The following recommendations were proposed by the dean and associate dean of graduate studies at Simon Fraser University, after attending Ph.D. defences during 2004 and 2005. A report on what we observed at defences was circulated to all chairs of graduate program committees, and a few modifications were made to the final set of recommendations after feedback from the chairs.

We recommend that all graduate programs review their practices in light of these recommendations.

• The schedule in graduate regulations 1.9 and 1.10 should be followed. It is recommended that if any member of the committee (including the external examiner) will not be present at the defence, signatures on appropriate documents be obtained before the defence, in order to facilitate the submission of the thesis to the Library. Obviously, such signatures must be given on the understanding that the documents would only be used following a successful outcome and completion of required revisions. In addition, members of the examining committee who cannot be present in person are expected to make every effort to participate via a conference call, or to provide a detailed evaluation of the thesis.
• The defence should take place in a room that can accommodate the expected number of people, and with a seating arrangement that facilitates discussion between the candidate and examining committee. The examining committee should not be seated with their backs to the audience. It is the responsibility of the academic unit to ensure that the room is at least clean and tidy.
• The decision to provide refreshments is at the discretion of the academic unit. However, the candidate and examining committee must be provided with water.
• Graduate regulations require the abstract of the thesis to be distributed to the audience. We recommend that some information about the candidate also be included – e.g. previous credentials, list of publications, list of awards.
• It is the responsibility of the candidate to ensure that appropriate audio-visual equipment for his/her presentation is ordered by the academic unit. It is the responsibility of the academic unit to make arrangements for conference calls, video-conferencing etc.
• At the start of the defence the chair must introduce the candidate and all members of the examining committee. The chair will also outline the procedures that are to be followed during the defence.
• The candidate makes an oral presentation of the thesis research. It is expected that this will not exceed 20-25 minutes (a typical conference paper length).
• Questions should begin with the external examiner, followed by the “internal external” and supervisory committee members. The senior supervisor normally asks questions last. It is good practice to suggest that committee members ask a few questions each, and that two rounds of questions take place. Once this is done, the chair should ask if there are any other questions that the committee wishes to ask. The exam should continue until all committee members have asked the questions that they wish to ask.
  
  It is good practice for the chair of the committee and the senior supervisor to take notes about the questions asked and the responses given.
• The chair should invite questions from the audience.
• Once the questions have been completed, the chair asks the audience and the candidate to leave. The committee then makes a decision according to graduate regulation 1.10.2. The committee should agree on any significant changes that are required, and these should be noted in writing.
• The candidate should be invited to return to the room, and is given the results of the defence. The senior supervisor should ensure that any annotated copies of the thesis are passed to the candidate to help with revisions. The candidate should be informed of any significant revisions that are required.
• Assuming a successful outcome (outcomes 1 or 2 of graduate regulation 1.10.2) signatures of the committee should be obtained on all appropriate forms.
  
  • In the event of outcome 3, the chair of the examination (or the graduate chair) needs to gather a list of required changes from each member of the examining committee.
    
  • These lists need to be compiled and distributed to the senior supervisor and the student within 3 days of the examination.
    
  • The chair of the defence also needs to notify DGS (thesis@sfu.ca) of the outcome of the examination as soon as the examination is concluded.
    
• The thesis defence is a very significant event in the life of a student. It is appropriate to mark a successful defence with a social event at which the candidate can talk informally with the examining committee, especially the external examiner. Depending on the culture of the academic unit this could include a lunch or dinner with the committee and the candidate, or a more general gathering that includes fellow graduate students.