Defense of Doctoral Dissertations

This document is provided for the information and general advice for students nearing the completion of their dissertations. The general rules regarding dissertations and defenses are set by the Graduate School, and are outlined in the NIU Graduate Catalog. Contact Prof. Dan Grubb for LaTeX macro files that will aid you if you are typing the dissertation yourself.


  1. Application to Graduate
  2. External Examiner (4-6 weeks before the defense)
  3. Defense Committee (3-4 weeks before the defense)
  4. Defensible Draft to the Defense Committee (3-4 weeks before the defense)
  5. Committee nomination and pre-defense copy to the Graduate School (at least two weeks before the defense)
  6. Dissertation Defense
  7. Submit Post-Defense version to the Graduate School. You should allow at least one week after the defense for this; this must be completed by the published deadline for graduation in a specific term.
  8. Final Version of the Dissertation

Deadlines for items 1, 5, and 7 are set by the Graduate School, and they are firm unless the student has obtained a written exception to the deadline directly from the Graduate School.

1. Application to Graduate

You must file an Application to Graduate form and pay the graduation fee by the published deadline in order to graduate in any particular term. This form must be signed by the Director of Graduate Studies or by the chair of the Department of Mathematical Sciences. The deadlines for applying for graduation for the coming academic terms are:


This needs to be done only once. If you do not graduate in the term applied for, the application is automatically re-activated for the next term. After that, you must inform the graduate school in writing by the deadline to re-activate your application to graduate.

2. External Examiner

The external examiner is someone external to NIU with expertise in the area of the dissertation. This person is nominated by the department chair and appointed by the dean of the Graduate School. The doctoral candidate is generally not directly involved in choosing or contacting the external examiner. Typically, the external examiner is suggested by the dissertation advisor, who may informally contact the person to see if they are agreeable to do the job. The department chair subsequently contacts the external examiner to formally ask for their participation. The external examiner must submit a written report on the dissertation to the department chair and the dean of the Graduate School prior to the defense of the dissertation. The external examiner is also invited to come to DeKalb to hear the dissertation defense, but it is not required that the external examiner be present at the defense.

The external examiner should be identified and contacted by the department chair at least four to six weeks before the anticipated defense date.

3. Defense Committee

The student and dissertation advisor prepare a list of people they suggest for the dissertation committee. This should include a proposed external examiner for the defense. Bring this list to the Director of Graduate Studies, who may ask for additions or changes to the committee, based on Graduate School rules or other concerns. This should be done three to four weeks before the anticipated defense date.

The defense committee is separate from the candidacy examination committee. A member of one need not be a member of the other.

Often members of the defense committee will not see a copy of the dissertation until the defensible version is distributed. However, it is perfectly fine for expected defense committee members to receive preliminary copies of the dissertation well before the defense, particularly if the student and dissertation advisor seek advice from the committee during the preparation of the dissertation.

4. Defensible Draft to the Defense Committee

A defensible copy of the dissertation should be distributed to the dissertation committee and the external examiner about three weeks before the anticipated defense date. At this time, a time and date for the defense should be found that is agreeable to every committee member, including the external examiner if they will be present at the defense. Give the date and time to the Director of Graduate Studies, who will determine a location for the defense and will coordinate the announcements of the defense.

5. Committee nomination and pre-defense version to the Graduate School

After the committee members have had time (several days at least) to read over the defensible copy of the dissertation, and a suitable date and time for the defense is determined, the student, the advisor, or the Director of Graduate Studies will circulate a Request for Oral Dissertation Defense form that all committee members except the external examiner must sign. This form is for the official nomination of the committee to the Graduate School. In signing this form, each committee member certifies that they have read the dissertation and that they agree to the scheduling of the defense. The completed Request for Oral Dissertation Defense form, together with a defensible copy of the dissertation, must be received by the Dean of the Graduate School at least two weeks before the defense. This is a firm deadline. It is the student's responsibility to deliver the necessary items to the Graduate School at least two weeks prior to the defense.

In the period between the defensible copy of the dissertation being distributed to the committee and the Graduate School and the dissertation defense, it is fine for the student to make further minor revisions of the dissertation as appropriate. If all changes are minor ones, then the student should just keep a list of these changes, which can be distributed to the committee a day or two before the defense. However, if any change is not so minor, it would be a good idea to distribute a new copy of the dissertation to the committee as soon as possible before the defense.

6. Dissertation Defense

First you make an oral presentation of your dissertation research (up to 50 minutes) that is open to the public. After a brief session of questions from the general audience, the audience is excused and the defense committee remains to question the student further on the dissertation.

7. Post-defense version to the Graduate School

The defense committee may approve the dissertation defense subject to certain revisions being made in the dissertation. There usually is at least several minor changes to be made in the dissertation after the defense. It is the responsibility of the dissertation advisor to see that the student carries out these changes satisfactorily.

Once these changes have been made, the dissertation is in its post-defense form. At this point, the Department of Mathematical Sciences has fully approved the dissertation, and the dissertation advisor signs a goldenrod form to certify that the changes in the dissertation asked for by the defense committee have been carried out.

The student will then submit the post-defense copy of the dissertation, together with the goldenrod form signed by the dissertation advisor, to the Graduate School. This must be done by a specific deadline each academic term in order to receive the doctoral degree that term. The deadlines for the coming academic term are:


Students are advised to defend their dissertations at least one week before the deadline, to allow time for making the changes called for by the defense committee.

Students should consult with the Director of Graduate Studies as soon as practicable regarding their anticipated defense date. Since the Director is generally a member of every dissertation defense committee, he may be constrained by other obligations which may force a change in the defense date that the student desires.

8. Final Version

The Graduate School will review the post-defense version of the dissertation, and will indicate any changes it wants. These are the generally basic editorial changes regarding margins, language, and bibliography style.

Make the changes and do whatever else the Graduate School asks. You will then have the FINAL VERSION of the dissertation! You will need to submit three copies of the final version, on an appropriate paper stock, and with the *original* signature of your dissertation advisor on each of the three copies submitted to the Graduate School.

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Last modified: 10/19/2015 (zjy)