The Ph.D. Program
The Ph.D. degree is awarded by the Graduate School of Arts and Science rather than by the School of Engineering and Applied Science; as a result, there are certain differences in the specifications for written dissertation and certain formal requirements to be met. Information on these is available from the Office of the Associate Dean for Graduate Education of the School of Engineering and Applied Science. All applications for the Ph.D. degree are made through the Graduate School of Arts and Sciences. Students accepted into the Ph.D. program need not complete a master’s degree.
The minimum time required for the Ph.D. degree for a student entering with an M.S.E. or equivalent degree is two calendar years. The time for the completion of a combined M.S.E. / Ph.D. is typically between four and six years.
Ph.D. Program Requirements
Students must complete each of the requirements outlined below within the general time frames outlined above. If a member of the dissertation committee is unavailable for an examination, the advisor will recommend an appropriate substitute committee member, which must be approved by the Graduate Group Chair. In rare cases, the Graduate Group Chair may approve rescheduling the examination based on incompatibilities in the schedules of the committee members.
To qualify for the Ph.D. program, all students must complete 7 approved courses in their first year. Typically, four of these will be taken in the first semester and three in the second. Three core courses are required for all students (no exceptions): MSE 520 Structure of Materials, MSE 530 Thermodynamics & Phase Equilibria, and MSE 540 Phase Transformations. Students must maintain a grade point average (GPA) above 3.25 for the first year and above 3.0 for the remainder of their coursework. Non-core courses may be selected from offerings within the MSE department and other departments in SEAS, as well as the physical, biological, and mathematical sciences. A student transferring from other graduate programs can only include transferred courses with the approval of the MSE Graduate Group Chair. Students should register for one research credit in their second semester reflecting the expectation that they participate in research. Students are required to take at least 10 graduate level courses (500 or greater). Within the ten courses, students are expected to include courses outside of their research area to gain a broader understanding of materials science and engineering. Doctoral students with a Master’s degree may transfer up to nine credits as course units to the Ph.D. program upon the approval of the Graduate Group Chair.
Qualifying Exam (Paper and Oral)
In Year 1, in addition to the coursework, Ph.D. students must also pass the qualifying examination. This examination is held at the end of May after the second semester and tests student’s potential for identifying and investigating significant research questions, the depth of their understanding of the materials covered in the 7 courses and their intellectual integration. As part of this examination, the student will write an original paper that consists of an analysis and critique of one or more articles published in the scientific literature typically, though not necessarily, in the general area of student’s research focus area. The qualifying exam paper will be orally presented and defended to a committee of three faculty members. The student must prepare (1) an abstract of their qualifying exam paper (no more than 250 words) and (2) a separate paragraph describing their research progress in the first year (no more than 250 words). The abstract (1) should describe the proposed area of focus for the qualifying exam paper, the topic(s) of the journal articles to be reviewed, and the general nature of the proposed critique. Students must also include copies of the selected research article(s). The abstract must be submitted by the end of the first Friday of March. The student will be notified within 2 weeks whether the proposed literature article(s) is acceptable. If it is unacceptable, the students will be provided feedback explaining why the proposed articles(s) or other aspects of the abstract were not accepted. The qualifying examination paper must incorporate a thorough analysis of one or more important and significant research articles in the published scientific literature and include a proposed research plan. A typical qualifying examination paper will (1) specify the general research area, (2) summarize the main points of the article(s) and the student’s view of its significant contributions to the field, (3) identify issues that the article author(s) neglected or did not properly address and problems with the methodology, (4) address how these deficiencies would alter the data or their interpretation, (5) describe how the student would address these deficiencies, and (6) identify appropriate next steps in the line of research discussed in the article. The qualifying examination paper should be approximately (but no more than) 20 single-spaced pages (including figures) with references (no page limit), plus a one-page (single-spaced) description of their research progress to-date. The qualifying examination paper must be submitted no later than two weeks after the end of the Spring Term finals period.
The oral section of the qualifying examination will take place approximately one week after the scheduled
submission of the qualifying examination paper. During the oral examination, the student will (1) present their qualifying exam paper (30 minute maximum) and (2) present their research progress (15 minute maximum). The qualifying examination committee will assess the student’s ability to debate the fundamental background, significance, and results of the research article(s) and the research plan, illustrate its importance within the research field, and demonstrate that he or she is able to integrate the knowledge gained in their coursework. The qualifying examination committee will consist of three members of the Graduate Group and the student’s advisor will not be present. Any student who fails the oral examination has the option of retaking the examination within six weeks of their first attempt. Students failing the retake are not permitted to continue in the doctorate degree program and have the option of entering the Masters degree program.
Dissertation Committee Composition and Meetings
The Dissertation Committee provides the student and advisor with additional sources of information, guidance, and critique of the research project, and reviews student progress in the Research Proposal Examination, 4th Year Research Update, the Dissertation Defense and other times as the student or advisor may request. Each student in the doctoral degree program will have a Dissertation Committee of at least four members, including the advisor. At least half of the members of the Dissertation Committee must be members of the MSE Graduate Group (at the time of their appointment to the committee), and at least one member must be outside the MSE department. One member of the Dissertation Committee from the Standing Faculty in the MSE Graduate Group will be appointed as Chair of the Dissertation Committee. If the Chair of a Dissertation Committee leaves the Standing Faculty before the dissertation is completed, then a new chair from the Standing Faculty in the MSE Graduate Group must be appointed as chair. The membership of the Dissertation Committee (including members from outside the MSE Graduate Group) must be approved in writing by the MSE Graduate Committee Chair.
The Dissertation Advisor is the person primarily responsible for overseeing the student’s dissertation research. A student may have both a Dissertation Advisor and a Dissertation Co-Advisor, or two Dissertation Co-Advisors, if that responsibility is shared equally. Dissertation Advisors, and/or Dissertation Co-Advisors, must be members of the Standing Faculty at Penn, with special exceptions that must be approved by the Graduate Group Chair. A member of the Associated Faculty (such as Research Faculty or Adjunct Faculty) may be permitted to serve as a Dissertation Advisor with prior approval of the Vice Provost for Education on a case by case basis. The MSE Graduate Group Chair may petition the Vice Provost for Education, in advance, for an exception. In such cases, a member of the Standing Faculty in the MSE Graduate Group must be appointed as the Dissertation Committee Chair.
Second Year Progress Update
In Year 2, doctoral degree students must submit an Annual Dissertation Research Progress Report (one page, single-spaced, one figure), signed by the advisor, to the Graduate Group Chair. This progress report should include background, motivation, research progress, and a brief summary of future work. This update is due December 1. The advisor must approve the proposal by the end of December.
Third Year Research Proposal
In Year 3, doctoral degree students must submit a research proposal to the Graduate Group Chair and their Dissertation Committee. The proposal (20 pages maximum) should describe the focus of the student’s thesis project, identify the technological and scientific importance of the work, outline the theoretical or experimental approach to be followed, and include their results to date. The proposal is due December 20. Near the end of the following January, an oral examination will be scheduled. The exam will be conducted by the Dissertation Committee. The purpose of this exam is to evaluate the motivation and capability of the student for research, based on his/her demonstration of in-depth understanding, independence of thought and progress towards completing his/her PhD. The committee will also provide advice and/or suggestions for future directions. The student will be expected to make a presentation (30 minute maximum) on thesis research followed by discussion with the Dissertation Committee. If the committee finds the student is seriously deficient in progress and/or capability to conduct the independent research, the committee may recommend a second oral examination within 3 months. Continuing in the PhD program requires committee approval of the research proposal.
Annual Research Update Beyond Year 3
Near the end of January of Year 4 (and subsequent years if a student has not completed all requirements for the PhD degree), a 15-minute student oral presentation will be scheduled with the Dissertation Committee. The students will discuss their progress (e.g., significant discoveries, publications, proceedings, and abstracts) and anticipated work for completion of their doctoral thesis. The committee will review the doctoral degree progress and determine whether the progress is sufficient in all aspects. If the committee decides that the student is seriously deficient in research progress, it will recommend a follow-up oral presentation within 3 months from the first review.
Dissertation and thesis defense
When the dissertation work is completed to the satisfaction of the advisor, the student prepares a written dissertation according to the specifications available in the departmental office or Deputy Dean. The Examination Committee is normally the same as the Dissertation Committee; deviations from this norm must be approved by the Graduate Group Chair. Copies of the dissertation must be submitted to the members of the Examination Committee ten days before their defense, after which the student will defend the dissertation in an oral examination before the committee. Students schedule the time and location of their thesis defense and are asked to announce the time and place of the examination in advance, and the dissertation presentation and initial question-and-answer portion of the exam are open to the public. The final portion of the examination will be restricted to the student and the Examination Committee. However, this part of the examination may also be public if unanimously approved by the Examination Committee. If the dissertation and the defense are accepted, the advisor and the Graduate Group Chair will sign the Ph.D. Degree Certification form, which is then submitted to the Deputy Dean for further action. The committee may require changes in the dissertation, and, in exceptional cases, a second dissertation defense.
All doctoral degree students are required to attend all departmental seminars; persistent absences may result in removal from the graduate program.
Modifications and Exceptions
Requests for exceptions to or modifications of these requirements must be made in writing to the Graduate Group Chair. Requests should be discussed in advance with the advisor, and should include the reasons for seeking the change. Petitions to modify requirements of the University or of the School must be further approved by the Graduate Affairs Committee of the School.
Advising and Advisor Selection
During orientation each doctoral degree student will meet with the MSE Graduate Advising Committee, who recommend and approve first-semester course selections based on the student’s undergraduate transcript and intended area of research. This meeting occurs during departmental orientation (usually the day before classes start). An official course approval form must be signed by the committee members and the student and entered in the student’s departmental file. Typically, students register for four courses in their first semester, and three courses plus one research course unit in their second semester. Course selection after the first semester is made in consultation with a student’s thesis advisor.
During the first month of the semester, each Ph.D. student will make appointments to meet individually with members of the MSE Graduate Group whom they consider to be prospective advisors, as well as students in these research groups. In late September each doctoral degree student must submit a ranked list of three faculty members to whom the student would like to be assigned as a research advisee to the Graduate Group Chair. The faculty of the Graduate Group then assigns students to faculty advisors in accordance with student preferences, subject to limitations imposed by the availability of research support, the wishes of faculty members, and the existing distribution of students among advisors. The faculty advisor is principally responsible for the student’s program and progress, including course selection and any requests related to the student’s formal status in the graduate program.
A student may request a change of advisor at any time during their Ph.D. studies, and the request will be honored if possible. However, since changing advisors usually implies changing research topics, it is advantageous to request a change as early as possible during a student’s graduate program.
Dr. Shu Yang
Professor and Graduate Group Chair
Dr. Mahadevan Khantha
Senior Lecturer, Faculty Advisor and Master’s Program Advisor
Office: 221 LRSM
Ms. Irene Clements
Graduate Program Coordinator
Office: Room 201, LRSM