1. Major in Systems Engineering
PhD AS Planning Guide
4/19/2017
PhD in Applied Science
Major in Systems Engineering
PhD Planning Guide January 2009 Update
Prepared By:
Southern Methodist University (SMU)
SEP Development Team (DT)
PhD Planning Guide Project Team
Steve Skinner
Co-Project Leader
Mike Harper
Co-Project Leader
January 2007

2. Outline Introduction Getting Started 7 Steps to Acceptance
PhD AS Planning Guide
4/19/2017
Outline
Introduction
Getting Started
7 Steps to Acceptance
7 Steps to Completion
Summary
January 2007

3. Revisions Revision Description May 2005 Basic October 2005
PhD AS Planning Guide
4/19/2017
Revisions
Revision
Description
May 2005
Basic
October 2005
Changed degree to Applied Science with Major in Systems Engineering.
Updated contact list.
December 2005
Minor format corrections.
January 2007
Added detailed steps to PhD Degree completion.
Updated hyperlinks.
January 2009
General updates and clarifications to charts 4, 11, 18, 26, 28, 37, 38.
Updated dissertation electronic submittal requirements on charts 10, 32.
Updated contacts on chart 7.
Updated hyperlinks on charts 6, 10, 19, 25, 31, 32, 36.
January 2007

4. PhD AS Planning Guide
4/19/2017
Introduction
The objective of the PhD Planning Guide is to help the prospective PhD student through the process of acceptance into the Applied Science program to begin study towards a PhD in Applied Science with a major in Systems Engineering.
The PhD Planning Guide identifies and describes the steps to advance the student through the PhD program and complete the PhD degree.
Assumptions: This planning guide assumes the student has already achieved the entry criteria and meets the minimum requirements to be accepted into the program.
January 2007

5. PhD AS Planning Guide
4/19/2017
Getting Started
Getting Started provides the student with basic information to move from “just interested” to the “take action” phase.
Initial Investigation
Contact Information
Gates to Next Phase
January 2007

6. Getting Started – Initial Investigation
PhD AS Planning Guide
4/19/2017
Getting Started – Initial Investigation
A wealth of information regarding the EMIS programs can be found at the EMIS website:
A website specific to PhD in Applied Science with a major in Systems Engineering does not exist.
However, the Lyle School of Engineering Graduate Catalog describes general requirements for a PhD degree at the following URL:
January 2007

7. PhD AS Planning Guide
4/19/2017
Getting Started - Contact Information
Application Questions / Status
Jim Dees, Graduate Student Experience and Enrollment Management
Phone:
Marc Valerin, Graduate & Executive Admissions
Phone:
Krys Benson, Graduate & Executive Admissions
Phone:
Degree Planning / Research Topic
Dr. Jerrell Stracener, Systems Engineering Program Director
Phone:
The Administrative Assistant to Dr. Stracener can help coordinate meetings.
Course & Dissertation Registration
Rose Torres, Graduate Registration & Scheduling
Phone:
January 2007

8. Getting Started – Gates & Times
PhD AS Planning Guide
4/19/2017
Getting Started – Gates & Times
Plan for 6 months from application submittal to acceptance into the Applied Science program
Notional Timeline
January 2007

9. 7 Steps to Acceptance Submit Application Material
PhD AS Planning Guide
4/19/2017
Acceptance
7 Steps to Acceptance
Submit Application Material
Form Supervisory Committee
Develop Degree Plan
Construct Preliminary Research Topic
Propose Program of Study
Complete Preliminary Counseling Exam
Follow-Up!
January 2007

10. Step 1: Submit Application Material
PhD AS Planning Guide
4/19/2017
Acceptance
Step 1: Submit Application Material
The first thing to do is complete and submit an Application along with a Statement of Purpose
Links to Application Instructions and Forms:
Online Application:
Select Program Degree PhD Applied Science
Specialization is Systems Engineering
Concurrent with the Application, request 3 letters of recommendation
Current or former supervisors / coworkers that know you well
Good if they have advanced degrees
Good if they are in Systems Engineering leadership positions
Recommendation Form:
January 2007

11. Step 2: Form Supervisory Committee
PhD AS Planning Guide
4/19/2017
Acceptance
Step 2: Form Supervisory Committee
Form your Supervisory Committee once the application has been processed and the go-ahead is given by your advisor
Select a minimum of 3 tenured / tenure track faculty (Preferably 5)
Adjunct Professors are allowed to be Committee Members but do not count towards the minimum required 3 tenure track
Dr Stracener can recommend potential committee members
Contact the Potential Committee Members
Letter / requesting them to serve as a committee member
Attach brief presentation that introduces you and describes your plans
Personal Background Information - Brief Resume (profession / education)
Degree Plan Proposal
Research Topic Proposal
Degree Completion Goals
Once Supervisory Committee is in place, set up a kick-off meeting on campus to agree on proposed program of study & research topic
January 2007

12. Step 3: Develop Degree Plan
PhD AS Planning Guide
4/19/2017
Acceptance
Step 3: Develop Degree Plan
Basic Coursework
Determine if previously completed graduate courses apply towards the required PhD coursework
Develop a course equivalence matrix (CEM) to help justify applying completed graduate courses toward degree plan
The CEM lists the courses in the PhD curriculum
Adjacent to the PhD course list are completed graduate courses that apply directly to the required PhD course plan
The CEM contains backup information to justify why the completed graduate course is equivalent to the PhD course
A good method is to compare course descriptions
It is possible to deviate slightly from the PhD proposed course plan but must be justified (i.e. fits area of research)
January 2007

13. Step 3: Develop Degree Plan Course Equivalence Matrix (CEM)
PhD AS Planning Guide
4/19/2017
Acceptance
Step 3: Develop Degree Plan Course Equivalence Matrix (CEM)
54 TCH Beyond Bachelors
24 TCH Dissertation
78 TCH
Adjust “Choose 4” if necessary to align with area of research
Electives can align with research area and 12 TCH needed for minor. In this case, minor is Engineering Management.
Align Graduate Degree courses with PhD SE course requirements. Justify equivalence on separate page
Example
January 2007

14. Step 3: Develop Degree Plan
PhD AS Planning Guide
4/19/2017
Acceptance
Step 3: Develop Degree Plan
From the course equivalence matrix, layout the PhD degree plan
First list the completed graduate courses, equivalent PhD course, and how it is applied toward major or minor
Example
Course
Course Title
Sem / Yr
Equiv.
Major
Minor 1
SYS 5301
Systems Engineering Process
EMIS 7301 X 2
SYS 5303
Integrated Risk Management
EMIS 7303 3
SYS 5305
Systems Optimization And Analysis
EMIS 7305 4
SYS 5307
Systems Integration And Test
EMIS 7307 5
CSE 5311
Fundamentals of Computer Science 6
CSE 5312
Software Systems Engineering
EMIS 7312 7
CSE 6363
Engineering Finance
EMIS 8363 8
ME 5352
Modern Manufacturing Methods
ME 7352 9
ME 6352
Manufacturing In A Global Era
ME 7366 10
ME 6359
Managing Technology
ME 7369
January 2007

15. Step 3: Develop Degree Plan
PhD AS Planning Guide
4/19/2017
Acceptance
Step 3: Develop Degree Plan
Then list the courses in the proposed degree plan and how they will apply toward major and minor
12 credit hours are required for minor
Select from combination of Masters and PhD coursework
Example
Course
Course Title
Sem / Yr
Major
Minor 1
EMIS 7310
Systems Engineering Design
S / 05 X 2
EMIS 7320
Systems Engineering Management
F / 04 3
EMIS 7330
Systems Reliability Engineering
S / 06 4
EMIS 7340
Logistics Systems Engineering 5
ENCE 8379
Analysis of Transportation Systems
F / 05 6
EMIS 7362
Production and Operations Management 7
EMIS 8360
Operations Research Models
SP / 05 8
EMIS 8390
Systems Engineering Tools
SP / 06
January 2007

16. Step 4: Preliminary Research Topic
PhD AS Planning Guide
4/19/2017
Acceptance
Step 4: Preliminary Research Topic
Select a topic of interest and give it a succinct title
Develop background information to introduce the research topic
Define the Problem
Descriptive detail justifying why it is a significant topic
Expand description of the research topic
Scope the research topic
The scope should be manageable. Remember, it is easier to scale up than down.
January 2007

17. Step 5: Propose Program of Study
PhD AS Planning Guide
4/19/2017
Acceptance
Step 5: Propose Program of Study
A proposed program of study is presented by the student to the PhD Supervisory Committee at the kick-off meeting
Presentation by the student to the committee
Introduction, Student Background Information (2 – 3 Charts)
Proposed Program of Study (4 – 5 Charts)
Preliminary Research Topic (5 – 8 Charts)
Degree Completion Time-Line (1 Chart)
Plan for this meeting to satisfy requirements for the Preliminary Counseling Exam (see Step 6)
Meeting Preparation
Prepare a folder to provide each committee member
Presentation Hardcopy
Filled-out Recommendation and Certification of Appointment of Supervisory Committee Form
Filled-out Degree Plan Form
January 2007

18. Step 5: Propose Program of Study
PhD AS Planning Guide
4/19/2017
Acceptance
Step 5: Propose Program of Study
Meeting Objectives & Exit Criteria
Select Committee Chairman & Dissertation Director
Propose Program of Study
Committee Members approve program of study and sign forms:
Recommendation and Certification of Appointment of Supervisory Committee
Degree Plan
Determine if this meeting satisfies the Preliminary Counseling Exam (PCE)
Set tentative time schedule for Qualifying Exam
Deliver signed forms to Graduate Admissions office
If forms need to be modified prior to final signatures, coordinate a time to solicit signatures, or leave with Dr. Stracener’s Administrative Assistant and request committee members to stop by his office at their convenience.
January 2007

19. Step 5: Propose Program of Study
PhD AS Planning Guide
4/19/2017
Acceptance
Step 5: Propose Program of Study
Required Forms
Two forms to complete and be made available for signature at the kick-off meeting are at URL:
Download and Fill Out These Forms:
Supervisory Committee: Recommendation and Certification of Appointment of Supervisory Committee
Degree Plan:
This is a Generic PhD Degree Plan form
January 2007

20. Step 6: Preliminary Counseling Exam
PhD AS Planning Guide
4/19/2017
Acceptance
Step 6: Preliminary Counseling Exam
Be prepared for the PCE to be administered at the supervisory committee kick-off meeting.
The student is prepared for the PCE based on completed coursework and professional experience.
EMIS SE courses applicable to the PCE are 7300, 7301, 7303, 7305, 7307
The PCE may be structured as an interview rather than a formal exam.
A satisfactory technical interchange with the prospective PhD student is an endorsement that the student is prepared for the PhD program of study.
January 2007

21. PhD AS Planning Guide
4/19/2017
Acceptance
Step 7: Follow-Up!
Following the supervisory committee kick-off meeting, it is important to document the results.
Prepare draft minutes of meeting and distribute to the committee members for review and comment.
Finalize the minutes with received comments and redistribute.
If forms weren’t signed at the kick-off meeting, coordinate times to meet with members to obtain their signatures.
Once the signed forms are in the Graduate Admissions office, check status after 2 weeks. Keep checking status until approved.
Inform Supervisory Committee upon acceptance into the program.
January 2007

22. Summary of Acceptance Process
PhD AS Planning Guide
4/19/2017
Acceptance
Summary of Acceptance Process
Use course outline in PhD SE Program Preliminary Proposal as a basis for the degree plan
Goal is to apply all completed graduate credit hours towards PhD
Use Course Equivalence Matrix to justify
The Supervisory Committee must be assembled before student is admitted into the Applied Science Program
Host a kick-off meeting for the committee to approve degree plan and endorse preliminary research proposal
Plan for the Preliminary Counseling Exam to be administered at this initial meeting with the committee
Successfully complete the 7 Steps to help you with acceptance into the Applied Science program to begin study toward a PhD degree with a major in Systems Engineering.
January 2007

23. Steps to Completion PhD AS Planning Guide 4/19/2017 January 2007

24. PhD AS Planning Guide
4/19/2017
Completion
7 Steps to Completion
Total Academic Credit: ≥ 78 TCHs Past Bachelor Degree
Advanced Coursework: ≥ 54 TCHs Past Bachelor Degree
Dissertation: ≥ 24 TCHs
Qualifying Examination (QE): After completing some coursework in areas of Major & Minor
Admission to Candidacy: After Passing QE
Dissertation: Includes a Publication Plan
Time Limitations: ≤ 5 Years after QE Passed
Administrative: Key items & timeline for graduation
Final Examination:
≥ 1 Year after QE Passed
Dissertation Submitted
January 2007

25. Introduction to 7 Completion Steps
PhD AS Planning Guide
4/19/2017
Completion
Introduction to 7 Completion Steps
The steps identified in this section are selected from the SMU School of Engineering Graduate Catalog and information from the EMIS website.
SMU Degree Requirements:
This completion guide serves to summarize those requirements and provide insight based of lessons learned from experiencing the process.
January 2007

26. Step 1: Total Academic Credit
PhD AS Planning Guide
4/19/2017
Completion
Step 1: Total Academic Credit
Minimum academic credit of 54 term hours earned in course work beyond the baccalaureate - OR -
24 term hours earned in course work beyond a Master's degree
As a general guideline, at least 12 term credit hours are required for the minor, which should be in an area providing breadth as well as support to the major field of investigation.
24 term hours earned in dissertation work.
See note in “Total Academic Credit” section of the Degree Requirements website for applicability of credit hours
Supervisory committee determines exact amount of course credit required
Approval of the department chair and the Associate Dean.
While actively working of dissertation, the student must be enrolled in dissertation study each term until completion of all requirements for the Ph.D. degree.
If 24 TCH have been completed prior to completing the dissertation, the student must enroll in a zero credit hour dissertation course (EMIS 8096).
January 2007

27. PhD AS Planning Guide
4/19/2017
Completion
Step 1: Total Academic Credit Coursework Beyond Bachelors Degree (54 CHs)
Example
Course
(circa ’95-’98)
Equiv: 2005
Course Title
Sem/Yr
Professor
Maj
Min 1
SYS 5301
EMIS 7301
Systems Engineering Process
F / 95
Arunski X 2
SYS 5307
EMIS 7307
Systems Integration And Test
SP / 96
Lacy 3
ME 5352
ME 7352
Modern Manufacturing Methods
S / 96
Pipinich 4
SYS 5303
EMIS 7303
Integrated Risk Management
F / 96
Dean 5
SYS 5305
EMIS 7305
Systems Optimization And Analysis
SP / 97
Stracener 6
CSE 5311
Fundamentals of Computer Science
S / 97
Diaz 7
CSE 5312
EMIS 7312
Software Systems Engineering
F / 97
Coyle 8
ME 6352
ME 7366
Manufacturing In A Global Era
McMahon 9
CSE 6363
EMIS 8363
Engineering Finance
SP / 98
Pickels 10
ME 6359
ME 7369
Managing Technology
Witzke 11
EMIS 7320
Systems Engineering Management
F / 04
Daley 12
EMIS 7340
Logistics Systems Engineering
Ibarra 13
EMIS 8360
Operations Research Models
SP / 05
Kennington 14
EMIS 7310
Systems Engineering Design
S / 05
Hinderer 15
ENCE 8379
Analysis of Transportation Systems
F / 05
Abdelghany 16
EMIS 8374
Network Flows
SP / 06
Olinick 17
EMIS 7330
Systems Reliability Engineering
S / 06
Cluff 18
EMIS 7362
Production and Operations Management
F / 06
Barr
January 2007

28. PhD AS Planning Guide
4/19/2017
Completion
Step 1: Total Academic Credit Dissertation Credit Hours Completed (24 CHs)
Course
Course Title
Sem/Yr CH 1
ENCE 8396
Dissertation Semester 1
S / 05 3 2
Dissertation Semester 2
F / 05
Dissertation Semester 3
SP / 06 4
Dissertation Semester 4
S / 06 5
Dissertation Semester 5
F / 06 6
ENCE 8696
Dissertation Semester 6
SP / 07 7
Dissertation Semester 7
S / 07 8
ENCE 8096
Dissertation Semester 8
F / 07
Dissertation Credit Hours 24
Coursework Beyond Bachelors Degree 54
Total Credit Hours 78
Example
The course number reflects the department of the Dissertation Chairman.
- In this example, the dissertation is being supervised from the ENCE department.
Dissertation credit hours align with level of effort applied to research
January 2007

29. Step 1: Total Academic Credit
PhD AS Planning Guide
4/19/2017
Completion
Step 1: Total Academic Credit
54 Coursework + 24 Dissertation = 78 TCHs
Coursework should be the foundation for research in systems engineering
Important: The SMU residence requirement is 30 term hours of graduate credit at SMU, normally the last 30.
Focus courses on major and minor areas of study
Show that courses support research towards dissertation topic
Coursework and dissertation credit hours can be taken concurrently
Manage the dissertation credits hours to complete in same semester as oral exam
January 2007

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

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

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

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

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

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

36. Step 6: Administrative Steps SEAS Specific Requirements
Completion
Step 6: Administrative Steps SEAS Specific Requirements
Application for Candidacy to Graduate (ACG):
Degree Plan:
Thesis/Praxis/Dissertation Release Form:
Copy of abstract signed by advisor
Copy of half title page with signatures of committee members
Certification of Fees (Form A) with receipt from cashiers office
Survey of Earned Doctorates form completed:
Complete in Final Semester
Contact: Jim Dees, Engineering Graduate Office
Phone:

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

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

39. Summary Establish Milestones & Track Progress
PhD AS Planning Guide
4/19/2017
Completion
Summary Establish Milestones & Track Progress
From initial application through graduation, continuously monitor progress to plan, check gates and adjust as needed.
Year 1
Year 2
Year 3
Year 4
J F M A M J J A S O N D J F M A M J J A S O N D J F M A M J J A S O N D J F M A M J J A
Advanced Coursework
Application
Dissertation
Publish
Acceptance
Dissertation Defense
Preliminary Counseling Exam
Qualifying Exam
Accepted Into Program
Submit Proposal to Committee
Begin Final Admin Steps
Example
Admin
Degree Conferred
January 2007

40. Congratulations!