Milestones and Examinations in the Chemistry PhD Program

Scoring of CRP & ORP Presentations & Defenses

Final Oral Exam & Defense – PhD & MS Degree

Typical Progress & Examinations

Students on a half-time assistantship enrolled in 6 or more hours per semester (fall and spring) are considered to be full time. If students complete two 3-credit courses each semester during their first year, giving particular emphasis to courses in their chosen track, coursework requirements for the PhD can normally be completed within 3 or 4 semesters. Some students who are especially well prepared may choose to take 3 courses per semester, thereby completing coursework requirements more rapidly. This would allow them to become completely dedicated to research earlier in their graduate career. Ultimately, fulfilling coursework requirements and meeting the residency requirement of the Graduate School is the responsibility of the student.

In addition to coursework, there are five significant milestones that PhD students must complete on their way to earning their PhD in chemistry:

Divisional Foundation Exam (DFE): All first-year graduate students are expected to pass the DFE associated with their chosen track, as described in Divisional Foundation Exam.
Candidacy Exam: In the Department of Chemistry, a student completes the candidacy exam by successfully writing and defending their candidacy research proposal (CRP). This occurs in the second year, and details and deadlines are provided in Candidacy Research Proposal and Exam.
Third Year Seminar: All PhD students prepare and present an open seminar based on their research in the summer of their third year. Details on this are covered in 3rd Year Seminar.
Original Research Proposal (ORP): Graduate students pursuing a PhD degree are required to prepare, present, and defend a proposal based on original research, and this must be completed by the end of their seventh (7^th) semester. Additional details and deadlines are described in Original Research Proposal Exam.
Defense of PhD Dissertation: A final examination based on a public presentation and a defense of the dissertation is required. The defense includes both an open portion and a closed session with the dissertation committee. Additional details are presented in Final Oral Exam and Defense.

These are not the only requirements for earning a PhD degree, which were outlined in Degree Requirements, but they are significant events. In particular, the CRP, ORP, and dissertation defense are key evaluative examinations that assess the preparation and progress of students. For students pursuing an MS degree, the only major examination is the public presentation and defense of the thesis.

Beyond the Third Year Seminar and the three exams, student progress and success in meeting academic standards are evaluated through First-Year Evaluations, which are completed by the Department, and annual evaluations made by advisors and dissertation committees. These are described in Academic Standing section of this Handbook.

The Department of Chemistry analyzes documents generated by students in fulfillment of degree requirements – CRP, ORP, and thesis or dissertation – through a plagiarism-checking software. Thus, whenever a student submits one of these documents to their thesis or dissertation committee, they are required to also submit it to the Administrative Associate for Graduate Programs (currently Hannah Johnson).

Divisional Foundation Exam (DFE, First Year)

The Divisional Foundation Exams (hereafter referred to as ‘DFEs’) are mandatory assessments for all first-year graduate students. DFEs are designed to i) provide our graduate students with structured feedback about gaps in their fundamental knowledge (which will enable them to pursue advanced research more efficiently); and ii) increase the likelihood that students will successfully defend their CRPs without the need for extensive remediation. DFEs will be constructed by faculty in the associated division, and these assessments will focus on division-specific concepts that should have been mastered during undergraduate chemistry courses. Graduate students will be required to pass the DFE associated with their chosen track before they will be allowed to register for their CRP.

DFEs will be administered three times during the first year: once near the beginning of the Fall semester, once at the end of the Fall term, and once in the Spring, semester. Students will have a maximum of three (3) attempts to pass the DFE associated with their chosen track. Students will be informed of their assessment outcome after each attempt, and they will work with a divisional representative to construct a plan for addressing any deficiencies. If a student has not achieved a passing score on the DFE for their track within three (3) attempts, then the student will be directed to the MS program.

Candidacy Research Proposal & Exam (CHEM 603, November-April of 2nd Year)

Deadlines and Registration Requirement:

Written proposal must be submitted by the last Friday of December before the official holiday break established by the University.
The defense of the written proposal must occur in the following semester before April 1.
Any activity assigned as part of a decision of “Needs Further Development” must be completed by July 1 of that year.
Enroll in CHEM 603 in the semester in which the written candidacy proposal will be defended. (If assistance with registration restrictions is required, see Linda Sherman.)

The non-coursework related portion of the candidacy requirement will be met by writing and orally defending a proposal based on the research that the student is performing. The proposal and examination should also cover general knowledge, i.e., this exercise will have both a focused research and a breadth aspect. This exam will be conducted in the student’s second year of study. The candidacy research proposal (CRP) will be reviewed and evaluated by the student’s dissertation committee, who administers the candidacy exam.

A. Format of the Candidacy Research Proposal (CRP)

A student’s candidacy research proposal (CRP) is a written proposal based on the student’s current and proposed Ph.D. research. The CRP should be 10 to 15 pages long (including figures, schemes, and tables; but excluding references) and follow the format of a major funding agency in the discipline of study chosen by the student. The CRP should include background information that situates the student’s research program in a broader context, a summary of work accomplished to-date, and describe in appropriate detail the proposed body of research work to be completed for the Ph.D. degree. Students are strongly encouraged to develop a CRP that clearly articulates the motivation for the proposed research, offers hypothesis-driven investigations, and plainly states key objectives.

This written document must be submitted to their dissertation committee by the last Friday of December before the holiday break established by the University.

Also, as noted in Typical Progress and Exams, when a student submits their CRP to their committee, they are required to send the document to the Administrative Associate for Graduate Programs.

B. Format of Oral Examination

A student will make an oral presentation and defend their CRP to their dissertation committee in the spring semester of their second year of graduate study. The examining committee will ask questions about the proposed research and the CRP document, as well as any additional reading material that is assigned to the student by the committee in advance of the defense. The CRP defense is intended to evaluate the student’s abilities to (1) understand relevant literature and foundational chemistry concepts, (2) describe the impact of the work in a broader context, and (3) demonstrate a suitable base of general knowledge in appropriate fields.

The CRP defense will typically last approximately 2 hours, comprising ~30 minutes devoted to presentation of the CRP and 1.0-1.5 hours for questions and discussion. In the semester that the CRP oral exam is given, students will need to register for CHEM 603 to receive credit, which can be done by contacting the main office.

The oral portion of the candidacy examination, defense of the CRP, must be administered no later than April 1^st.

In cases where the research has evolved significantly since the CRP document was submitted, students may choose to supplement their proposal with a 1-2 page addendum (not a proposal revision) outlining research progress since submission of the CRP. This must be delivered to the committee at least two weeks before the scheduled oral examination.

C. Possible Outcomes

There is one outcome only for the activity embodied in writing and defending the CRP: Students either “Pass” or “Fail” this multi-part candidacy exam. If student submits their CRP document by the deadline described above, the committee makes its evaluation after the student defends their candidacy research proposal with one of these choices:

(a)Pass: The examination committee unanimously agrees that the student’s CRP document, presentation, and defense reflects an appropriate and thorough knowledge of their research, the research field, and the underlying fundamental chemistry, therefore meriting a decision of “Pass.”

(b) Fail: The examination committee unanimously agrees that there are serious deficiencies in a student’s preparation, knowledge, and comprehension of core concepts that are intrinsic to chemistry and to their research, imperiling success as a doctoral candidate in chemistry. In such cases, a student will be directed to the M.S. program.

(c) Requires Further Development: In this case, the examining committee agrees to defer their Pass/Fail decision until additional evaluation takes place. That evaluation is based upon assigned remediation activities established by the committee. The purpose of deferring the decision pending further development is to allow the student to address deficiencies revealed through the evaluation of the CRP document or/and the presentation and oral defense. Remediation may include additional written content or/and an additional presentation with a question-and-answer session to follow.

In cases where the examining committee decides that further development is required, the examination committee will develop and describe to the student an activity (or set of activities) designed to help the student achieve mastery by addressing the weakness(es). The particular activity is at the discretion of the examining committee, and it may include revision of the CRP written document, the development of a short addendum aimed at clarifying aspects of their proposed research or shoring up key weaknesses, a re-defense, which may include additional content, or a combination of such activities.

Under this scenario, the chair of the examining committee is charged with delivering to the student, a concise written description of the required activity, including deadlines. Ultimately, and as stated above, all of these activities must be completed and a Pass/Fail decision is rendered by the examining committee by July 1 to determine if the student will gain entrance to the Ph.D. program.

When Further Development is required, a minimum of 3 votes of “pass” from the examining committee, as well as concurrence from the committee chair, is needed for a decision of “Pass.” In a case where the minimum of 3 “pass” votes from the examining committee with concurrence from the chair is not established, the student will be directed to the M.S. program.

D. Alternate Timelines for Examination

There are two situations in which the timeline of the CRP-based candidacy examination will be adjusted:

Students who enter the Ph.D. program in the Spring semester, and are off sequence, will be grouped with the class entering in the upcoming Fall semester. In other words, these students will submit the proposal in their fourth semester in residence.
Students who change research groups in their first year of study will be given a three-month extension on all CRP deadlines.

Students who change groups at a later date are required to petition the Graduate Student Advisory Committee for reconsideration of the timeline for candidacy. Students who face extenuating circumstances also may petition the Graduate Student Advisor Committee. Except in the most unusual circumstance, these petitions must be submitted in advance of the stated deadlines. These petitions will be decided on a case-by-case basis. Timelines for students who are granted a Leave of Absence will be adjusted accordingly on a case-by-case basis.

E. Receiving Credit for the Candidacy Examination (CHEM 603 – Candidacy Proposal, 2 hours)

To receive credit for the candidacy examination, students enroll in the two credit hour course CHEM 603 Candidacy Proposal, normally during the Spring semester in which they will have the oral defense of their CRP. Students who successfully complete CHEM 603 fulfill the requirements for Ph.D. candidacy. Thereafter, they may begin enrolling in CHEM 600.

3rd Year Seminar

During their third year in the PhD program, PhD students will present an open seminar describing their research project and progress to-date. These seminars will be organized by the head of each division (Analytical, Inorganic, Organic, Physical, and Polymer) and 3^rd year students will present within the division that they have selected for their “track” (concentration area). Each member of the student’s dissertation committee must attend their 3^rd Year Seminar. If a member(s) must miss the seminar, the student will set up an independent meeting to make the presentation to those who cannot attend.

Division heads should consult with research advisors whose students will be giving their 3^rd Year Seminar, and assign each 3^rd year student presenting in the division a date and time for their presentation. Although these series are organized by the divisions, they are open to all students and faculty and to the public.

Original Research Proposal Exam (CHEM 604, 4th year, by the end of the 7th semester)

Deadlines and Registration Requirement:

Written proposal must be submitted to the committee by November 1.
The defense and any activity assigned as part of “Requires Further Development” must be completed by the last day of final exam week.
The ORP document must be submitted to the committee two weeks prior to the scheduled defense.
Enroll in CHEM 604 in the semester in which the original research proposal is written and defended. (If assistance with registration restrictions is required, see Linda Sherman.)

PhD candidates must generate and successfully defend an Original Research Proposal (ORP). Passing the ORP is a graduation requirement that must be completed by the end of the student’s seventh semester in the program (typically the Fall of the 4^th year). As noted above, during the semester in which the student generates and defends their ORP, they are required to register for CHEM 604 Original Research Proposal, which is a 1 credit hour course.

A. Format of the Original Research Proposal (ORP)

Like the CRP, the ORP has a written component and an oral defense. For the written portion, a student will work independently to author a proposal not more than 15 pages in length on a topic that is sufficiently different from the student’s dissertation research. In addition, the topic must be clearly differentiated from ongoing or prior research in the group. The ORP document should clearly express motivation(s), overarching goal(s), and key research objectives. Sufficient background information that situates the proposed activity and justifies themes of research should be included in order to establish the need and significance of the proposed, original research. As with the CRP, students are strongly encouraged to offer hypothesis-driven investigations that connect to key objectives and goals.

Each student is required to append their current CV to their ORP so that it is distributed to the examining committee, which is the student’s dissertation committee. The CV is not counted in the 15 page limit of the ORP. The CV must document that the student has given a public presentation of their dissertation research, either as a poster presentation or oral presentation at a symposium, conference, meeting, or workshop, including departmental events, during their graduate career.

Also and as noted in Section 6.1, when a student submits their ORP to their committee, they are also required to send the document to the Administrative Associate for Graduate Programs (currently Kendra Bilbo).

B. Format of the Oral Examination

A student will make an oral presentation and defend their ORP to their dissertation committee. The exact timing of this defense is up to the student; however, the following points must be considered and are re-emphasized:

The ORP document must be submitted to the examining committee two weeks prior to the scheduled defense, and
The entire process, including any activity(ies) assigned as “further development”, must be concluded by the last day of final exam week.

The ORP defense will typically last approximately 2 hours, comprising ~30 minutes devoted to presentation of the ORP and 1.0-1.5 hours for questions and discussion. Students will be evaluated based on their ability to (1) confront a new area of chemistry and understand foundational concepts within that area; (2) identify an original research problem and formulate a plan of research that addresses that problem; and (3) justify the appropriateness of the research plan and articulate expected outcomes.

C. Possible Outcomes

There is one outcome only for the activity embodied in the writing and defense of the ORP: Students either “Pass” or “Fail” this requirement. If a student submits their ORP document by the stated deadline, the committee makes its evaluation after the student defends their original research proposal with one of these choices:

(a) Pass: The examination committee unanimously agrees that the student has successfully and independently developed, presented, and defended an original research idea. In so doing, they have demonstrated appropriate mastery of a new subject area and thoughtfully proposed a suitable set of research activities designed to address key objectives and address the research goal(s). In addition, the student must meet the requirement of having given a public presentation of their dissertation research. As a result, the student earns a decision of “Pass.”

(b) Fail: The examination committee unanimously agrees that there are serious deficiencies in, for example, a student’s preparation, knowledge, and comprehension of core concepts intrinsic to the proposed original research, or in formulating hypothesis-driven research designed to address key objectives and goals. In such cases, a student will be directed to the M.S. program.

(c) Requires Further Development: In this case, the examining committee agrees to defer their Pass/Fail decision until additional evaluation takes place. That evaluation is based upon assigned remediation activities established by the committee. The purpose of deferring the decision pending further development is to allow the student to address deficiencies revealed through the evaluation of the ORP document or/and the presentation and oral defense. Remediation may include additional written content or/and an additional presentation and re-defense.

Under this scenario, the chair of the examining committee is charged with delivering to the student, a concise written description of the required activity. Ultimately, all of these activities must be completed and a decision rendered by the examining committee no later than the last day of final exam week. In order to “Pass,” the committee must be unanimous in their decision and the student’s CV must document a public presentation of their dissertation research.

D. Alternate Timelines for Examination

The one situation in which the timeline of the ORP will be automatically adjusted:

Students who enter the Ph.D. program in the Spring semester will be grouped with the class entering in the upcoming Fall semester. In other words, these students will submit and defend their ORP in their 8th semester in residence.

Students who face extenuating circumstances may also petition the Graduate Student Advisor Committee for a revision of the ORP timeline. Except in the most unusual circumstances, these petitions must be submitted in advance of the stated deadlines. These petitions will be decided on a case-by-case basis. Timelines for students who are granted Leave of Absence will be adjusted accordingly on a case-by-case basis

E. Receiving Credit for the ORP – Chemistry 604 (Candidacy Proposal, 1 hour)

To receive credit for the ORP, students enroll in the one credit hour course CHEM 604 Original Research Proposal during the semester in which they write and defend the ORP.

Scoring of CRP and ORP Oral Presentations and Defenses

Examining committees are required to score the CRP and ORP oral defense for each student. The categories of the evaluation are listed on the scoring sheets appended to the CRP and ORP Outcome forms (available on the Department website). These categories include understanding and application of fundamental chemical principles, the quality of the written document and oral presentation, extent of progress in research, and the originality or intellectual contribution to the research project. This scoring process is used to evaluate strengths and weaknesses of each student and assess the graduate program as a whole. A student’s scores may be taken into consideration as part of a student’s annual evaluation or in selecting students for departmental awards.

Final Oral Examination and Defense – PhD and MS Degrees

The steps to graduation, which includes instructions and links to forms and deadlines, are outlined and described at this Graduate School website: http://gradschool.utk.edu/graduation/steps-to-graduation/. Students are strongly urged to familiarize themselves with these processes and requirements of the Graduate School, as advanced planning and lead-time are required for many of these final steps, such as applying for graduation, scheduling the defense, submitting a draft of the dissertation (or thesis) for review by the Graduate School, delivering the full dissertation to the committee, and submitting the final dissertation.

Although the following policies and protocols are mostly described in terms of student’s defending their dissertation to earn their PhD in Chemistry, the same provisions, including timing and deadlines, apply to students defending their thesis and earning their MS in Chemistry. In addition, because the University has a formal check-out process (see Exit Process), all graduate students are required to inform the Administrative Associate for Graduate Programs as soon as they have an intended graduation semester.

A PhD candidate must pass an oral examination focused on the research described in the dissertation. The dissertation, in the form approved by the major professor (advisor), must be distributed to the committee at least two weeks before the examination. At this time and as noted in Section 6.1, when a student submits their dissertation (thesis) to their committee, they are required to also send the document to the Administrative Associate for Graduate Programs for plagiarism checking.

Students are advised to begin the process of scheduling their final examination (dissertation defense) well in advance: the Graduate School sets deadlines for defending and coordinating the schedules of all committee members is typically challenging. In addition, the dissertation defense must be announced publicly and in advance. The defense of dissertation will be administered by all members of the doctoral committee after completion of the dissertation and all course requirements. This examination must be held at least two weeks before the final date for acceptance and approval of dissertation, as listed on the webpage detailing Graduation Deadlines (https://gradschool.utk.edu/academics/graduation/graduation-deadlines/). The major professor or the department must submit the results of the defense Pass/Fail form (Graduate School form) with the committee signatures by the deadline date. As described below, it is preferable that all forms related to the final dissertation defense and dissertation acceptance be submitted by the Administrative Associate for Graduate Programs so that the Department can retain records in the student’s file.

The oral examination is conducted by the student’s full dissertation committee. Generally, it involves a public presentation based on the dissertation (or thesis) research, and this is followed by an open period for questions from the audience. Following the public presentation and questions from the audience, the audience is dismissed and the examination closed for discussion with the committee and questions. When the committee feels they are suitably informed, they confer privately to reach a decision regarding the defense examination, and following that, communicate their decision to the degree candidate. The committee also completes and signs the “Report of Final Examination/Defense of Thesis or Dissertation” form, which is used to communicate the results of the final examination to the Graduate School.

In addition, the committee confers to reach a decision on the acceptability of the dissertation. The committee may decide to accept the dissertation in current form, or they may recommend or require revisions. In those cases, the committee has discretion over when they convey acceptance of the dissertation by affixing their signatures to the “Thesis/Dissertation Approval” form: They may choose to withhold their signatures until they have the opportunity to review the revised dissertation, or they may assign to the major advisor the responsibility of verifying minor changes were implemented. Ultimately, it is the student’s responsibility to revise their dissertation such that it meets the approval of their committee, to ensure their dissertation (thesis) adheres to formatting requirements set by the Graduate School, and to submit the final, approved version. Transmission of the finalized dissertation to the Graduate School constitutes the last milestone prior to official conferral of the degree.

The Graduate School will not accept the Pass/Fail form if it comes from the student; thus, it is recommended that the advisor submit the signed form(s) to the Administrative Associate for Graduate Programs in Main Office, who will submit the form to the Graduate School. The Thesis/Dissertation Approval form must either be delivered in-person to the Graduate School or by email. If sent by email, this form must be sent from the advisor or from the department, not the student. The Department of Chemistry requires copies of the Thesis/Dissertation Approval” form and the “Report of Final Examination/Defense of Thesis or Dissertation” form after they are signed. For all of these reasons, students and advisors are most strongly advised to place the responsibility for submitting completed forms with the Department.