Oral Preliminary Exam

A. Overview of the Oral Preliminary Exam

The principal goal of the oral preliminary exam is to determine if the student has the competence and capability to carry out and complete a Ph.D. thesis in Chemistry. Students must pass the oral preliminary examination to attain candidacy in the Ph.D. program. Click here to jump to the details on how to schedule your OPE at the bottom of this page.

COMMITTEE CHANGES

The members of the oral preliminary examination committee will automatically be the same three Chemistry faculty members who served on the student's written preliminary exam committee, plus one additional committee member from outside of Chemistry. This new name should be submitted to 115 Smith. Any changes to assigned committees beyond this outside member addition require approval by the Director of Graduate Studies. Report any necessary changes to the Graduate Operations Office in 115 Smith. NOTE: It is virtually impossible (by Graduate School policy) to change the membership of an oral preliminary examination committee between the first and second attempts at the exam. 

During the oral examination, the committee will ask questions to explore whether the student has enough foundational knowledge of pertinent topics in their chosen field to think deeply and systematically about chemical research at the Ph.D. level. 

STRUCTURE AND FORMAT

The oral preliminary exam in Chemistry can be taken in two different formats: DR, dissertation research format, or IP, independent proposal format. The advisor(s) select(s) the format of the oral preliminary exam in consultation with the student.

Dissertation Research (DR) Format

The DR format of the oral preliminary exam in Chemistry will begin with a 25-minute presentation by the student covering the following topics related to their Ph.D. research: 

1. • the objective of, motivation for, and potential impact of the thesis research

   • the scientific background for their project, detailing the relevant work that has already been done and how this informs their proposed thesis work

   • the technical methods that will be used

   • the thesis research plan

   • the research progress made to date

Following the presentation, there will be a period of questions related to the research presentation. The student should show that they have thought about their results (even if there were unexpected outcomes) and have planned future experiments in a systematic way. A logical flow of questioning will expand from the proposed research to include literature topics related to the work, fundamental concepts that were covered in coursework and are integral for proceeding with the thesis research, and applications of knowledge to new or hypothetical systems.

A short break is recommended around the 1 hour mark for the student to regroup. During this time, the committee may discuss topics and questions that should be further explored after the break, but should refrain from discussing their opinions about how the exam is going up to that point, as per Graduate School policy. The exam will reconvene with an additional period of questioning on topics that were deemed by the committee in their discussion during the break to be not fully explored.  Once these topics are addressed, the student will be excused and the committee will confer and render an outcome decision.

Independent Proposal (IP) Format

In the IP format of the oral preliminary exam in Chemistry, the student must present an original research proposal that is appropriate for a Ph.D. research project. The topic must be approved by their oral preliminary exam committee and must not be closely related to the student's own dissertation research or duplicate on-going research in the department or published research. The student should not consult faculty for ideas, feedback on the proposal, or solutions to specific problems prior to the exam. The student does not need to carry out any of the independent proposal as a part of their dissertation research.

The student must prepare a 200-word abstract of the proposal with pertinent references to be submitted for approval to the committee members four weeks before the exam date (see Schedule below).

The IP format exam itself will consist of two presentations.  

1. 1. The first presentation will be on the student's thesis research progress to date and future plans. The student should prepare a 10-15 minute presentation on their research and expect to spend a commensurate amount of time answering questions from the committee.  The student is encouraged to consult with their advisor about the length and content of this presentation as it may vary depending on the amount of research progress that has been done.  The purpose of this first presentation is to provide an overview of the student's research plans for the whole committee (which now includes one new member who did not read their written preliminary exam dossier).  It is also an opportunity to highlight any new research progress that has been made since the written preliminary exam was submitted several months earlier. This is a good opportunity to receive advice and feedback that will help refine their research directions. 

   2. A short break is recommended following the first presentation for the student to prepare for the IP presentation. During this time, the committee should refrain from discussing their opinions about how the exam is going up to that point, as per Graduate School policy

   3. The second presentation will focus on the independent proposal. The student should prepare a 20 minute presentation on their IP and expect to spend a commensurate amount of time answering questions from the committee.  The questions will follow logically from the student's IP presentation, and will expand from the proposed research to include literature topics related to the work, fundamental concepts that were covered in coursework and/or are integral for proceeding with the research topic, and applications of knowledge to new or hypothetical systems. 

EVALUATION (APPLIES TO EITHER FORMAT)

In evaluating either the DR or IP format oral preliminary exam, committee members will assess the student's performance in each of the following areas:

1. OBJECTIVES

• • Have the goals of the proposed research been clearly stated?  

  • Did the student make a compelling case for the importance and potential impact of this research?

  • Will the successful completion of the proposed research constitute a non-trivial extension of current understanding?

2. SCIENTIFIC BACKGROUND

• • Has an adequate research and evaluation of background literature been undertaken? 

  • Did the student demonstrate a thorough understanding of background research? 

  • How effectively does the student use previous research to support their proposed research?

  • Did the student demonstrate a thorough understanding of fundamental concepts from coursework that is applicable to their proposed research?

  • Did the student identify the knowledge gaps and/or potential controversies that the proposed research aims to address?

3. METHODOLOGY

• • Have the appropriate techniques and methods been selected?

  • Did the student demonstrate sufficient understanding of these methods?

  • Have weak points been identified and alternative approaches proposed?

4. PRESENTATION

• • Was the presentation of the research plan organized, logical, coherent, and convincing?

• • Have questions that arose during the exam been satisfactorily addressed?

  • Was the student sufficiently well-versed in this field of chemistry to competently carry out the proposed research?

5. RESEARCH PROGRESS

• Has the student made reasonable research progress to date in their respective sub-area of Chemistry?

• Did the student analyze their data and draw reasonable conclusions based on fundamental chemical principles?

B. Schedule for the Oral Preliminary Examination

The Oral Preliminary Exam can be scheduled at any time after the committee is assigned, but typically students schedule their OPE after passing their Written Preliminary Exam. Since most WPEs require at least minor revisions, students are encouraged to schedule the Oral Preliminary Exam to take place in December or January. The first two weeks of Spring Semester are usually very busy and it may be advantageous to schedule the exam to take place before the start of Spring Semester. Oral exams occasionally last longer than 2 hours; room reservations for 2½ hours are recommended.  Listed below is the standard schedule for students beginning the Ph.D. program in the fall semester.

Four Weeks before the Scheduled Exam Date: If the student plans to take the oral preliminary exam under the IP format, then a brief abstract (less than 200 words) must be submitted at least four weeks before the scheduled exam date to the committee. The committee must decide within one week after submission of the abstract whether the proposed topic is sufficiently independent of the student's dissertation research. If the committee concurs, then the exam can go ahead as scheduled. If not, then the student needs to schedule the oral preliminary exam at a later point and submit a new abstract at least four weeks before the new scheduled exam date to the committee. Again, the committee must decide within one week after submission of the abstract whether the proposed topic is sufficiently independent of the student's dissertation research. If the committee concurs, then the exam can go ahead as scheduled. If not, then the student will take the oral preliminary exam under the DR format on the scheduled date.

Two Weeks before the Scheduled Exam Date: The time and date of the oral preliminary exam must be officially scheduled/registered with the Graduate School (333 Bruininks Hall) by submitting the Scheduling Form obtained from the Graduate Operations Office in Smith 115. 

Second Friday of Spring Semester: To allow for timely progress toward the Ph.D. degree, students are strongly encouraged to schedule the oral preliminary exam to take place before the second Friday of Spring Semester to allow them to take CHEM 8888 thesis credits during Spring Semester.

Last Friday in March: This is usually the last day at which the first attempt at the oral preliminary exam can take place and still allow for a second attempt after the mandatory minimum period of 10 weeks required by the Graduate School for any retake, but before the Chemistry deadline for passing the oral preliminary exam.

Last Day of May Term (mid-June): A student must pass the oral preliminary exam by the end of May Term following the second academic year in residence to remain in good standing in the Chemistry Ph.D. program. A second failure of the oral preliminary exam at any time requires permanent removal from the Chemistry Ph.D. program according to UMN Graduate School policy.

Students who have not made an initial attempt at the oral preliminary examination ten weeks before the start of Summer term of their second year or who have not passed this examination by the beginning of Summer Term of their second year will no longer be in good standing in the Ph.D. Program. They will be reclassified into the M.S. program and will be reconsidered for the Ph.D. program only under extraordinary circumstances. The oral preliminary exam also serves as the Final Defense for students' M.S. Plan B degree. 

For students beginning the Ph.D. program in the Spring semester, an alternative schedule will be established by the TMC or the DGS, generally following the Spring Entrance Schedule. 

C. Outcomes of the Oral Preliminary Exam

Possible outcomes of the first attempt:

• • Pass

  • Pass with reservations (conditionally passed with specific subject matter deficiency to be made up through specified means; the chair of the exam committee must inform the student in writing within one week about the specific means required to remove the reservation)

  • Fail with one retake allowed (10 weeks must pass before the retake can take place; the chair of the exam committee must inform the student in writing within one week after the exam about any specific areas of improvement identified by the exam committee. The letter should explicitly comment on specific recommendations given to the student in view of the retake. A copy of this letter should be sent to the Graduate Operations Office.)

  • Fail and no retake allowed

Possible outcomes of the retake:

• • Pass

  • Pass with reservations (conditionally passed with specific subject matter deficiency to be made up through specified means; the chair of the exam committee must inform the student in writing within one week about the specific means required to remove the reservation)

  • Fail

D. Additional Information

Students should not provide food and/or drinks at the oral preliminary examination.

It is strongly advised that students remind faculty committee members in writing or by e-mail of the time, date, and location of the oral preliminary examination the day before the exam. If a full committee of faculty is not assembled for the exam, there is usually no option but to postpone the exam—an event inconvenient for all involved.

Students who must delay taking their oral preliminary examination until after the 11th week before the end of Spring/Summer intercession of their 2nd year in residence due to extenuating circumstances must submit a letter or email of explanation to the Director of Graduate Studies. In all cases, the oral preliminary exam must be passed by the last day of the May session of the second year in residence.

In the case of other special circumstances, a student may petition the Director of Graduate Studies for an exception. The petition must be submitted at least one month prior to the deadline in question and must include a proposed alternative date.

The deadline for passing the oral preliminary examination for students classified as M.S. students and later reinstated in the Ph.D. program is 6 months after readmission to the Ph.D. program. Students not passing the Ph.D. oral examination by this deadline shall be reclassified to the M.S. program again and this reclassification will be final.

For some insight into faculty perspectives about the Oral Preliminary Exam, check out this video.  The first portion focuses on the DR format (previously referred to as the "RC format" when this video was made) and the later part is specific to the IP format.

Preparation For the Oral Preliminary Exam and M.S. Final Defense

The oral preliminary exam for your Ph.D. is usually the Final Defense for your M.S. Plan B degree. The committee will take a separate vote for each of the decisions. For Spring Semester 2023, the final day on which you can have your examination is Monday, January 30, 2023. That is the last day on which you can pass your oral preliminary exam and then change your Spring 2023 registration to Doctoral Thesis Credits (CHEM 8888). It is not recommended to wait until the last possible day.  See the staff in 115 Smith if you have questions about this.

For all graduate students, here are the steps and forms YOU need to take care of prior to meeting with your committee for your exam:

A. Master's Degree (M.S. – Plan B) Final Defense

1. Download Graduation Packet. The Graduation Packet contains the Graduate Application for Degree and the Final Examination Report Form.

2. Fill out the Graduate Application for Degree –The online form should be submitted no later than the first calendar day of the month in which you will have your OPE/M.S. Final Defense. Go to www.myu.umn.edu and follow procedures to graduate.

NOTE: If you are going to have your OPE/M.S. Final Defense in January, you may submit this form after the first calendar day of January, and still schedule your exam(s) for the month of January. That will result in your degree appearing on your transcript in February instead of January. For nearly all students, this is not a concern.

3. Fill out the Final Examination Report Form: This is the form your advisor/chair will submit at your Oral Prelim/M.S. Final Defense. You are responsible for initiating the form which is sent to your UMN email.

Letter grades for CHEM 8081 and CHEM 8082: At the conclusion of your exam, your committee will assign two letter grades for the M.S. Plan B Project courses on your transcript for Fall term. If you get an e-mail notice prior to your exam from the Graduate School about these “missing” grades, that is normal. Know that those grades will be entered after the exam.

B. Ph.D. Oral preliminary exam

To prepare for your oral preliminary exam: 

1. Find a date and time that works for all of your committee members. This is typically done by the student emailing the committee members with a set of potential dates.  Often an online scheduling poll is used such as Doodle or WhenIsGood. 

2. A room should be reserved using the Department of Chemistry's room reservations system.  The room should be reserved for 2.5 hours. 

3. Once you have determined the date, time and location of your oral preliminary exam, complete the online oral preliminary exam Scheduling Form at least one week before your exam.

Students need to register for 24 credits of CHEM 8888 (Ph.D Thesis Credits), divided between the two semesters following your passing the oral preliminary exam. Your tuition benefit covers 14 credits per semester. You may divide the 24 credits of CHEM 8888 between the two terms however you wish.

C. Registration for Spring term

The following instructions assume you are not taking any actual (instructor-taught) courses in Spring term after completing your OPE.

1. 1. IF your oral preliminary examination will be prior to Monday, January 30, 2023, you should register for 6 credits of CHEM 8666 (Pre-Thesis Credits.) If you pass your exam, you should take your signed form to 333 Bruininks Hall and change your spring term registration to 14 credits of CHEM 8888 (PhD Thesis Credits.) 

   2. IF your oral preliminary examination will be after Monday, Janurary 30, 2023, you should register for 6 credits of CHEM 8666 (Pre-Thesis Credits) for Spring term. Your registration will not change at all after your exam(s).