The degree of Doctor of Philosophy (Ph.D.) is granted by Carnegie Mellon to candidates who give evidence of proficiency, high attainment, and research ability in the field of their major work, and who have satisfied the specific coursework and other requirements of the department in which they are enrolled. Doctoral candidates are required to maintain full-time residence at Carnegie Mellon for a minimum of one year.

A qualifying examination is given to determine the student’s general knowledge of the fields of engineering appropriate to the individual’s program, and to assess the student’s ability to use this knowledge in the solution of problems and in the execution of original research. The specific format of this examination differs from department to department, and detailed information should be obtained from the individual department. The examination comprises written and/or oral parts, and may include review of a thesis proposal (described in this section). The student will be considered to have passed the qualifying examination when he or she has successfully completed all the required parts. A candidate must take the qualifying examination at the time specified by the department. Upon satisfactorily passing the examination, the student will be accepted as a candidate for the degree of Doctor of Philosophy. If the student has not already received a Master’s degree, upon application and provided that all other requirements have been met, he or she may be granted the degree of Master of Science at the next commencement.

Passing the Ph.D. qualifying examination admits a student to candidacy for the Ph.D. degree for a period of no longer than six calendar years. If, at the end of this six-year period, the Ph.D. has not been awarded, the student must reapply for admission to the graduate program and will be judged competitively with other students applying at the same time. If the student is re-admitted, he or she may, at the discretion of the department, be requested to pass the qualifying examination again before the Ph.D. is awarded. A student may petition for extension of the six-year limit under extenuating circumstances such as a forced change of advisor, military service, or prolonged illness. Note that the time limits on the duration of Ph.D. candidacy outlined here are more restrictive than those of the general university policy

The dissertation is prepared under the supervision of a faculty advisor who also usually serves as the chair of the Dissertation Committee. The Dissertation Committee shall consist of a minimum of four members. At least two of these will be full time Carnegie Mellon faculty affiliated with the candidate’s academic department, and at least one will be a person who is not primarily affiliated with the candidate’s department. Departments may impose additional constraints on the make-up of the Committee.

The Dissertation Committee shall review and approve satisfactory thesis proposals, and act as the examining body for the final public examination of the candidate on the thesis subject. It is recognized that faculty leaves or other absences may require substitutions to be made on the Dissertation Committee. Any such substitutions, however, should conform with the rules on the composition of the Committee.

The thesis proposal generally will be presented to the Dissertation Committee reasonably early in the student’s tenure as a Ph.D. student, within the time limits specified by the department. The purpose of the thesis proposal is to allow the student to demonstrate that the proposed research is likely to meet the criteria for doctoral dissertations, stated below, and that the proposed research can be accomplished in a reasonable period of time.

The doctoral dissertation must embody the results of extended research, be an original contribution to knowledge, and include material worthy of publication. It should demonstrate the candidate’s ability to conduct an independent investigation, to abstract principles upon which predictions can be made, and to interpret in a logical manner facts and phenomena revealed by the research.

In the event that irreconcilable differences arise between a student and his or her faculty advisor on whether the dissertation research is ready to be defended, appeal may be made to the Department Head to resolve those differences.

Upon completion of the dissertation, copies must be submitted to the Dissertation Committee according to the departmental regulations. If the dissertation is accepted by the Committee, the candidate is eligible for a final public examination.

Upon satisfactorily passing this examination, the candidate will be recommended for the doctoral degree. One original and three copies of the dissertation must be presented to the appropriate Department Head. The original must be forwarded to the Dean of the College of Engineering for approval. The dissertation must be acceptable to University Microfilms, Inc. for the microfilming of doctoral dissertations, in which all candidates are required to participate. Both Carnegie Mellon and University Microfilm’s regulations governing the preparation of doctoral theses are outlined in a separate section of this document.

After completion of all formal degree requirements other than the completion of and approval of the doctoral dissertation, and the public final examination, doctoral candidates shall be regarded as ABD (all but dissertation). CIT and CMU rules recognize two categories of ABD ("All but Dissertation) doctoral students:

1. ABD Students in absentia (Registrar code:ABS).
2. ABD Students with student status.

An ABD doctoral candidate may, upon departmental certification thereof, be regarded as being in absentia when and, so long as, the following three conditions concur:

• The candidate has been enrolled as a full-time doctoral candidate at Carnegie Mellon University for at least one academic year. Part-time graduate enrollment may, at the department’s discretion, be counted pro rata towards this total.

• The candidate does not receive a stipend predicated on his or her status as a graduate student or doctoral candidate and paid by or administered by the university (whether teaching or research assistantship, scholarship, or fellowship).

• The student does not require substantial use of University resources. Note: Departmental certification of this condition shall be subject to guidelines established by the school or college. Typically, substantial use shall include: office space other than desk space, if available; all but minimal use of laboratory space or university-furnished laboratory equipment and expendables; and all use of computer resources that is not specifically exempted for thesis text preparation. In absentia candidates shall be permitted use of the libraries or consultation with faculty or students (in particular, with a thesis advisor or members of the advising and thesis committees). The university will provide in absentia candidates with identification for access to the library and other services permitted under the guidelines.

ABD students in absentia will not be certified by the university as a "student" for immigration or loan purposes. "Non-resident alien" students on J-1 or F-1 visas who become ABD in absentia must continue to follow Immigration and Naturalization Service (INS) regulations and maintain their status as "full-time students." Any questions about employment or about leaving Carnegie Mellon for extended periods of time should be coordinated with the Office of International Education (OIE).

While an ABD candidate is in absentia, no formal enrollment or payment of tuition shall be required to maintain doctoral candidacy status, with the exception of the academic semester in which the degree requirements are to be completed.

An ABD candidate who is in absentia shall be required to enroll for a minimum of five units of graduate study during the academic semester in which the degree requirements are to be completed; in default of which a fee equal to the corresponding tuition shall be paid before the degree is conferred.

ABD students with student status may be certified as full-time students for immigration purposes. Ordinarily, ABD students with student status in CIT are required to register for a minimum of 36 units of academic credit per term, except that: "Under exceptional circumstances, ABD students who are self-supported, and who can demonstrate financial hardship, may petition the College through the departments for permission to register for 5 units of thesis research per semester." The exceptional circumstances for such approval include:

• Self-supporting with demonstrated financial hardship.
• At least three years of full time student status.
• Good standing and progress towards a degree.
• No more than two semesters of required work; ABD with student status and 5 units of tuition per term will not be allowed for more than two semesters of work, where a summer is considered to be one semester.

All doctoral degree candidates enrolled as students shall, in the semester in which all degree requirements are completed, pay tuition prorated by the quarter of the semester, whether used fully or partially. Payment will be waived if all degree requirements are completed by the end of the first full month of the semester in which the degree is completed (fall semester—September 30; spring semester—January 31; summer session—June 30). Doctoral candidates’ departments shall notify the Registrar’s Office of the appropriate financial arrangement.

The dissertation must be a document of the best professional standards. It is also good practice for the student to prepare a document that meets the criteria for publication in the relevant professional journals. As the original copy of the dissertation will be kept in the library and copied for microfilming and other purposes, the paper and the production must conform to standards of long archive life and clear reproducibility.

Each candidate is expected to have a substantially complete version of the dissertation in the hands of his or her Ph.D. Committee no later than one and one-half months before the Commencement at which the degree is to be received. A minimum of one month must then be allowed for Committee review of the dissertation, the thesis defense, and for further writing as required.

The thesis defense must take place no later than 15 days before the Commencement to ensure that the time requirements for graduation are met. Following approval by the Committee, but no later than 10 days before the Commencement, a sufficient number of copies must be prepared and deposited as follows:

• Original, or copy of good reproducible quality (to be used also for microfilming), to the College of Engineering Dean’s Office.
• One copy to the Advisor.
• One copy to the Department.
• One copy for the student.

More copies may be made for distribution, as requested by a student. The preparation of the original and copies is the student’s responsibility, unless departmental policies dictate otherwise.

Carnegie Mellon University has an agreement with University Microfilms, Inc. in Ann Arbor, Michigan, to copy and preserve Ph.D. dissertations on microfilm for easy availability and retrievability to anyone who might want to obtain a copy. The fee for the microfilming is included in the graduation fee. The Ph.D. candidate is required to sign a form, giving University Microfilms the right for microfilming. If, in addition, the author wishes to copyright his or her work, he or she should fill out the appropriate section of the University Microfilms form, and must attach payment, as specified in that form. A copy of the thesis with the appropriate form then will be submitted to the department’s Graduate Coordinator.

University Microfilms requires each dissertation to be accompanied by an abstract of not more than 350 words. Such an abstract must be provided with the thesis. If the candidate chooses, he or she may submit two abstracts: one not to exceed 350 words, for microfilming; and the other not to exceed 1,000 words, as part of the dissertation.

Except as specifically superseded by directions from the candidate’s major department and the Microfilms booklet, the general rules with respect to form shall follow those set forth by K. L. Turabian, A Manual for Writers of Term Papers, Thesis and Dissertations, 3rd Edition (University of Chicago Press, Chicago, Illinois 60637).

The first page of each dissertation must be a cover page in the general form, and bearing the same information as the attached sample page. Upon successful completion of the final oral examination, the original cover page must be signed by the Thesis Advisor, the Department Head and the Dean or Associate Dean of the College of Engineering. The copies need not contain the cover page.

The cover page should be followed by a title page. The title page of the dissertation should follow the format shown on the attached sample page. If using a variation of format, be sure that all the information shown on the sample page is included.

• Paper — The paper must have good archival qualities and have high opacity, so that the typing or printing on the following page will not show through unduly. The original should be on good-quality bond paper. The copies must be on xerographic paper.
• Text — Text must be double-spaced or a space. Footnotes and long quotations may be single-space. The text should fill an area not larger than six inches by nine inches on one side of an 8 1/2" by 11" sheet, allowing a minimum margin of one and one-half inches on the left for binding and one inch on the other three sides. Font size must not be smaller than 8-point nor larger than 12. Default-sized footnotes produced by computer-generated text occasionally are too small for clear reproduction. If necessary, a special footnote specification should be used to ensure that the font size is at least 8-point. In general, for computer-generated text and figures, clarity of production should be the guide for both text and figures. A minimum font size of 8-point must be followed for all legends and lettering on figures. Data and computer programs may be shown as direct computer output, provided the general rules are followed with respect to clarity, size, and margins.
• Equations, Charts, Graphs, Tables, Figures — Formulas and equations should be neatly typed. Drawings should be made with instruments in India ink or generated by computer on a high-quality printer or plotter. As far as possible, they should be kept within the bounds of a six inch by nine inch rectangle. Notes and titles should be neatly typed or lettered. Graphs should show only the main grid lines. Lines on graphs or illustrations should be identified by labels or symbols rather than colors. Shaded areas should use cross-hatching, not color, for contrast. Data should be presented where possible in numbered and titled tables.
• Photographs — Ideally, each photograph should have a full range of contrast from true black to pure white. Photos with limited contrast will reproduce satisfactorily on positive microfilm but they will be unclear in xerographic copies made from microfilm. Color photos should not be used in the dissertation. If necessary, contact a photographer about having color photos reprinted in black and white. Rubber cement and glue are acceptable means of affixing photos, but dry-mounting tissue provides the neatest and most permanent methods.
• Oversized Paper — Charts, graphs, maps and tables that are larger than the standard page size might have to be used in the dissertation. It is recommended that such pages be avoided unless absolutely necessary. Try a different layout for the chart or table to see if it can be placed on a standard page, or use a photograph or xerographic reduction of the material.
• Corrections — Make any necessary corrections neatly. Failure to satisfy department or college requirements as to quality could require reformatting or reprinting of the dissertation.

Title — Your dissertation will be a valuable source for other scholars only if it can be located easily. Modern retrieval systems use the words in the title—and sometimes a few other descriptive words—to locate your dissertation. It is essential that the title be a meaningful description of the content of your dissertation. Avoid oblique reference, and be sure to use word substitutes for formulas, symbols, superscripts, Greek letters, etc.

• Preliminaries:

• Text—A.) Introduction; B.) Main Body, with larger divisions and more important minor divisions indicated by suitable, consistent headings.
• References—A.) Appendices; B.) Bibliography (if the appendices are bound as a separate volume, the bibliography should be bound with the text in the first volume).
• Page Numbering—Each page in a dissertation, except the blank page following the title page, should be assigned a number. The following plan of page numbering generally is accepted:

C.) For More Than One Volume, each volume should contain a title page duplicating the title page of the first volume. If the volumes are separate entities, identify them further as Volume I, II, etc. In any case, the numbering may follow consecutively from one volume to another, or begin with Arabic 1 at each new title page.

• Footnotes — Footnotes should be placed at the bottom of the page below a 1.5 inch underscore (starting at the left border). The first line of each footnote should be indented .5 inches and identified by a raised numeral corresponding to that used in the test. Footnotes should be numbered consecutively throughout each chapter.
• Reproduction of Data — The data on which the dissertation is based should be made accessible to the reader in substantially complete form. Generally, this means that raw data should be reproduced in a convenient manner in one or more appendices to the main document. In the case of extensive data gathered from readily available published sources, specific detailed citations will suffice, provided that a minimum of one set of the raw data used in the dissertation, complete in all respects, is presented with the original copy submitted to the Library. Deviations from a procedure of full disclosure must be specifically approved by the Dissertation Committee and explained fully in the dissertation. As author, the student must certify (by signing the University Microfilms International agreement form) that any copyrighted material used in his or her dissertation, beyond brief excerpts, is with the written permission of the copyright owner, and that he or she will save and hold harmless University Microfilms International from any damages which may arise from copyright violations. Copies of permission letters should be attached to the agreement form.
• Reproduction of Procedures — all instruments, analytic procedures, apparatus, or other critical elements in the execution of the study should be described in detail. Apparatus normally should be described in an engineering drawing and by photograph. Instruments normally should be reproduced in full in pictures or drawings, unless they are easily available from other sources. Procedures of analysis should be specified fully either by citation or by detailed discussion in one or more appendices. Computer calculations that are essential to the central arguments of the research must be fully and clearly explained. If the computer programs which provide the basis for these calculations are originated by the student, the student is required to provide a program listing and minimal documentation on the program in the thesis. The program listing and documentation normally would be included in a separate appendix to the thesis. However, in the case of extensive computer work considered by the student and his or her advisor to be too long to include in the dissertation, presentation in the form of tables elucidating important components is acceptable. In this case, the student is advised to submit a separate internal report giving further details. Standard subroutines or packaged programs which are routinely included as software support to a computer installation and which can be readily obtained are exempted from this requirement, but these should be clearly cited and the source of these programs made apparent in the thesis.
• References — Citations of the professional literature should be standardized throughout the dissertation. The form of citation should be consistent with the form used in a standard professional journal of the candidates’ field. The following journals are recommended as samples in each field of engineering: