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100805

Requirements for the Doctoral Degree, PhD

Type: University Requirements
Effective Date: 6/16/2021

POLICY SUMMARY

The policy provides guidance on the following aspects of the PhD Doctoral Degree, including definitions related to:

1. General degree requirements;
2. Requirements for a student to obtain a PhD at NAU: 

  • academic requirements; 
  • professional development requirements; 
  • application and admission/designation requirements; 
  • dissertation requirements; 
  • time parameters to complete the degree

3. Doctoral pathways and the master’s degree

REASON FOR THIS POLICY

The policy guides students, faculty, staff, and administrators in the development and provision of doctoral degrees at the university.

ENTITIES AFFECTED BY THIS POLICY

  • Curriculum and Assessment Office
  • Graduate Advisors
  • Graduate College
  • Graduate Deans
  • Faculty
  • IRA
  • Office of the Registrar

WHO SHOULD KNOW THIS POLICY

  • Curriculum and Assessment Office
  • Graduate Advisors
  • Graduate College
  • Graduate Deans 
  • Faculty
  • IRA
  • Office of the Registrar
  • Students

SOURCES

ABOR Policy

DEFINITIONS

candidacy: a period in a doctoral student’s studies when they are deemed ready to undertake independent and original research resulting in a dissertation after meeting certain academic milestones
dissertation: a document presenting a student's original research and findings submitted as part of academic requirements for a doctoral degree 
Master's Fall Back: a master's degree earned by a student who was originally pursuing a doctoral degree but who no longer wishes to continue the doctoral degree and would instead leave the university with a master's degree after fulfilling the requirements to obtain the master’s degree
Master's-in-Passing: a master's degree earned by a student in route to the doctoral degree after fulfilling the requirements to obtain the master’s degree
thesis: a document presenting a student's research and findings submitted as part of degree requirements for a master's degree

POLICY

The following general requirements pertain to all students pursuing the Doctor of Philosophy (PhD) degree. Additional program and discipline-specific requirements not addressed by this policy may be found in the program/department/school graduate handbook as well as the Academic Catalog. 

1. General Degree Requirements – Doctor of Philosophy (PhD)

Doctoral degrees at NAU require the successful completion of a minimum of 60 units in a course of study; however, many degrees require more units for completion of the degree. In addition to coursework, all doctoral degrees require their graduate students to engage in extensive and rigorous research, scholarship, practicum, and/or clinical experiences and to prove a high level of competency in their field. NAU requires at least six full-time semesters beyond the bachelor’s degree to complete the Doctor of Philosophy degree.

 
2. The following requirements must be fulfilled for a student to graduate with a PhD degree:

2.A. Academic Requirements

Students must complete all courses in an approved Program of Study (POS) totaling the number of units specified for the program and meet all academic requirements and standards set by the academic unit for the doctoral program. The POS must be approved by the student’s major advisor and other appropriate academic unit administrators designated by the program. 

All graduate students must adhere to the academic requirements and criteria outlined by their program, the Graduate College, and NAU. See NAU Policy 100319: Academic Continuation, Probation, Dismissal, and Readmission - Graduate for more detailed information. 

Graduate students must, at a minimum, meet the “Academic Requirements for Continuation in a Graduate Program” found in NAU Policy 100319: Academic Continuation, Probation, Dismissal, and Readmission - Graduate, in order to graduate. To begin the graduation process, please see NAU Policy 100334: Applying for Graduation, Graduate Students. 


2.B. Professional Development Requirement

NAU’s professional development requirement provides doctoral students the benefit and opportunity to engage in and contribute to the full spectrum of educational and professional opportunities provided by faculty and other students within their program and across the university. The Graduate College and the University Graduate Committee concur that the doctoral professional development requirement at NAU may be met in a variety of ways, some of which fit the ethos of a particular discipline or type of cohort engaged in a particular program. 

When considering appropriate standards for professional development, graduate program faculty are expected to encourage, design, provide, and monitor the professional development activities in which their doctoral students acquire the knowledge, skills, attitudes, and values appropriate to their discipline. These activities extend beyond the required coursework and may include, but are not limited to: attending and presenting at professional conferences; participation and active engagement in presentations of scholarly work, seminars, and events; assisting and engaging in various funding efforts to support research, scholarship, and creative work; and active participation in professional development opportunities offered by programs and the Graduate College. 

A minimum of 1 unit of credit or 45 clock hours (see Academic Credit Policy) of professional development activities is required between matriculation in the program and admission to candidacy.

Graduate program faculty have the responsibility of identifying and approving how the specific professional development requirement for their program will be met, in consultation with the dean of the Graduate College. Details regarding each program’s professional development requirement are listed on the program of study, and documentation of the completion of the professional development requirement is submitted with the candidacy application.


2.C. Application and Admission/Designation

Admission to candidacy indicates that a doctoral student has a significant knowledge of the field and the specialty; knows how to use academic resources; has the potential to do original and independent research, scholarship, or creative work; and will likely complete the dissertation. 

Students must apply for candidacy using the Candidacy Application for Doctoral Degree available on the Graduate College website. The Dean of the Graduate College approves and designates the advancement to candidacy upon the completion of certain academic milestones administered and evaluated by the faculty of the program.
Before applying for candidacy, students must satisfy and supply proof to the Graduate College of the following requirements:

  • Approval and assignment of the dissertation committee by the Graduate College Dean;
  • Finalization of an approved Program of Study (approved by student’s dissertation and/or graduate committee);
  • Professional development requirement is met;
  • Completion of all coursework required for the degree and noted in the program of study except the dissertation; 
    • Students must remove any course deficiencies specified by the committee.
  • Demonstration of: 
    • a reading competence in one foreign language, in an exam administered by the Department of Global Languages & Cultures; or 
    • a research skill or competency for the program approved by the program faculty and the University Graduate Committee.
  • Submission of an approved dissertation prospectus page approved by their dissertation committee;
  • Successful completion of a comprehensive written and oral exam administered by the department/program; 
    • Ordinarily, students take the comprehensive written exam no less than six months before the final oral exam (dissertation defense). 

After the application for candidacy has been approved, the student will be notified by the Graduate College. If admission to doctoral candidacy is not approved, the student may be placed on academic probation and will be required to meet with their dissertation committee to discuss possible options. 

2.D. Dissertation

PhD students are required to write a dissertation on a topic related to their research and major emphasis area, which must be approved by the student's dissertation committee. A minimum of 15 dissertation units (799) may be applied toward a PhD degree. Please be aware that some programs allow fewer units to be applied toward the PhD. However, the student will likely take units above the minimum due to, but not limited to: the nature of the research, the writing process, or continuous enrollment requirements. The student must pass the dissertation defense (final oral exam) in the dissertation’s area of research. This exam is administered by a student’s dissertation committee. 

2.E. Time Parameters to Complete Degree

Students who are admitted to a PhD program with an earned master's degree have eight years to complete all requirements for the doctoral degree. The eight-year window starts with the first semester of doctoral study at Northern Arizona University. If students do not complete the degree in eight years, they may petition the Graduate College for one extension of this time limit.

Students who start the PhD program with a bachelor's degree have ten years to complete all requirements for the doctoral degree. 

3. Doctoral Pathways and the Master’s Degree

Master's Fall Back

If desired, at the creation of the doctoral degree or for an existing doctoral program, program faculty may select a pathway for a Master's Fall-Back option. This option exists in the event that students who are originally pursuing a PhD no longer wish to continue pursuing the doctoral degree and would instead leave the university with a master's degree after fulfilling the requirements to obtain the master’s degree. The master's degree would have the same title as the PhD, per ABOR policy 2-221. 

There are 2 options:

Option 1 – “Stand-Alone” Master’s Degree

A “stand-alone” master’s degree is a master’s degree that is presented in the catalog and advertised, wherein students may be admitted to, enroll in, and complete the master’s degree independently of the PhD. The “stand-alone” master’s degree requirements align with the requirements of the associated PhD and must carry the same name of the PhD (per ABOR policy 2-221).  Due to the similarity in requirements of the “stand-alone” master’s degree and the PhD, current doctoral students who have met the master's degree requirements may be eligible to obtain such a degree as a fall back to the doctoral degree.

 Option 2 – “Master’s Fall Back” Master's Degree

A “Master’s Fall Back” is a master’s degree that is not presented in the catalog or advertised.  Students may not be admitted to or enroll in the master’s degree independently of the PhD.  This degree would not need additional approval from ABOR for creation, as it fulfills the ABOR policy 2-221 E: An institution may confer, on an individual basis, a master’s degree in any subject matter area in which it has an approved PhD degree program. The master’s degree will carry the same title as that of the PhD program. 

Nevertheless, all internal processes from the Office of Curriculum and Assessment would need to be followed in the creation of this degree, and program faculty will create the program of study and identify all master’s program requirements specific to the program of study.

Students may request this change to their record by submitting an approved Program Change Request Form to University Admissions (for non-international students) or to the Center for International Education (for international students) to make the necessary system changes. The student's academic advisor or faculty mentor is responsible for determining whether all degree requirements for the master’s degree have been met, as indicated on the program of study. See Procedures below.

Master's-In-Passing

If desired, at the creation of the doctoral degree, program faculty may select a pathway for doctoral students to obtain a master's degree in route to the doctoral degree.

There are 2 options:

Option 1 – “Stand-Alone” Master’s Degree

A “Stand-Alone” master’s degree is a master’s degree that is presented in the catalog and advertised, wherein students may be admitted to, enroll and complete the master’s degree independently of the PhD. The “stand-alone” master’s degree requirements align with the requirements of the associated PhD and must carry the same name of the PhD. Due to the similarity in requirements of the “stand-alone” master’s degree and the PhD, current doctoral students who have met the master's degree requirements may be eligible to obtain such a degree in route to the doctoral degree.

 Option 2 – “Master’s-In-Passing” Master's Degree

A “Master’s-In-Passing” is a master’s degree that is not presented in the catalog or advertised.  Students may not be admitted to or enroll in the master’s degree independently of the PhD.  This degree would not need additional approval from ABOR for creation, as it fulfills the ABOR policy 2-221 E: An institution may confer, on an individual basis, a master’s degree in any subject matter area in which it has an approved PhD degree program. The master’s degree will carry the same title as that of the PhD program. 

Nevertheless, all internal processes from the Office of Curriculum and Assessment would need to be followed in the creation of this degree, and program faculty will create the program of study and identify all master’s program requirements specific to the program of study.

Program faculty may create the Master's-In-Passing degree with one of two alternatives:

Alternative 1 for “Master’s-In-Passing”: Automatic Provision as part of the PhD
Plans fulfilling this alternative would provide receipt of the master’s degree upon the completion of master's degree requirements. In the term that students fulfill the master's degree requirements, they would receive the master’s degree, and the degree would be noted on the transcript. A graduation application and payment of associated graduation application fees are required. See Procedures below.

Alternative 2 for “Master’s-In-Passing”: Provision Upon Request of Student
Plans fulfilling this alternative would provide receipt of the master’s degree upon request of the students if they have fulfilled the specific master's degree requirements. A graduation application and payment of associated graduation application fees are required. See Procedures below.

The student's academic advisor or faculty mentor is responsible for determining whether all degree requirements for the master’s degree have been met, as indicated on the program of study. If the student has satisfactorily completed their doctoral comprehensive exams, the academic unit may choose to waive the master’s level comprehensive exams, if part of the master’s degree requirements.

Dissertation (799) credit may not be used to fulfill master’s degree requirements. If a thesis is required for the master’s degree, the student is responsible for enrolling in the required amount of Thesis (699) credut for the specific degree program.

Once the academic unit has confirmed the student's eligibility for the master's-in-passing degree, the student must submit an approved Master’s in Passing Request Form to University Admissions (for non-international students) or to the Center for International Education (for international students) to make the necessary system changes.

To be eligible for the above Doctoral Pathways that may result in a master’s degree, students must meet all university requirements (Policy 100811: Requirements for Master’s Degrees), be in good academic standing (Policy 100319: Academic Continuation, Probation, Dismissal, and Readmission), and have successfully completed all master’s degree requirements in the NAU Academic Catalog. For the master’s degree, students may use any catalog edition in effect from the term in which they were admitted to the doctoral program until the final graduation term, with departmental approval.
 

RESPONSIBILITIES

Academic Requirements

Program faculty are responsible for creating and updating graduate programs, courses, and requirements in line with discipline-specific standards and university policy; for approving updates to Programs of Study; and for approving completion of degree requirements.

The Graduate College is responsible for updating and maintaining Programs of Study, confirming academic requirements and criteria and adherence to continuous enrollment, confirming completion of degree requirements, and conferring degrees.

Office of Curriculum and Assessment is responsible for supporting program faculty in articulating and defining program and course curricula and student learning outcomes and in accurately publishing curricular requirements in the academic catalog.

Professional Development Requirement

Program faculty are responsible for identifying and approving how the specific professional development requirement for their program will be met, in consultation with the dean of the Graduate College.

Application and Admission/Designation

Academic advisor or faculty mentor verifies completion of academic milestones required to advance to candidacy.

Dean of the Graduate College approves and designates the advancement to candidacy upon the completion of certain academic milestones administered and evaluated by the faculty of the program.

The Graduate College confirms requirements for advancement to candidacy and uploads milestone documents to student's record.

Dissertation

Dissertation committee chair/members are responsible for guiding the student in the preparation of the dissertation and for the final oral exam (i.e., dissertation defense) and for confirming that the dissertation meets discipline-specific and university requirements.

The Graduate College is responsible for confirming that the dissertation and/or thesis (in the case of Master's in passing or Master's Fall Back students) follows university requirements.

Master’s-in-Passing and Master’s Fall Back

Academic advisor or faculty mentor is responsible for determining whether all degree requirements for the master’s degree have been met.

Office of Curriculum and Assessment is responsible for the Program Request process and the Curriculum Proposal process for the creation of a degree at NAU.

University Admissions (for non-international students) or the Center for International Education (for international students) make the necessary system changes to the student’s degree.

Procedure for Master’s-in-Passing: Automatic Provision as part of the PhD

  1. Program faculty approve the Master’s-in-Passing once the master's degree requirements are completed. International students will need to seek advising from International Student and Scholar Services (i.e., ISSS advising) before the form can be approved.
  2. Student will be required to submit a graduation application and pay any associated graduation application fees for the master’s degree.
  3. Master’s degree will be awarded during the normal graduation timeline.
  4. Student will continue pursuing the doctoral program as usual.

Procedure for Master’s-in-Passing: Provision upon Request of Student

  1. Student will complete a Master’s in Passing Request Form, requiring departmental approval. International students will need to seek ISSS advising before the form can be approved.
  2. Form will be submitted to either GradAdmissions@nau.edu or GradInternational@nau.edu. Respective parties will make the necessary changes in PeopleSoft to add the master’s program to the student’s record. Student and department will be notified via email once complete.
  3. Student will be required to submit a graduation application and pay any associated graduation application fees for the master’s degree.
  4. Master’s degree will be awarded during the normal graduation timeline.
  5. Student will continue pursuing the doctoral program as usual.

Procedure for Master’s Fall Back 

  1. Student will complete a Program Change Request Form, requiring departmental approval. International students will need to seek ISSS advising before the form can be approved.
  2. Form will be submitted to either GradAdmissions@nau.edu or GradInternational@nau.edu.  Respective parties will make the necessary updates in PeopleSoft to change the student's program to the master’s degree. Student and department will be notified via email once complete.
  3. Student will be required to submit a graduation application and pay any associated graduation application fees for the master's degree.
  4. Master’s degree will be awarded during the normal graduation timeline.

Admissions Operations

DOMESTIC STUDENTS: Completed form is sent to Graduate Admissions for processing (gradadmissions@nau.edu).

  • Admissions will add a new row (program stack) to the student’s record for the identified master’s degree. 
    • Add Application for the master’s degree using the current admit term
    • Matriculate the master’s program
    • Change Requirement Term (not admit term) to reflect the term in which the student began the PHD
    • Ensure that the Term Activation row points to the PHD for the entire student history
  • Once student is active in the master’s program, email student a confirmation that the change has been made on their account and that they should work with their academic unit to review master’s requirements and policy. Copy:
    • Student’s advisor and department chair (provided on form)
    • Graduate College (GradAdmissions@nau.edu) to not assign the matriculation fee
    • Graduation Coordinator to communicate any final steps for awarding the master’s degree (GradGraduation@nau.edu) 

INTERNATIONAL STUDENTS: Student will be instructed to speak with their ISSS advisor BEFORE submitting the form. A signature on the form is required to identify that the student consulted with ISSS. Completed form will be sent to the International Graduate Admissions Coordinator for processing (GradInternational@nau.edu).

  • International Graduate Admissions Coordinator will add a new row (program stack) to the student’s record for the identified master’s degree. 
    • Add Application for the master’s degree using the current admit term
    • Matriculate the master’s program
    • Change Requirement Term (not admit term) to reflect the term in which the student began the PHD
    • Ensure that the Term Activation row points to the PHD for the entire student history
  • Once student is active in the master’s program, email student a confirmation that the change has been made on their account and that they should work with their academic unit to review master’s requirements and policy Copy:
    • Student’s advisor and department chair (provided on form)
    • ISSS advisor 
    • Graduate College (GradCollegeOffice@nau.edu) to not assign the matriculation fee 
    • Graduation Coordinator to communicate any final steps for awarding the master’s degree (GradGraduation@nau.edu) 

RELATED INFORMATION

A doctoral student who has completed the academic milestones to advance to candidacy may complete the Candidacy Application.

A doctoral student requesting a Master’s-in-Passing may complete the Master’s-in-Passing Request Form.

A doctoral student requesting a Master's Fall Back may complete the Program Change Request Form.

Related policies:

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