2. Academic Affairs

This section describes the general academic framework of the program and facilities and your orientation to them.  The official procedures regarding registration and enrollment are discussed later in Section 3.

The rules and procedures put forth in this booklet are applicable to students at the time they enter the program.  Most changes made in the rules or procedures after the time of matriculation are optional for that student.

The point of a Ph.D. is to learn to structure and to do research. Hence, the graduate program in Engineering and Public Policy is heavily research-oriented and students are encouraged to seek, identify and begin to work on a research problem as soon as possible. The time for the completion of a Ph.D. depends upon the rate of progress in research. The average length is between four and five years, independent of whether the student enters with a B.S. or M.S. degree.  Students maintaining good progress in coursework and research are generally supported financially by the Department from research grants, so long as they are available in the student's area of research.  After they have identified a research area and advisor, students are expected to work with the advisor in generating continuing or new proposals for funding as appropriate. We encourage students to apply for fellowships and have begun to provide information on availability, application deadlines, etc., on our EPP web page at: http://www.epp.cmu.edu/graduate/fellow_index.html.  Another good resource to find information on available fellowships is at the CMU Fellowships and Scholarships Office in Warner Hall.  Their web site is:  http://www.cmu.edu/fso. 

Our core courses have been arranged to allow completion of the core sequence by the time students take their qualifying exams in the beginning of their fourth semester.  The core sequence consists of: 19-701 “Introduction to the Theory and Practice of Policy Analysis" (offered every other Fall), 12 units; 19-702 “Quantitative Methods for Policy Analysis,” 12 units; and a course in social science/survey statistics to be announced soon.  As part of our requirements, students can fulfill their teaching practicum experience by taking the course 19-752 “EPP Teaching Practicum: Project Management" 12 units; or by taking 19-753 “EPP Teaching Practicum: Introduction to EPP".  An optional course for second year students in the Fall prior to their qualifying exams is 19-705 “Workshop in Applied Policy Analysis” and is considered part of the core curriculum. 

Students are also required to take courses in statistical analysis and microeconomics, and a math elective. Two graduate courses -- 12-704 "Probability and Estimation Methods for Engineering Systems" and a graduate course in Microeconomics are recommended to fulfill the first requirements in statistical methods and economics.  To fulfill the microeconomics requirement, students should discuss their economics background with their faculty advisor. 

• Students with previous graduate courses in microeconomics may petition the Graduate Education Committee for a waiver.

• Students with previous economics coursework should take 90-908 "PhD Microeconomics."  This is the preferred course.

• Students with little to no economics coursework may request to take 19-681 "Managerial and Engineering Economics".

The remaining course work required is determined by the student and a faculty advisor, based on the student's background and preparation, and the requirement for a firm grounding in the tools and techniques of policy analysis and in the student's technical area of focus. 

Students in EPP are expected to take an active role in the selection of their courses and research areas right from the start.  The student helps shape his or her interdisciplinary research problem with the advice of suitable faculty members from EPP and other departments.  Because a research paper is required for the Qualifying Examinations, it is up to the student to start meeting with faculty members early in the first semester.  The student then has the time to discuss possible research areas and problems with individual faculty members and to begin to explore his or her interests in those contexts.  It is expected that the student begin focused research toward the qualifier paper -- which would ideally be the starting point for the Ph.D. dissertation research -- by the middle of the second semester, at the latest. 

In their first semester, all students take 19-701 “Introduction to the Theory & Practice of Policy Analysis” or 19-702 “Quantitative Methods for Policy Analysis” (depending on year of entry), or both in those semesters when both are offered; and usually a Microeconomics course, and/or a Statistics course. A fourth course may be used for a technical elective and/or directed research. Course selection for the first semester is made in consultation with your assigned advisors, and other faculty members as appropriate.  In selecting courses, the student and advisor(s) should keep in mind that it is advisable to select courses that would define a "core area of specialization" for the student.  Examples of such areas could be operations research for engineering management; environmental engineering; telecommunications and network analysis; manufacturing and quality control, weapons proliferation and control, etc.

If at all possible, students are encouraged to take one course (6 to 12 units) of Directed Study (19-700) in their first semester in order to explore their research interests.  Students who have already identified a research problem and an advisor take 19-750 Project Research.  19-700 is expected to be a circumscribed research effort on a topic with a term paper, while 19-750 is seen as a continuing research project over a number of semesters.  Students who have passed the Qualifiers register for research under 19-799 Ph.D. Thesis Research.

Upon arrival, you should contact your assigned advisors for general advising.  You are also expected to initiate contacts with other faculty members.  Appendix 1 provides a list of the EPP faculty and relevant department and university contacts.

The academic advisors assigned to each student are primarily responsible to assist students with course selection and other academic affairs in the early part of their stay in EPP.  Once the student has started working with a research advisor, who is selected jointly by the student and the department (and who may or may not be one of the student’s initial academic advisors), that person will become the student's primary academic advisor.  It is likely that this research advisor will also be your thesis advisor and the chairman of your thesis committee. Once you have passed the thesis proposal, your thesis advisor is responsible for providing general advice.  The thesis advisor and committee are expected to provide guidance relevant to research and progress towards completion of the dissertation.  Any student who feels that they need a new advisor should make a request to the Department Head or Associate Department Head for Graduate Education and the issue will be discussed with the student and the EPP Graduate Education Committee.

EPP has a Graduate Education Committee composed of thirteen faculty members from the department.  Chaired by Mitchell Small, the Committee meets several times a year to review departmental graduate matters, make decisions on admissions, and review petitions and requests made by students.  Current committee members include: Jay Apt, Kathleen Carley, Cliff Davidson, Paul Fischbeck, Baruch Fischhoff, Erica Fuchs, Marija Ilic, Scott Matthews, Granger Morgan, Allen Robinson, Ed Rubin, Marvin Sirbu, and Mitchell Small.

The course requirements for a Ph.D. are designed to provide students with a common core of knowledge and techniques useful in policy problems, as well as to give each student a mastery of a body of knowledge in the disciplines relevant to his or her individual area of research. Three categories of courses are included in the curriculum: Core courses; Type A courses in engineering, science, mathematics, and statistics; and Type B courses in social sciences and policy analysis. The following chart outlines the courses*.  (Students in the CASOS and SETChange programs have somewhat different requirements.  The CASOS requirements are outlined in Appendix 2.  The SETChange requirements are shown on the EPP/SET Change Curriculum Progress Sheet in Appendix 3.)

CORE (Courses on policy research and problem-solving skills)
- 19-701 Intro to the Theory and Practice of Policy Analysis12 units
- 19-702 Quantitative Methods for Policy Analysis12 units
-  Course in Social Science/Survey Statistics (course TBA)  ?? units
- 19-705 Workshop in Applied Policy Analysis (Prep for Part B Qualifier)  6 units (optional)
- EPP Teaching Practicum (19-752 or 19-753)12 units

TYPE A (Courses in engineering, science, applied math and statistics)
- 12-704 Probability & Estimation Methods for Engineering Systems  12 units
- 19-706 Optimization (Recommended, 6 unit mini) or another suitable6-12 units
course incorporating optimization (such as 24-789 "Quantitative Methods for
Product Design and Development."  This course may also be taken in addition
to 19-706, with credit applied toward the Type A requirement.)
- Technical courses in area of focus36 units

TYPE B (Courses in social science and social analysis)
- 90-908 Applied Microeconomics.  (This is the recommended course.)12 units
Students with no previous courses in economics may request to take 19-681
Managerial & Engineering Economics.  Students
wishing to take 90-908 after they have taken 19-681 may do so
as a Type B elective.
- 24 units of courses in social science and social analysis in area of 24 units
focus, with at least 6 of the units in the area of political science,
regulation or law.

Overall, students are expected to take at least 132 units beyond the B.S. degree to fulfill the requirements for a Ph.D. in Engineering and Public Policy:
 
• A minimum of 42 units in core courses
• A minimum of 54 units in Type A courses
• A minimum of 36 units in Type B courses

In order to develop the skills needed to complete their Ph.D., most students take more than the minimum numbers of courses required.

Candidates for the M.S. degree must complete a minimum of 102 units:

• A minimum of 42 units in core courses (includes Teaching Practicum)
• A minimum of 27 units in Type A courses (12-704 plus two technical courses)
• A minimum of 24 units in Type B courses (Microecon course plus one social science/social analysis course)
• A minimum of nine units in independent research (19-750)

In addition, the student must pass the Qualifying Exams, at least at the M.S. level and have their completed MS paper approved by their advisor or the Department Head. Joint M.S. programs may impose additional requirements.

The principal component of the EPP core curriculum is a sequence of courses on perspectives and tools for policy analysis: 19-701, -702, and a course in social science/survey  statistics (to be announced).  Introduction to the Theory and Practice of Applied Policy Analysis (19-701) is a lecture and discussion course that reviews and critically examines a set of problems, assumptions and analytical techniques that are common to research and policy analysis in technology and public policy.  The objective is to look critically at the strengths, limitations and underlying assumptions of key policy research and analysis tools and problem framing, and to sensitize students to some of the critical issues of taste, professional responsibility, ethics and values that are associated with policy analysis and research.  Quantitative Methods for Policy Analysis (19-702) is a course that provides a broad introduction to analytical and computational methods commonly used to address technical policy issues.  Particular emphasis is placed on methods for decision analysis and optimization.  

An additional, optional course offered in the policy sequence is Workshop in Applied Policy Analysis (19-705).This course is designed to provide experience in setting up, analyzing and writing about policy problems of the type that are used in the Part B qualifying exam (described further on).  Over the course of the semester, the class works through six or seven policy case problems.  Much of the work is done in small groups.  The principal focus is on integrating the qualitative and quantitative aspects of the problems and on identifying and practicing general problem solving strategies. 

Most students will take either 19-701 or 19-702 in their first semester, depending on year of entry.  Students may also take both 19-701 and 19-702 in those semesters when both are offered.  Then in their 3rd semester, they will take either 19-701 or 19-702, again depending on their year of entry, and 19-705 (though 19-705 remains optional, virtually all of our students take it to prepare for the qualifying exams). Students should also take a social science/survey statistics course in their second or third semester, from a list of approved options.  This will allow them to be finished with core courses by the time they take their qualifying exams in the beginning of their 4th semester.

Students have 2 options to fulfill their teaching practicum.  One option is to serve as a manager for a student group project course in EPP.   The students taking the project course include EPP undergraduate double major engineering students, undergraduate policy majors in Social and Decision Sciences, and Master's-level students in the H. John Heinz III School of Public Policy and Management.  This course allows the development of research and project management skills, and involves considerable interaction with both students and outside experts who serve as consultants and reviewers for the project.  Students are advised to keep informed about projects being designed for the following semester, by attending the project selection meeting held mid-semester.  Managers are expected to assist faculty in preparation for the course prior to the beginning of the semester.  If you choose this option, you will need to sign up for course 19-752 EPP Practicum: Project Management.

The second teaching practicum option is to serve as a teaching assistant in EPP's freshmen introductory course, Introduction to EPP. This opportunity is somewhat limited, typically there are two positions available in Spring semesters when the course is taught. Duties include assisting the course instructor in preparing content prior to the start of the semester, administering the course website, preparing and grading homework and test questions, attending lectures, meeting weekly with the course instructor to plan recitation sessions, conducting recitation sessions, assisting in assigning grades, and being available outside of class to assist students and answer questions.  This is a fairly large course with typical lecture sizes in the range of 60 students.  As a result some activities, especially grading, will mandate significant periodic time commitments.  Since this option involves lecture, international students must take and pass at the appropriate level the International Teaching Assistant test administered by the Intercultural Communication Center.  See section 3.3 for more information on ITA testing.  If you choose this option, you will need to sign up for course 19-753 EPP Practicum: Freshmen Course.

Students are expected to fulfill their teaching practicum requirement by the end of their third year in the Department.

All students are required to complete a first-year graduate course in applied probability and statistics. Currently, the recommended course to meet this requirement is Probability and Estimation Materials for Engineering Systems (12-704). An additional course in optimization is also required. The recommended course is 19-706 "Optimization" (6 unit mini) or another suitable course incorporating optimization (such as 24-789 "Quantitative Methods for Product Design and Development".  This course may also be taken in addition to 19-706, with credit applied toward the Type A requirement.)

To meet the remaining 36 units required, students choose from a large group of graduate technical courses in areas such as engineering, science, applied mathematics, and statistics. There are two motivations for this requirement. First, before one can extend the perspectives and tools of engineering, one must develop a firm notion of what these perspectives and tools really are. Second, the technical dimensions of the policy problems that are addressed by students pursuing graduate studies in EPP cannot be treated as a "black box." EPP graduate students must develop the skills to deal with the technical aspects of these problems. It is intended that students develop a level of mastery in their technical area of focus similar to that obtained in a traditional program of graduate study in that area.

All students must take a graduate-level course in applied microeconomics (currently 90-908 or with approval 19-681). A minimum of two additional social science electives are required. Several courses in quantitative research methods in the social sciences are available. Courses in political science and social processes are also encouraged, and it is intended that students will develop a healthy sense of cultural relativism, a notion of the way in which values and social organizations shape our thinking, and an understanding of the way in which these factors have changed and can change with time. Such notions are difficult to characterize in quantitative terms, but are fundamental to a proper understanding of many of the problems that EPP graduate students address.  At least 6 units must be in the area of political science, regulation or law.  Note that units for certain courses, such as 19-710 Management and Practice for Environmental Engineering,  and 19-712 Telecommunications Technology, Policy and Management may be split and counted partially for Type A and B course requirements, and that the Type B units for these can be applied to the political science-regulation-law requirement.  Similar flexibility may apply to other courses as well.  Our students also commonly take courses in the following CMU schools and departments: Tepper School of Business, The H. John Heinz School of Public Policy and Management, the Department of Social and Decision Sciences, and the Department of Statistics.  You can view the courses offered for each semester through the Hub’s website -- https://acis.as.cmu.edu/gale2/open/Schedule/SOCServlet.  Students may also register to take one course per semester at the University of Pittsburgh or Duquesne University.  Both have law schools, and a number of our students have taken courses given by the University of  Pittsburgh School of Public Health.

An overall 3.0 grade-point average is expected for graduation.  The department does not allow credit for more than two courses with a grade of "C" or lower.

A few years ago we had a few clear cases of plagiarism occur in the Department.  To plagiarize as defined by Webster’s Dictionary is: 

“To steal and pass off as one’s own (the ideas or writings of another):  use (a created production) without crediting source…:  to commit literary theft:  present as new and original an idea or product derived from an existing source.”*

Plagiarism is a very serious offense and will not be tolerated by the Department.  It can result in immediate loss of support and even expulsion from the University.  If you are unsure of how to cite a source, or not sure if you need to cite a source – ask your advisors, the Department Head, or Associate Department Head.  Appendix 4 is a memo that Granger sends to all students regarding proper attribution.  Please review it carefully.  For more on plagiarism and University policy, see:  http://www.cmu.edu/policies/documents/Cheating.html

The University of Indiana has an excellent website that provides examples and then gives you a chance to complete a quiz to see if you understand the difference between proper and improper attribution (of text, they don't cover figures).  Please take a look and work through this.  It can be found at: http://www.indiana.edu/~tedfrick/plagiarism/

A record of the student's progress is kept in the form of the Curriculum Progress Sheet and reviewed each semester to ensure that course requirements are being met, and to enable the student to document progress in his or her program. Formal review and approval of the program takes place as part of the student's Ph.D. thesis proposal. The review certifies that an acceptable level of mastery of the chosen core area has been attained; otherwise, additional course requirements are specified.

Appendix 3 shows the 3-page Curriculum Progress Sheet to be completed by the student each semester with the help of his or her advisor.  The student should meet with their advisor during or prior to the next semester's registration week, update their Curriculum Progress Sheet and give a copy to Vicki to keep a copy in their permanent file.  Students will receive an email reminder from Enrollment Services when it is time for the next semester's registration.  The student should have their advisor sign Page 2.  Page 3 is for any information they wish to keep track of.

It is mandatory for you to meet with the Associate Department Head for Graduate Affairs (Mitchell Small) at least three times during your graduate studies.  These meetings should take place as follows:

1. In your fourth semester, during registration week for a post qualifier review.
2. As soon as you feel you have completed all the required course work (i.e., core courses, type A and type B).
3. During the time you are scheduling your defense for a final review.

After each of these meetings, you will need to obtain the Associate Department Head’s signature in Section IV of the Curriculum Progress Sheet.  Please note that while these three meetings are required, you should feel free to make an appointment at anytime with the Associate Department head to discuss any concerns you might have regarding graduate matters.

Note:  The Curriculum Progress Sheet for students in the SET Change and CASOS programs are also attached in Appendix 3.

Students may fulfill different requirements at different points along the way, depending on their interests and background.  The following timeline is intended as a guide to completing requirements:

Sample Progress Schedule for Graduate Studies in EPP

(For Students Who Enter the Program in Even-Numbered Years)

Semester 1:
•19-701 "Theory & Practice of Policy Analysis"
•12-704 "Probability & Estimation for Engineering Systems"
   (CivE) or equivalent statistics.
• Microeconomics (90-908 or with approval 19-681)
•19-700 "Directed Study" (EPP)
•An optional technical (A) course

•Approach faculty members, begin to focus on research area.
•Document initial research and study plan on Curriculum Progress Sheets.
 
Semester 2:
•Course in Social Science/Survey Statistics
•19-706 or alternative optimization course (should be
  Taken by end of second year)
•Type A/B Courses
•Teaching Practicum (must be done by end of  3rd year)
•19-750 "Project Research," aimed at starting
   work on qualifier problem. 
•Identify and pursue funding for research if
   necessary.

Summer:
•Continue research in preparation for Part A
•Preliminary Abstract for Part A due in late June
•Receive initial faculty feedback on abstracts

Semester 3:
•19-702 "Quantitative Methods for Policy Analysis"
Optional:•19-705 "Workshop in Applied Policy Analysis"
(Serves to help prepare for Part B of Ph.D.
Qualifying Exam)
•Type A/B Courses
•Write Qualifier Paper -- Preliminary oral
   presentation in early October for faculty feedback.
•Teaching Practicum (if not already completed)

Semester 4:
•Qualifying Examinations:  January/February
•Completion of course work (check w/Assoc. Dept. Head for
    verification of completion of coursework)
•Start preparation of thesis research proposal.
•Teaching Practicum (if not already completed)

Semester 5:
•Thesis proposal (if not completed already).
•Concerted effort towards thesis work. 
•Teaching Practicum (if not already completed)

Semester 6 & on:
•Continue and complete Ph.D. thesis work.
•Teaching Practicum (if not already completed)

Sample Progress Schedule for Graduate Studies in EPP

(For Students Who Enter the Program in Odd-Numbered Years)

Semester 1:
•19-702 "Quantitative Methods for Policy Analysis"
•12-704 "Probability & Estimation for Engineering Systems"   
   (CivE) or equivalent statistics.
• Microeconomics (90-908 or with approval 19-681)
•19-700 "Directed Study " (EPP)
•An optional technical (A) course

•Approach faculty members, begin to focus on research area.
•Document initial research and study plan on Curriculum Progress Sheets.
 
Semester 2:
•Type A/B Courses
•Teaching Practicum (must be done by end of  3rd year)
•19-706 or alternative optimization course (should be
  Taken by end of second year)
• Course in Social Science/Survey Statistics
•19-750 "Project Research," aimed at starting
   work on qualifier problem. 
•Identify and pursue funding for research if
   necessary.

Summer:
•Continue research in preparation for Part A
•Preliminary Abstract for Part A due in late June
•Receive initial faculty feedback on abstracts

Semester 3:
•19-701 "Theory & Practice of Policy Analysis"
Optional:•19-705 "Workshop in Applied Policy Analysis"
(Serves to help prepare for Part B of Ph.D.
Qualifying Exam)
•Type A/B Courses
•Write Qualifier Paper -- Preliminary oral
   presentation in early October for faculty feedback.
•Teaching Practicum (if not already completed)

Semester 4:
•Qualifying Examinations:  January/February
•Completion of course work (check w/Assoc. Dept. Head for
   verification of completion of coursework)
•Start preparation of thesis research proposal
•Teaching Practicum (if not already completed)

Semester 5:
•Thesis proposal (if not completed already).
•Concerted effort towards thesis work. 
•Teaching Practicum (if not already completed)

Semester 6 & on
•Continue and complete Ph.D. thesis work.
•Teaching Practicum (if not already completed)

The Qualifying Examinations are conducted once a year, in January, and must be taken after students have been in the program for three semesters.  The objective is to assess the student's ability to do interdisciplinary research, based on sound knowledge of technical and social processes, good analytical methods, and the ability to structure and analyze problems in engineering and policy in a way that appropriately integrates the required knowledge, methods, and judgment. The levels of synthesis and evaluation to be demonstrated in these examinations go beyond those expected in most courses, although the core sequence (19-701 through 19-705) are aimed at developing and exercising this level of problem solving.

The Qualifiers consist of two parts discussed below: a research paper (Part A) and an extended take-home examination on an applied problem in policy analysis (Part B).  All students will be expected to take both Part A and B of the exam at the regular time unless they have successfully petitioned the Graduate Education Committee for an exception by the end of the first month of their third semester.

Appendix 5 provides general information and guidelines for the qualifying exams.

For the EPP Part A Qualifier, the student must prepare an original research paper that addresses a problem in technology and policy in which the issues of technology play a central role. This paper is expected to demonstrate the student's ability to structure and perform research on problems in engineering and policy, including the ability to apply formal analytical tools in such research. The typical paper requires approximately one year of preparation, in parallel with regular course work. In preparing this paper, students are expected to seek the assistance and supervision of their faculty advisor and other members of the faculty. Considerable student initiative is expected in this process. The paper may be based on a joint M.S. project prepared under the supervision of faculty members from EPP and other departments.

Students who have prepared such a piece of work prior to joining EPP may elect to use this work with the approval of the Graduate Education Committee. However, the student must demonstrate that the work is his or hers and not the product of a group effort in which he or she played primarily a supervisory role, and that the work was done after he or she had obtained an undergraduate degree.

Students must have the topic of their paper and draft abstract approved in the summer, at the end of their second semester, and give a preliminary oral presentation of their paper to the faculty in early fall. To obtain the preliminary approval in the summer, the student prepares a one-page prospectus that must be approved by three members of the EPP faculty, reviewed by the Graduate Education Committee, and then distributed to all members of the EPP faculty. The final paper must be less than 5,000 words in length, and must be submitted to the department for distribution to the faculty on a prescribed date in January, a few weeks prior to the oral examination date. At the examination, the student makes a 15- to 20-minute oral presentation of the paper and is then questioned by the faculty. Faculty questions may relate to the specifics of the paper, as well as to related but more fundamental material that forms the basis of the paper topic or the methods used.
 

Part B of the Qualifying Examinations occurs soon after the Part A paper is submitted in early January.  The objective of Part B is to examine a student’s ability to structure an unstructured policy problem on their own, and to select and apply appropriate problem-solving techniques. All students appearing for the Qualifier are presented with a problem in technology and policy, and given five days to prepare a written response. Examination problems are carefully constructed so as not to give a significant topic area advantage to any particular student.

Several outcomes of the Qualifying Examinations are possible. These are:

1.  The student passes both parts of the examinations at the Ph.D. level.
2.  The student passes one or both parts at the M.S. level, but not at the Ph.D. level. In this case, the student can take an M.S. degree. However, the option is also open to retake the examination(s) one more time when next offered. Students receive individual guidance on whether they should plan to retake the examination or leave the program with an M.S.  Students leaving with an MS degree must have a final version of the Part A examination paper approved by their advisor or the department head.
3.  The student fails one or both parts. Such students are almost always advised to withdraw from graduate studies in EPP. They may, however, elect to retake the failed examination(s) one more time when next offered.

Students who retake the Qualifiers must do so the year after the first attempt. Students who have failed one or more parts of the Qualifying Examination normally do not receive graduate assistantship support while waiting to retake the examination.
 

Once the Qualifiers and course work are completed, students spend full time on their thesis research.  The proposal for the Ph.D. thesis and a tentative schedule for the completion of the dissertation is to be presented to the students' Ph.D. Committee.

Within six months of passing the qualifying examinations at the Ph.D. level, the student must produce a written thesis proposal that includes a summary of any preliminary results available. The written proposal must be given to the student's Ph.D. Committee at least one week before the oral presentation of the proposal.  Once you have finalized the date of your proposal, you will need to send email to Vicki to let her know the day and time of the proposal and your committee chair.  Once she receives this notification from you, she will attend to the administrative details involved with the proposal.

The Ph.D. Committee is appointed jointly by the student's thesis advisor and the Department Head with the advice and consent of the student. The committee must have a minimum of four members, at least two of who must be EPP faculty members and at least one of whom does not have a major affiliation with EPP. The function of the Ph.D. Committee is both evaluative and supportive, but primarily the latter.  The committee should be made up of individuals who have the necessary knowledge, and who will provide timely advice, feedback and support.  The EPP members of the thesis committee are also responsible for certifying that departmental course requirements have been met, including the selection of courses to fulfill the student's particular core area of mastery.  The student should look at the different facets and disciplines involved in their work and choose the committee members to represent that cross-section.

The written thesis proposal is a document typically ten to fifteen pages in length that describes in detail the thesis problem statement and proposed plan and method of research, as well as a brief review of the background of the topic.  The proposal should include a tentative schedule for the completion of the development phases of the work. The proposal presentation to the graduate committee serves also as an occasion for a detailed discussion of the proposed research between the student and their graduate committee.  Ideally, the student should consult with all the committee members on a regular basis throughout the development of the thesis in order to benefit from the varying backgrounds of the committee members.  A binder of past thesis proposals is on file in the EPP Office and available for your review.  These proposal copies are submitted to Vicki on a voluntary basis by the students.

The length of the thesis proposal presentation can vary.  A rough rule of thumb is that the presentation be no more than 40 minutes long.  When the proposal is accepted by the Ph.D. committee a "yellow card" signed by the committee members is sent to the Associate Dean by Vicki to signify the completion of the qualifying process for acceptance to Ph.D. candidacy.

Unlike the thesis defense, the proposal is not open to the public.  It is only to be between the student and their faculty committee. 

A student must complete all formalities for the Ph.D. Degree and hand in the final copy of the thesis to the Department within six years after the thesis proposal.  This "statute of limitations" is designed to make sure that the student's knowledge in the field is current when he or she receives the degree.
 

The main areas of research activity in EPP currently are in policy problems involving: 

• Energy and Environmental Systems
• Climate Decision Making
• Information and Communication Technology
• Risk Analysis and Risk Communication
• Technology Policy, Innovation, and the Engineering Workforce
• Technical Issues in International Peace and Security
• Engineering Education and Manpower
• Computer-Based Tools for Quantitative Policy Analysis

Ph.D. Thesis Research is expected to be professional research of the highest caliber, and must contribute to advancing the body of knowledge in the field.  The Ph.D. dissertation, which describes the research and results in detail, must be a scholarly work in the substantial content as well as in the presentation.  The contribution of the thesis must be considered significant and original by the research community in the field, represented by the student's thesis committee.

The dissertation document must contain, in addition to details of the main work, the context and placement of this work in the general field of study. The document should be a coherent presentation consistent with standards and documentation requirements (such as references) expected of scholarly work.

The student's advisor and thesis committee are the final judges of the quality and quantity of research and writing required to complete the thesis.  They judge the quality of contribution including the analysis and originality of the work to the field. The work is usually equivalent to that which would result in three or four publishable papers.  In certain cases, when the student's research has led to the publication of a number of significant peer-reviewed journal articles (e.g., 3 to 4), the manuscripts for these papers (either published or accepted for publication) may be directly submitted as the major text for the thesis, with brief introductory and concluding chapters describing the overall theme and context of the papers.  Approval of the student's thesis committee is required for this type of thesis.

The ProQuest UMI Dissertation Publishing pamphlet detailing the production standards for the thesis is available from Vicki and you should get it from her as you start writing the thesis.  It provides general guidelines for formatting your thesis and information on copyrighting your thesis. 

CIT is currently producing thesis formatting guidelines that will supersede any previous guidelines.  They should be ready in fall 2009 and will be posted in the graduate policies section of the CIT website.  

The dissertation must be complete in all details when submitted to the committee.  The changes requested or recommended by the committee should be made and a final single-sided copy on high-quality paper must be submitted to the thesis advisor along with 3 cover sheets for signature.  Sample cover sheets are available from Vicki.  We also require a copy of your thesis on a CD.

It is very important to acknowledge all of the financial support you have received during your graduate studies on your acknowledgements page.

It is the advisor's signature on the thesis cover sheets that completes your written requirement.  Once you have received the advisor's signature, you must submit the final copy of your thesis with signed cover sheets to Vicki.  She will send it to the Department Head and Associate Dean for signature.

There are two other forms to be submitted with the final thesis, both available from Vicki:

1. ProQuest UMI Dissertation Publishing pamphlet (mentioned above and discussed in detail in Section 2.12.1)
2. Survey of Earned Doctorate:  A NSF Survey Form. This form is required by the Government from all students who earn a Ph.D. in the U.S.

When Vicki sends the thesis to the Dean's office with signed cover pages, defense yellow card, and the above two forms, this completes the procedures for thesis submission.

Deadline for thesis submission typically coincides with the final grade deadline for the respective graduation dates (May, August & December).  These deadlines can be found on the CMU official academic calendar posted on the Enrollment Services web site (http://www.cmu.edu/hub) or you can check with Vicki.

In addition to the required two copies discussed in the previous section, we request that you provide three additional copies for the department, plus any additional copies that you wish to have bound.  The three copies will be used by EPP and you will be reimbursed for them, if you provide a receipt.  If you wish, you may choose to have all of the copies produced here on campus by Kinkos, located in the basement of the University Center.  Vicki will give you an account number to use so that the copies will be direct billed to the department.  The department will then bill you for all but the 3 copies.  It is our understanding that if you provide Kinkos with a direct bill account number (from Vicki), the copies will be considerably less expensive.  We will take care of the thesis binding procedure for you.  The cost for binding is $22 per book, again you will not be charged for the three copies.

 You should discuss this further with Vicki once you have scheduled your defense.

CIT subscribes to the ProQuest UMI Dissertation Publishing Information Service that is designed to disseminate your thesis research through a program of publishing, bibliographic, abstracts and copy services.  Information is available from Vicki.  You should contact her for the form as you begin to write your thesis.  The ProQuest forms provides general guidelines for formatting the text of your manuscript. 

You may choose to claim a U.S. copyright for your thesis.  ProQuest offers a copyright service. You own the copyright, ProQuest is just the broker.  If you are interested in using ProQuest, they charge a $65 fee to file the copyright.  You would indicate on the ProQuest form that you would like them to file the copyright for you, include a check or money order for $65 payable to ProQuest, and submit all to Vicki.  

Please note:  If you have already submitted parts of your thesis for publication to a journal, prior to sending it to ProQuest for copyright, you must get permission from that journal as it holds the copyright.  But, if you are planning to submit it to a journal and have not done so before submitting it to ProQuest, you can copyright your entire thesis with ProQuest and still send it to the journal.  In this case you will be the one to hold the copyright.   For further questions or information on copyright, you should contact ProQuest, Author Relations Team, at 800-521-0600 x7020. 

If copyright is chosen, a separate page should have the copyright information on it, © symbol and the author's name beside it.  In a memo to Indira Nair, Jon Merz (EPP Ph.D. Graduate, 1991, and patent lawyer) has outlined the correct procedure for copyrighting material.  It should be on a separate page.  A portion of that memo has been reproduced below:

Pursuant to our conversations earlier in the semester about copyright notice, I recall that I have neglected to give you the suggested format for the notice in writing.  So here it is:

©Copyright, 1988, --name--.  All rights reserved.

The circle-c conforms to an international treaty for recognition of copyrights.  On computer programs, (c) may be used (at least one court has held that brackets [c] were inadequate).

The word "copyright" may be abbreviated, e.g., Copyr.

Lastly, the 'All rights reserved' statement is for protection in most South American countries, omission may impact rights in those countries.

Please note that you do not have to use ProQuest for copyright.  There are options available for copyright that are free and can be found on the web.  One such example is Creative Commons that a number of our students have used.  Their website is:  www.creativecommons.org.

Your dissertation defense must take place at least one month before the commencement date.  The completed dissertation must be handed in to your Ph.D. Committee at least one month prior to the defense date.  The student should schedule the date and time of defense suitable to his or her committee members, reserve the room, and any necessary equipment. 

You will need to work with your committee to schedule your defense.  You will want to schedule your defense so that you have enough time to make the necessary changes to be able to submit your thesis by the deadline.  If available, use the EPP Conference Room.  If the Conference Room is reserved, please contact Vicki for help with finding another location.  

The length of your presentation (defense) should be about 40 to 45 minutes.  It is best to concentrate on your research and not on a big introduction.

College rules require that a public oral defense notice be sent to the Dean’s Office and all CIT Departments at least two weeks prior to the date of your defense.  Accordingly, students will need to send the receptionist the following information by email so that she can produce and post the notice:  date, time, and location of defense; thesis title; names of the committee members, indicating who is chair and the visitor’s affiliation.

The University confers degrees three times a year – in May, August and December.  However, there is only one University-wide Commencement event, held in May.  Students who have graduated during the prior August or December and those graduating in May are invited to participate in this event.  Commencement is held on the third Sunday in May.  For the doctoral students, the University also holds a special Doctoral Hooding Ceremony the evening before Commencement.  In EPP, we have a breakfast on the morning of Commencement to honor all of our graduates including those who receive a B.S., M.S. and Ph.D.  Participation in all of these events is voluntary.  Vicki is the Department’s Commencement Coordinator and will pass along information and invitations to you for all of these events as they become available, prior to Commencement.

In the past, some students who just missed the May graduation deadline have asked if they could still participate in the May Commencement events.  The University policy on this is that you will be allowed to attend the main ceremony, but you will not be allowed to participate in the Doctoral Hooding Ceremony.  Only students who have been officially certified for graduation in the previous August, December or that current May are eligible to participate in the Hooding.  In order to participate in the EPP Commencement Breakfast, your defense should be successfully completed before Commencement and a reasonable target date set for final changes in response to the defense.  All of this should be included in a memo from the student and his or her advisor to the EPP Graduate Education Committee at least a few weeks before Commencement asking to be included, pending a successful oral defense.  The Graduate Committee will approve these requests routinely, and Vicki will follow up to check whether the defense was in fact successful and whether a target date before June 15 was set for completion of final thesis corrections.

Periodically students will need enrollment verification letters to send to prospective employers, loan agencies, scholarship committees, or for visa purposes.  Enrollment Services (The Hub) is the only place a student can now obtain an 'official' verification letter.  All departments have been directed by the Registrar to no longer provide these letters.  The procedure to obtain a verification letter can be found on the Hub's website at www.cmu.edu/hub.

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