PhD in Applied Science

1. PhD in Applied Science Major in Systems Engineering PhD Planning Guide January 2009 Update Prepared By: Southern Methodist University (SMU) SEP Development Team (DT) PhD Planning Guide Project Team Mike Harper Co-Project Leader Steve Skinner Co-Project Leader

2. Outline • Introduction • Getting Started • 7 Steps to Acceptance • 7 Steps to Completion • Summary

3. Revisions

4. Introduction • The objective of the PhD Planning Guide is to help the prospective PhD student through the process of acceptance into the Applied Science program to begin study towards a PhD in Applied Science with a major in Systems Engineering. • The PhD Planning Guide identifies and describes the steps to advance the student through the PhD program and complete the PhD degree. • Assumptions: This planning guide assumes the student has already achieved the entry criteria and meets the minimum requirements to be accepted into the program.

5. Getting Started • Getting Started provides the student with basic information to move from “just interested” to the “take action” phase. • Initial Investigation • Contact Information • Gates to Next Phase

6. Getting Started – Initial Investigation • A wealth of information regarding the EMIS programs can be found at the EMIS website: • http://lyle.smu.edu/emis/index.html • A website specific to PhD in Applied Science with a major in Systems Engineering does not exist. • However, the Lyle School of Engineering Graduate Catalog describes general requirements for a PhD degree at the following URL: • http://smu.edu/catalogs/graduate/engr/phddegree.asp

7. Getting Started - Contact Information • Application Questions / Status • Jim Dees, Graduate Student Experience and Enrollment Management • jdees@lyle.smu.edu; Phone: 214-768-1456 • Marc Valerin, Graduate & Executive Admissions • valerin@lyle.smu.edu; Phone: 214-768-3484 • Krys Benson, Graduate & Executive Admissions • kbenson@lyle.smu.edu; Phone: 214-768-1458 • Degree Planning / Research Topic • Dr. Jerrell Stracener, Systems Engineering Program Director • jerrells@lyle.smu.edu; Phone: 214-768-1535 • The Administrative Assistant to Dr. Stracener can help coordinate meetings. • Course & Dissertation Registration • Rose Torres, Graduate Registration & Scheduling • rose@lyle.smu.edu; Phone: 214-768-3037

8. Notional Timeline Getting Started – Gates & Times • Plan for 6 months from application submittal to acceptance into the Applied Science program

9. Acceptance 7 Steps to Acceptance • Submit Application Material • Form Supervisory Committee • Develop Degree Plan • Construct Preliminary Research Topic • Propose Program of Study • Complete Preliminary Counseling Exam • Follow-Up!

10. Acceptance Step 1: Submit Application Material • The first thing to do is complete and submit an Application along with a Statement of Purpose • Links to Application Instructions and Forms: http://lyle.smu.edu/students/graduate_admission_distance.html • Online Application: • https://www.applyweb.com/apply/smueng/index_eng.html • Select Program Degree PhD Applied Science • Specialization is Systems Engineering • Concurrent with the Application, request 3 letters of recommendation • Current or former supervisors / coworkers that know you well • Good if they have advanced degrees • Good if they are in Systems Engineering leadership positions • Recommendation Form: http://lyle.smu.edu/students/documents/Graduate%20Recommendation%20Form%20-%2011-08.doc

11. Acceptance Step 2: Form Supervisory Committee • Form your Supervisory Committee once the application has been processed and the go-ahead is given by your advisor • Select a minimum of 3 tenured / tenure track faculty (Preferably 5) • Adjunct Professors are allowed to be Committee Members but do not count towards the minimum required 3 tenure track • Dr Stracener can recommend potential committee members • Contact the Potential Committee Members • Letter / email requesting them to serve as a committee member • Attach brief presentation that introduces you and describes your plans • Personal Background Information - Brief Resume (profession / education) • Degree Plan Proposal • Research Topic Proposal • Degree Completion Goals • Once Supervisory Committee is in place, set up a kick-off meeting on campus to agree on proposed program of study & research topic

12. Acceptance Step 3: Develop Degree Plan • Basic Coursework • Determine if previously completed graduate courses apply towards the required PhD coursework • Develop a course equivalence matrix (CEM) to help justify applying completed graduate courses toward degree plan • The CEM lists the courses in the PhD curriculum • Adjacent to the PhD course list are completed graduate courses that apply directly to the required PhD course plan • The CEM contains backup information to justify why the completed graduate course is equivalent to the PhD course • A good method is to compare course descriptions • It is possible to deviate slightly from the PhD proposed course plan but must be justified (i.e. fits area of research)

13. Example Align Graduate Degree courses with PhD SE course requirements. Justify equivalence on separate page Adjust “Choose 4” if necessary to align with area of research Electives can align with research area and 12 TCH needed for minor. In this case, minor is Engineering Management. 54 TCH Beyond Bachelors 24 TCH Dissertation 78 TCH Acceptance Step 3: Develop Degree PlanCourse Equivalence Matrix (CEM)

14. Acceptance Step 3: Develop Degree Plan • From the course equivalence matrix, layout the PhD degree plan • First list the completed graduate courses, equivalent PhD course, and how it is applied toward major or minor Example

15. Acceptance Step 3: Develop Degree Plan • Then list the courses in the proposed degree plan and how they will apply toward major and minor • 12 credit hours are required for minor • Select from combination of Masters and PhD coursework Example

16. Acceptance Step 4: Preliminary Research Topic • Select a topic of interest and give it a succinct title • Develop background information to introduce the research topic • Define the Problem • Descriptive detail justifying why it is a significant topic • Expand description of the research topic • Scope the research topic • The scope should be manageable. Remember, it is easier to scale up than down.

17. Acceptance Step 5: Propose Program of Study • A proposed program of study is presented by the student to the PhD Supervisory Committee at the kick-off meeting • Presentation by the student to the committee • Introduction, Student Background Information (2 – 3 Charts) • Proposed Program of Study (4 – 5 Charts) • Preliminary Research Topic (5 – 8 Charts) • Degree Completion Time-Line (1 Chart) • Plan for this meeting to satisfy requirements for the Preliminary Counseling Exam (see Step 6) • Meeting Preparation • Prepare a folder to provide each committee member • Presentation Hardcopy • Filled-out Recommendation and Certification of Appointment of Supervisory Committee Form • Filled-out Degree Plan Form

18. Acceptance Step 5: Propose Program of Study Meeting Objectives & Exit Criteria • Select Committee Chairman & Dissertation Director • Propose Program of Study • Committee Members approve program of study and sign forms: • Recommendation and Certification of Appointment of Supervisory Committee • Degree Plan • Determine if this meeting satisfies the Preliminary Counseling Exam (PCE) • Set tentative time schedule for Qualifying Exam • Deliver signed forms to Graduate Admissions office • If forms need to be modified prior to final signatures, coordinate a time to solicit signatures, or leave with Dr. Stracener’s Administrative Assistant and request committee members to stop by his office at their convenience.

19. Acceptance Step 5: Propose Program of Study Required Forms • Two forms to complete and be made available for signature at the kick-off meeting are at URL: • http://lyle.smu.edu/emis/Administrative_Forms/administrative_forms.html • Download and Fill Out These Forms: • Supervisory Committee: Recommendation and Certification of Appointment of Supervisory Committee • http://lyle.smu.edu/emis/resources/forms/PhdDE-SupervisoryCommitteeForm.pdf • Degree Plan: • This is a Generic PhD Degree Plan form • http://www.engr.smu.edu/emis/resources/forms/0203-PhdOR-DegreePlan.doc

20. Acceptance Step 6: Preliminary Counseling Exam • Be prepared for the PCE to be administered at the supervisory committee kick-off meeting. • The student is prepared for the PCE based on completed coursework and professional experience. • EMIS SE courses applicable to the PCE are 7300, 7301, 7303, 7305, 7307 • The PCE may be structured as an interview rather than a formal exam. • A satisfactory technical interchange with the prospective PhD student is an endorsement that the student is prepared for the PhD program of study.

21. Acceptance Step 7: Follow-Up! • Following the supervisory committee kick-off meeting, it is important to document the results. • Prepare draft minutes of meeting and distribute to the committee members for review and comment. • Finalize the minutes with received comments and redistribute. • If forms weren’t signed at the kick-off meeting, coordinate times to meet with members to obtain their signatures. • Once the signed forms are in the Graduate Admissions office, check status after 2 weeks. Keep checking status until approved. • Inform Supervisory Committee upon acceptance into the program.

22. Acceptance Summary of Acceptance Process • Use course outline in PhD SE Program Preliminary Proposal as a basis for the degree plan • Goal is to apply all completed graduate credit hours towards PhD • Use Course Equivalence Matrix to justify • The Supervisory Committee must be assembled before student is admitted into the Applied Science Program • Host a kick-off meeting for the committee to approve degree plan and endorse preliminary research proposal • Plan for the Preliminary Counseling Exam to be administered at this initial meeting with the committee • Successfully complete the 7 Steps to help you with acceptance into the Applied Science program to begin study toward a PhD degree with a major in Systems Engineering.

23. Completion Steps to Completion

24. Completion 7 Steps to Completion • Total Academic Credit: ≥ 78 TCHs Past Bachelor Degree • Advanced Coursework: ≥ 54 TCHs Past Bachelor Degree • Dissertation: ≥ 24 TCHs • Qualifying Examination (QE): After completing some coursework in areas of Major & Minor • Admission to Candidacy: After Passing QE • Dissertation: Includes a Publication Plan • Time Limitations: ≤ 5 Years after QE Passed • Administrative: Key items & timeline for graduation • Final Examination: • ≥ 1 Year after QE Passed • Dissertation Submitted

25. Completion Introduction to 7 Completion Steps • The steps identified in this section are selected from the 2007 - 2009 SMU School of Engineering Graduate Catalog and information from the EMIS website. • SMU Degree Requirements: http://smu.edu/catalogs/graduate/engr/phddegree.asp • This completion guide serves to summarize those requirements and provide insight based of lessons learned from experiencing the process.

26. Completion Step 1: Total Academic Credit http://smu.edu/catalogs/graduate/engr/phddegree.asp • Minimum academic credit of 54 term hours earned in course work beyond the baccalaureate - OR - • 24 term hours earned in course work beyond a Master's degree • As a general guideline, at least 12 term credit hours are required for the minor, which should be in an area providing breadth as well as support to the major field of investigation. • 24 term hours earned in dissertation work. • See note in “Total Academic Credit” section of the Degree Requirements website for applicability of credit hours • Supervisory committee determines exact amount of course credit required • Approval of the department chair and the Associate Dean. • While actively working of dissertation, the student must be enrolled in dissertation study each term until completion of all requirements for the Ph.D. degree. • If 24 TCH have been completed prior to completing the dissertation, the student must enroll in a zero credit hour dissertation course (EMIS 8096).

27. Completion Step 1:Total Academic CreditCoursework Beyond Bachelors Degree (54 CHs) Example

28. Completion Step 1:Total Academic CreditDissertation Credit Hours Completed (24 CHs) Example • The course number reflects the department of the Dissertation Chairman. • - In this example, the dissertation is being supervised from the ENCE department. • Dissertation credit hours align with level of effort applied to research

29. Completion Step 1:Total Academic Credit 54 Coursework + 24 Dissertation = 78 TCHs • Coursework should be the foundation for research in systems engineering • Important: The SMU residence requirement is 30 term hours of graduate credit at SMU, normally the last 30. • Focus courses on major and minor areas of study • Show that courses support research towards dissertation topic • Coursework and dissertation credit hours can be taken concurrently • Manage the dissertation credits hours to complete in same semester as oral exam

30. Completion Step 2: Qualifying ExaminationProcess • These examinations must be taken after the student has completed some of the advanced course work in the major and minor fields of investigation. • This examination process is conducted by the supervisory committee with the aid of faculty members drawn from the major and minor areas of concentration and consists of both written and oral parts. • As part of the oral examination, the student will be required to discuss the proposed dissertation topic. • Successful performance on the examination results in a recommendation that the student be admitted to candidacy for the Ph.D. degree. Qualifying Exam Passed Starts the Clock to Completion Requirement: ≤ 5 Years Objective: ~ 3 Years

31. Completion Step 3: Admission to Candidacy • Approval Based on: • passing the qualifying examination, • the academic record of the student as attested by a G.P.A. of 3.00 or better (4.00 = A), • selection of a tentative title for the dissertation, and • the student's overall fitness as judged by the supervisory committee. • Successful Completion and Passing of the QE Leads to Admission to Candidacy • Requires a Completed & Signed Admission to Candidacy Form • Have form filled out and ready to sign at QE meeting Link to Form: http://lyle.smu.edu/emis/resources/forms/PhdDE-AdmissionToCandidacy.pdf

32. Completion Step 4: Dissertation Requirement Link to Dissertation Info: http://lyle.smu.edu/students/graduate_enrollment_thesis.html • The dissertation format must follow the Guidelines for Preparation of Theses and Dissertations. • Link to Dissertation Formatting Guide: http://lyle.smu.edu/students/documents/Thesis-Dissertation%20guide%20rev%203-2008.pdf • The dissertation must make a real and novel contribution to the engineering or applied science discipline, and it is expected to be a mature and competent piece of writing. • The work it reports may be basic scientific research, engineering research, or creative design. • The progress of the student toward the Ph.D. degree is monitored closely by the dissertation adviser and the supervisory committee, with an annual report to the department chair. • Upon successful completion of the dissertation defense, the dissertation director must sign the abstract original, and all faculty members attending the final examination must sign the original half-title page of the dissertation. • Approval and Final Submission: Follow the instructions in Chapter 4 of the Thesis & Dissertation Formatting Guide at link above. • Submitting Dissertation:http://dissertations2.umi.com/smu/

33. Completion Step 4: Dissertation Requirement Publication Plan • Each student is expected also to submit articles for publication in reputable journals and conferences appropriate to the field of research. • Examples of scholarly journals include: • Systems Engineering: The Journal of International Council on Systems Engineering (INCOSE) • http://www.incose.org/ProductsPubs/periodicals/journalofsystems.aspx • Institute of Electrical and Electronics Engineers (IEEE) Systems Journal • Journal of Systems Science and Systems Engineering (JSSSE) • The Systems Research Forum • International Journal of System of Systems Engineering (IJSSE) • Journal of Engineering Education • IEEE Transactions on Systems, Man, and Cybernetics • International Journal of Product Development • Knowledge and Process Management • International Journal of System of Business and Systems Research (IJBSR) • Project Management Journal • Research in Engineering Design • IEEE Transactions on Engineering Management • Journal of Engineering Design • Concurrent Engineering: Research and Applications • Complex Systems • Computers and Industrial Engineering

34. Completion Step 5: Time Limitations • All requirements for the Ph.D. degree must be satisfied within five years after the date the qualifying examination is passed. • For a part time student currently a working professional, the goal for completion should be 3 to 4 years. • One course per semester for the first 2 or 3 semesters • Then add 3 dissertation credit hours for a total of 6 per semester Year 1 Year 2 Year 3 Year 4 J A S O N D J F M A M J J A S O N D J F M A M J J A S O N D J F M A M J J A S O N D Backup Plan Advanced Coursework Dissertation Publish Qualifying Exam Dissertation Defense Example Sem: 3 3 6 6 6 6 6 6 6 Cum: 3 6 12 18 24 30 38 42 48 Assumes Start with 30 CH Masters Degree

35. Completion Step 6: Administrative StepsSMU Requirements to Graduate • Total Academic Credit: ≥ 78 Credit Hours Past Bachelor • Residence Requirement: ≥ 30 Credit Hours at SMU • Time Limitations: ≤ 5 Years • Supervisory Committee: Appointed • Preliminary Counseling Examination: Passed • Course Requirements: Typically 42 Major, 12 Minor • Qualifying Examination: Passed • PhD Candidacy: Admitted • Papers Submitted for Publication • Dissertation: Submitted • Final Examination: Passed

36. Completion Step 6: Administrative StepsSEAS Specific Requirements • Application for Candidacy to Graduate (ACG): • http://www.smu.edu/registrar/ACG/DG8150D.pdf • Degree Plan: • http://engr.smu.edu/emis/resources/forms/0203-PhdOR-DegreePlan.pdf • Thesis/Praxis/Dissertation Release Form: • http://lyle.smu.edu/emis/resources/forms/PhdDE-ReportOnDissertation.pdf • Copy of abstract signed by advisor • Copy of half title page with signatures of committee members • Certification of Fees (Form A) with receipt from cashiers office • Survey of Earned Doctorates form completed: • http://www.norc.org/issues/docdata.htm Complete in Final Semester Contact: Jim Dees, Engineering Graduate Office Email: jdees@lyle.smu.edu Phone: 214-768-1456

37. Plan A: August 2009 Plan B: December 2009 2009 DEGREE DEADLINES J F M A M J J A S O N D File Application For Candidacy First Dissertation Check Second Dissertation Check Last Day For Oral Exam Final Dissertation Submission Degrees Conferred 8/29 6/5 1st 11/16 Initial 10/12 7/6 7/13 11/30 8/4 12/7 8/4 12/9 12/19 8/4 Begin Final Administrative Steps at Beginning of Final Semester Completion Step 6: Administrative StepsDissertation Submittal & Final Exam (have a backup plan) Example

38. Completion Step 7: Final Examination • Upon completion of all other requirements, a final examination of the candidate will be announced, registered with the Graduate Division, and subsequently conducted by the supervisory committee. • The candidate provides a copy of the dissertation to the Graduate Division for distribution to the members of the supervisory committee at least three weeks prior to scheduling of the final examination. • An electronic copy of the presentation material (PowerPoint Charts) should be provided to the committee 2 weeks prior to the final exam. • This examination, which is conducted orally with the aid of presentation material, must enable the committee to satisfy itself that the dissertation is an original piece of work, either in research or creative design; • that it has been carried out in keeping with the highest standards of investigation and reporting; • and that it makes a contribution to knowledge that is of value to the engineering profession or scientific community. • Satisfactory performance on this examination is the last requirement to be met for the Ph.D. degree. • The degree may be awarded at the end of the term in which the final examination is passed, but the prospective candidate should note that at least one academic year must elapse between the passing of the qualifying examination and the conferring of the degree.

39. Completion SummaryEstablish Milestones & Track Progress • From initial application through graduation, continuously monitor progress to plan, check gates and adjust as needed. Year 1 Year 2 Year 3 Year 4 J F M A M J J A S O N D J F M A M J J A S O N D J F M A M J J A S O N D J F M A M J J A Advanced Coursework Application Dissertation Publish Acceptance Dissertation Defense Preliminary Counseling Exam Qualifying Exam Accepted Into Program Submit Proposal to Committee Begin Final Admin Steps Example Admin Degree Conferred

40. Congratulations!