gradstudents.Ph.D. degree program

The goals of the Ph.D. program are as follows:

• Advance the state-of-the-knowledge in the student's area of study and promote original engineering invention,
• Solidify the student's understanding of a chosen research area to a profound level,
• Encourage a strong interdisciplinary interests to enhance the breadth of education and complement the main research area,
• Develop the student's skills in science and engineering research, and
• Enhance the student's skills in scientific and engineering communication.

Listed below are several ways in which the Graduate Program assists Ph.D. students in achieving these goals.

Degree Requirements

Degree requirements for a Ph.D. program are specified online. In addition, students who wish to switch between the Master's of Science Program or the Ph.D. Program must formally apply by the general deadline to compete for admission with all other applicants. Each admitted student first identifies a track and signs up for one or more core courses (either departmental or track specific [materials, structures and geosystems or environmental engineering tracks] ). Typically, each student in both degree programs registers for 12 course credits each semester (4 courses at 3 credits per course) until earning the requisite number of credits.

Faculty Advisor

A Faculty Advisor is assigned to each graduate student after his or her arrival at Duke. The advisor must be a member of the graduate Civil and Environmental Engineering faculty. Typically, students identify their advisors during the admission process. Otherwise, the DGS assigns an interim faculty advisor. During his/her first semester in residence, a student may request the appointment of a permanent academic advisor. In the absence of such a request, the interim advisor automatically becomes permanent. Although it is important that a good match of interest be found between the graduate students and their advisors, changes of permanent advisors are discouraged beyond the first year of studies and should be sought only in exceptional circumstances.

Qualifying Examination

Qualifying Examination. Each doctoral student is required to qualify for the program by passing a Qualifying Examination. The aim of this exam is to verify student’s suitability for independent, high quality intellectual work and to identify strengths and critical weaknesses in the student's understanding of basic subjects in his/her research area. It is designed to test the student’s readiness to undertake a sophisticated research initiative by identifying the research problem, proposing suitable methods, and successfully using them to solve the problem. The exam also tests student’s ability to work independently. Furthermore, it prepares the students for a mode in which they will operate in their future careers in academia; in private, governmental or industrial research institutions; and in high-tech industry. This mode is embodied in the proposal-research-publication cycle.

The Qualifying Exam Committee (QEC) consists of at least three faculty members, including a committee chair. The faculty members serving on these committees must be members of the Graduate Program in Civil and Environmental Engineering. The student’s advisor is a member of the QEC, but cannot chair the Committee. At least one faculty member on this committee must teach courses in the student's Program Track, and at least one committee member must be from outside the student’s Program Track. The DGS is an ex officio member of all QECs.

The QEC’s responsibilities are to advise and mentor each graduate student through the qualifying exam. The QEC determines the student's knowledge deficiencies and recommends courses to alleviate them. Within the first three semesters students are expected to achieve proficiency in basic skills in the areas covered by the departmental and area-specific core courses as well as in areas recommended by the Advisor. The QEC determines student’s readiness for the Exam by assessing the level of preparation in terms of scientific and research tools mastered and by reviewing student’s performance in courses. It is expected that students excel by earning at least GOOD (G) grades in all their courses. Typically, the student takes the Qualifying Exam after three semesters in residence.

To meet the stated goals the Qualifying Exam is composed of two parts:

• 1. Without advisor’s input, writing a proposal on a research issue formulated by the QEC (a 3-week task for research and proposal writing);
• 2. Presenting the proposal to the QEC and defending it in the context of an oral exam on matters relevant to the student’s area of study.

The subject for the exam proposal should be in the student’s area of interest but should not be the topic of the student’s anticipated Ph.D. thesis. The Committee will discuss with the student his/her exam focus at least 3 month prior to the exam (typically during the practice exam in October).

The format for the written proposal should follow the most current format of NSF proposals available at NSF Grant Proposal Guide (NSF 02-2), with the student taking the role of Principal Investigator (PI). The main part of the proposal the Project Description (Proposal Section C) must not exceed 15 pages. It should contain the following sub-sections:

• Objectives for the period of the proposed work,
• Expected significance,
• Relation to longer-term goals of the PI's project,
• Relation to the present state of knowledge in the field,
• Relation to work in progress by the PI and to work in progress elsewhere,
• Results from Prior [NSF] Support – skip.

The Project Description should outline the general plan of work, including the broad design of the proposed activities, and, where appropriate, provide a clear description of experimental methods and procedures and plans for preservation, documentation, and sharing of data, samples, physical collections, etc. The proposal needs to include supporting materials listed in the NSF guidelines, such as CV in a specific format, etc. Notably, some of these items may be prepared before the exam (e.g., the CV). No specific budget is required but an estimate of personnel and equipment should be highlighted. The research proposed should be novel enough to deserve support but should not be too ambitious so that it can be completed within a period of about three years by the PI with the help of a graduate student, postdoctoral fellow, or an engineer/technician.

Timetable

A timetable will be established for students by their individual QEC and will include:

• The date of the assignment of the title of the research proposal (typically the first or second week of December),
• A maximum of 4 weeks for research and proposal writing,
• The deadline for proposal submission (typically at the beginning of the Spring semester, during the first or second week of January), and
• The date of the proposal presentation, defense, and oral exam; typically scheduled one week after the proposal submission.

The presentation of the proposal is to be designed for 45 minutes (plus 10-15 minutes for questions). The presentation is public. The defense of the proposal and oral examination is to be regulated by the Committee chair but is expected to be about 1 to 2 hours. The defense and oral examination are open only to the faculty members of the Department.

Decided by simple majority vote of the QEC, the possible outcomes of the Qualifying Exam are:

• The student passes.
• The student passes with exceptions. The QEC will specify the subject matters that the student will be expected to pursue, possibly including additional course work. The committee may require re-examination.
• The student fails.

Students who fail the exam are allowed to retake it not later than by the end of the fourth semester, i.e., not later than June if the original exam was administered in January. The Committee administers the re-take with the consent of the DGS. Note that a student who fails the Qualifying Exam may lose his/her financial support at the discretion of his/her advisor in consultation with the chair of the department and the DGS.

Ph.D. Committee

After a student successfully passes the Qualifying Exam, his/her Ph.D. Committee is formed. The Committee is nominated by the student's research advisor after consultation with the student, it is appointed by the DGS, and it is approved by the Dean of the Graduate School. The committee consists of at least three members of the Civil and Environmental Engineering Graduate Faculty and at least one member from an area outside of the discipline of the thesis. It guides the student through the Preliminary Examination and evaluates his/her progress each semester through the Final Dissertation Defense.

The student’s advisor chairs the Ph.D. Committee and is responsible for setting high standards of originality and quality for the research and its presentation. He/she mentors and advises the student on his/her research and monitors its progress. The committee members serve as a resource during the research; evaluate research progress reports based on the content, organization, clarity, and effectiveness; and edit and evaluate the Ph.D. Dissertation.

Preliminary Examination

Typically the Preliminary Examination is administered one year after passing the Qualifying Exam. The advisor and the Ph.D. Committee organize and administer the Preliminary Examination. However, it is the duty of the candidate to request and obtain his/her transcripts and an examination card for this exam. A student becomes a Ph.D. Candidate upon passing the Preliminary Examination. Its purpose is to evaluate the student's qualifications to proceed with the proposed research. The Preliminary Examination consists of two parts:

Part 1: Research Proposal. The student must submit a Research Proposal, in written form, to all members of his/her Ph.D. Committee. This document:

• Defines the objectives of the proposed research,
• Includes a survey and analysis of pertinent literature, with a focus on what is apparently missing in the literature and on the student's anticipated contributions,
• Describes the research tasks to be completed including theory development, data collection, analysis, and documentation,
• Addresses potential problems that may arise and ways to deal with them, and
• Suggests a schedule for completion of the research and its publication in peer-reviewed journals.

The goal of the proposal is to provide the groundwork for the doctoral research. The proposal will be made available for review by members of the Ph.D. Committee at least 7 days prior to its scheduled oral defense. Each committee member will evaluate the proposal based on its scope and potential for state-of-the-art advances.

Part 2: Oral Defense of Research Proposal. The Ph.D. Committee shall allocate ample time for the evaluation of the overall performance of the student on both parts of the Preliminary Examination. This examination will address topics from the broadly defined field of study. The student's readiness to undertake the proposed research will be evaluated.

The Ph.D. Committee will rely on both parts of the Preliminary Examination, as well as success in graduate course work to evaluate the student's potential to successfully complete the doctoral research program. The outcome of Part 2 of the Preliminary Examination is to be determined by vote of the Ph.D. Committee members. The only three outcomes of the Preliminary Examination are as follows:

• The student passes and may continue with the proposed doctoral research following the policies outlined below. A simple majority of votes is required.
• The student passes, conditional upon completing specified additional work and/or revisions to the research proposal. A simple majority of votes is required.
• The student fails. The student may apply, with the consent of the Ph.D. Committee, the DGS, and the Dean of the Graduate School, for the privilege of a second examination to be taken no sooner than three months after the date of the first exam. Successful completion of the second examination requires the unanimous vote of all Ph.D. Committee members. Failure on the second examination renders the student ineligible to continue in the Ph.D. program.

Only after passing the Preliminary Examination is the student admitted into candidacy for the Ph.D. degree.

Progress Reports after Preliminary Examination

Each semester after the Preliminary Examination, the student meets with the Ph.D. Committee and reports his/her progress. The meetings must include a presentation of work in progress and a program for future work. The committee will indicate to the student its assessment of progress made and will approve any warranted alterations in the directions of research. The format of the Progress Reports is determined by the Ph.D. Committee.

Doctoral Dissertation

Each candidate must successfully complete the proposed Ph.D. research and describe it in a written dissertation. Please follow the formatting requirements outlined in the Guide for Preparation of Theses and Dissertations. The dissertation should include, but does not need to be limited to:

• An abstract with objectives and clearly stated unique contributions,
• A complete survey and discussion/synthesis of pertinent literature,
• Discussions of the completed research tasks, including theory development, data collection, analyses, and documentation, and
• A set of conclusions emphasizing new theoretical, modeling, or experimental contributions or novel applications of existing theories.

The quality of the doctoral dissertation should allow the material to be published in excellent peer-reviewed journals. Furthermore, it is expected that the dissertation material will be published in such journals and that a number of journal articles, written in close cooperation with candidate’s advisor, will have been submitted or at least will be ready for submission before the final dissertation defense.

Final Dissertation Defense

The student must successfully defend the Dissertation orally to the Ph.D. Committee, with at least four members present. One month before the dissertation is presented and no later than January 25 for the May degree, July 1 for a September degree, and November 1 for a December degree, the student must file with the Dean of the Graduate School, a declaration of intention to receive a degree. The student must adhere to Graduate School rules regarding the schedule of submission of the dissertation for the School review of its format. Copies of the dissertation must be submitted to the members of the Ph.D. Committee at least 7 days prior to the defense.

The Final Dissertation Defense is administered by the advisor and the Ph.D. Committee. However, it is the duty of the candidate to ensure that the Graduate School’s dissertation submission deadlines are met, to obtain the certificate from the Advisor, and to request the transcripts and examination card. The defense has two parts. In the first part, the student presents his/her dissertation in a seminar. This part is open to the public and includes time for questions and answers. In the second part, the student answers questions posed by the Ph.D. Committee. This part is closed to the public.

The final dissertation defense should typically not exceed three hours. At the conclusion of the Final Dissertation Defense, each member of the committee will vote on whether the candidate has passed the examination and is therefore recommended for a doctoral degree. The vote is recorded on the certificate provided by the Graduate School.
If all members of the committee cast a positive vote, they sign their names on the dissertation title page, the title page of the abstract in the original copy, and on the title page of another copy.

If the Ph.D. Committee members present at the Defense include five or more examiners, a candidate fails if two members of the Committee cast negative votes or if the professor supervising the dissertation casts a single negative vote. A single negative vote by a member of the Committee other than the supervising professor does not prevent a candidate from passing unless the member casting the negative vote records his/her protest within three days with the Dean of the Graduate School (for submission to the Executive Committee of the Graduate Faculty). After hearing the members of the Ph.D. Committee state the reasons for and against passing the candidate, the Executive Committee shall decide the matter. In all cases, the certificate carries a complete record of the cast vote, and, if passed, the dissertation bears only the signatures of the Ph.D. Committee members voting affirmatively.

If the Ph.D. Committee present at the Defense includes only four examiners, the candidate is passed only if all examiners vote affirmatively.

A candidate who has failed the Final Dissertation Defense may be granted a re-examination on the recommendation of the supervising professor no sooner than six months after the date of his/her or her failure. The Ph.D. Committee should in principle be the same as that for the first examination, but changes in the membership of the Committee may be made if in the judgment of the Dean of the Graduate School it is desirable. Voting requirements and procedures of the re-examination are the same as those for the first examination. A candidate who fails the Final Defense twice shall not be given another opportunity in any department of the Graduate School.

All rules of the Graduate School of Duke University apply to the procedures for the conduct of this Examination, and if the rules in this document conflict with the Graduate School regulations, the latter shall prevail.

Graduate School Documents and Procedures

1. If credits from M.S. at another school are to be transferred, the student should file a letter of request with the Graduate School after completing one semester at Duke.

2. The student should file the Ph.D. Committee Approval form as soon as the Preliminary Exam date is set.

3. The student should submit the Dissertation Proposal to the Ph.D. Committee in advance of the preliminary exam.

4. The Advisor (Committee Chairman) gets a form from the Departmental office for reporting results of Preliminary Exam and files it with the Graduate School.

5. The student must arrange Progress Report meetings with the Committee each semester following the Preliminary Exam. Department forms must be completed and signed by the committee members and placed in the student's file.

6. The student’s Final Exam time must be announced via memo to the Graduate School as soon as it is determined. The Committee should be listed, and requests for changes should be submitted when necessary.

7. The student must coordinate the writing of the Dissertation with the Advisor and the Committee. Once its version is acceptable for distribution to the Committee, the student must take all necessary copies to the Graduate School. The Graduate School will loosely bind each copy, and return the copies and the Examination Card to the student. The student gives the examination card to the Advisor and distributes to each Committee member a copy of the dissertation approved by the Graduate School.

8. If the Committee is to be given only a draft copy of the dissertation, the Advisor must request in writing (with the consent of Committee) that the Graduate School accept the draft before the examination.

9. The student should ensure that all Graduate School requirements and deadlines are met for the semester in which he/she is seeking the degree. (See the Bulletin of the Graduate School). Students should not rely on the Director of Graduate Studies, the Ph.D. Committees, or the Advisor to watch for these deadlines and requirements.

Dissertation Defense

All Degree Candidates:

1. Reserve a room (usually Room 132 Hudson Hall) for the defense in the departmental office.

2. Submit to the Director of Graduate Studies one week prior to the defense the following:

• 1. A one page Abstract of the Dissertation, for inclusion in the official announcement of the defense.
• 2. One copy of the Dissertation, which shall be made available for review in the Department Lounge or office.