5. DOCTORAL PROGRAM

1. GENERAL

Graduate students who have exhibited a high degree of scholastic proficiency and have given evidence of ability for conducting independent research may consider extending their goals toward the doctorate. The degree of Ph.D. is awarded after completing the program of study and research described below, and upon preparation and defense of a dissertation representing an original and significant contribution deemed worthy of publication in a recognized scientific or engineering journal.

Students entering the doctoral program with a Bachelor's degree must meet the entrance requirements for the Master's program in the appropriate area of concentration and will normally take the qualifying examinations after one year of study at the Polytechnic. Students entering at the Master's level for the Ph.D. in Electrical Engineering program are normally expected to have a Master's in Electrical Engineering. Students with a Master's degree may take the qualifying examinations as soon as they are prepared to do so; however they are expected to take these examinations within the first calendar year. Generally, admission to these Ph.D. programs is conditional on a student achieving a 3.5 grade point average in at least 30 graduate credits. This admission is to enable students to take courses which will prepare them to take the Ph.D. qualifying examinations. Students who want to take the qualifying examinations must apply to the ECE Graduate Committee for permission to do so. Permission will be granted to students whose grade point average is 3.5 or greater at the time the examination will be taken. The program of doctoral study and research actually begins after the candidate passes the departmental qualifying examinations and forms a Guidance Committee (described below).

The Ph.D. Qualifying Examinations are divided into two sections: the Written section (a written examination requiring broad knowledge and problem solving ability at the undergraduate level and requiring preparation at the first year graduate level in several subject areas related to the student's Area of Research Interest--see examples below), and the Concentration or Oral section (an oral examination which concentrates mainly on the student's Area of Primary Research Interest).

• Communications
• Computer and Network Architecture
• Controls and Systems
• Electromagnetics
• Networks
• Power/Power Electronics
• Signal Processing

The Written section will be given in late August or early September of each year and the Oral section in the first week of classes of the Fall semester. A grade-point average of 3.5 or better, with at least one semester of study at Polytechnic, is the normal requirement to sit for the Qualifying Examination. A student who takes the Qualifying Examination for the first time and does not pass, may apply for permission to take the examination one more time. Normally, this permission is granted when the student's first-time performance appears to warrant the second attempt.

If a student does well on the Ph.D. written exam, but fails the Ph.D. oral exam, the department may allow the student to re-take the oral exam by itself. However, the department will not allow a student to take the Ph.D. oral exam more than twice, for each time he/she is allowed to take the written exam. Students who are allowed by the department to re-take the oral exam, must do so by December 31 of the same year. It should be emphasized that the opportunity to re-take the oral exam is not guaranteed - it is the exception rather than the rule.

The format of the Qualifying Examinations is subject to change from one year to the next. Students should watch for announcements of such changes, which will be made early in the academic year preceding the next offering of the examinations.

A student taking the Qualifying Examination must choose one area as the Area of Primary Research Interest. At least two (2) problems from that area must be answered in the Written section of the examination and the Concentration (oral) part of the examination will be on that area. Note that if a student who has passed the Qualifying Examination later wants to change the Area of Primary Research Interest, he/she will be expected to retake portions of the Qualifying Examination: the Oral section almost certainly and the Written section if at least two problems were not solved from the new research area. Application for such a change of Area of Primary Research Interest must be made to the ECE Graduate Committee.

Information about exact examination dates, format, subject areas, etc., and copies of sample questions can be obtained from the ECE Graduate Office.

Polytechnic requires that each candidate for the doctorate complete a minimum of 90 units of academic work beyond the Bachelor's degree, including a minimum of 24 units of dissertation research. Ph.D. candidates in EE must take a minimum of 51 units in formal courses (as distinct from "independent study" units such as reading, project or thesis) as part of this general 90-unit requirement.

The major program of study is developed by the student in consultation with his thesis advisor. The major program should constitute a coherent study in depth of the most advanced knowledge in the student's chosen area of concentration. Attendance at graduate seminars is expected when they are offered in the student's principal area of interest. For candidates in EE, a minimum of 24 course credits in EL courses (past the BS) is required.

Ph.D. candidates in EE are required to take a minimum of 12 units of courses in a minor area which must be outside EE. The minor must be in an area that is both distinct from, yet consonant with, the student's major area of study. Approval of the minor program is described in Section V.5.

5. APPROPRIATE MAJOR AND MINOR AREAS FOR THE Ph.D. DEGREE

1. Computer Science
2. Mathematics
3. Physics

A student who wishes to work in an area other than one of those listed, must request permission to do so from the ECE. Graduate Committee before selecting and forming a Guidance Committee.

On passing the qualifying examinations, the graduate student must find a faculty member in the student's area of major research interest who will become the student's thesis advisor. (Please refer to other sections of this Manual for information on current research areas, and research interests of individual faculty members.) Many factors enter into a student's choice of an advisor for his/her Ph.D. research. In addition to the scientific, intellectual and personality factors which influence the pairing of student and professor, financial aspects must also be considered. For most full-time students, the ideal situation is to find an advisor who has a mutually interesting topic, as well as funds available from research grants and contracts which can support the student as a Research Fellow.

Usually, the thesis advisor is a full-time faculty member in the Electrical and Computer Engineering Department and as such is considered chair of the student's Guidance Committee. In cases where a thesis advisor is approved, who is not a member of the Department, then a full-time member of the Department must be included on the Committee and serve as chair.

In consultation with the thesis advisor, the student suggests a Minor Advisor outside of Electrical Engineering and a Guidance Committee composed of three or four members with the thesis advisor usually acting as Chairman. At least one other member of the Guidance Committee must be in the student's area of major research interest. This member may be from outside the Institute. The Minor advisor may, but need not be, a member of the Guidance Committee. The student must submit the names of the members of his Guidance Committee to the ECE Graduate Committee for approval. The Guidance Committee conducts the area examination, thesis defense and approves the final thesis. The thesis advisor approves the major program of study and the Minor advisor approves the minor program. When the requirements for the minor and major are completed the student should have his appropriate advisor certify this in writing to the Office of Graduate Affairs with a copy to the ECE Graduate Office.

The Area Examination consists of a presentation or review by the student of the general background in the problem area the student will be working in. The purpose of the examination is for the student to demonstrate that he/she understands the fundamental previous research in the field in which the student will work. It should be taken early in the Ph.D. program (after no more than 12 thesis credits have been taken) and should not be a review of partial thesis results. It may be in the form of an open seminar which is publicized well in advance to encourage attendance by all interested students and faculty. The Guidance Committee will attend and meet afterward to evaluate the student's performance and assess whether the student demonstrated the depth of knowledge and understanding necessary to carry out research in the area of major research interest.

Postponement of the examination beyond registration for 12 units of thesis requires the approval of the ECE Graduate Committee. Permission for thesis registration beyond 12 credits may be denied in the absence of completion of the area exam.

After passing the qualifying exams, and with the agreement of the Thesis Advisor, the Ph.D. candidate may begin registration for dissertation credits EL999. (Requests for exceptions to this precondition should be addressed to the ECE Graduate Committee. The student's failure to abide by this rule may result in loss of credit for the dissertation registration.) A student may register for 999 courses in multiples of 3 units, usually not exceeding 12 per semester. A minimum of 24 units is required for the Ph.D. degree. The student must register for thesis continuously, every Fall and Spring semester, unless a Leave of Absence has been granted by the Office of Graduate Studies. In this way, students often register for a total of more than 24 dissertation credits. The student must be registered for thesis credits in the semester in which the final thesis defense examination is taken. If a Ph.D. student has completed all credits toward the degree but has not completed the actual dissertation, the adviser may approve up to two semesters of "maintenance of study" which (1) carries no credit, (2) attests that the student is pursuing full-time work on the dissertation, and (3) involves no tuition payment, but fees are required.

Upon completion of the doctoral dissertation, the candidate will submit to an oral defense of the thesis. The examination is conducted by the Guidance Committee, but is open to all members of the faculty, and any other appropriate persons who may be invited. Copies of the dissertation will be made available to prospective examiners at a reasonable time in advance of the examination. The Guidance Committee Chairman will notify the Office of Graduate Studies of the candidate's readiness to submit to examination. This should be done at least two weeks prior to the date selected, in order to allow time for the scheduling and public notification of the final examination date. In addition, the student is advised to consult the Office of Graduate Studies in order to meet the requirements and adhere to the regulations on the submission of the final manuscript (reproduction, binding, etc.)

Effective as of the 1991-92 academic year, evidence of submission of a research paper based on the Ph.D. student's research will be required by the ECE Department. Documentation in the form of a letter of submission to a refereed journal, and acknowledgment of its receipt by the journal, will constitute the required evidence.

Full-time status is defined as 9 or more credits per semester (Fall and Spring) until the course work is completed, and then as 6 credits per semester (Fall and Spring) during semesters in which only dissertation is being taken.

If the first semester of study is also the student's first semester in an English-speaking country, then a 6-credit load is allowed as full-time status for that semester only, but if and only if the student is enrolled in a Polytechnic-approved English language course during the semester. This course need not be at Polytechnic, but must be approved by the International Student Adviser. Further, the course need not be for credit.

International students must maintain a valid I-20. If the purpose of the study shifts from M.S. to Ph.D., an appropriate I-20 must be sought.

For the purpose of determining full-time status, "preparation for the Qualifying Examination" is allowed (subject to adviser approval) as a registration for no more than 6 credits total, for the first sitting for the exam. Should the person be allowed a second sitting, another 3 credits of registration as "preparation for the Qualifying Examination" is allowed. No tuition shall be charged for these "courses".

If a Ph.D. student has completed all credits toward the degree but has not completed the actual dissertation, the adviser may approve up to two semesters of "maintenance of study" which (1) carries no credit, (2) attests that the student is pursuing full-time work on the dissertation, and (3) involves no tuition payment, but fees are required.

Exceptional and rare cases may require additional semesters of "maintenance of status". This requires the approval of the Department Head, Dean, and International Student Advisor (if applicable).

Full-time students are allowed no more than 6 calendar years (twelve semesters, including intervening summers) to complete the degree, counted from the time of admission to the Ph.D. program. Part-time students are expected to complete all work for the doctorate within six (6) years of passing the Qualifying Examination. In exceptional and rare cases, the duration of the Ph.D. study can be extended upon departmental approval. Any student who exceeds the time limit may be required to re-take and pass the advanced portion of the Qualifying Examination in order to continue doctoral studies.

Leaves of absence can be approved for such reasons as medical conditions (all students) or work obligations (not international students) or purely personal reasons (one semester, not international students).

Final approval of leaves of absence is done by the Office of Student Affairs. The recommendation of the adviser is given considerable weight. Documentation is sometimes required.

Ph.D. students are subject to the same rules as MS students with regard to Auditing of Courses, Repetition of Courses and English for Foreign Students.

Graduate students should be aware that registration for any one of the following course listings:

• EL 990-991 (Laboratory Internship)
• EL 993-994 (Readings in Electrical Engineering I, II)
• EL 995-996 (Advanced Projects I, II)
• EL 997 (Thesis for MS in Electrical Engineering)
• EL 999 (Dissertation for Ph.D. in Electrical Engineering)
• EP 997 (Thesis for MS in Electrophysics)
• SE 997 (Thesis for MS in Systems Engineering)

requires the prior consent of the faculty member who will supervise the student in the course. Registration approval signatures (initials) should be obtained from the supervising faculty member and not one of the Graduate Advisors.

Polytechnic University

SPECIAL NOTICE

The format of the 2003 Ph.D. Qualifying Written Examination is as follows:

Part I - Fundamentals

Nine questions will be offered. The questions will be both Electrophysics and Systems in content at fundamental levels. Possible coverage includes, as before: communications, computer fundamentals, controls, electric networks, electronic circuits, electromagnetics, power/power electronics, signal processing and solid state.

Part II - Advanced Section

Two questions will be offered from all of the following seven areas of interest:

Communications
Controls
Computer Engineering and Networking
Networks
Power/Power Electronics
Signal Processing
Electromagnetics

The Written Examination thus requires answering seven (7) questions overall, to be completed within a five (5) hour period, similarly as in previous years. Unlike in previous years, at least two (2) questions out of the total seven must be from the Fundamentals part and at least three (3) questions out of the total seven must be from the Advanced Section. The remaining two (2) questions may be selected from either part of the Examination. At least one (1) question from the Advanced Section must be in the student's chosen area of interest.

The recommended preparation for the 2003 Examination will be similar to that for those of recent years. Lists of recommended topic coverage for each of the areas named above for both Fundamentals and Advanced Parts have been issued similar to the lists issued for the 2002 Examinations.

The Written Examination will be offered on Wednesday, August 20, 2003 and the Oral Examinations during the last week of August before the start of the Fall 2003 semester.

ECE Graduate Committee, February, 2003

Applications for permission to take the 2003 Ph.D. Qualifying Examination in Electrical Engineering will be accepted by Ms. Carletta Lino, Room LC 205. Application forms are available from Ms. Lino or from the ECE Graduate Advising Office, Room LC 249. The deadline date for applications is July 1, 2003. A grade point average of 3.5 or better, obtained in five or more Polytechnic Graduate EE courses is the general requirement for permission to take the Qualifying Examination. Exceptions to this rule must be approved by the Chair of the ECE Graduate Committee.

The Written Examination will be held on Wednesday, August 20, 2003.