Option guidelines

2012-07-25T18:12:10Z

Slivings: correct two misprints.

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This document describes the requirements for obtaining a degree in
Control and Dynamical Systems at Caltech. It is intended to
complement the Caltech Catalog by giving additional information about
option regulations and standard procedures.

There are three examinations which are required to obtain a Ph.D. in
CDS. The first is the Qualifying Exam, given in the first year
of study and intended to evaluate the student's expertise in
mathematics, control, and dynamical systems. This exam is
administered at the beginning of the second term and may be retaken in
the third term of necessary. The Candidacy Exam is given in the
second year and is used to evaluate a student's research abilities.
Upon passing this exam, the student is admitted to candidacy, the
first step in obtaining a PhD. The final exam is the Ph.D.
examination (or thesis defense) and is given after completion of
the Ph.D. dissertation.

A rough outline of the typical schedule for the first two years of
study in CDS is the following:
* Year One
** Complete CDS required courses (101, 102, 112, 140) + focus requirement
** Take and pass the CDS Qualifying Exam
** Find a research advisor
* Year Two
** Complete additional coursework in CDS (45 units total)
** Take and pass the CDS Candidacy Exam
** Advance to Candidacy for the Ph.D.
Note that most students will begin doing research in the summer of
their first year in residency, in preparation for the Candidacy Exam.
It is therefore essential that students find a research advisor no
later than the end of third term and select an initial research
project to form the basis of the Candidacy Exam.

The remainder of this document contains detailed descriptions of the
requirements and procedures for completing the Ph.D. program in CDS.
If you have any questions, you should consult your advisor or the CDS
Option Representative.

== The Ph.D. Program ==

=== Aims and Scope ===

The Control and Dynamical Systems (CDS) option is open to students
with an undergraduate degree in engineering, mathematics, or
science. The qualifications of each applicant will be considered
individually, and, after being enrolled, the student will arrange his
or her program in consultation with a member of the faculty. In some
cases the student may be required to make up undergraduate
deficiencies in engineering science courses.

The CDS option emphasizes the interdisciplinary nature of modern
theory of dynamical systems and control. The curriculum is designed to
promote a broad knowledge of mathematical and experimental techniques
in dynamical systems theory and control. In addition to taking courses
in the CDS option, students must select a focus area (see below).

=== Coursework ===

Upon admission each student will be assigned an adviser in the option
and a committee of three members, chaired by the adviser, which will
approve the initial course of study by the student. Each prospective
Ph.D. student will meet with their advisor to evaluate the student's
background, relative to that expected at the Ph.D. level, in the areas
of mathematics, control, and dynamical systems. The chief intention
of these consultations is to set up a course program for the first
year of study. The adviser will be replaced by a research adviser
when the direction of specialization is determined, not later than the
beginning of the second year.

The following course requirements must be satisfied in order to obtain
a Ph.D. in Control and Dynamical Systems:
* Complete the following required courses: AM/EE 116, CDS 140, CDS 201, CDS 202;

* Complete the focus requirement, consisting of at least 27 units in a particular area outside of CDS. Courses taken to satisfy the focus must represent a coherent program of advanced study in the chosen area. Possible areas include computer science, fluid mechanics, robotics, networking, biology, economics, information theory, circuit theory or other similar areas. The program of study must be approved by the option representative on behalf of the CDS faculty.

* Complete an additional 45 units in CDS or other advanced courses in dynamical systems and/or mathematics;

The student's counseling committee will be the judge of the completion of
the focus requirement, necessary before the candidacy examination.

=== Oral Qualifying Exam ===

Each student is required to take a subject oral qualifying examination
at the beginning of the second quarter in residence, the purpose of
which is to examine expertise in mathematics, control, and dynamical
systems. The exam covers the material taught in the first term of CDS
classes (typically ACM/EE 116, CDS 201 and CDS 110a/212). Students may
petition the faculty to replace one of these areas with an outside
area. Petitions are due no later than the last day of classes of the
term preceding the exam.

Three types of decisions will be possible: ''pass'', ''conditional pass'', ''fail''. A student with a ''pass'' or ''conditional pass'' is permitted to begin his or her Ph.D. research. However, a student with a ''conditional pass'' will usually be required to satisfy some additional requirements, such as successful completion of specified coursework. Students who fail the oral subject exam may be permitted to repeat the exam (or part of the exam)
once in the spring term, but this will occur only upon recommendation of the examination committee.

The format of the oral qualifying exam is described in the [[#CDS Qualifying Exam Procedures|qualifying exam section]] below.

=== Research Advisor ===

Once students have passed the candidacy exam, they should begin to identify potential advisors for their research. CDS students are encouraged to talk with faculty across Caltech who are working in areas of research related to their interests. Students are responsible for finding a faculty member who agrees to supervise their research no later than the end of third term of the first year. If a student is not able to identify a faculty member who is able to serve as they research advisor, he or she should contact the CDS option representative as soon as possible.

=== Candidacy Exam ===

Prior to admission to candidacy for the Ph.D. degree, a student is
required to pass the candidacy examination. This exam consists of two
parts: a research progress report and an oral examination
based primarily upon the content of the report. A student who fails
to pass the candidacy exam according to the timetable and procedures
described below will not be permitted to register in any
subsequent terms, except for the purpose of completing work toward the
M.S. degree, and then only with the permission of the option
representative and the research advisor.

The research progress report required for admission to candidacy should
be submitted to the faculty before the end of the second term of
the second year in residence. The report is to be based upon the
Ph.D. research project and is expected to exhibit a professional
quality of exposition. As a guide, the report should outline the
research problem, the progress of the student at the time of writing,
and the areas proposed for future study. It is also important that
the report provide clear evidence of the student's understanding of
the motivation for the research problem and its relevance to the
general research area, as well as an appreciation of relevant
techniques and methodology. The student should strive for a precise
and concise format. Normally, the text itself should not exceed 20
pages.

The research progress report will be approved based upon the
recommendation of an oral examination committee; the committee will
consist of no less than three faculty members, including the research
advisor and at least one additional member of the CDS faculty. The
choice of the oral exam committee will be made by the student and his
or her research advisor, and must be approved by the Option
Representative. It is the responsibility of the student to obtain
approval from each proposed committee member for the time and date of
the oral exam. The list of the recommended exam committee members
must be submitted at the same time as the research progress report,
and the exam is normally scheduled within one month of submitting the
report. The exam committee may require revision of the report, and
possibly a reexamination.

See the [[#Procedures for Advancement to Candidacy|candidacy proceedures section]] below for more details on the procedure for
advancement to candidacy.

=== Appointment of Thesis Review Committee ===

After a student passes the second-year candidacy exam, a faculty
committee known as the thesis review committee should be
established to review periodically the student's progress. This
committee will serve not only as overseers of research progress during
the student's Ph.D. residency, but will also contribute to the
intellectual development of the student through sustained interaction.
Each student should endeavor to form the committee as soon as possible
after passing the candidacy exam, but no later than one month prior to
the beginning of the third year in residence. This committee should
meet with the student before fall registration each year, either as a
group or individually, to review progress, suggest improvements in
research etc. It is the students responsibility to organize this committee and seek its periodic input.

=== Final Thesis and Oral Exam ===

As a final step in the Ph.D. program, the student is required to
submit a satisfactory thesis and pass a final oral examination. This
exam will be preceded by a seminar which will be open to the general
public. The [[#Ph.D. Examination Procedures|PhD procedures section]] below describes the procedures in
detail.

== CDS Qualifying Exam Procedures ==

=== Format and Content of the Exam ===

Each student is required to take a subject oral qualifying examination
at the beginning of the second quarter in residence, the purpose of
which is to examine expertise in mathematics, control and dynamical
systems. The exam covers the material taught in the first term of CDS
classes (typically ACM/EE 116, CDS 201 and CDS 110/212). Students may
petition the faculty to replace one of these areas with an outside
area. Petitions are due no later than the last day of classes of the
term preceding the exam.

Two and one-half (2-1/2) hours are allotted to the exam. During the
first 90 minutes you will be given a written copy of the exam
questions, and will have the opportunity to prepare your answers;
during the second 60 minutes you will answer the questions orally at
the direction of the committee. While preparing your answers, you are
not allowed to consult references of any kind. All information that
we do not expect you to know (or be able to derive) will be supplied
as part of the question. You should strive to present your answers in
a concise and incisive manner. Due to scheduling, we will not be able
to extend the answer period beyond 60 minutes.

To determine potential subject matter, you should feel free to discuss
relevant references, etc. with members of the faculty; however, do not
expect the questions to be derived from any specific reference. Also,
do not expect (or ask for) information about the nature or topics of
the questions themselves.

=== Exam Scheduling ===

The Qualifying Exam will take place at the beginning of the second
term in residence. All first-year CDS students will receive a
scheduling form at the end of first term, which must be filled out and
returned to the Option Administrator no later than the end of first term
(i.e., the last day of finals). Petitions to replace one of the
standard subject areas with an outside subject area must be submitted
no later than the last day of classes of first term.

The schedule for exams will be available by the beginning of the first week
of classes in second term, and exams will normally be scheduled at the end of the first week or
beginning of the second week of the term. The results of the exam
will be announced after all students have completed of the exam. Upon
recommendation of the examining committee, students who fail the exam
will be given one additional opportunity to take the exam, typically
at the beginning of spring term.

== Procedures for Advancement to Candidacy ==

=== Requirements for Candidacy ===

To be recommended for candidacy for the doctorate degree, the
applicant, in addition to demonstrating understanding and knowledge of
fundamentals at the first-year Qualifying Examination, must give
satisfactory evidence of ability to carry out research in his or her
primary field of interest. Hence, the applicant must submit and have
approved a written Research Progress Report. In most cases, approval
of the written report will be based on a satisfactory oral defense of
its contents. CDS students are expected to take and complete the Candidacy Examination by the end of their second academic year at Caltech.
A student who fails to satisfy the requirements of the
Division for candidacy by the end of the third term of the third year
in residence at the California Institute of Technology will not be
allowed to register in a subsequent academic year except by special
permission of the Division.

=== Procedures for scheduling and taking the exam ===
<ol>
<li>Select a tentative date (determined by the candidate and his or
her research advisor) and an examining committee of at least three
members. Check with the CDS Option Adminstrator to avoid time/place conflicts.
Then check with members of your committee to see that the date is
satisfactory. The committee must consist of at least two CDS faculty
members and must be approved by the Option Representative before the
exam is scheduled.</li>

<li>Obtain a ''Candidacy Form for the Degree of Doctor of
Philosophy'' from the CDS option administrator. Enter your name, major, and minor
(if you choose to have one) at the top of the Candidacy Form. If you
choose to pursue a minor, fill in Section II6; if you do not pursue a
minor, fill in Section II5 with the courses taken outside of CDS (see
below). Get proper approval signatures and return the form to the CDS
Secretary.</li>

<li>Prepare four copies of your Research Progress Report and deliver a
copy to each of your committee members no later than ''two weeks'' prior
to your examination.

This report should describe concisely the present state-of-the-art of
your research topic, your progress to date, your proposed research,
and the nature of the contribution which you expect to make in the
general problem area. All of this should not exceed ''twenty pages'' (excluding bibliography and using a standard 11 point report format with at least 1 inch margins). </li>

<li>When the Research Progress Report is satisfactory, the members
of the examining committee will sign the Candidacy Form. All forms
should be returned to the CDS option administrator
after the examination. You must fill out information in
Section II, and take it to the Registrar's Office for signature, and
then to the Option Representative for completion of Section V. Then
obtain the Division Chair's signature and take the form to the
Graduate Office for your file there. You will be notified later by
the Dean of Graduate Studies that you have been admitted to Candidacy
for the Degree of Doctor of Philosophy.</li>
</ol>

== Ph.D. Examination Procedures ==

The final Ph.D. exam will consist of a defense of the candidate's
thesis research. In addition to the formal exam, each candidate is
required to present a seminar (open to the public) on his or her work;
this seminar will be scheduled in the Caltech Calendar as a regular
CDS Seminar. The exam and seminar must be held at least two weeks
before the degree is conferred.

=== Procedures for Processing Necessary Forms ===

<ol>
<li>At least ''three weeks'' prior to the exam date, obtain the
following forms from the Graduate Office:
<ul>
<li>Petition for Exam</li>
<li>Application for Approval of Thesis</li>
</ul>
The date of the Ph.D. exam and the committee members will be
determined by you and your research advisor and must be approved by
the Option Representative. Check with members of your committee for
agreement on the date and time of the exam. Once a definite date and
committee are set, the CDS Secretary will send a confirming memo to
the committee members.</li>

<li>Fill out and sign the top portion of the ''Application for Approval of Thesis''.</li>

<li>Complete the first page of the ''Petition for Exam''; have the
Registrar complete and sign Part I of page 2. Complete Part II of
page 2, obtain the Divisional Chair's signature, and deliver the
form to the Graduate Office. The Petition will remain there until
just before your exam when you should return it to the CDS option administrator.</li>
</ol>

=== Procedures for Submitting the Ph.D. Thesis ===

<ol>
<li>''At least two weeks prior to your exam'', supply each member (four are
needed, one of whom can be a qualified Ph.D. from off-campus) of your
committee with a copy of your thesis. The Petition and Approval of
Thesis forms will not be signed at the time of the exam unless the
thesis requires no changes. If corrections or revisions are required,
it is your responsibility to:
<ul>
<li>make the necessary corrections or revisions;</li>
<li>submit the revised thesis to members of your examining committee; and</li>
<li>secure committee signatures on the Petition of Approval of
Thesis forms after the acceptance of the corrections or revisions.</li>
</ul>
</li>

<li>Submit one copy of your thesis to the Graduate Office for
proofreading. This should be done at the same time the thesis is
submitted to your committee members. (If corrections or revisions are
required, the thesis must be proofread a second time.) You will be
notified as soon as the proofreading is complete (usually a couple of
days).
</li>

<li>After the exam is passed in all respects and the committee has signed
both the Petition and Approval of Thesis forms, obtain the signature
of the Option Representative of your subject minor, if appropriate,
and return the form to the Graduate Office.
</li>

<li>Submit ''two corrected copies'' of the thesis to the Graduate
Office: one copy must be on Perma-Life or Old Council Tree bond paper,
reproduced from the original; the other copy may be regular Xerox
paper (see Graphic Arts for further information). Submit these copies
in a brown envelope labeled as follows: your name, Ph.D.; Control and
Dynamical Systems; year. Also submit two extra title pages and two
extra abstracts.
</li>
</ol>

To assist you in preparing for your final Ph.D. Examination, you
should obtain the following publications from the Graduate Office:
<ul>
<li>"Preparation of Doctoral Dissertations" and</li>
<li>"Ph.D. Examination Procedures"</li>
</ul>

== Transferring into CDS from Another Option ==

Students wishing to switch into CDS from another option must do so
before the end of their second year of residence at Caltech. Students
must satisfy all option course requirements and must pass the
candidacy exam in order to be officially admitted into the CDS
Ph.D. program. In addition, the student is expected to take the CDS
qualifying exam no later than the first year of study after
transferring into the CDS option.

The procedure for switching into CDS is as follows:
<ol>
<li>The student should submit a written request to the Option Representative to consider admission into the CDS option. Under normal circumstances, this request must be received no later than the admissions deadline for incoming graduate students (December 15).</li>

<li>The Admissions Committee will consider applications for transfer using the same criteria as outside admission into the CDS program. Transfer students will be notified of admission by the usual admissions response deadline (March 15). </li>

<li>Transfer students who are admitted into CDS must accept or decline admission no later than the usual admissions deadline (April 15). If admitted, the student may either transfer immediately or defer admission until the beginning of the academic year.</li>

<li>Financial aid for transfer students will be described in the letter of admission. Aid is not usually available until the beginning of the next academic year.</li>
</ol>

== The M.S. Program ==

Students will be admitted to the option who expect to pursue
the Ph.D. degree. The master's degree may be awarded in exceptional
cases. The awarding of this degree requires fulfilling the Institute
requirements for a master's degree, satisfying the engineering focus
requirements, and receiving a recommendation for awarding of the
degree from the counseling committee.

The M.S. program, unlike the Ph.D., is based primarily upon the
successful completion of coursework. This coursework must include at
least 135 units in order to satisfy Institute requirements, with the
following core courses:
<center>
{|
|-
| ACM/EE 116, CDS 140a, 201, 202 ||   || 36 units
|-
| Additional Advanced Courses in CDS ||   || 36 units
|-
|| Engineering Electives (focus area) ||   || 27 units
|-
|| General Electives ||   || 36 units
|}
</center>
The 36 units of general electives should include mathematics, science
and engineering subjects or research, but may be, with special
permission, humanities and social sciences.

All M.S. students are required to submit candidacy forms to the
Institute for approval of the proposed course of study for the
M.S. degree. The M.S. candidacy form must be submitted by midterm
(approximately mid-November) of the first term of the year when the
degree is expected. These forms can be obtained at the Institute
Graduate Office.

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