Years 4, 5, & 6: Requirements, Expectations & Deadlines

Before the end of the 10^th Quarter, the student prepares a dissertation prospectus of 8 - 10 pages and a supporting bibliography. The student arranges a meeting with the Doctoral Committee to discuss the prospectus and bibliography and to plan the subsequent direction of research.       

NOTE: If, after passing the qualifying examination, advancing to candidacy, and presenting a prospectus, the student wishes to change the dissertation topic, the student must prepare another prospectus and obtain approval for it from their Doctoral Committee. If deemed necessary by a majority of the committee members, the student will defend the new topic at an oral examination conducted by the committee.

The student is required to present a dissertation defense in the form of a two-hour colloquium that, by order of the Graduate Council, is open to the public. The final recommendation regarding award of the PhD degree is to be decided by the Doctoral Committee in a private caucus at the end of the defense. If the committee approves the dissertation, they sign the necessary paperwork and endorse the signature page of the dissertation. For instructions on formatting the dissertation and preparing the signature page, see Preparation and Submission Manual for Doctoral Dissertations and Masters' Theses, available from GEPA: https://grad.ucsd.edu/_files/academics/BlueBook%202020-21%20updated%2011.06.20.pdf.  GEPA holds workshops intended to help students file their dissertations electronically. Information regarding the workshops will be emailed to students.

At the beginning of the 18^th Quarter (or the quarter of the dissertation defense, if it is earlier than the 18^thQuarter), students should complete the following tasks:

1. Dissertation: Students should complete their dissertation and provide copies of the finished dissertation to the members of their Doctoral Committee (at least four weeks before the scheduled dissertation defense).
2. GEPA appointments: Students need to schedule two appointments with GEPA through the online calendar (https://gradforms.ucsd.edu/calendar/):
   1. Preliminary Appointment: a preliminary check of the student’s dissertation/thesis.At the appointment, the format is checked and instructions on the final preparation and submission of the dissertation are given. Students should print and bring the “Dissertation/Thesis Release Form” (or “Embargo Form”) (http://grad.ucsd.edu/_files/academics/DissertThesisReleaseTemplate.pdf) with them to discuss during their preliminary appointment.
   2. Final Appointment: the submission of all final degree paperwork and final dissertation. Students should thoroughly review the “Preparation and Submission Manual for Doctoral Dissertations and Masters’ Theses” (https://grad.ucsd.edu/_files/academics/BlueBook%202020-21%20updated%2011.06.20.pdf) for detailed instructions.
3. NOTE: The final appointment must be scheduled at least 2 days after the scheduled dissertation defense, and it must take place before the end of the quarter. In Spring Quarter, it is often difficult to secure final appointments on the last two days of the quarter, so students should plan accordingly when scheduling their dissertation defense and GEPA appointments.
4. Schedule the Dissertation Defense: Students, working with their Doctoral Committee, will determine the date and time of the dissertation defense. Students will then submit the “Ph.D. Defense of Dissertation Schedule Request” form online (see the “Forms” page of the website) at least one month before the proposed defense date.  Please see the “Committee Member Defense Participation” section below for details, and schedule the Dissertation Defense accordingly. Original signatures are required of committee members, so the timeline becomes complicated if a committee member cannot be physically present.
   1. The PhD Coordinator will reserve a room in the department for the defense (if it will be held in person) and post the mandatory announcement flyer in the building.
5. Re-confirm the Doctoral Committee: Students will notify the PhD Coordinator if any changes need to be made to their Doctoral Committee, so their committee may be reconstituted (see “Program: Year 3” page for more details on committee re-constitution).
   1. NOTE: Changes to the committee may be required because of updates to individual faculty statuses. The Doctoral Committee makeup may have met all the requirements at the time of the qualifying exam process, but no longer meet the requirements later in the program. In these instances, the committee must be reconstituted, as the Doctoral Committee must meet all requirements for a valid committee at the time of the dissertation defense.
6. Dissertation Defense: The student will hold the dissertation defense with their Doctoral Committee, and they will bring the required paperwork to the defense (see the “Dissertation Defense Paperwork” section below). The Doctoral Committee will deliberate and sign the appropriate paperwork if they approve of the dissertation.
7. Dissertation Filing (Electronic): Students will file the PDF online at least one day prior to final appointment with GEPA, and the dissertation will meet all standards and requirements outlined in the “Preparation and Submission Manual for Doctoral Dissertations and Masters’ Theses” (as mentioned above). Details of the electronic doctoral dissertation filing are also included in the “Preparation and Submission Manual for Doctoral Dissertations and Masters’ Theses”.
8. Required Surveys: “Survey of Earned Doctorates” and the “UCSD Survey of Doctoral Degree Recipients” (exit survey)
   1. Students can access the SED survey at https://sed-ncses.org/, and they must print out the completion certificate to bring to their final appointment.
   2. Students will be emailed a link to the UCSD survey after their preliminary appointment with GEPA, and they must print out the final confirmation page to bring to their final appointment.
9. Final Appointment & Filing: Before the end of the quarter, the student will submit all the required paperwork to GEPA at their scheduled final appointment (see the “Dissertation Defense Paperwork” section below).

For the Dissertation Defense, all members of the student’s Doctoral Committee must participate in accordance with campus policy. 

The preferred means to conduct graduate examinations (doctoral qualifying examination and final dissertation/thesis defense) is when the student and all members of the committee are physically present in the same room. The Department of Literature has determined, however, that exams may be conducted in one of three formats: 1) in-person, with all members physically present; 2) hybrid, with no more than two members participating by live video teleconference, the others being in-person; or 3) remote, with all members participating via live video teleconference. It is expected that all committee members participating via video teleconference will do so synchronously. 

• Regardless of format, in the event that a committee member is unable to attend the scheduled exam (excepting the chair or co-chairs), it is permissible for the member a), to prepare material in advance, submitting it to the committee chair or co-chairs for inclusion during the exam, or b), to examine the student on a separate date.
• If an emergency arises resulting in more than one committee member being unable to attend the exam, the committee chair or co-chairs may use their discretion regarding how to proceed. There must be sufficient expertise among present members to examine the student.

The format of the defense (in-person, hybrid, or remote) will be determined by the student and committee chair(s) in conference with committee members. 

It is the student’s responsibility to work with their committee to schedule the defense and meet the above requirements. If any committee members will be telepresent or participating in advance, students should notify the Graduate Coordinator as soon as possible. Required paperwork for the defense must have wet signatures, so plans must be made to obtain original signatures from all committee members who will not be physically present (usually well in advance of the defense).

There are a number of documents that students will need to submit to GEPA at their final appointment in order to complete the dissertation filing process and be awarded their PhD. Several of the documents will be entirely the student’s responsibility to create and bring with them, while others will be created by the Graduate Office and provided to the student before the final appointment.

Student’s Responsibility:

• Original signature page (signed at the defense, in permanent ink) and one additional copy of the signature page
• “Dissertation/Thesis Release Form” (or “Embargo Form”), signed by the Committee Chair or Co-Chairs at the defense
• Three copies of the abstract (on plain paper)
• Completion certificate for the “Survey of Earned Doctorates”
• Final confirmation page for the “UCSD Survey of Doctoral Degree Recipients”
• Any other documents that GRAD DIVISION mentions at the preliminary appointment

Department’s Responsibility:

• “Report of the Final Examination and Filing of the Dissertation”, prepared by the Graduate Office and signed by all Doctoral Committee members at the defense, attesting that the student has passed the defense and that the student has completed all requirements for the degree

This form must be returned to the Graduate Office following the defense. The Graduate Office will route it to be signed by the Department Chair, and the PhD Coordinator will notify the student when it is ready to be picked up for filing with the GRAD DIVISION

Students Returning to Defend after a Withdrawal

Students returning to complete their PhD and defend should contact the PhD Coordinator for information about the process. In some cases, returning students will need to re-advance to candidacy. The details of this process will be coordinated by the department and the student’s Doctoral Committee.

• This process will also require additional paperwork to what is listed above. The additional paperwork will be prepared by the Graduate Office, signed by the Doctoral Committee at the defense, and then returned to the Graduate Office following the defense. The PhD Coordinator will notify the student when it is ready to be picked up for filing with GEPA.

Paying a Filing Fee in Lieu of Registration

In the quarter of their defense, students have the option of paying (the much cheaper) Filing Fee, instead of registering for courses and paying the regular tuition/fees. Students interested in this must contact the department in the quarter prior to their defense.

• This process will also require additional paperwork to what is listed above. The additional paperwork will be prepared by the Graduate Office, signed by the Doctoral Committee Chair at the defense, and then returned to the Graduate Office following the defense. The PhD Coordinator will notify the student when it is ready to be picked up for filing with GEPA.