight to a discuss
of the disposition of the thesis
ii. If one UNSAT vote is there another? If the additional member votes
UNSAT then that is worth discussing with the whole committee to decide
if a second UNSAT is warranted. If a local committee member votes
UNSAT, it could be appropriate to leave that as it stands to reflect the
lower quality of the defense / thesis the student still passes but it is not a
stellar performance.
iii. Decide on disposition of thesis
1. Revise and examiner wants to see it again before signing off
2. Revise at student and advisor discretion, exam chair receives
assurance from the advisor once the changes are complete and
exam chair signs off.
3. No revisions or exam chair can decide to sign off immediately and
leave it for the advisor to decide when the thesis is ready to submit
iv. Sign forms, recall candidate and wrap up (package, forms etc).
If any examiner(s) is/are connected via video link, then the pre-exam meeting is held in the room
where the exam is being held and uses the video link. Chase any audience from the room and
post someone to prevent entry until the discussion is complete. During the exam, the external
examiner view can be changed by switching cameras or by moving / zooming cameras. Use
discretion as to how much this is done since it can be distracting. It is usually good to have the
video conference display showing picture in picture so you can see what signal is being send to
the external examiner. At the end of the exam, dont use the paper ballots and go straight to a
live discussion of the outcome of the defense. Each person should vote clearly SAT or UNSAT.

Additional Notes About the Role of the Exam Committee Chair

Andy Robinson (July 2007, updated March 2013)
As an Exam Committee Chair, you have the authority over how the exam is conducted and the
responsibility to guide the members of the exam committee to conduct a fair and thorough
examination of the candidates thesis.
Largely being chair means you are a timekeeper. Feel free to reduce the amount of time for your
own questions if an examiner is on a hot topic line of questioning but also feel free to cut off a
line of questioning if theyve gone over time. Most scientists enjoy talking about their field and
will invariably go over time if they dont keep track! It can also be a challenge to stick to time if
the student talks around the issue(s) and the examiners dont feel they are getting answers to their
questions.
There can be some extenuating circumstances in defenses. It is probably redundant to say that the
candidates tend to be highly stressed but this can result in unusual physiological responses and
the candidate may need extra breaks. Ask the candidate if they need an extra break if they appear
uncomfortable. If the candidate is unable to continue, as exam committee chair you can adjourn
the committee for a specific or non-specific period of time. The exam is effectively on hold and
there is no decision on the outcome until the exam committee resumes sitting.
You should also formally adjourn the exam if there is a fire drill or some other event requiring
evacuation of the room or building that way everyone knows that the period of time in question
doesnt affect the outcome. The adjournment approach can also be used in the case of unusual or
disruptive behaviour during a defense. Defenses are open to all members of the university
community so there is always the potential for a diverse audience who may not agree with the
candidates research or may have pre-existing personal issues with the candidate, members of the
committee or the area of research (animal activists for example). Basically, should an unusual
situation crop up, rely on your best judgment. If disruptions happen, politely ask the people to
stop whatever it is or leave. It may be something as simple as asking someone to turn off their
cell phone. Often a look in their direction is enough. If the disruptive situation continues and
affects the exam process dont feel you have to fix it yourself. You can adjourn the exam
committee and ask the candidate and committee to join you in leaving the room. That way the
disruption gets left behind rather than trying to get the person or group to leave the room. Head
to the main office (and potentially even lock the main office door) and ask Wendy or Rhonda to
call campus police (x. 2000 or 52000). Campus security is very helpful, these folks are very well
trained in dealing with inter-personal conflict.
In the discussion after the exam, take note of any positive or negative feedback and feel free to
use that in summing up the committees deliberations to the student. The students like to hear
about the good stuff as well as knowing about the areas they need to work on. Also, dont forget
to remind them to get their thesis submitted while the momentum is good, especially if they
already have a new position.