Architectural Engineering Graduate Student Handbook: August 2010

Architectural Engineering
Graduate Student Handbook
2010-2011
Linda M. Hanagan, Ph.D., P.E.

Graduate Program Officer
104 Engineering A
University Park, PA 16802
Voice: (814) 863-2084
Fax: (814) 863-4789
Email: [email protected]
Deborah Sam, Graduate Student Secretary

Voice: (814) 865-6664
August 2010
Table of Contents
1 Architectural Engineering Graduate Program
– General Information ........................................................................................................................... 1
1.1 GRADUATE PROGRAMS OFFERED ................................................................................................. 1
1.2 REQUIREMENTS OF THE GRADUATE SCHOOL AND THE DEPARTMENT ........................ 1
1.3 NEW STUDENTS ................................................................................................................................... 1
1.4 COURSE CREDIT LOAD ..................................................................................................................... 1
1.5 ADDING AND/OR DROPPING OR AUDITING COURSES ............................................................ 2
1.6 SPECIAL COURSES .............................................................................................................................. 2
1.7 GRADES .................................................................................................................................................. 2
1.8 PRIVILEGES AND BENEFITS OF GRADUATE STUDENTS ........................................................ 2
1.9 OBLIGATIONS AND RESPONSIBILITIES ...................................................................................... 3
1.10 USE OF DEPARTMENT COMPUTERS AND PRINTERS ............................................................. 3
1.11 GRADUATE STUDENTS WITH A TEACHING OR RESEARCH
ASSISTANTSHIP, OR WAGE PAYROLL POSITION ...................................................................... 3
2 Master of Science Degree Program Information .................................................. 4
2.1 DEGREE REQUIREMENTS ................................................................................................................. 4
2.2 SELECTING AN ADVISOR .................................................................................................................. 4
2.3 MASTER OF SCIENCE PROGRAM APPROVAL FORM ............................................................... 4
2.4 M.S. THESIS COMMITTEE.................................................................................................................. 4
2.5 M.S. THESIS PROPOSAL...................................................................................................................... 5
2.6 M.S. THESIS ............................................................................................................................................ 5
2.7 ORAL PRESENTATION OF THESIS .................................................................................................. 5
2.8 FORMAT REVIEW AND FINAL ARCHIVAL COPY OF MS THESIS .......................................... 5
2.9 THESIS GUIDE ....................................................................................................................................... 6
2.10 MASTER OF SCIENCE CHECKLIST ................................................................................................ 6
3 Master of Engineering Degree Program Information ....................................... 7
3.1 MASTER OF ENGINEERING PROGRAM GOALS ......................................................................... 7
3.2 SELECTING AN ADVISOR .................................................................................................................. 7
3.3 PROGRAM REQUIREMENTS ............................................................................................................. 7
3.4 MASTER OF ENGINEERING CHECKLIST ..................................................................................... 7
4 Doctor of Philosophy (Ph.D.) Program Information .......................................... 8
4.1 PH.D. PROGRAM GOALS .................................................................................................................... 8
4.2 ADVISOR ............................................................................................................................................... 8
4.3 ENGLISH COMPETENCY ................................................................................................................... 8
4.4 BECOMING A DOCTORAL CANDIDATE AND THE CANDIDACY EXAM .............................. 11
4.5 THE DOCTORAL COMMITTEE......................................................................................................... 12
4.6 BREADTH REQUIREMENT ............................................................................................................... 13
4.7 COMPREHENSIVE EXAMINATION ................................................................................................. 13
4.8 DOCTORAL FINAL ORAL EXAMINATION AND THESIS DEFENSE ........................................ 14
4.9 COURSE CREDITS ................................................................................................................................ 15
4.10 CONTINUOUS REGISTRATION ......................................................................................................... 15
4.11 THE PH.D. DISSERTATION ................................................................................................................. 15
4.12 OTHER REQUIREMENTS ................................................................................................................... 16
4.13 TIME LIMITATIONS AND SCHEDULE ............................................................................................ 16
4.14 TRANSFERRING FROM MS TO PHD ............................................................................................... 16
Appendix A: Forms and Degree Checklists ..................................................................... 17
Appendix B: Penn State Guidelines for the

Responsible Conduct of Research ................................................................................. 29
selected guest lectures of AE student societies (AE
Graduate Student Association, ASHRAE, IES, SSAE,
1 Architectural Engineering SPACE). This list will be expanded upon
recommendation of the faculty. Lecture
Graduate Program - General announcements will be distributed via email to
graduate students and/or printed on posted
Information announcements throughout the department.
1.1 GRADUATE PROGRAMS OFFERED Students must document their attendance at lectures
There are four formal programs leading to graduate using the Guest Lecture Participation Form. The form
degrees in Architectural Engineering: (1) the Master of is distributed at the AE Graduate Student Orientation in
Science in Architectural Engineering (M.S.); (2) the the Fall and is also available from the Graduate Student
Master of Engineering in Architectural Engineering Secretary. To be cleared for graduation, students must
(M. Eng.); (3) the Integrated Bachelor and Master of submit the completed form to the Graduate Program
Architectural Engineering Degree Program, which is Officer a minimum of four weeks before graduation.
reserved for Penn State undergraduates (M.A.E.); and Students not submitting the form by the deadline may
(4) the degree of Doctor of Philosophy with a major in be removed from the graduation list.
Architectural Engineering (Ph.D.).
All Architectural Engineering graduate students are
required to satisfy the requirements of the Scholarship
The M.S. offers an introduction to research, and the and Research Integrity (SARI) program. The details of
Ph.D. offers research competence. The M.Eng. and this program are on the department Graduate
M.A.E. degrees offer students the opportunity to gain Curriculum web page at
advanced knowledge for application in professional http://www.engr.psu.edu/ae/curriculum/graduate.asp.
engineering practice.
1.3 NEW STUDENTS
Requirements for each of these programs are discussed
All incoming students will be required to participate in
in detail in separate sections of this document. The
a kick-off orientation/mixer at the beginning of the first
immediate sections that follow pertain to all of the
semester of graduate study.
graduate programs except the Integrated Master of
Architectural Engineering Degree, which is a degree
Immediately upon arriving on campus, a student should
that is integrated with the Penn State Bachelor of
obtain an access account and communicate via email
Architectural Engineering degree and is covered under
with the Graduate Program Officer during the first
separate guidelines.
week of graduate study. Students should frequently
check their email since this media will be used to
1.2 REQUIREMENTS OF THE GRADUATE
communicate with students on a regular basis.
SCHOOL AND THE DEPARTMENT
All graduate students in the Department of New students should also become familiar with the
Architectural Engineering are required to adhere to the Engineering Library and its resources at:
requirements of the Graduate School, as found in the http://www.libraries.psu.edu/eng/
latest Graduate Bulletin for Graduate Degree
Programs. The requirements of the Graduate School, 1.4 COURSE CREDIT LOAD
however, are minimum requirements and the policies,
Full-time students and students receiving fellowships
procedures, and regulations listed below are additional
should register for 12-15 credits per semester. All
and more specific requirements for graduate students
students (US and International) receiving assistantships
pursuing formal programs in Architectural
should register as follows:
Engineering. Advisers will call pertinent regulations to
the attention of their advisees, but students should
Category Credits
understand that it is their personal responsibility to see
that all requirements from both the Graduate Bulletin
1/4-time Assistantship 9-14
and this Department Handbook are satisfied.
All Architectural Engineering graduate students are
required to attend ten approved guest lecture
Students may apply to the Graduate School for one
presentations prior to graduation. Approved lectures
credit beyond this limit, provided they have the
include, Bowers Lectures, CE lectures, ME lectures,
1
approval of their advisor, work supervisor and the grade of R (for research, which assumes adequate
Head of the Department. effort) for this course, but may award a grade of A, B,
C, D, or F for up to 6 credits for M.S. students and 12
International students with student visas must maintain credits for Ph.D. students (see Graduate Bulletin.) An
full-time academic status as determined by their type of R need not be changed later to a quality grade. A
assistantship, or must be registered for at least 9 credits quality grade must be reported no later than the end of
if not supported by an assistantship during both the Fall the following semester.
and the Spring semesters. AE 601 also provides for
full-time status as noted in the next section. AE 601 (611 off-campus) Ph.D. Thesis Preparation
ONLY Ph.D. STUDENTS CAN REGISTER FOR AE
1.5 ADDING AND/OR DROPPING OR 601 AND ONLY AFTER THEY HAVE PASSED
AUDITING COURSES THEIR COMPREHENSIVE EXAM AND MET THE
Courses taken formally as an audit are not included in TWO-SEMESTER RESIDENCY REQUIREMENT.
the minimum number of credits required for Ph.D. students cannot register for any other course
assistantships or for satisfying visa requirements for when they register for AE 601. Prior to graduation, the
international students. The Graduate Faculty of the Graduate School reviews students' transcripts.
Department strongly discourages retroactively Students registering for AE 601 when they have not
switching a course from a "for-credit" to audit basis or satisfied the above requirements will be asked to
initiating "late drop" procedures and receiving WF, retroactively change their registration, pay retroactive
WN or WP. fees and possible additional course-credit costs before
they will be permitted to graduate.
Students wishing to add or drop courses must consult
their advisors before taking any action. Students on It is vital that graduate students consult their advisors
assistantships should not change their schedules to prior to each semester's registration to insure they are
reduce or increase their course credits beyond the registering for the correct course.
limits indicated in the previous section. Students
adding or dropping courses should refer to the 1.7 GRADES
Schedule of Classes for the procedures and fees. A A +/- grading system is used in both graduate and
limited tuition refund may apply for courses that are undergraduate level courses. Grades with plus and
dropped. minus include, A 4.0; A-, 3.67; B+, 3.33; B, 3.0; B-,
2.67; C+, 2.33. A minimum grade-point average of
1.6 SPECIAL COURSES 3.00 for work done at the University is required for all
AE 596, 597, 600 (610), 601 (611) graduate degrees.
Graduate students registering for the above courses
should consult with their advisor to insure they are 1.8 PRIVILEGES AND BENEFITS OF
registering for the correct course. Failure to select the GRADUATE STUDENTS
correct course may require the student to pay All Masters and Doctoral students are:
"retroactive fees" and perhaps additional course-credit
fees. 1. Provided with a desk within office space controlled
by the department. Students who do not plan to use
AE 596 Individual Studies department office space should notify the Graduate
This course covers creative projects. AE 596 Program Officer. (Note: M.Eng. students will be
SHOULD NOT be used for M.S. or Ph.D. thesis provided with a desk only if space is available within
research. Instructors or advisors may award a grade of the department.)
A, B, C, D, F or R for this course. (See Graduate 2. Eligible to apply for financial assistance (grant-in-
Bulletin.) aid and stipend). (Note: M.Eng. students do not
qualify for graduate assistantships).
AE 597 Special Topics 3. Eligible for services at the Ritenour Health Center.
This course is a trial or experimental course, A grade 4. Provided access to the services of the University
of A, B, C, D or F is awarded. (See Graduate Bulletin.) Placement Office.
5. Eligible to participate in the programs offered by the
AE 600 (610 off-campus) Thesis Research Graduate Student Association.
6. Eligible to join undergraduate student organizations
This course should be used to register for M.S. and except those with constitutions limiting membership to
Ph.D. thesis research. Instructors usually award a undergraduates.
2
1.9 OBLIGATIONS AND RESPONSIBILITIES and research budgets are for those purposes. No
All graduate students must: personal printing should be charged to these accounts.
1. Maintain scholarship satisfactory to the department. Graduate students are not permitted to attempt to
2. Make progress in their degree program that is circumvent, in any way, the print charges imposed on
acceptable to the department. them for the use of the department printing facilities. If
3. Assume full responsibility for knowing the a student finds a printer that is not charging copies to
regulations and pertinent procedures of the Graduate their account, the student should contact Mr. cprey
School. Wilkinson and refrain from making excessive copies
4. Comply with department policies related to the use during the time that the printing system is
of department facilities such as computers, printers and malfunctioning.
copiers.
4. Comply with regulations governing the use of 1.11 GRADUATE STUDENTS WITH A
automobiles by all students. TEACHING OR RESEARCH ASSISTANTSHIP,
5. Meet standards of conduct outlined as outlined OR WAGE PAYROLL POSITION
below A large number of graduate students are appointed as
graduate assistants. They are assigned tasks in
"By virtue of their maturity and experience, graduate teaching, research, or other activities that are
students are expected to have learned the meaning and educationally significant. These appointments are
value of honesty before entering the Graduate School. made by department at the recommendation of the
However, to insure the maintenance of a high level of faculty.
moral integrity, each student and faculty member is
expected to assume personal responsibility for the Although graduate assistants may assist with research,
encouragement and promotion of the highest ethical they should be distinguished from Research Assistants,
and moral standards. It is the particular responsibility who are full-time members of the staff with rank
of each department and each staff member to set up equivalent to Instructors.
conditions of operation, which will encourage the
student to strive for these high ideals on the one hand Graduate students with a teaching or research
and will assure the detection of violations on the other. assistantship must comply with Graduate School
A violation is regarded as a serious offense, raising regulations governing the duties of their appointment
grave doubt that the guilty student is worthy of (See Graduate Degree Programs Bulletin). For
continued membership in the Graduate School example, note that “appointments for graduate
community." assistants are for eighteen weeks of activities per
semester.” Typically this means that students are asked
1.10 USE OF DEPARTMENT COMPUTERS AND to report at least one week prior to the first day of
PRINTERS classes and work through the finals week and/or the
Graduate students are provided access to department following week. Work may also be required during the
computers, printers and copiers to permit them to week of Spring Break. A student is responsible for
conduct their funded work activities (instructional or clarifying all planned absences from the University,
research). All computer use must abide by established including arrival and departure dates, with their work
University policies: supervisor prior to making plans related to these
activities.
Graduate students are provided with $40 of free
printing each semester for use on their own On rare occasions, a student may be offered a wage
coursework. Page charges are incurred based on the payroll position within the department that provides an
printer that is used. Students may add additional hourly wage and no tuition benefits. To work in such
money to their personal printing accounts at the positions, international students must submit an
Engineering Copy Center. "Application For Permission To Work On-Campus" to
the Office of International Students, and may work up
Students who are on research and teaching to a maximum of 20 hours/week.
assistantships will be required to charge printing
conducted in support of these activities to a separate
account. These accounts will be charged to the
department or to a research budget. All graduate
students must ensure that any charges to department
3
until the student has chosen a thesis advisor. Students
are expected to locate an advisor in their area of
2 Master of Science Degree specialization (see Table 1 below) before beginning
their second semester. The student should inform the
Program Information Graduate Program Officer of the name of their advisor.
Students should feel free to discuss possible advisors
with the faculty in their area of specialization and the
2.1 DEGREE REQUIREMENTS Graduate Program Officer.
The following are the requirements for the Master of
Science degree in Architectural Engineering: TABLE 1. AE Faculty and their option areas
Construction Structures
1. Complete a minimum of 30 graduate credits Dr. Chimay Anumba Dr. Richard A. Behr
Dr. Michael J. Horman Dr. Thomas E. Boothby
(minimum 24 credits of course work, at least 12 of Dr. John I. Messner Dr. Linda M. Hanagan
which must be at the 500-level, and a minimum of 6 Dr. David R. Riley Dr. Bohumil Kasal
credits of thesis research). A maximum of three 596 Dr. Andres Lepage
credits can be applied toward the MS Degree Mechanical and Energy Sys. Dr. Ali M. Memari
requirements. AE 596 credits must be preapproved and Dr. William P. Bahnfleth Prof. M. Kevin Parfitt
Dr. James D. Freihaut
supervised or co-supervised by a faculty member in the
Dr. Jelena Srebric Illumination
student’s option. See the Appendix for the approval Dr. Stephen Treado Dr. Richard G. Mistrick
form. 20 of these credits must be earned on the Dr. Kevin W. Houser
University Park Campus. These credits must be
completed with a grade point average of 3.00 or higher. 2.3 MASTER OF SCIENCE PROGRAM
APPROVAL FORM
2. All M.S. students must participate in new student
The purpose of the M.S. Program Approval Form
orientation activities.
(Appendix B) is to insure that students have selected an
advisor and begin a program of study and research
3. All M.S. students must attend ten approved guest
tailored to their interests. Every M.S. degree student
lecture presentations prior to graduation. Approved
must prepare the Masters Approval Form in
lectures include, Bowers Lectures, CE lectures, ME
consultation with his/her academic advisor. The M.S.
lectures, selected guest lectures of AE student societies
Program Approval Form must be submitted no later
(AE Graduate Student Association, ASHRAE, IES,
than the end of the first semester. The Masters
SSAE, SPACE). This list will be expanded upon
Approval Form identifies courses the student intends to
recommendation of the faculty. Lecture
take and describes the topic of the thesis in the M.S.
announcements will be distributed via email to
program. The Graduate Program Officer will review
graduate students and/or printed on posted
the Masters Approval Form for completeness and
announcements throughout the department.
conformance with program guidelines. If, at a later
time, the student and advisor wish to add or delete
4. As a general rule, 400-level courses normally
courses or change the emphasis of the thesis, they have
offered to non-option students in the 5-year
the authority to do so, but a revised Masters Approval
undergraduate program at Penn State cannot be
Form must be submitted to the Graduate Program
included in the 30-credit minimum.
Officer.
5. A thesis proposal must be written by the student and
Students failing to submit the Masters Approval Form
submitted for approval to the advisor and a faculty
by the end of the first semester will be advised that
committee. The proposal is also presented during a
such action constitutes "Unsatisfactory Scholarship"
meeting of the student’s thesis committee. A copy of
which can be grounds for dismissal from the
the proposal and approval sheet shall be sent to the
University.
Graduate Program Officer by the advisor. (See
Appendix C for guidelines and approval sheet.)
2.4 M.S. THESIS COMMITTEE
6. All M.S. students must attend 10 approved lectures M.S. students must assemble a committee consisting of
during the time period of their program. a minimum of three faculty members with expertise in
areas related to the proposed thesis project to serve as
2.2 SELECTING AN ADVISOR their M.S. Thesis Committee. At lease two of these
members must be from the AE department, but an
For the student's first semester, a member of the
outside member is not required.
Graduate Faculty will serve as a temporary advisor
4
2.5 M.S. THESIS PROPOSAL 2.6 M.S. THESIS
A candidate for the M.S. degree must provide a short A candidate generally registers for a minimum of 6
written and oral presentation of the thesis proposal to credits of AE 600 and submits a thesis following the
the student's committee for approval a minimum of one procedures specified by the Graduate School. The
semester before graduation. formatting guidelines are outlined in the following
1.Written Requirements. The candidate's written thesis document:
proposal should consist of the following: http://www.gradsch.psu.edu/enroll/thesisguide.html
Introduction
Literature review The research thesis must be a research topic resulting
Research hypothesis in work that is publishable in a professional journal. It
Proposed research activity is permissible, provided the committee approves, to
Tools necessary to undertake the proposed have a thesis composed of parts (published or un-
research published) provided a comprehensive introduction is
Anticipated schedule provided. It should also have a conclusion placing the
parts in perspective to the whole and making
The objective of this proposal is to: recommendations for future research.
♦ Clearly demonstrate that the candidate has identified The M.S. thesis may be written in the form of a
and sufficiently narrowed the thesis research topic conference paper with supporting information provided
through a concise statement of the thesis hypothesis. in Appendices, with the approval of the student’s
advisor.
♦ Clearly demonstrate that the candidate is familiar
with related work reported in the literature. The thesis must receive at least three approval
signatures. One of these signatures must be that of the
Department Head or the Graduate Program Officer.
♦ Clearly demonstrate that the candidate is aware of
The Architectural Engineering M.S. thesis must also
and has mastery of the analytical/experimental tools
include a Biographical Sketch.
necessary to successfully undertake the proposed thesis
research.
2.7 ORAL PRESENTATION OF THESIS
♦ Provide a basis upon which to evaluate the final All Masters degree students will present the results of
thesis research. their thesis research at a meeting consisting of their
advisor, the thesis committee and other members of the
♦ Provide a basis for committee approval of the faculty and graduate student body. The format and
proposed work. content of the presentation will be similar to that used
at technical meetings. Accomplishing this task in a
This written proposal must be provided to the satisfactory fashion is a requirement for graduation. It
candidate's committee a minimum of one week in is the student’s responsibility to inform the Graduate
advance of the oral presentation. Program Officer a minimum of 1 week in advance of
the defense with details of time, location, thesis title,
2. Oral Requirements: The candidate will make a and names of the committee members. The Grad
formal oral presentation to his/her committee on the officer will then make sure the event is publicly
thesis problem and the proposed approach to its announced. In order to emphasize the importance of
solution. The use of audio-visual aids in this complying with this requirement, the Graduate Officer
presentation is encouraged. The intent of this will not the sign graduation clearance forms if the
presentation is to provide valuable feedback to the defense is held without proper notification of the
student to assist him/her in completing the work. Graduate Officer.
3. Documentation: The candidate must submit the MS 2.8 FORMAT REVIEW AND FINAL ARCHIVAL
Thesis Proposal Approval Form to the Graduate COPY OF MS THESIS
Program Officer before filing their intent to graduate. The Graduate School web site provides a Thesis
Students who do not turn in the form may be removed Information link which is designed to provide guidance
from the graduation list. and answer questions for a graduate student writing a
thesis or dissertation. When you start your thesis, you
should reference this information. Dates for the format
5
review and the final archival copy submissions are
available on the Graduate School web site.
The thesis will be reviewed by each member of the

student's thesis committee. At least three faculty
members must approve and sign the Master’s Approval
Page available on the Graduate School web site. The
Master’s Approval Page must also bear the signature of
either the Department Head or Graduate Program
Officer.
The final archival copy of the thesis (incorporating any

format changes requested by the Thesis Office), must
be uploaded as an eTD (electronic dissertation) by the
deadline announced by the Graduate School for the
semester/session in which the degree will be conferred.
Additionally, the original, signed Master’s Approval
Page must be submitted to the Graduate School and a
copy must be submitted to the Graduate Program
Secretary in 104 Engineering "A" Building to be
retained in the student’s file.
As a courtesy, most students also present their advisor

with both a bound and an electronic copy (for ease of
reproduction and distribution) of their dissertation.
Students should consult their advisor about their desire
to receive a bound copy. Information on binding can
be found on the Graduate School web site.
2.9 THESIS GUIDE

The Graduate School Thesis and Publications Office
provides a Thesis Guide (Web site referenced earlier),
which is designed to provide generation formatting
information and answer most questions for a graduate
student who is writing a thesis.
2.10 MASTER OF SCIENCE CHECKLIST

A checklist summarizing program requirements and
with a lecture approval form printed on the back is
provided to each student at the beginning of their
program. The checklist is also included in the
appendix.
6
submit the Master of Engineering Program Approval
form, which lists the courses that are expected to make
3 Master of Engineering Degree up a student's degree program. Students must file an
amended plan in subsequent semesters if changes to
Program Information this program are required. All changes to a student's
approved program must be approved prior to
enrollment in any course.
3.1 MASTER OF ENGINEERING PROGRAM ♦ The courses on a student's approved M.Eng.
GOALS program list must be completed with a grade point
The goals of this program are to provide the highest average of 3.0 or better to receive the M.Eng. degree.
quality professional education in Architectural ♦ Each M.Eng. student must attend a minimum of
Engineering. 10 department lectures and document these on the
appropriate form.
3.2 SELECTING AN ADVISOR ♦ The University requires that M.Eng. students
Each student is assigned to an academic advisor, a submit a formal capstone paper as part of their degree
member of the graduate faculty in their area of interest, requirements. This paper should demonstrate
prior to their first semester of graduate school. A comprehensive knowledge of the field of study, and
student may transfer this position to another faculty may be take the form of an in-depth design study,
member later in their program by submitting a Change technical paper, or other engineering or research
of Advisor form to the Graduate Program Officer. The activity. Each MAE student should coordinate this
student's advisor assists the student in constructing a activity with their adviser, or another graduate faculty
program of courses that meets the educational member in their area of study and submit a M.Eng.
objectives of the student along with all department capstone project proposal form prior to beginning the
requirements. During the first semester of graduate work. The student should register for AE 596 –
study, each M.Eng. student must submit a M.Eng. Independent Study (3 credits) when work on this
Program Approval form, which lists the courses the activity will be conducted (late in their program of
student expects to take to fulfill the 30-credit study). The student must submit both the paper and a
coursework requirement. This form must be amended copy of the M.Eng. Paper Approval Form to the
in future semesters if a student's program changes for Graduate Program Officer prior to graduation. The
any reason. form must be signed by the faculty member who
reviewed the paper, indicating that the paper is of
3.3 PROGRAM REQUIREMENTS sufficient quality to fulfill this requirement.
Requirements for graduation are the following.
The student will receive notice from the Graduate
Program Officer regarding final acceptance of the
♦ All M.Eng. students must participate in the new
paper, or informing the student of required changes or
student orientation activities.
modifications that must be made prior to acceptance of
♦ Each student must complete at least 30 credits, of
the paper. The department will retain a final copy of
which at least 18 must be at the graduate level (500-
the paper.
level). A maximum of six 596 credits can be applied
toward the MEng degree requirements with three of
3.4 MASTER OF ENGINEERING CHECKLIST
those credits appling toward the MEng paper
requirement. AE 596 credits must be preapproved and A checklist summarizing program requirements and
supervised or co-supervised by a faculty member in the with a lecture approval form printed on the back is
student’s option. See the Appendix for the approval provided to each student at the beginning of their
form. Students must follow the approved program of program. The checklist is also included in the
study provided in one of the four emphasis areas, or appendix.
receive approval to substitute courses on the course list.
A limited number of courses may be substituted for
those listed in the approved programs. Students must
provide valid justification for all proposed changes
(such as lack of availability, previous successful
completion of a similar course, greater benefit to a
student's degree program, etc.).
As early as possible during the first semester of
study, a student should consult with his/her advisor and
7
advisor assists the student in constructing a program of
courses that meets the educational objectives of the
4 Doctor of Philosophy (Ph.D.)
student along with all department requirements;
however, the Ph.D. committee will ultimately
Program Information determine a student's program of courses.
4.3 ENGLISH COMPETENCY

4.1 Ph.D. PROGRAM GOALS
A candidate for the degree of Doctor of Philosophy is
The goal of the Ph.D. program is to produce required to demonstrate high-level competence in the
outstanding engineers who have demonstrated their use of the English language, including writing,
abilities through the following: speaking, and presenting as part of the language and
1. Independent Research: Each Ph.D. candidate must communications requirements for the Ph.D. The
demonstrate an ability to plan and carry out Architectural Engineering Department, in conformance
independent and original research. This work must with Penn State University policy, assesses these three
show a high degree of maturity and creativity and aspects of English competence. To ensure the highest
contribute to the knowledge base in Architectural level of student performance in this area, the
Engineering. Department assesses English competency at all levels
2. Depth of Study: Each Ph.D. candidate must of a Ph.D. student’s program. The student should view
develop a depth of understanding in one of the four these requirements as a highly beneficial component of
basic areas of the department: their doctoral studies.
Building Construction,
Building Illumination Systems Competence must be formally attested by the program
Building Mechanical and Energy Systems before the doctoral comprehensive examination will be
Building Structural Systems. scheduled. (International students should note that
passage of the minimal TOEFL requirement does not
This is normally established through work on the M.S. demonstrate the level of competence expected of a
degree and will be developed further within the Ph.D. Penn State Ph.D. graduate.)
In the area of research, a student is expected to attain a The main elements of the policy are detailed below.
level of understanding far above that normally acquired
through typical course work. This depth is developed 4.3.1.Testing International Students on Entry into
not only through an organized series of courses but Graduate Program
through extensive independent study and research.
All international students who have not completed an
3. Breadth of Study: At all times, the concept of the academic program in a U.S. university are required to
Architectural Engineer as an individual who possesses take the Penn State American English Oral
a breadth of understanding of the building and building Communicative Proficiency Test if they have not
processes must be maintained. Some of this breadth previously taken the Test of Spoken English (TSE).
will come from formal classes while the remainder of it The Penn State test is administered by the Center for
will come from self study, active participation in a English as a Second Language at Penn State. Results
wide range of department lectures and activities, a from this test (or the TSE) will be used by the
personal interest in buildings, and interaction with Department to determine measures for improving
fellow students. English competency of international students as they
commence their graduate studies at Penn State.
4.2 ADVISOR
All international students who have not taken the TSE
Each student, upon entering the doctoral program, is must take the Penn State American English Oral
assigned to an academic advisor. The advisor selected Communicative Proficiency Test during the orientation
will generally be the member of the graduate faculty week prior to their first semester at the University. If
who is best aligned with the student's area of academic the performance level of the student is below the
interest, or will be the faculty member who is the highest proficiency code (Test Score of 250), then the
student's supervisor for an assistantship. When a student will be required by the AE Department to take
student decides on a faculty member with whom they one of the following courses during the first semester:
plan to work on their Ph.D. dissertation, that person SPCOM 115G, SPCOM 117G, or SPCOM 118G.
should then become their academic advisor. A
Change of Advisor Form should be completed and
submitted to the Graduate Program Officer. The
8
4.3.2. First Year English Proficiency Examination At the end of the English Proficiency Exam, each
member of the examination committee will assess the
All Ph.D. students, domestic and international, will student's English competency in three categories:
undergo an assessment of English competency during writing, formal presentation and oral discussion. These
their first year. This assessment will typically occur in assessments will be used to certify the areas in which
November of that year, to permit students to take the student has attained English competency and to
English courses during their second semester and first recommend measures for improving their English
summer session. competency for students judged to be deficient in one
or more areas. Guidelines and recommended
This assessment will include tests of writing, speaking coursework for achieving English Competency are
and presentation skills. The assessment will be provided later in this document.
conducted by an AE Department English Proficiency
Committee consisting of three members of the AE 4.3.3. Further Opportunities for Enhancement of
graduate faculty who are from different option areas English Competency
within the Department, and who do not have an advisee The student’s doctoral dissertation committee will also
currently taking the exam. The AE Department assess a student’s English competence at other points
English Proficiency Committee will be assigned by the in the student’s doctoral program. These points will
AE Graduate Program Officer, with the approval of the include the Doctoral Comprehensive Exam (written
AE Department Head. English competency testing will and oral) and the Dissertation Proposal. The format of
consist of three parts. the Comprehensive Exam gives faculty additional
opportunities to assess a student’s reading, writing,
a. Writing. The student will be asked to write an essay formal presentation and oral discussion skills, and
on a topic selected by the faculty. This essay will his/her readiness to proceed with writing, presenting
typically be 3-5 double-spaced pages in length. The and defending the dissertation. Students whose work
written document will be judged on its organization, exhibits clear difficulties with either spoken or written
logical arguments in support of the student's English in either the comprehensive exam or the thesis
statements, inclusion of relevant details, spelling, and proposal will be required to take additional English
style in the use of language, grammar and punctuation. courses to improve their English proficiencies. The
The student will have three hours to complete this first draft of a student’s dissertation proposal will be an
writing assignment in a monitored setting. The important evaluative measure of the student’s English
students may provide a neat and legible hand-written writing abilities. Poor performance on the
solution or may use MS-Word in completing this essay. comprehensive exam or on the doctoral dissertation
proposal will necessitate additional English coursework
b. Presentation. At a later, scheduled date (generally so that writing and/or speaking deficiencies can be
within 2 weeks of the writing exercise), the student will removed before the student attempts to write his/her
make a formal oral presentation related to the short doctoral dissertation. Decisions on these matters will
essay topic or another topic selected by the faculty be the responsibility of the student’s doctoral
committee. The presentation must be between 10 committee.
minutes ± 1 minute in length. The presentation will be
judged for its clarity, adaptation to the audience, 4.3.4 Expectations
organization, appropriate use of visual aids, and It is expected that candidates for the Architectural
effectiveness of delivery. The quality of the Engineering Ph.D. be able to communicate effectively
presentation should be comparable to that of a paper in daily academic/job-related settings, and in more
presented at a technical session of a professional formal professional conference settings. The
society meeting. The student’s presentation may use expectations for comprehensible speech are as follows:
Powerpoint or overhead transparencies.
·Accurate pronunciation, with only occasional
c. Speaking. A second purpose of the oral presentation instances of clearly non-native accent or intonation
portion of the English Competency Test is to evaluate patterns, especially for engineering-specific
the oral skills of the student in spoken English. terminology.
Following the presentation in item “b” above, the
examination committee will question the student for ·Appropriate grammatical constructions, with only
approximately 10 minutes on issues related to the minor non-native influences.
presentation to further evaluate the student’s ability to
understand questions and formulate intelligible and
appropriate responses using the English language.
9
·Near native-like flow of speech, with only occasional ii. Presentation Skills
non-native pauses, accentuation, or intonation.
SPCOM 1OOA Effective Speech, Public Speaking
For professional conference presentation settings, SPCOM 312 Informative Technical and Presentational
speaking proficiency expectations also include the Speaking
following:
iii. Writing Skills
·Strong clarity of purpose for the presentation.
SPCOM 116G English as a Second Language: Reading
·Appropriate adaptation to an audience. and Writing
ENGL 202C Effective Writing: Technical Writing
·Effective organization. ENGL 198G Writing in the Disciplines
·Effective and appropriate visual aids and delivery 4.3.6 Attainment of English Competence
style. If the doctoral student completes and passes the
course(s) required by either the AE Department
Expectations for written material include English Proficiency Committee or the student’s
demonstration of clear competence on both rhetorical doctoral committee with a B grade or better, then the
and syntactic levels. Ph.D. students are expected to be student will be certified as having attained English
able to do the following: competence. If the student fails to achieve a B or
better, then the student must retake the course (or
·Effectively address a writing task. another comparable course). The AE Department’s
policy to evaluate English competence at multiple
·Organize and outline written material. points within a student’s doctoral program means that a
student who attains first-year English competence
·Use appropriate details to support a thesis. through either the exam or coursework could still be
required to take additional English coursework later in
·Be consistent in the use of language. their doctoral program if English performance at a later
evaluation point does not meet the recommended
·Demonstrate syntactic variety and appropriate word standards as set forth and evaluated by his/her doctoral
choice. committee.
·Effectively observe grammar, punctuation, and No student will be permitted to schedule his/her
spelling conventions in English. candidacy exam until he/she has completed the courses
needed to fulfill the English proficiency requirements
4.3.5. Improving the English Competency of established at both the student’s Penn State American
Students with Deficiencies English Oral Communicative Proficiency Test, and at
If the expected level of competence is not the Department’s First Year English Proficiency Exam.
demonstrated at either the First Year English No student will be permitted to schedule his/her final
Proficiency Test or at one of the later doctoral program oral examination until he/she has fulfilled all English
evaluation points, the doctoral student will be required proficiency requirements established by his/her
to enroll in one or more courses offered at the doctoral committee at either the comprehensive
University to improve their English skills. The AE examination or at the dissertation proposal stage.
Department English Proficiency Committee, in Students who do not make sufficient progress towards
consultation with the Graduate Program Officer, will achieving competency in English jeopardize the
determine the required courses for which a student renewal of their graduate assistantship funding and/or
must register when a student’s English skills fall below their continued enrollment in the Penn State University
the Department’s standards from the following list: Architectural Engineering Doctoral Program.
i. Oral Language Skills 4.3.7 Summary of English Proficiency Testing

The overall objective of the English Proficiency
SPCOM 114G Basic English as a Second Language program implemented by the Department of
SPCOM 115G English as a Second Language: Architectural Engineering is to ensure that all doctoral
Speaking and Listening students in the Department exhibit the high level of
competence in the use of the English language
10
necessary to complete their doctoral dissertations and another institution recognized by the AE Graduate
enable them to become successful members of the Faculty) beyond the baccalaureate degree.
research, academic and building industry communities. d) Has fulfilled other pertinent requirements of the
Students are evaluated at a number of different points Graduate School as stated in the Graduate Catalog
throughout their AE doctoral program to ensure they and the AE Graduate Student Handbook.
have the English skills necessary to succeed in their e) Has demonstrated sufficient intellectual capacity
doctoral studies and in their future careers. and maturity to progress successfully through the
coursework and other organized aspects of the
4.4 BECOMING A DOCTORAL CANDIDATE Ph.D. program.
AND THE CANDIDACY EXAM f) Has demonstrated the ability to perform original
and independent work required for research and
Becoming a Doctoral Candidate design activities.
Graduate students who wish to become doctoral The first attempt of the candidacy examination must be
candidates must be approved for candidacy by the completed during, or immediately following, the two
graduate faculty of the department. This approval is semesters of residency beyond the MS in order to
based on: identify any deficiencies and to discourage the
marginal student from further effort in the Ph.D.
a) the academic record of the student, including the program. Students enrolled in the doctoral program
fulfillment of any conditions of acceptance without first completing a masters degree must take the
b) a candidacy examination given by the department exam at the first offering after completing a minimum
c) evidence of research capability based on a concise of 18 credits of coursework.
written preliminary research plan that must be
submitted by each student prior to the exam. The candidacy exam will be administered in April,
Details on the format of this document and due approximately two weeks prior to the end of the Spring
date will be provided on the department’s Semester. The timing of the exam permits faculty to
candidacy exam Angel site*. base second year funding on the results of the exam,
d) Other evidence of research capability. and permits the students to be accepted to candidacy
prior to the start of their third semester.
To begin to develop a research record, it is essential
that a new student begin working with an advisor as The form of the exam will consist of an eight-hour
soon as possible. written test in one of 4 AE specialty areas
(Construction, Illumination, Mechanical Systems, and
Candidacy examination Structures). An oral exam will be scheduled for each
Potential candidates are strongly encouraged to student so that specific depth topic questions, often
undertake the candidacy evaluation at the earliest based on, but not limited to, the written exam may be
possible time. The purpose of the candidacy exam is to directed to each student.
assist the faculty in determining whether or not the
student is competent to pursue a Ph.D. program and to Written Exam
provide the doctoral committee with a basis for The material covered in the candidacy examination will
recommending a program of study. Participation in the include general and advanced topics related to the
exam requires that the student: student’s specialty area. Details of the exam, including
topical coverage, will be communicated to eligible
a) Has submitted official transcripts (English students by the end of October each year for the
translation) showing the completion of prior following Spring exam. Topics in each of the four AE
coursework and degrees earned. When the official depth areas will include fundamental knowledge
transcript does not show the completion of a expected of a Ph.D. student in that field, as well as
degree, an official certification of the degree is selected items from graduate courses taken by the
required. students in the semesters preceding the exam. The
b) Has become associated with some member of the exam may consist of both closed and open-book
graduate faculty to a sufficient degree to allow sections. While some of the material may be based on
evaluation of the potential candidate's ability to do baccalaureate degree topics, the faculty expects
independent research. competency and maturity at a level conducive to
c) Has earned a minimum of 18 course credits in graduate study. The faculty expects candidates to
graduate work (taken at PSU or accepted from possess an understanding of architectural engineering
principles, to be able to recall them quickly, and to
11
synthesize them accurately. In addition, candidates
should be able to express themselves verbally with 1. Results of the written exam.
clarity and persuasion.
2. Results of the oral exam.
Oral Exam
The purpose of the oral portion of the exam 3. Academic record of the student.
(approximately 60 minutes long) is to evaluate the
student's depth of understanding of basic concepts 4. The student’s written preliminary research plan,
through his/her answers to questions. The student's faculty and advisor recommendations, and the quality
ability to express ideas and concepts verbally, and with of work performed for the student's research or
clarity, will be assessed. The oral exam is typically teaching.
scheduled to occur within 2 weeks of the written exam.
A formal letter from the AE Graduate Program Officer
The oral exam will be conducted by a minimum of four reporting the result of the exam will be provided to
AE faculty members, which will include at least two each student taking the exam. Additionally, the results
from the student’s specialty area, as well as two AE are reported to the Graduate School for entry into the
faculty members from outside the student’s specialty student's record. Admission to candidacy is noted on
area. The faculty in a specialty area (Structures, the student’s transcript.
Illumination, Mechanical Systems or Construction)
may elect to have more than two faculty member 4.5 THE DOCTORAL COMMITTEE
participate in the Candidacy Exam. One of the four When a graduate student has passed the candidacy
faculty members will be the AE Graduate Program examination, a Ph.D. Committee should be formed
Officer. All faculty members are welcome to attend IMMEDIATELY. In this way, the student will receive
the scheduled exams, however, only designated proper guidance early in his/her program. The
examination committee members will vote on the exam candidate and the advisor should discuss possible
outcome. committee members. The committee must have a
minimum of four members. At least two members
Results of the Exam must be from Architectural Engineering and one must
Based on the student's performance related to the be from outside the department and have no project or
criteria provided above, one of the following financial ties to the AE department or the committee
recommendations will be implemented by the Graduate chair. Names of the proposed committee should be
Program Officer for communication to both the student forwarded to the Graduate Program Officer for action.
and The Graduate School. The Graduate Officer may act on the suggested
committee members or may discuss possible changes
1. Full admission to Ph.D. candidacy: Approval of at prior to requesting that the Graduate School form the
least 3/4 of the Graduate Faculty Candidacy Exam committee. The Graduate School will appoint the
Committee assigned to conduct the student’s exam committee and notify all persons concerned. At this
is required to admit a student to Ph.D. candidacy. point, the student's program is under the complete
This recommendation may include the stipulation control of the Ph.D. Committee. The function and
that specific courses be included in the student's organization of the doctoral committee are as follows:
“committee approved” program of study.
Chairperson and Thesis Advisor
2. Rejection as a doctoral candidate: A negative
decision of the Graduate Faculty may yield the The chairperson is responsible for the administrative
following recommendations: aspects of the doctoral program and for coordinating
a) The student should be reexamined while the committee's activities. The chairperson convenes
remaining in the doctoral program. all meetings of the committee. The chairperson’s
b) The student should first be enrolled in the M.S. duties also include:
program. Upon successful completion, the
student may be reconsidered for admission to 1) directing the research program.
the doctoral program. 2) assisting the student in selecting and scheduling
c) The student should withdraw from the courses.
department. 3) supervising and releasing:
- the research proposal
The decision to accept or deny admission to doctoral - the final draft of the thesis for defense
study in Architectural Engineering will be based on:
12
- the final copy of the thesis that will be sent instructor. The Ph.D. student will generally
to the Graduate School take the exam at the same time and location as
students who are formally enrolled in the
Meetings of the Doctoral Committee course.
Planning Meeting 2. Enroll for credit, and successfully complete,
The Ph.D. candidate and committee will meet with a grade of C or better, a department
immediately (within 30 days) after the doctoral approved 300, 400 or 500-level course in one
committee is formed. The objective of the meeting is of the three option areas outside the student’s
as follows: main area of focus.
1) listen to brief comments by the student regarding A student may elect to participate in a breadth course
his/her academic record and work or educational or exam at any time prior to the comprehensive exam,
experience. including prior to passing the candidacy exam.
Graduates of ABET-accredited Architectural
2) define a tentative series of courses to be taken by the Engineering programs can fulfill the breadth area
student. requirement using a full-semester course from their
undergraduate program, following a review of the
3) define a tentative time schedule. course’s content by the Graduate Program Officer in
consultation with the faculty.
A written record of the meeting will be sent to the
Graduate Program Officer. 4.7 COMPREHENSIVE EXAMINATION
The purpose of the comprehensive examination is to
The committee should meet as a body at least once a demonstrate that candidates have achieved mastery in
year to review the status of the student's program of their field and are qualified to undertake the research
study and research. Alternatively, the student can meet phase of the Ph.D. program. This requires that
individually (at least once a year) with each committee students:
member for these purposes. If there is a substantial
change in the student's program of study or research 1) have substantially completed, with a minimum
objective, the committee will meet to discuss this grade point average of 3.00, a program of courses
change, and a written record of this meeting approved by their committee. Any courses required of
(describing the changes) will be sent to the Graduate the student to fulfill deficiencies noted at the candidacy
Program Officer. examination must also have been completed.
Other Meetings 2) have spent at least two semesters in a twelve-month

The committee will also meet to review the thesis period as a registered student during which time they
proposal, to administer the comprehensive exam, and were engaged in full-time academic work at the
to conduct the final oral exam. University Park Campus.
4. 6 BREADTH REQUIREMENT 3) have completed the department’s Ph.D. program

breadth requirement (see 4.6).
All AE doctoral students, prior to scheduling the
comprehensive examination, are required to show a
basic level of understanding in at least two of the three The comprehensive exam will consist of a written and
AE undergraduate options which lie outside their oral thesis proposal, followed by a question and answer
primary area of specialization. This breadth session on the thesis subject areas and topics from the
requirement in a particular area can be met by fulfilling student’s major field of study (and minor field, if
one of the following. applicable). The written document, oral presentation,
and verbal examination allow the Ph.D. committee to
1. Successfully complete, with a grade of C or evaluate the student’s mastery of the major (and minor)
better, one or more designated exams area(s), as well as the student’s preparedness to move
developed from content delivered in a third- on to the dissertation phase of the doctoral program. A
year 300-level option specific course (AE 308, student must receive a favorable vote of at least two-
310, 311 or 372), or a department approved thirds of the members of the doctoral committee to pass
400-level option course. The required exam the comprehensive exam.
or exams that fulfill this requirement for a
given course will be determined by the course
13
The oral comprehensive exam is scheduled by the ♦ Clearly demonstrate that the candidate is applying an
Graduate School upon request by the Graduate appropriate analytical/experimental approach that
Program Officer. The oral thesis proposal presentation should lead to a successful research project.
will be open to the public, to be immediately followed
by a private oral examination of the student by the ♦ Provide a basis upon which to evaluate the final
Ph.D. committee. The chairperson of the doctoral thesis research.
committee notifies the Graduate Program Officer that
the student has substantially completed the coursework ♦ Provide a basis for comment and committee
requirement and that a comprehensive examination approval of the proposed work.
should be scheduled. The chairperson provides the
Graduate Program Officer with a date, time, location 2. Oral Requirements: The candidate will make a
and list of the committee members for the oral formal oral presentation to his/her doctoral committee
examination at least two weeks prior to the exam. The and other guests on the thesis problem and the
student must have completed the written thesis proposed approach to its solution at the comprehensive
proposal for distribution to the Ph.D. committee at this exam.
time. See the Graduate Degree Programs Bulletin for
rules pertaining to physical presence at the oral exam. Following the proposal presentation and general
All committee members must participate in the oral questions from the audience, the committee will meet
component of the exam. The student must be privately with the student to conduct an oral
registered on the comprehensive examination date. It examination on topics related to both the thesis
is the responsibility of the chair of a student’s doctoral proposal and the student’s major (and minor) field(s).
committee to complete all procedures and see that all The student should expect questions related to topics
requirements are met. It is the responsibility of the covering the full range of their coursework, as the
doctoral candidate to ascertain that the committee committee investigates the student’s depth of
chairperson performs these duties in a timely and knowledge and understanding in these areas, and
accurate manner. his/her ability to apply it to research and general
engineering practice.
Copies of all transactions between the Ph.D. committee
chairperson and the Graduate School shall be At the conclusion of the exam, the committee will
forwarded to the Graduate Program Officer. evaluate the student’s performance on the
comprehensive exam separate from approval of the
1. Written Requirements. The comprehensive exam is thesis proposal. The committee may elect to pass the
based on the student’s development and presentation of student on the comprehensive exam while still
a comprehensive thesis proposal. The written thesis requiring revisions or modifications to the thesis
proposal, at minimum, shall consist of the following: proposal. In addition to the Graduate School’s
Introduction Comprehensive Examination form, the AE Department
Literature review requires a student to submit a Thesis Proposal
Research goal or hypothesis Approval Form that is signed by all committee
Proposed research methodology members. If changes or revisions to the written
Tools necessary to undertake the proposed proposal are requested by the committee prior to
research approval, the thesis proposal form may be submitted at
Expected contributions a later date..
Anticipated schedule
4.8 DOCTORAL FINAL ORAL EXAMINATION
The objective of this proposal is to: AND THESIS DEFENSE
The purpose of this examination is for students to
♦ Clearly demonstrate that a candidate has identified defend their Ph.D. dissertation. In the interim between
and sufficiently narrowed the thesis research topic
successful completion of the comprehensive
through a concise statement of the thesis goal or examination and the final oral examination, the
hypothesis.
following regulations apply:
♦ Clearly demonstrate that the candidate is familiar 1. A request for scheduling the oral examination should
with related work reported in the literature. be made to the Dean of the Graduate School by the
Graduate Program Officer upon request from the
chairperson of the Ph.D. committee, following the
14
guidelines set forth above and in the Graduate Bulletin.
Note that at least two weeks written notice is needed to The student’s doctoral committee is responsible for
schedule a final oral examination. establishing the coursework and other study that will
lead to the desired level of competency. In many
2. A candidate must be registered and maintain student cases, the total number of credits established by a
status until passing the final oral examination and the student’s doctoral committee will be higher than the
thesis is accepted by his/her Ph.D. Committee. This minimum listed if the committee believes that more
may be satisfied by registering (at least two semesters courses are necessary for the student to achieve the
per calendar year) for AE 601 and AE 611, which are required mastery of the major field. Students who
for Ph.D. thesis preparation and are non-credit. earned a Masters degree at another institution and who
do not take the Ph.D. Candidacy Exam until the
3. When a period of more than five years has elapsed beginning of their third semester at Penn State are
between passing of the comprehensive examination likely to reach the minimum credit total prior to
and the completion of the program, the student is forming their Ph.D. committee. It is in a student’s best
required to pass a second comprehensive examination interest to undertake the candidacy exam at the earliest
before the final oral examination can be scheduled. possible date to allow formation of the doctoral
committee, which ultimately governs the student’s
4. The final oral examination may not be scheduled program of courses. The Doctor of Philosophy
until at least three months have elapsed after the Coursework Approval form must be submitted to the
comprehensive examination was passed, although the Graduate Program Officer within one week of passing
Dean of the Graduate School may grant a waiver in the the Oral Comprehensive Exam.
case of an outstanding student.
The doctoral committee is responsible for the
5. The final oral examination will be administered by evaluation of both competency and thesis quality. As a
the student's Ph.D. Committee and will be a defense of component of the thesis research, the student is to
the student's dissertation. The student must receive a complete AE 6XX thesis credits as defined by the
favorable vote of at least three-fourths of the members committee. No more than 12 credits of Thesis
of his/her doctoral committee. The final oral exam will Research (AE 600 or AE 610), earned for doctoral
be publicized and members of the academic research, can be given a quality grade. All other Thesis
community will be encouraged to attend. Research credits, earned for doctoral research, must be
given an R grade. An additional 6 credits (18 total) of
4.9 COURSE CREDITS Thesis Research can be given a quality grade if earned
The Ph.D. degree is based upon the achievement of a for Master of Science research resulting in an MS
high level of competency in the area of specialization degree.
as demonstrated through a combination of course work,
independent study, and research. This competency 4.10 CONTINUOUS REGISTRATION
must be demonstrated through successful completion After passing the comprehensive exam, all Ph.D.
of the comprehensive examination and the Ph.D. thesis. students must maintain "continuous registration",
The student's program of courses is developed in which requires them to register for AE 601, AE 611 or
cooperation with the student's Ph.D. committee, and conventional courses for the Fall and Spring semesters
must consist of at least 42 non-thesis graduate credits at a course load appropriate for their assistantship or
beyond the Bachelors degree with a minimum of 24 visa requirements. If Ph.D. students use university
credits at the 500 or 800 level, and no more than 6 facilities during the Summer, or plans to take their final
credits earned through individual study (496 or 596). oral or comprehensive exams during the summer, they
A maximum of 24 graduate course credits earned prior must be registered (see Graduate Bulletin).
to enrolling in the AE Ph.D. program may be counted
toward the 42 credit limit. Penn State AE’s proceeding 4.11 THE Ph.D. DISSERTATION
directly to the Ph.D. (without pursuing a MAE or M.S.) Graduate School Thesis Information
are required to take a minimum of 30 non-thesis course The Graduate School web site provides a Thesis
credits beyond the B. AE, with at least 24 at the 500 or Information link which is designed to provide guidance
800 level and no more than 6 course credits earned and answer questions for a graduate student writing a
through individual study. AE 596 credits must be thesis or dissertation. When a student starts their
preapproved by the Graduate Program Officer and dissertation, they should reference this information.
supervised or co-supervised by a faculty member in the Dates for the format review and the final archival copy
student’s option. See the Appendix for the approval
form.
15
submissions are available on the Graduate School web 4.14 TRANSFERRING FROM MS TO PHD
site. Students currently enrolled in the MS program can
request admission to the PhD program by filing a
“Resume Study” form with the graduate School. This
form is available on the Graduate School website.
Approval Procedure Additionally, students must submit a new letter of
The Ph.D. dissertation will be reviewed by each intent and a letter of support from their current MS
member of the student's doctoral committee. At least advisor. This letter should clearly indicate whether
three fourths of the committee must approve and sign their support is conditional on completing the MS
the Doctoral Approval form. The Doctoral Approval degree requirements, including the MS thesis. If
Form must also bear the signature of either the admission is conditional on completing the MS degree
Department Head or Graduate Program Officer. requirements, students must complete these
requirements before taking the candidacy exam.
Final Archival Copy of the Ph.D. Dissertation Requests for transfer will be considered by three
The final archival copy of the dissertation department faculty. In cases where students have
(incorporating any format changes requested by the transferred to the Ph.D. program, the M.S. degree
Thesis Office), must be uploaded as an eTD (electronic would not be granted unless the student completes all
dissertation) by the deadline announced by the requirements for the M.S., including the submission
Graduate School for the semester/session in which the and successful defense of a thesis.
degree will be conferred. Additionally, the original,
signed Doctoral Approval Form must be submitted to
the Graduate School and a copy must be submitted to
the Department Head Secretary in 104 Engineering "A"
Building to be retained in the student’s file.
As a courtesy, most students also present their advisor

with both a bound and an electronic copy (for ease of
reproduction and distribution) of their dissertation.
Students should consult their advisor about their desire
to receive a bound copy. Information on binding can
be found on the Graduate School web site.
4.12 OTHER REQUIREMENTS

All first semester graduate students are required to
participate in the departmental orientation activities,
and to attend a minimum of 10 lectures on a variety of
topics during prior to their comprehensive exam.
Students submitting a Lecture form to satisfy the MS or
MENG degree requirements must submit a second
Lecture Participation form.
4.13 TIME LIMITATIONS AND SCHEDULE

The Department records the progress of each student in
meeting the requirements through the use of a checklist
on which completion dates are recorded. This checklist
summarizes the sequence and time schedule of the
requirements. A copy of the Ph.D. Degree Clearance
Sheet is included in Appendix E.
A student is required to complete his/her program

within 8 years from the date of acceptance as a
candidate as established by the Graduate School.
16
Appendix A
Forms and Degree Checklists

Table of Contents
• MASTER OF SCIENCE CHECKLIST.............................................................................................. 18
• MS PROGRAM APPROVAL FORM ............................................................................................... 19
• MS THESIS PROPOSAL FORM ....................................................................................................... 20
• MASTER OF ENGINEERING CHECKLIST .................................................................................. 21
• MENG PROGRAM APPROVAL FORM ......................................................................................... 22
• MENG PAPER PROPOSAL FORM ................................................................................................. 23
• MENG PAPER APPROVAL FORM.................................................................................................. 24
• DOCTOR OF PHILOSOPHY CHECKLIST .................................................................................... 25
• PHD PROPOSAL APPROVAL FORM ............................................................................................ 26
• PHD COURSEWORK APPROVAL FORM .................................................................................... 27
• AE 596 COURSE APPROVAL FORM ............................................................................................. 28
17
Department of Architectural Engineering
Master of Science Checklist (2010/2011)
Forms and a complete explanation of the requirements noted below are available in the Architectural Engineering
Graduate Student Handbook on the AE website.
http://www.engr.psu.edu/ae/degree_programs/GraduateHandbook.pdf
The University Calendar can be found on the University website.
http://www.registrar.psu.edu/academic_calendar/calendar_index.cfm
The Graduate School requirements can be found in the Graduate Degree Programs Bulletin on the Graduate School
website. http://bulletins.psu.edu/bulletins/whitebook/index.cfm
The requirements for the submission of a Masters Thesis can be found on the Graduate School Website’s Thesis
Page. http://www.gradsch.psu.edu/current/thesis.html
Submit MS Program Approval Form (Appendix, AE Handbook) to Graduate Program Officer by end of
first semester. (Section 2.4, AE Handbook)
By the end of the first semester, submit documentation to Graduate Program Officer indicating successful
completion of Responsible Conduct of Research online training in the first year of graduate study. See
SARI portal on Office of Research Protections website. (Section 1.2, AE Handbook)
http://www.research.psu.edu/orp/sari/
Submit documentation to Graduate Program Officer indicating successful completion of SARI discussion-
based training. Documentation must be submitted by the end of the first year of study. (Section 1.2, AE
Handbook)
Submit the MS Thesis Proposal Form (Appendix, AE Handbook) to Graduate Program Officer a minimum
of one semester before graduation. (Section 2.6, AE Handbook)
Review the “How to submit a Master’s Thesis” document on the Graduate School website.
http://www.gradsch.psu.edu/current/thesis.html
In the semester you plan to graduate, file your intent to graduate in elion by the deadline noted on the
university calendar. The time window is near the beginning of the semester.
Inform the Graduate Program Officer, via email, one week in advance of the oral defense. Provide the
date, time, location, thesis title, and the names of the chair and committee members. (Section 2.8, AE
Handbook)
Submit a copy of the signed “Master’s Approval Page” to the graduate Program officer before submitting
the original to the Graduate School. (Section 2.9, AE Handbook)
Submit completed Lecture Participation Form to the Graduate Program Officer by the end of the late drop
period in the semester you plan to graduate. The late drop period is posted on the university calendar.
(Section 1.2, AE Handbook)
18
Master of Science
PROGRAM APPROVAL FORM
From: ____________________________________ Date :________________

(M.S. Candidate’s Name)
To: a) Graduate Program Officer, Department of Architectural Engineering
b) Advisor
Professor _________________________________________ has agreed to serve as my advisor.
PART 1. PROPOSED TOPIC OF THE M.S. THESIS: _______________________________________________
__________________________________________________. When the topic has matured, a thesis proposal must

be prepared. (See Graduate Student Handbook)
PART 2. PROPOSED COURSE OF STUDY.
COURSE NO. COURSE TITLE SEM CREDITS
1. ______________ ___________________________ ________ ___________

2. ______________ ___________________________ ________ ___________
3. ______________ ___________________________ ________ ___________
4. ______________ ___________________________ ________ ___________
5. ______________ ___________________________ ________ ___________
6. ______________ ___________________________ ________ ___________
7. ______________ ___________________________ ________ ___________
8. ______________ ___________________________ ________ ___________
9. ______________ ___________________________ ________ ___________
10. ______________ ___________________________ ________ ___________
APPROVAL OF ADVISOR:
1) I have worked with the candidate in developing the program and recommend its approval. I believe that the
proposed work can be accomplished by the candidate within the normal Master’s program time limits (one
calendar year for a full-time student, or three semesters and a summer for a graduate assistant).
2) The experimental equipment is

( ) on hand, ( ) funding arrangements have been made, or
( ) no experimental work is required
3) This course of study is approved as appropriate to the candidate’s objective and background.
____________ ____________________________ __________________________________

(Date) (Signature of Student) (Signature of Advisor )
Approved for completeness: __________________________________ ____________

(Graduate Program Officer) (Date Received)
19
M.S. THESIS PROPOSAL APPROVAL FORM
Note: For MS students, the thesis oral exam cannot be scheduled before this form is submitted to the
Graduate Program Officer. The MS Thesis Proposal must be approved at least one semester prior to filing
an intent to graduate.
For: __________________________________________________________________________
(Candidate’s name)
To: a) Advisor
b) Graduate Program Officer
Proposed Thesis Topic: ________________________________________________________
_______________________________________
Thesis Committee Approval:
Name Si g n a t u r e Da t e
__________________ _____________________________________ _____________

(Advisor)
________________ _________________________________ ___________
__________________ _____________________________________ _____________
__________________ _____________________________________ _____________
__________________ _____________________________________ _____________
__________________ _____________________________________ _____________
Received by: ___________________________________________________ ____________

Graduate Program Officer Date
20
Master of Engineering Checklist (2010/2011)
Submit MEng Program Approval Form (Appendix, AE Handbook) to Graduate Program Officer by end of
first semester. (Section 3.3, AE Handbook)
Handbook)
Register for 3 credits of AE 596, as specified on the Program of Study, by submitting the MEng Paper
Proposal Form (Appendix, AE Handbook) to the Graduate Program Officer.
Submit the MEng Paper Approval Form (Appendix, AE Handbook) and a copy of the approved paper to
the Graduate Program Officer by the end of the final exam period in the semester registered for AE 596.
21
Master of Engineering
PROGRAM APPROVAL FORM
From: ____________________________________ Date :________________

(M.Eng. Candidate’s Name)
To: a) Graduate Program Officer, Department of Architectural Engineering
b) Advisor
Area of Emphasis (circle one): Construction Illumination Mechanical Structural
Each student must complete at least 30 credits, of which at least 18 must be at the graduate level (500- level).
Students must follow the approved program of study provided in one of the four emphasis areas, or receive approval
to substitute courses on the course list. A limited number of courses may be substituted for those listed in the
approved programs. Students must provide valid justification for all proposed changes (such as lack of availability,
previous successful completion of a similar course, greater benefit to a student's degree program, etc.). The
approved program of study for each option area is listed on the following website:
http://www.engr.psu.edu/ae/curriculum/meng.asp
PROPOSED PROGRAM OF STUDY:
SEMESTER* COURSE NO. COURSE TITLE CREDITS SUBST. FOR
________ ___________ __________________________ ________ ____________

________ ___________ __________________________ ________ ____________
________ ___________ __________________________ ________ ____________
________ ___________ __________________________ ________ ____________
________ ___________ __________________________ ________ ____________
________ ___________ __________________________ ________ ____________
________ ___________ __________________________ ________ ____________
________ ___________ __________________________ ________ ____________
________ ___________ __________________________ ________ ____________
________ ___________ __________________________ ________ ____________
* Indicate Fall, Spring or Summer and the year.
Reasons for Substitutions:
____________________________________________________________________________________________
____________________________________________________________________________________________
This course of study is approved by:
__________________________________________
(Signature of Advisor) (Date)
Approved for completeness: ____________________________________________

(Graduate Program Officer) (Date)
22
MASTER OF ENGINEERING PAPER PROPOSAL FORM
Student: ______________________________________________________________________
Semester Scheduling AE 596: ______________
Paper Title: ______________________________________________________________
_____________________________________________________________________________
_____________________________________________________________________________
Description of the Work:
_____________________________________________________________________________
_____________________________________________________________________________
_____________________________________________________________________________
_____________________________________________________________________________
_____________________________________________________________________________
_____________________________________________________________________________
AE Faculty Reviewer for Paper (signature below indicates agreement to work with the student on the listed project):
Faculty Reviewer:
______________________ _____________________________________ _____________

(Faculty Reviewer)
Graduate Program Officer: _____________________________________ _____________
23
MASTER OF ENGINEERING PAPER APPROVAL FORM
Student: ______________________________________________________________________
Paper Title: ______________________________________________________________
_____________________________________________________________________________
_____________________________________________________________________________
Please submit this form along with a copy of the paper. This copy will retained by the AE Department for its
records.
AE Faculty Reviewer for Paper (signature below indicates acceptance of this paper to meet the Master of
Engineering Paper Requirement):
Faculty Reviewer:
______________________ _____________________________________ _____________

(Faculty Reviewer)
Accepted: Yes _____ No _____
Received by:
24
Doctor of Philosophy Checklist (2010/2011)
The requirements for the submission of a Masters Thesis can be found on the Graduate School Website’s Thesis
Page. http://www.gradsch.psu.edu/current/thesis.html
Satisfy AE Department English Proficiency requirements. (Section 4.3, AE Handbook) The First Year
English Proficiency Examination, offered in November, must be taken by all students in their first year.
Handbook)
The candidacy examination must be completed during, or immediately following, the two semesters of
residency beyond the Masters degree. (Section 4.4, AE Handbook) The exam is administered late in the
Spring semester each year.
Immediately after passing the Candidacy exam the student’s committee should be formed. The names
should be submitted, via email, to the Graduate Program Officer by the committee chair. (Section 4.5, AE
Handbook) http://bulletins.psu.edu/bulletins/whitebook/degree_requireme
nts.cfm?section=degreeReq1#doctoralAdvisers
Before scheduling the oral comprehensive exam, AE breadth requirements must be completed. (Section
4.6, AE handbook)
Prepare a proposal and schedule the oral comprehensive exam. Inform the Graduate Program Officer, via
email, two weeks in advance of the comprehensive exam. Provide the date, time, location, and the names
of the chair and committee members. (Section 4.7, AE Handbook)
Submit the PhD Dissertation Proposal Form (Appendix, AE Handbook) to Graduate Program Officer a
minimum of three months before requesting to schedule the final oral exam. (Section 4.7, AE Handbook)
Submit the PhD Coursework Approval Form within one week of passing the Oral Comprehensive Exam.
Review the “How to submit a Doctoral Dissertation” document on the Graduate School website.
Inform the Graduate Program Officer, via email, two weeks in advance of the final oral exam. Provide the
date, time, location, dissertation title, and the names of the chair and committee members. (Section 4.8, AE
Handbook) A minimum of three months must elapse between the comprehensive exam and the final oral
exam.
Submit a copy of the signed “Doctoral Approval Page” to the graduate Program officer before submitting
the original to the Graduate School. (Section 4.10, AE Handbook)
25
PhD DISSERTATION PROPOSAL APPROVAL FORM
Note: For PhD Students, the comprehensive exam cannot be scheduled before this form is submitted to the
Graduate Program Officer.
For: __________________________________________________________________________
(Candidate’s name)
To: a) Advisor
b) Graduate Program Officer
Proposed Dissertation Topic: ________________________________________________________
_______________________________________
Thesis Committee Approval:
__________________ _____________________________________ _____________

(Advisor)
________________ _________________________________ ____________
__________________ _____________________________________ _____________
__________________ _____________________________________ _____________
__________________ _____________________________________ _____________
__________________ _____________________________________ _____________
Received by: ___________________________________________________ ____________

Graduate Program Officer Date
26
Doctor of Philosophy
COURSEWORK APPROVAL FORM
____________________________________ ________________
Ph.D. Candidate’s Name Date
This form should be submitted to the Graduate Program Officer after approval signatures are obtained at the
comprehensive exam. Course requirements assigned by the Candidacy Exam Committee must be included.
Proposed List of Coursework

Course Course Title Credits Course Course Title Credits
No. No.
The coursework listed above meets the spirit of the guidelines provided in Section 4.9 of the AE Graduate Student
Handbook. Courses accepted by the committee for transfer from another university must also be listed.
_______________________________ ____________________________________ _____________

Committee Chair Signature Date
_______________________________ ____________________________________ _____________

Committee Member Signature Date
_______________________________ ____________________________________ _____________

_______________________________ ____________________________________ _____________

_______________________________ ____________________________________ _____________

Submitted to: __________________________________ ___________

Graduate Program Officer Date Received
27
AE 596 Independent Study Approval Form
Note: Students must be graduate students (GR or IP) to sign up for AE 596 credits. This form must be signed by
the Graduate Program Officer before students can be registered for AE 596 credits. AE 596 credits must be
supervised or co-supervised by a faculty member in the student’s option. For a PhD, a maximum of 6 credits of
independent study, 496 or 596, may be applied toward the minimum guidelines for course credits. A maximum of
three 496 or 596 credits may be applied toward the MS or MAE degree requirements. A maximum of six 496 or
596 credits can be applied toward the MEng degree requirements with three AE 596 credits applying toward the
MEng paper requirement. This form should not be used for the Master of Engineering paper requirement in the
MEng Program. Please see the AE Graduate Student Handbook for the MEng Paper Proposal form. AE 496 or 596
credits must be listed on the student’s approved program of study to count toward satisfying degree requirements. A
separate University Drop/Add form does not need to be submitted.
Student Name: _______________________________________ Student #: _____________________
Semester Classification: IP or GR (circle one) Student Email: _________________
Student Signature: ____________________________________
Semester Scheduling AE 596: ______________ Number of Credits: _____________
Description of the Work:
_____________________________________________________________________________
_____________________________________________________________________________
_____________________________________________________________________________
_____________________________________________________________________________
_____________________________________________________________________________
Description of Expected Deliverables:
_____________________________________________________________________________
_____________________________________________________________________________
_____________________________________________________________________________
_____________________________________________________________________________
AE Faculty member supervising the independent study (signature below indicates agreement to work with the
student on the listed project):
Faculty Supervisor:
______________________ _____________________________________ _____________

(Faculty Supervisor)
28
Appendix B
Penn State Guidelines for the

Responsible Conduct of Research
29
Guideline RAG16 THE RESPONSIBLE CONDUCT OF RESEARCH
Contents:
• Purpose
• Policy Guidelines
• Approval Procedures
PURPOSE:
The Pennsylvania State University is committed to fostering integrity in the conduct of research. All members of the
research community, including faculty, research staff, students, fellows, adjunct faculty, and visiting researchers, are
expected to adhere to the highest ethical and professional standards as they pursue research activities to further
scientific understanding.
The goal of the Guidelines is to offer a set of values, principles, and standards to guide decision-making and conduct
throughout the research process. It is not intended to provide a set of rules that prescribe how researchers should act
in all situations. Rather, the Guidelines are intended to increase awareness of research integrity and outline the
University's expectations for ethical behavior amongst all researchers.
The Guidelines discussed are not mutually exclusive. There are many circumstances when many of them apply to a
single project or activity. The risks of non-adherence to the Guidelines can be both personally and institutionally
great. Potential consequences of non-adherence are outlined in the University polices that form the foundation for
these Guidelines.
GUIDING PRINCIPLES:
The Code of Conduct prescribes standards of work performance and ethical conduct expected of all persons engaged
in research at The Pennsylvania State University based upon the following guiding principles:
a. Research is the pursuit of truth in the advancement of knowledge
b. Researchers should, in all aspects of research-
i. Demonstrate integrity and professionalism;
ii. Observe fairness and equity;
iii. Disclose and appropriately manage all conflicts of interest;
iv. Ensure the rights, safety, and dignity of those associated with research; and
v. Comply with all legal, regulatory, and ethical requirements established by the University,
regulatory bodies, funding sources, and professional organizations.
c. Research methods and results should be open to scrutiny and debate.
I. DATA MANAGEMENT AND DATA INTEGRITY:

Data integrity depends on the proper and ethical collection, representation, and retention of data. Falsification or
fabrication of one's own data and unacknowledged use of data generated by others are unacceptable behaviors and
constitute misconduct. The University maintains ownership of all data collected from research conducted at the
University, under the auspices of the University, or with University resources, subject to restrictions stipulated in
University-approved agreements with sponsors and other third parties.
Guidelines:
a. Accept primary responsibility for data collection, proper attribution, recording, storage, retention, and
disposal or transfer to University Archives, as appropriate.
30
b. Scrupulously record data in a form that is easily accessible for analysis and review and, if the research is
supported by external funding, readily identifiable with and traceable to the sponsored project.
c. Maintain the privacy of data as required by confidentiality agreements and regulations.
d. Make data immediately available to scientific supervisors and collaborators, as confidentiality agreements
permit.
e. Post-publication, share data with other interested researchers who seek to verify and/or complement
existing research.
f. Maintain research data intact, preferably in original form, in accordance with University or sponsor's
retention requirements or for a sufficient amount of time to allow for analysis of published results by other
researchers, optimally a minimum of five years after publication.
II. RESPONSIBLE AUTHORSHIP:

Authorship is the process by which the results of original research are translated to published form to facilitate the
communication of new knowledge to the professional community. Thus, the integrity of the scholarly record is of
paramount concern to the research community. See University Policy RA13.
Guidelines:
a. Attest to the originality of work.
b. Assign credit appropriately in publications by citing relevant work of others.
c. Discuss and resolve issues of authorship before beginning a study or as they arise during a study.
d. Assign appropriate credit in publications to all those who have contributed significantly to the research
process, including research staff, students, and support staff. See PSU Policy RA13 for further clarification
on coauthorship.
e. Confirm that all coauthors willingly agree to be listed as coauthors of publications and to assume
responsibility for the accuracy and integrity of their contributions.
f. Actively involve all coauthors in reviewing and verifying any and all parts of the manuscript.
g. Identify a primary author to be responsible for the validity of the entire manuscript and for assuring that all
contributions are appropriately recognized.
h. Avoid honorary authorship, which is the practice of subscribing authorship to an individual who has not
made a substantial contribution to a manuscript. Instead, utilize alternative forms of acknowledgment as
allowed by the publication venue.
i. Include information in the publication on the sources of financial support for the research. Be cautious of
financial sponsorship that prohibits the naming of the sponsor in publication.
III. DISSEMINATION OF RESEARCH:

The University strongly upholds principles of academic freedom, and as an institution serving the public, encourages
every effort to ensure that research conducted under the auspices of the University can be freely pursued and
disseminated. Researchers are urged to be aware of overtly commercialized research that attempts to place
boundaries on academic freedom to pursue research for the good of society and to make research results available to
the general public. However, the nature of some research, particularly industrial and defense-related research, does
present some circumstances where it may be appropriate and necessary for restrictions to be placed on
dissemination. Where such situations are warranted, researchers should practice caution and abide by the following
guidelines.
Guidelines:
a. Conduct classified research only in the Applied Research Laboratory.
31
b. Maintain the secrecy of classified research.
c. Maintain the confidentiality of proprietary information that has been provided to enable research.
d. Refrain from publishing or otherwise disseminating research related to inventions until appropriate
disclosure filings are made to protect your intellectual property.
e. Abide by export control regulations that can place legal restrictions on the ability to publish or present.
f. Refrain from disseminating research that may result in future harm to the public.
IV. PUBLICATION PRACTICES:

Timely communication of research results is the primary method for the public dissemination of new knowledge,
which is necessary for fostering growth in a professional field. As such, researchers have the responsibility to
communicate research results to the scholarly community. Both the reputation and the growth of a profession
depend upon three key values: 1) openness in communication, 2) honesty in reporting results and methods, and 3)
fairness in apportioning credit. All investigators are obligated to uphold these values.
Guidelines:
a. Include sufficient information in publications to enable others to replicate the results or otherwise
scientifically validate the research.
b. Avoid simultaneous submission of the same abstract or manuscript to multiple journals.
c. Avoid fragmentary publication or multiple publications of highly similar research findings based on the
same data set.
d. Acknowledge any sources of financial support for the research and disclose any conflicts of interest in
publications.
V. PEER REVIEW:
Peer review is an essential part of the research process. Peer review helps ensure that research has been carried out
in an effective manner and will make a significant, timely contribution to the field. Researchers of all fields may find
themselves in the position to offer peer review, and the obligation should be thought of as an additional way to
contribute to the profession. The review process must be conducted according to the highest professional standards
to ensure continuing widespread confidence in the peer review system.
Guideline:
a. Review only manuscripts and grant applications on a subject matter of personal expertise and return a
thoughtful review.
b. Disclose real or perceived conflicts of interest. Identification of a conflict of interest may require a decision
to remove oneself from the review process.
c. Base a review objectively within the context of published information. Offer positively constructive
comments rather than confrontational remarks.
d. Retain the confidentiality of all manuscript and grant application contents, as both contain privileged
information.
VI. COLLABORATIVE RESEARCH:

Collaborative research affords many opportunities to significantly expand research in response to more detailed
questions by sharing expertise and resources. Researchers are encouraged to partake in collaborative research within
the institution as well as across institutions, keeping in mind that all of the guidelines for research put forth are
applicable to collaborative projects. Noncompliance by any single individual contributing to collaborative research
may have negative repercussions for the entire research team.
32
Guidelines:
a. Ensure all those involved confirm their compliance with applicable regulations and policies of all
institutions and professional standards.
b. Abide by export control regulations that can place legal restrictions on the ability to publish or present.
c. Ensure collaborators adhere to all grant management regulations and contractual obligations.
d. Discuss and agree to authorship guidelines for the project.
e. Advise collaborators of institutional policies for intellectual property and requirements for protecting
privileged work invented in the course of the collaboration.
f. Disclose all real or perceived conflicts of interest with collaborators prior to embarking on collaboration.
VII. FINANCIAL CONFLICT OF INTEREST:

Conflict of interest occurs when a researcher uses his/her position, relationships, and reputation for personal gain or
for the profit of a family member. Real or perceived conflict of interest can be detrimental to the research process in
that it may lead some researchers to inappropriately influence a research study or results. The existence of a
financial relationship does not necessarily lead to inappropriate actions. Consequently, it is important for researchers
to disclose all relevant financial relationships. See University Policies RA05, RA12, HR91, and RA20.
Guidelines:
a. Disclose all potential significant conflicts of interest to:
a. the University Conflict of Interest Committee prior to the submission of proposals or initiation of
sponsored projects or at least annually or as changes in status occur.
b. funding agencies when submitting funding applications.
c. journal editors when submitting manuscripts for publication or acting as a peer reviewer.
d. meeting organizers prior to delivering a scholarly presentation.
e. the Institutional Review Board, when applicable.
b. Attempt to eliminate significant conflicts of interest and appropriately manage those that cannot be
eliminated.
VIII. CONFLICT OF COMMITMENT:

Conflict of commitment occurs when demands on time and/or effort made by non-institutional entities or persons
interfere with primary professional responsibilities to the University. Avoiding irresponsible conflicts of
commitment is essential for supporting credibility and accountability, providing sound stewardship of University
resources, increasing trust among members of the University community, protecting researchers and the University
from litigation, and for maintaining mission focus and academic freedom. The University allows and encourages
extra-university research activities as long as such activities support the mission of the University and do not
compete with the University. To avoid the appearance of unethical conflicts of commitment, researchers should
disclose all potential conflicts to academic supervisors. See University Policy RA12.
Guidelines:
a. Attempt to effectively manage time and effort commitments that may detract from University obligations.
b. Disclose all potential conflicts of commitment that arise from activities such as consulting, external
teaching, privately-funded research, and start-up companies.
33
IX. FISCAL RESPONSIBILITY:
Accurately managing research funds contributes to the fiscally sound and ethically responsible conduct of research.
Managing project budgets and effort responsibly contributes to the legitimacy of the overall research project. See
University Policies RA01, RA03, RA04, RA06, and RA08.
Guidelines:
a. Understand that grants, contracts, and gifts are awarded to the University, rather than to individuals
employed by the University.
b. Effectively manage research-appropriated funds to ensure all costs incurred on a project are reasonable,
allowable, and allocable.
c. Comply with all terms and conditions imposed by the financial sponsor.
d. Initiate all required approvals for budgetary and programmatic changes that may be necessary during a
project.
e. Comply with University purchasing and travel policies as well as all sponsor regulations.
f. Submit effort certifications for all projects annually, but review effort assignments monthly to avoid
unallowed expenses for federally funded projects in particular.
X. RESPONSIBILITIES OF RESEARCH SUPERVISORS:

Mentoring young researchers in the technical as well as ethical aspects of research is a significant responsibility.
Research supervisors have the rewarding and unique opportunity to inform, instruct, and set an example for the
responsible conduct of research. However, researchers should be cognizant of ethical issues related to the
supervision of research trainees such as the potential abuse of power over those who are dependent for financial,
academic, and emotional support; conflicts of commitment between the productivity of the supervisor's research and
the trainee's academic progress; and financial conflicts of interest created by assigning research trainees to projects
in which the supervisor stands to gain financially.
Guidelines:
a. Ensure the scientific integrity of all work stemming from one's research group.
b. Provide supervision, guidance, and example to trainees to further their academic, technical, and
professional development.
c. Provide oversight of experimental procedures including study design and data collection, validity,
reporting, and retention.
d. Instruct graduate students, post doctoral fellows, and other research assistants on all relevant regulations,
university policies, and university procedures for research with humans, animals, and/or hazardous
materials.
e. Ensure the proper fiscal management and conduct of the project.
f. Oversee the preparation and submission of technical reports and any other required deliverables.
XI. RESEARCH WITH HUMAN PARTICIPANTS:

The conduct of research with human participants is highly regulated and is guided by ethical considerations. First
and foremost, researchers should be cognizant of the fact that research with human participants is a privilege, not a
right stemming from Academic Freedom. Researchers are obligated to conduct research with human participants in
such a way as to minimize any risks or harm to participants. The Institutional Review Board (IRB) review and
approval process is in place to ensure that all research with human participants adheres to this mandate. See
University Policies RA14 and RA22.
Guidelines:
a. Minimize risk to participants and ensure that research is justified by maximizing potential benefits.
34
b. Obtain informed consent of participants throughout the duration of the research as appropriate.
c. Ensure the safety and privacy of all participants, as well as the confidentiality of all information.
d. Employ additional safeguards when vulnerable populations are involved.
e. Obtain written IRB approval for research prior to contact with human participants.
f. Adhere to all relevant federal regulations.
XII. RESEARCH WITH ANIMAL SUBJECTS:

Research involving animals must be humane and meet normative standards of conduct. Animal researchers are duty-
bound to conduct their research ethically and humanely. Researchers should be cognizant of the fact that the use of
animals in research is a privilege, not a right stemming from Academic Freedom. See University Policy RA15.
Guidelines:
a. Ensure all research associates working with animals are adequately evaluated according to the Animal Care
and Use Occupational Health and Safety program, trained and supervised.
b. Identify how the research will benefit animals or human kind.
c. Minimize the number of animals involved in a research study to include only the number necessary to
ensure the integrity of the research.
d. Design protocols to avoid or minimize discomfort, distress, and pain, using appropriate pain medication
where appropriate.
e. Obtain written approval of research from the Institutional Animal Care and Use Committee (IACUC) prior
to the commencement of any research or teaching with animals.
f. Adhere to the IACUC-approved protocol throughout the study.
g. Conduct all research activities in accordance with University policy, the Animal Welfare Act, the Public
Health Service Policy on Humane Care and Use of Laboratory Animals, the Guide for Care and Use of
Laboratory Animals, and U.S. Government Principles for the Utilization and Care of Vertebrate Animals
Used in Teaching, Research, and Training.
XIII. RESEARCH INVOLVING HAZARDOUS MATERIALS AND POTENTIAL SAFETY HAZARDS:

Research involving biohazardous, radioactive and other hazardous materials, such as chemicals, if, improperly
handled, has the potential to pose a threat to researchers, the Penn State community, and society at large.
Additionally, other potential safety hazards may exist in the research environment and measures need to be in-place
to prevent injury or negative impacts. It is essential that an organizational structure for safety be established and
followed so that safe processes are integral with daily activities. See University Policy SY01.
Supervisor Responsibilities:
All supervisors (department chairs, faculty, and other employees with direct oversight of University activities) have
specific responsibilities to provide for the health and safety of those supervised.
a. Be thoroughly informed of appropriate University and Departmental safety policies, rules and procedures
and how they specifically apply to your responsibilities and authority.
b. Ensure all employees and students understand and abide by relevant safety and health policies, rules,
regulations, and procedures.
c. Provide and maintain required safety equipment, devices and personal protective equipment and apparel.
Ensure proper usage.
d. Provide instruction and assistance in the proper operation of equipment or materials that may be potentially
hazardous.
35
e. Encourage reporting of health and safety concerns. Take prompt, corrective action when unsafe conditions,
practices or equipment are reported or observed.
f. Conduct a thorough investigation in all work-related injuries, illnesses and accidents, submit appropriate
recommendations on all accident reports, and follow through to ensure corrective measures have been
implemented.
g. Coordinate or conduct inspections to maintain safe and healthful conditions, and address any deficiencies
that are identified.
h. Provide for health and safety training.

Guidelines for Use Involving Biohazardous Materials:
The Institutional Biosafety Committee (IBC) and Environmental Health and Safety (EHS) exist to ensure
compliance with regulations pertaining to the use of these materials. See University Policy SY24.
a. Submit any research or teaching involving the use of genetically modified materials (recombinant DNA);
infectious agents; human blood, tissues, or unpreserved body fluids; Select Agents, or USDA regulated
agents to the Institutional Biosafety Committee for review and written approval prior to conducting the
activities.
b. Ensure all laboratory work areas have current and protocol appropriate inspections by Environmental
Health and Safety.
c. Ensure all research personnel are properly trained and supervised for handling biologic and chemical
materials to which they may be exposed.
d. Dispose of all biological hazards and chemical materials according to established regulations.
e. Conduct all research activities in accordance with relevant University polices, federal regulations, and state
laws.
Guidelines for Use of Radioactive Materials:
The University Isotope Committee (UIC) and Environmental Health and Safety (EHS) exist to ensure compliance
with radiation rules and procedures. See University Policy SY14.
a. Obtain written authorization from the University Isotope Committee prior to beginning research utilizing
radioactive materials.
b. Acquire all radioactive research materials through Environmental Health and Safety.
c. Ensure the proper containment of radioactive materials being utilized in work areas.
d. Ensure all research associates and technicians working with radioactive materials are properly trained by
EHS.
e. Immediately report radioactive material spills or exposure to the environment.
f. Dispose of all radioactive materials according to established regulations.
g. Conduct all research activities in accordance with all relevant University policies, federal regulations, and
state laws.
Guidelines for Use of Radiation-Producing Equipment:
The use of radiation-producing equipment such as x-rays poses a potential serious hazard to those individuals
exposed. It is also regulated by federal and state agencies. See Policy SY15.
a. Consult with EHS as early as possible prior to ordering or installing any radiation-producing equipment.
b. Arrange to have newly installed systems inspected by EHS for required labeling, safety devices, radiation
levels, and evaluation of the system location to assure user and non-user safety.
36
c. Prepare written operating procedures for the use of all radiation-producing instruments and review them
with the user(s).
d. Inform EHS prior to the transfer of the equipment or when a system is permanently removed from service
and is to be either disposed of or used for parts.
e. Contact EHS for guidance on proper disposal.
CONCLUDING STATEMENT:
The responsible conduct of research is essential for promoting public trust in research and in the University. The
University expects that all research and other scholarly activities be conducted according to the highest ethical
standards and guidelines. The personal and institutional consequences associated with unethical conduct can be
significant. The risks of non-adherence to the guidelines stated here can include fines, loss of privileges to conduct
particular types of research, loss of funding or the inability to apply for certain types of funding in the future,
damaged reputation, disbarment from a federal agency, and dismissal from the University. As is stated in Policy
RA10, the University will take all necessary actions to ensure the integrity of research and scholarly work.
Effective Date: December 3, 2003

Date Approved: December 1, 2003
Date Published: December 2, 2003
37

Architectural Engineering Graduate Student Handbook: August 2010

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Architectural Engineering Graduate Student Handbook: August 2010

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Architectural Engineering

Graduate Student Handbook

Linda M. Hanagan, Ph.D., P.E.

Deborah Sam, Graduate Student Secretary

Appendix B: Penn State Guidelines for the

The thesis will be reviewed by each member of the

The final archival copy of the thesis (incorporating any

As a courtesy, most students also present their advisor

2.9 THESIS GUIDE

2.10 MASTER OF SCIENCE CHECKLIST

4.3 ENGLISH COMPETENCY

i. Oral Language Skills 4.3.7 Summary of English Proficiency Testing

Other Meetings 2) have spent at least two semesters in a twelve-month

4. 6 BREADTH REQUIREMENT 3) have completed the department’s Ph.D. program

As a courtesy, most students also present their advisor

4.12 OTHER REQUIREMENTS

4.13 TIME LIMITATIONS AND SCHEDULE

A student is required to complete his/her program

Forms and Degree Checklists

From: ____________________________________ Date :________________

Professor _________________________________________ has agreed to serve as my advisor.

PART 1. PROPOSED TOPIC OF THE M.S. THESIS: _______________________________________________

__________________________________________________. When the topic has matured, a thesis proposal must

PART 2. PROPOSED COURSE OF STUDY.

COURSE NO. COURSE TITLE SEM CREDITS

1. ______________ ___________________________ ________ ___________

2) The experimental equipment is

____________ ____________________________ __________________________________

Approved for completeness: __________________________________ ____________

Proposed Thesis Topic: ________________________________________________________

__________________ _____________________________________ _____________

________________ _________________________________ ___________

__________________ _____________________________________ _____________

__________________ _____________________________________ _____________

__________________ _____________________________________ _____________

__________________ _____________________________________ _____________

Received by: ___________________________________________________ ____________

From: ____________________________________ Date :________________

Area of Emphasis (circle one): Construction Illumination Mechanical Structural

PROPOSED PROGRAM OF STUDY:

SEMESTER* COURSE NO. COURSE TITLE CREDITS SUBST. FOR

________ ___________ __________________________ ________ ____________

Reasons for Substitutions:

This course of study is approved by:

Approved for completeness: ____________________________________________

MASTER OF ENGINEERING PAPER PROPOSAL FORM

Semester Scheduling AE 596: ______________

Paper Title: ______________________________________________________________

Description of the Work:

______________________ _____________________________________ _____________

Graduate Program Officer: _____________________________________ _____________

MASTER OF ENGINEERING PAPER APPROVAL FORM

Paper Title: ______________________________________________________________

______________________ _____________________________________ _____________

Accepted: Yes _____ No _____

Graduate Program Officer: _____________________________________ _____________

Proposed Dissertation Topic: ________________________________________________________

__________________ _____________________________________ _____________

________________ _________________________________ ____________

From: ____________________ Date :

1. ___ _

__________________

Approved for completeness: ______________________

_______ _

_______ _

_______ _

_______ _

_______ _

_______ _

Received by: _______________________________________

From: ____________________ Date :

__ _ __________

___ _

Graduate Program Officer: _________________________ _

___ _

Accepted: Yes _ No _

Graduate Program Officer: _________________________ _

_______ _

_____

_______ _

_______ _

_______ _

_______ _

Received by: _______________________________________

_______ _

_______ _

_______ _

_______ _

_______ _

Submitted to: ________________________ _

Student Name: ___________________ Student #: _

Semester Scheduling AE 596: __ Number of Credits: _

___ _

Graduate Program Officer: _________________________ _