Preliminary Written and Oral Examinations

The Written Preliminary Examination (WPE) and Oral Preliminary Examination (OPE) are the first department-wide evaluation of a student's research ability in the Ph.D. program. Students are encouraged to take the Written and Oral Preliminary Examination by the end of their second year in the Ph.D. program and are expected to pass the two exams by the end of their third year in the program.

To become eligible for these exams a student must have an approved GPAS Planner on file. Prior to taking the OPE/WPE students are expected to have satisfied background and breadth knowledge requirements, however, this is not required.

Doctoral students in the Computer Science Ph.D. program must complete both the WPE and OPE to become eligible for CSCI 8888 (Doctoral Thesis Credits). The department does not have the authority to grant exceptions to this policy.

Things to remember

Satisfy background knowledge requirements. The department expects students to complete any needed background knowledge courses during the first year.
The department also encourages students to satisfy the breadth requirement prior to taking the WPE, but this is not a requirement. These include four (4) courses with at least one in each of three (3) subject areas.
Submit the GPAS Planner. It is a University requirement that students have an approved GPAS Planner on file before they can take the WPE. This form outlines the courses a student has already completed, and plans to take, that will count towards the 31 coursework credits required for a Ph.D. degree. For more information on required course credit check our overview page.

Best Practices

The written report and oral exam must demonstrate the ability of a student to do research. Each area and advisor have a different set of expectations regarding how a student demonstrates research ability. Because of this, we cannot specify precisely what a written report or oral presentation must include. We can, however, offer a few “best practice” examples that are considered to be acceptable in most or all research areas.

Completed research project. A report on a research project completed while a graduate student at the University of Minnesota. Since the written report serves as a test of the student’s own research capabilities, including the ability to communicate clearly and effectively in written English, we require that the report consist wholly of material independently written by the student. The length of the report must be sufficient to demonstrate the student’s own research knowledge and their independent writing capabilities.
Literature review. A careful and insightful review of research in the student's specialty area. This review should demonstrate a student's understanding of key research topics and methods in the area and show that he or she can identify interesting and open research problems as well as an appropriate means to address such problems.

Written and Oral Preliminary Examination Committee

The written and oral preliminary examination committee consists of four (4) individuals:

The student's advisor (note: your advisor can't serve as the committee chair. Any other member of the committee below can serve as chair. This change is effective June 2018.)
One faculty member from the Computer Science & Engineering department.
One faculty member from outside of the Computer Science & Engineering department. This member is typically from your minor field of study or someone who has some knowledge of your research.
One committee member appointed by the Director of Graduate Studies from a pool of departmental faculty with departmental representative duties.

All members serving on a committee must have graduate education responsibilities. Occasionally, an individual from an outside university or from industry with whom you have been collaborating may serve on your committee. In this case, the department requires the following material to approve the outside committee member:

A short narrative regarding why this individual would be a good addition to your committee.
A copy of that person’s CV.

Upon receipt of this information, the department will request approval of the committee member from the Associate Dean of Graduate Education in the College of Science and Engineering. Questions regarding this process should be directed to the Graduate Program Coordinator. Once a student's committee has been determined, they will fully assign their committee members via an online portal at the graduate school website (One Stop Site regarding committees). The committee assignment cannot be done until after you have received notification that your GPAS Planner has been approved and entered into a university-wide database. A student's committee must be approved by all committee members, the Director of Graduate Studies, and the College of Science and Engineering.

Written Preliminary Report

The Written Preliminary Report serves as a test of the student’s own research capabilities, knowledge, and ability to communicate clearly and effectively in written English. The report should be of a length similar to a medium-length conference publication, that is about 4,000-8,000 words not including references (equivalent to 6-10 pages following ACM’s SIG Proceedings format). The list of acceptable WPE documents goes beyond traditional formats (e.g., literature reviews, completed research projects). Students may submit any document type deemed appropriate for their research area, this includes but is not limited to experiment and analysis papers or any other research outputs commonly accepted in their field. Faculty advisors will confirm with the preliminary exam committee at the time of submission that the submitted WPE document aligns with the research area’s standards. The same committee will examine both the written report and the oral exam.

After the WPE has been initiated, the student should allow for at least two weeks for the paper to go through the review process. Once a decision has been rendered to the GPC, the student will be alerted to the outcome of the examination and be given next steps. A student who passes the WPE may continue on to schedule the Preliminary Oral Examination. A student who does not pass the WPE may or may not be given the opportunity to retake the examination depending on the decision of the WPE committee.

Process for Scheduling the WPE and OPE

Initiating the WPE/OPE Request

The PhD student will email [email protected] to express their intention to schedule both the WPE (Written Preliminary Exam) and OPE (Oral Preliminary Exam) within the current semester.
The student must indicate:
- Their preferred time frame for both exams.
- The names of their three committee members, which should include:
  - Two CSCI faculty members to include their officially assigned advisor.
  - One committee member from a major outside of the CSCI department.
- Any listed advisor or co-advisor, as required by University policies.
- Any non-UMN committee member must already be fully approved and assigned UMN credentials.

Response from [email protected]

[email protected] will reply to the student, confirming the department-assigned committee member required for the WPE and OPE process. This ensures that all necessary committee members are identified and included before proceeding with scheduling.
The department will send a message to all committee members + the student outlining the preliminary exam process, timeline and expectations.

Scheduling the OPE

After confirming the committee members, the student will schedule the OPE with the committee at a mutually agreeable time within the semester.
The student should schedule promptly to avoid delays.

WPE Submission

The student must submit their WPE document to the committee members at least two weeks before the scheduled OPE. This ensures sufficient time for committee members to review the report and provide feedback.
The student will send one email to all committee members (including [email protected]) with the WPE document attached as a PDF.

Committee Review and Response

During the two-week review period, committee members may place a "hold" on the OPE if they feel the student is not yet ready to take the exam based on the WPE.
The student is responsible for tracking any holds and sending reminders to committee members to ensure timely feedback.
If no holds are placed by the committee members within the two-week review period, the student may assume the WPE is satisfactory and proceed with scheduling the OPE.

OPE Day and Paperwork Completion

On the day of the OPE, the committee chair may choose to hold a closed discussion with the committee to discuss the WPE and confirm if the student is ready for the oral exam.
The committee members will then send a message to [email protected] confirming that the WPE should be recorded as a pass.
CSGrad will record the result in the official UMN system and provide next steps for both the student and committee chair, which includes submitting the final OPE result retroactively.

Policy for WPE and OPE Process

Responsibility for Timeliness

The student is responsible for ensuring that the WPE is sent to committee members at least two weeks before the OPE.
The student must actively track the progress of the review process and follow up with committee members to avoid delays.

Committee Member Obligations

Committee members must review the WPE and respond within the two-week period, indicating whether they approve (pass) the WPE.
If a committee member believes the student is not ready for the OPE, they must notify the student, their faculty advisor, and [email protected] promptly within the two-week review period. This allows the student to make necessary revisions or adjustments.

Communication and Follow-Up

The student is responsible for maintaining open communication with their committee throughout the process.
In the case of any delays or issues, the student must send polite and professional reminders to committee members to ensure the process stays on track.

Streamlined Scheduling

The WPE and OPE will be treated as a unified process, allowing students to seamlessly transition from the WPE review to OPE scheduling without additional delays, improving efficiency and reducing anxiety.

Accountability and Consequences

Failure to follow the outlined process, such as not submitting the WPE on time or failing to track committee responses, may result in delays that affect the student's academic progress and funding.

By adhering to this updated process, we aim to minimize unnecessary delays, provide students with clear guidance on expectations, reduce the impact on faculty and staff resources and foster a more efficient and predictable experience for both students and committee members.

Possible outcomes of the exam

The committee may pass, pass with reservations or fail the student. A student must receive at minimum a 3-1 vote to pass the exam. If a student passes the examination " with reservation" the examination committee will provide in writing the conditions that must be met in order to remove the reservations within 7 days of the examination. If the student fails, the committee may choose to terminate the student or vote unanimously to allow the student to retake the examination. A student can have at most two chances to pass the Oral Preliminary Examination. A student must pass the exam within three years of entry to the Ph.D. program.

Using the WPE/OPE for the Computer Science M.S.

Doctoral students can earn a Computer Science M.S. degree along the way to completing their Ph.D. by using the same coursework taken for the doctoral program. The Computer Science M.S. program has slightly different academic requirements, proper planning is required to ensure full completion of all academic requirements for both programs should a student choose to pursue this option. Doctoral students are allowed to pursue a M.S. Plan B and use the WPE/OPE exams as their Plan B project and defense. The same committee can be used for both the Plan B defense and the OPE, however, you must submit two separate GDP forms and two separate committees through the graduate school scheduling system. Please check with the Graduate Program Coordinator for additional information and guidance.