Qual Exam Handbook

EXAM INSTRUCTIONS

I. Qualifying Exam Overview

To advance towards a degree in the University of Utah’s Department of Mechanical Engineering Ph.D. program, students must pass the department’s Qualifying Exam. The Qualifying Exam consists of two mandatory written examinations and oral follow-ups if required (see Section III).

• • Students must take their Qualifying Exam no later than their third semester in the Ph.D. Program. Summer does not count as a semester. During the first week of the semester, students will submit a Notification of Intent to Take the Qualifying Exam.
  • Exams will be administered during the 12th week of the Fall and Spring semesters. Exams are not offered during Summer. Each Subject Area (see Table I) will be scheduled on a specific date and time. No exceptions to the date, time, and location of the exams will be made unless the student has a Center for Disability and Access (CDA) approved accommodation that specifically addresses the department’s Qualifying Exam. Students must ensure that all accommodations are in place at least 2 weeks before the exam dates.
  • Each Subject Area will have at least two proficient examiners (exam writers and evaluators) selected from the department’s faculty. The examiners will be selected by the Organizing Group that administers the exam for the corresponding Subject Area.
  • Students are allowed two attempts to pass the Qualifying Exam. Students that do not pass the exam on their first attempt, must retake the exam in the subsequent semester. Students who do not pass the exam on their second attempt will be dismissed from the Mechanical Engineering Ph.D. program.
  • Students may petition the department’s Graduate Committee for an extension before taking the exam, if extenuating circumstances have left the student at an unfair disadvantage. Students may petition for a one-semester extension during the first week of the semester.

The exam is designed to:

• • Evaluate the student’s mastery of selected core areas of Mechanical Engineering.
  • Evaluate the student’s ability to work through complex engineering problems.
  • Identify areas that need strengthening as the student works towards their Ph.D.

Before the exams, we recommend that students have taken relevant coursework and are proficient in concepts related to their chosen exam topics.

II. Written Examination Format

Students will select two Subject Areas from Table I that support their Ph.D. research. Students (except for those enrolled in the Robotics Track) can pick topics within a single Organizing Group or across Groups. Each exam will cover material related to the Subject Area. The exams are closed book format. The time limit to complete each Subject Area exam is two hours. Students may refer to a corresponding Study Guide for each Subject Area to prepare for the written exams.

Table I: Written Exam Subject Areas

III. Optional Oral Follow-up Format

An oral follow-up may be required for any Subject Area under certain circumstances.

• • Some Subject Area examiners may opt to require an oral follow-up for all students taking that Subject Area’s exam.
  • The examiners may also opt to hold an oral follow-up for a student if they are uncertain whether the student should receive a pass or fail.
  • An oral follow-up is mandatory for students that have failed the written portion of a Subject Area on their second attempt.
  • Oral follow-up sessions should occur no later than the Friday of the week following the written exam and may be up to 45 minutes per Subject Area.

IV. Qualifying Exam Results

Each Subject Area examiner has a distinct pass or fail vote. Students must receive all pass votes from the examiners to pass each Subject Area. Exam results will be provided to students no later two weeks after the exams.

• • If a student fails one or both Subject Areas on their first attempt, they must retake the Qualifying Exam in the subsequent semester. Students failing one Subject Area may retake that subject or may choose to attempt a different subject. Students failing both subjects may retake the same subjects or may choose to attempt different subject(s).
  • If a student fails the exam on their second attempt, they will be dismissed from the department’s Ph.D. program. Regardless of whether a student chooses to retake the same area(s) or attempt different area(s), any Subject Area failure on the second exam attempt will cause dismissal from the program.
  • Students that fail the Qualifying Exam on their second attempt may opt to start an MS-Thesis program in Mechanical Engineering. After successfully defending their MS thesis and with the recommendation of the student’s supervisory committee, a student may opt to reenroll in the Ph.D. program and attempt the Qualifying Exam for a third time. If a student fails their third attempt, they will be dismissed from the Ph.D. program with no options to return.
  • Students wishing to appeal their exam result should first meet with the department’s Director of Graduate Studies. If unable to resolve the exam outcome, the student may appeal to the Department Chair. If the student or the examiners disagree with the Department Chair’s decision, either party may make an appeal to the College of Engineering’s Academic Appeals and Misconduct Committee. Please refer to Policy 6-400: Code of Student Rights and Responsibilities for more details and the timeline of the appeals process.

by Mark Fehlberg

PHD DEFENSE INSTRUCTIONS

PHD DEFENSE INSTRUCTIONS

I. Purpose/Background

PhD students should begin planning for their PhD Defense by meeting with Graduate Advising to ensure they understand all departmental and university requirements for their final degree milestones. Students must allow a minimum of 5 weeks before their planned Public Oral Defense (Defense) date for their committee’s review of the dissertation and making any required content changes. Students are encouraged to start the process as early as possible to prevent delays in their targeted graduation.

1. 1. Deadlines
      1. The deadline to submit a dissertation and graduate in the same semester as the Defense is at least 4 weeks before the end of that semester’s classes.
         1. Thesis Office Target Dates
         2. Semester Calendar
      2. To graduate in the current semester, the student must conduct their Defense at least one week before the Thesis Office’s Submission Deadline to allow time for Department dissertation approval.
      3. The last day to defend in a semester is the weekday before the next semester’s classes begin.
         1. The student will graduate in a subsequent semester if they miss the Thesis Office’s Submission Deadline.
         2. The student is not required to enroll in classes for semesters following their Defense.
   2. Preliminary Review of Dissertation Format
      1. Before the 11^th week of the semester, the student must schedule a Preliminary Review of their dissertation with the Thesis Office.
         1. The deadline to conduct a Preliminary Review is typically 5 weeks before the end of that semester’s classes.
         2. The student may conduct a Preliminary Review once they have completed at least one chapter of their dissertation.
      2. Proof of a Preliminary Review by the Thesis Office is required for Department dissertation approval.

II. Prior to the Defense

1. 1. Scheduling the Defense
      1. The student will coordinate their Defense date and time with their committee.
      2. Students should contact committee members about scheduling their Defense early in the semester since committee member schedules can make it challenging to find an agreeable date/time.
         1. The student may tentatively schedule their Defense, assuming the committee will approve the dissertation’s content during their review period.
         2. If the committee requires extensive dissertation content revisions, the student may need to reschedule their Defense.
   2. Dissertation Content Approval
      1. The committee must approve the dissertation’s content before the Defense will be announced and scheduled. Committee approval will be recorded by completion of the PhD Dissertation Content Review form. Department Forms
      2. The student must provide their committee members at least two weeks to review and provide feedback on the dissertation’s content.
      3. Content approval may be facilitated by holding individual or group meetings with committee members. At the committee chair's discretion, a committee meeting may be held for the student to present their dissertation work and for the committee to discuss their evaluation of the dissertation’s content.
      4. At the end of the evaluation period, committee members may request revisions to the dissertation.
         1. If the revisions are extensive, the committee may require another two-week evaluation period of the revised dissertation before determining content approval.
         2. If the revisions are less extensive, the committee may agree to review the revised dissertation more quickly.
         3. Committee members may also allow the student’s committee chair to verify that minor revisions have been completed and waive their right to a second or subsequent review.
      5. Students should plan at least two weeks to make any required revisions; it is rare for dissertation content to be approved without revisions.
      6. Once a committee member is satisfied that the dissertation content meets their standard for approval, they sign the PhD Dissertation Content Review form.
      7. Dissertation content approval before the Defense does not mean that the committee has given final approval of the student’s research or dissertation. Additional changes may be required based on the outcome of the student’s Defense.
   3. Announcing the Defense
      1. The student will provide the completed PhD Dissertation Content Review form and a Defense Announcement form to the Graduate Advising office at least one week before the Defense.
      2. The Defense will not be allowed to take place without these two forms.
      3. Graduate Advising will publicize the Defense using the Defense Announcement form.
      4. If needed, Graduate Advising can assist the student with scheduling a location for the Defense.

III. Conducting the Defense

1. 1. Minimum Committee Chair Responsibilities
      1. Open the Defense by introducing the student and their research topic.
      2. Announce any specific rules of the Defense (e.g., hold questions until the end of the presentation).
   2. Defense Timing
      1. The student’s oral presentation of their research generally lasts about 45 minutes.
      2. After the oral presentation, a public discussion period is held, generally lasting 15 minutes.
      3. After public discussion, the committee may excuse the public to question the student’s research further.
      4. After further questioning the student’s research, the committee excuses the student and holds a private discussion to decide on the outcome.
      5. The committee reports the Defense outcome on the Report of the Final Oral Examination form.
         1. The student will receive a “Pass” on the defense if the majority of the Committee members concur.
         2. Otherwise, the student will receive a “Fail” and must defend their research again.
      6. The committee chair informs the student of the committee’s decision and submits the PhD Public Defense Approval form to Graduate Advising.

IV. After the Defense

Once the student has final dissertation and Defense approval, they must submit their dissertation to Graduate Advising for a format review and to obtain the Department Chair’s approval.

1. 1.  Department Format Review
      1. The student must at least one week for Graduate Advising and Department Chair to review the dissertation.
      2. For the format review, the student will provide Graduate Advising with:
         1. An MS Word document or .pdf of their committee-approved dissertation.
         2. A Grammarly report showing that there are no major grammar, spelling, or punctuation errors. Grammarly set-up
         3. Proof of Preliminary Review of format from the Thesis Office.
   2. Thesis Office Review
      1. After the Department Chair approves the dissertation, Graduate Advising will notify the student to submit their dissertation to the Thesis Office for approval and publication. Thesis Office instructions
      2. The Thesis will inform the student if any format corrections are required.
      3. The student should make any requested changes and resubmit their dissertation within two days.
      4. The student will continue to work with the Thesis Office until all formatting requirements are met.
      5. The Thesis Office will notify the student when their dissertation is approved and provide them with instructions to submit their dissertation to ProQuest for publication.
   3. Dissertation Approval Requirements
      1. The student’s dissertation must be approved by the Thesis Office no later than eight months after their Defense.
      2. The eight-month deadline includes department format approval, Thesis Office final approval, and the student’s upload of their dissertation to ProQuest.
      3. If this requirement is not met, any prior approvals of the dissertation will be voided. The student will have to reenroll in class, re-submit, and re-defend their research.

V. Degree Conferral and Graduation

1. 1. Graduation Clearance
      1. The student will be cleared to graduate in the current semester if they have met all requirements before the Thesis Office’s deadline to upload to ProQuest.
      2. If the student has not met the deadline to upload to ProQuest, they must apply to graduate in the subsequent semester.
   2. Degree Conferral
      1. Commencement and the College of Engineering’s Convocation occur once a year after the end of the Spring semester, generally in early May.
      2. Students cleared to graduate in Spring may participate in Commencement and Convocation after the end of that Spring semester.
      3. Students cleared to graduate in Summer or Fall may participate in Commencement and Convocation after the end of the following Spring semester.

VII. Checklist

A summary of events is shown below. All events should occur earlier when possible.

• • ☐ Thoroughly review the Thesis Office’s policies and handbook
  • ☐ Tentatively schedule (date and time) the PhD Public Defense
  • ☐ Conduct a Preliminary Review with the Thesis Office
  • ☐ Obtain committee chair permission to send draft dissertation to committee
  • ☐ Send draft dissertation to committee
    • ☐ Allot committee two weeks to review and provide feedback on dissertation content
    • ☐ Revise dissertation content as required from committee feedback
    • ☐ Obtain committee members' signatures on the PhD Dissertation Content Review form
  • ☐ Announce Public Defense (at least one week before the scheduled Defense date)
    • ☐ Provide the completed PhD Dissertation Content Review form to Graduate Advising
    • ☐ Provide the Defense Announcement form to Graduate Advising
  • ☐ Conduct Public Defense
    • ☐ Obtain committee members' signatures on PhD Public Defense Approval form
    • ☐ Provide PhD Public Defense Approval Form to Graduate Advising
  • ☐ Allot one week for department Format Review
    • ☐ Provide a copy of the approved dissertation, Grammarly report, and proof of Thesis Office’s Preliminary Review to Graduate Advising
    • ☐ Revise dissertation formatting if required
  • ☐ Submit department-approved dissertation to the Thesis Office
    • ☐ Obtain e-signatures from Committee members and Department Chair
    • ☐ Correct any indicated deficiencies and return revisions within two days
    • ☐ Upload the Thesis Office approved dissertation to ProQuest

by Mark Fehlberg

Departmental Listings

by Davey Stevenson

Student resources/Support groups

Student Resources

RESOURCES AROUND CAMPUS

The University is divided into several different departments, each with their own focus and specialized knowledge. It is the student’s responsibility to know who to go to for specific assistance. Table 7 describes some of the most common on-campus resources. More resources can be found via the University A-Z Index.

Table 7: Common On-Campus Resources

Departmental Resources

Graduate students can reserve conference rooms, study rooms, and equipment such as microphones, cables, adapters, Surface Pros, cameras, tripods, and speakers by making an online reservation https://www.mech.utah.edu/reservations/ and picking up the item or keycard in MEK 1550.

Graduate School Resources

Events

Event & Workshop Calendar: https://gradschool.utah.edu/events-calendar

Events & Workshops Description: https://gradschool.utah.edu/upcoming-events

Administrative & Records

Graduate Records Office: https://gradschool.utah.edu/graduate-catalog/graduate-records-office

Electronic Graduate Record File: https://gradschool.utah.edu/current-students/electronic-graduate-record-file-tutorial

Awards & Fellowships

Graduate Fellowship Opportunities: https://gradschool.utah.edu/tbp/graduate-fellowship-opportunities

Graduate Student Travel Assistance Award: https://gradschool.utah.edu/current-students/graduate-student-travel-assistance-award

Early Career Professional Development Program: https://gradschool.utah.edu/current-students/graduate-student-travel-assistance-award

Thesis & Dissertation Awards: https://gradschool.utah.edu/current-students/awards

Advocacy

Graduate School Office: https://gradschool.utah.edu/

Graduate School Dean: dean@gradschool.utah.edu

Training & Workshop Programs

International Teaching Assistant Program (ITAP): https://gradschool.utah.edu/ita

Three Minute Thesis Training & Competition: https://gradschool.utah.edu/3MT

Past Workshops & Trainings: https://gradschool.utah.edu/resource-library/workshops-videos

Research Communication: https://gradschool.utah.edu/science-communication

Writing & Manuscript Editing

Thesis Office: https://gradschool.utah.edu/thesis

Grammarly: https://gradschool.utah.edu/grammarly

University Resources

Graduate Writing Center & Graduate Student Reading Room

More information: https://writingcenter.utah.edu/grad-student-services.php. The Graduate Writing Center is located in the Marriott Library in the Graduate Student Reading Room. To access the Reading Room, students must fill out a Graduate Resources Access Form, found at https://lib.utah.edu/services/education/gradstudents.php. eTutoring for Graduate Writing is also available. Students can sign up for this service at https://writingcenter.utah.edu/graduate-services/e-tutoring.php

University Libraries

In addition to the research offerings, the Marriott Library has events and programs specifically for graduate students. Check https://lib.utah.edu/services/education/gradstudents.php for schedules and more information.

Professional Development

Career & Professional Development Center Graduate Student Career Coaching: https://utah.craniumcafe.com/group/graduate-student-career-coaching

Graduate Student Teaching Training from Center for Teaching & Learning Excellence: https://ctle.utah.edu/events/ctle_events.php

Higher Education Teaching Specialist Program: https://ctle.utah.edu/hets

Student Health, Wellness, & Recreation

Student Health Center: https://studenthealth.utah.edu

University Counseling Center (including Mindfulness Center): https://counselingcenter.utah.edu

John and Marcia Price College of Engineering Counseling Services: https://www.price.utah.edu/students/current/counseling

Center for Student Wellness: https://wellness.utah.edu

Campus Recreation Services: https://campusrec.utah.edu

John and Marcia Price College of Engineering Counseling Services: https://www.price.utah.edu/students/current/counseling

Online Mental Health Screenings:  https://screening.hfihub.com/utah

Huntsman Mental Health Institute (Formerly UNI): https://healthcare.utah.edu/hmhi/programs/crisis-diversion

SafeU: https://safeu.utah.edu/

Student Mental Health Resources: https://studentaffairs.utah.edu/mentalhealth/

Veterans Support Center: https://veteranscenter.utah.edu/

Leadership & Dispute Resources

Dean of Students Office: https://deanofstudents.utah.edu

Faculty Ombudsman: https://academic-affairs.utah.edu/office-for-faculty/facultyombudsman

Graduate School: https://gradschool.utah.edu/contact-us

Support Groups & Services

Center for Disability & Access: https://disability.utah.edu

International Student & Scholar Services: https://ic.utah.edu

Veterans Support Center: https://veteranscenter.utah.edu

by Davey Stevenson

Student Awards/Fellowships/Travel

Student Awards

Department-Specific Awards

The Department of Mechanical Engineering awards Dissertation of the Year, Teaching Assistant of the Year, Researcher of the Year awards to graduate students once per year.

College/University Fellowships and Awards

The College of Engineering gives out a Teaching Assistant and Dissertation of the Year award annually.

The Graduate School awards, fellowships, and scholarships can be found here: https://gradschool.utah.edu/funding/fellowships-scholarships-awards/grad-school-administered/index.php

External Fellowship & Award Opportunities

The University of Utah College of Engineering Fellowships Office is designed to help you find, compete for, and win national and international fellowships and scholarships.  (Note: For information on local / university scholarships, check out the COE scholarships website.) Within the above website, you will find a database of opportunities, guidance on how to build a winning application, as well as information on upcoming events and a list of previous winners.  Note that you can stop by the Office of Fellowships in person and view example winning applications from previous years that students have contributed.

A list of external fellowships is available at https://gradschool.utah.edu/tbp/external-opportunities, and students also have access to Pivot, a new tool for finding foundation funding. https://osp.utah.edu/news/pivot.php

Student Travel Assistance

There are travel awards offered through the Graduate School - the Graduate Student Travel Assistance Award (GSTAA) and the Early Career Professional Development Program (ECPDP). More information on these awards is available here.

by Davey Stevenson

Access to Common Dept/University resources

Student Access to Physical Resources

Departmental Resources

Graduate student mailboxes are located in MEK 1671. The administrative office staff in MEK 1550 updates the mailboxes every semester. Students can obtain 24/7 MEK building and specific lab access by filling out a building access form at the front desk.

University Resources

University ID Card

 University card information

TRAX Pass

UTA University pass

TRAX Schedules & Maps

Wireless Connections

Onboard to Utah wireless

Software

Grammarly Access

New Student Guide to Digital Resources

Office of Software Licensing

Campus IT Help Desk

Hardware

University Bookstore

Surplus & Salvage

Paychecks & Direct Deposit

HR Paycheck Information

Housing

Graduate Student Housing Resources & Options

Libraries

J. Willard Marriott Library

Spencer S. Eccles Health Sciences Library

Meals & Food

Utah Meal Plans

Credit Union

UFirst Credit Union

Arts & Entertainment

Arts Pass

by Davey Stevenson

Research Policies and Training

Research Policies & Training

The Office of Research Education (REd) provides “comprehensive training and learning opportunities and resources for faculty, students and staff engaged in responsible conduct of research at the University of Utah.”  The objectives for REd are to:

• Offer up-to-date classes and workshops that enhance knowledge about research integrity
• Facilitate an interactive learning environment for adult learners to apply ethical skills in decision making about current and future research endeavors
• Provide adult learners with access to resources and tools to implement best practices across the research spectrum

Research Education Courses

The Office of Research Education offers synchronous and asynchronous classes. See more information here: https://education.research.utah.edu/red_classes/index.php

Grant Writing Portal
https://education.research.utah.edu/grant-writing-portal/index.php

Research Mentorship
https://education.research.utah.edu/research-mentoring.php

The Office of the Vice President for Research has additional research resources available: https://www.research.utah.edu/resources/

IRB

The Institutional Review Board (IRB) is charged with the review of all research projects that involve humans to ensure they comply with local, state, and federal laws, as well as the high ethical standards set forth in University policy. If you are working with human subjects in your research, you should be familiar with and compliant to IRB rules. More information here: https://irb.utah.edu.

Export Controls

There are a number of United States export laws that directly affect University research, specifically they include:

• The Export Administration Regulations (EAR) controlled by the Department of Commerce,
• The International Traffic in Arms Regulations (ITAR) managed by the State Department
• The sanction regulations governing the transfer of assets governed by the U.S. Department of Treasury through its Office of Foreign Assets Control (OFAC).

If research involves technological, biological, and chemical and military-related technologies, the government may exert control and supervision of the research and require the University to obtain a license or find and record an exception to the law before allowing foreign nationals to participate in the research, before partnering with a foreign company, or before sharing research results in any manner (including by publication or presentation at conferences) with persons who are not U.S. citizens or permanent resident aliens. Licenses are not easily obtained and require careful preparation and an inordinate amount of lead-time.

More information: https://osp.utah.edu/policies/export-controls.php

Radiation Safety

Working with radiation sources at the University of Utah requires appropriate authorization, training, and oversight. All work with radiation sources must be performed under a radiation work permit which is under the jurisdiction of a Responsible Users (RU). https://rso.utah.edu

Occupational Safety

Information about general workplace and office safety, fire safety, laboratory safety, and environmental issues can be found here: https://oehs.utah.edu

Research Misconduct

See the University’s research misconduct policy here: Policy 7-001: Policy for Research Misconduct

Intellectual Property Policies

The university IP policy states that the university owns inventions, discoveries, and improvements made by faculty, staff and certain graduate students as a result of either university employment or through the use of university resources. For additional information, please refer to university policies which can be found here.

Below are links to certain University of Utah policies and guidelines for technology commercialization. Please contact TVC at (801) 581-7792 with any questions.

• Policy 1-006: Individual Financial Conflict of Interest Policy
• Supplemental Rule 1-006: Health Sciences Industry Relations Policy
• Policy 5-204: Remunerative Consultation and Other Employment Activities
• Policy 5-403: Additional Compensation and Overload Policy
• Policy 7-002: Patents and Inventions
• Policy 7-003: Ownership of Copyrightable Works and Related Works
• Policy 7-004: University Faculty Profit-Making Corporations

More information: https://tvc.utah.edu/inventor-resources/inventors-guide

Reporting Safety Issues

All injuries, incidents, accidents, unsafe conditions, and near misses must be reported to your supervisor as well as to EHS (https://oehs.utah.edu/incidentnear-miss-report).

Job-related injuries and illnesses must be reported to Workers Compensation by completing HR Form 122 (https://www.hr.utah.edu/forms/lib/E1.pdf )

by Davey Stevenson

Important Forms/Links to Forms

by Davey Stevenson