Policies and Procedures Manual

Approved by the Management faculty October 26, 2002, for immediate implementation(Revisions and updates will be made and announced as needed)

Residency Requirements

The PhD program is a full-time, on-campus program. As a result, fulfilling the PhD program stipulates that all students fulfill the doctoral residency-year requirement as outlined by the Auburn University Graduate School. The residency-year requirement is satisfied by completing a minimum of 18 semester hours (nine of which must be graded) of graduate on-campus coursework during two consecutive semesters. Interruption of this two semester sequence by not taking courses during the summer semester does not constitute a break in continuity.

Contact Information

It is the student’s responsibility to provide an up-to-date email (if other than AU email) address, postal address and phone number to the Department of Management’s Graduate Officer’s office and your chair (curriculum or dissertation) throughout your PhD experience. Email is the official form of communication for Auburn University. Students are expected to check their email on a regular basis.

On-Campus Presence

A large part of the doctoral education experience is the interaction with peers and faculty members. This is a time to gain those relationships that will be beneficial in the years to come. It is strongly encouraged that students take advantage of these opportunities by keeping a presence on campus. Likewise, it is expected that doctoral students be present and participate in departmental research seminars and other departmental activities, including dissertation defenses, guest speakers, colloquia and other activities.

Transfer of Credit/Course Waivers

No more than nine credit hours may be transferred into the Auburn PhD program. All hours transferred must be approved in advance by the PhD committee.

Incomplete Coursework

A grade of incomplete in a graduate level class must be resolved per the directions of the instructor but no later than six months from the end of the semester in which the course was taken. This applies regardless of the student's enrollment status. A student not enrolled during the semester following the incomplete is not exempt from this rule. Pending removal or recording as an F, an incomplete is counted as a C in determining eligibility for continued enrollment. Failure to resolve an incomplete by the deadline established by the instructor or the six-month period, whichever is sooner, will result in assigning a grade of F and automatic dismissal from the program.

Graduate Teaching and Research Assistantships

Typically, all qualified full-time PhD students will be provided renewable financial support for four years through Graduate Assistantships (graduate teaching assistant or graduate research assistant). To be eligible to solely teach a course as a GTA, the student must have at least 18 hours of graduate coursework in the area. This means that individuals entering the PhD program without prior graduate work will not be eligible to teach a course by themselves or independently grade assignments until the beginning of their second year in the program. However, such students may be eligible to serve as a lab instructor and GRA.

In addition to earning a monthly stipend for the Fall and Spring semesters, PhD students also have their tuition waived as long as they are serving as either a GRA or GTA. Continuation of support will be based upon each student’s acceptable performance and progress in the program. This will be determined at the time of the annual evaluation. Students must seek permission from the department head to add other paid assignments to their Departmental GTA or GRA assignment. No cumulative total award can exceed 50%. Summer support is not guaranteed. AU does not waive your tuition for summer unless you are on payroll. However, it is waived if the student served as a GTA/GRA for the prior Fall and Spring semesters.

An orientation is held the week prior to the beginning of Fall semester. Additionally, all graduate students are encouraged to take advantage of the programs offered in the Biggio Teaching Center located in Haley Center. We would like to see our students enroll in at the very minimum two Biggio Center classes during their PhD experience. If a student receives low teaching evaluations, that student may be required to take additional Biggio classes.

PhD Program Structure

The program is a four-year, full-time program. The bulk of coursework is completed in the first two years. The third year is devoted to completing comprehensive exams and research projects and beginning the dissertation. The fourth year is dedicated to dissertation research. Students are permitted some flexibility in choosing their courses when designing their program of study with the approval of the PhD committee.

Statistics and Research Methodology Requirements

Management PhD Statistics and Research Methodology competencies are demonstrated through the successful completion of six methods/design courses:

• PSYC/STAT 7000 Foundations of Statistics or Equivalent
• MNGT 8400 Advanced Quantitative Methods I
• MNGT 8030 Research Design/Methods in Management

Two of the following three courses:

• PSYC 7270 Experiential Methods (ANOVA)
• ERMA 8340 SEM (or PSYC SEM/HLM equivalent)
• HDFS 8060/61 Multi-Level Methods

Statistics Elective (approved by PhD Coordinator or Management Department Chair)

• STAT 7010 Experimental Statistics II

Students are expected to obtain a grade of B or higher in these courses or may be required to repeat the class by the program committee. In addition to the six statistics classes, the Management concentration includes the following core classes (plus one potential elective class):

• MNGT 8310 Seminar in Advanced Organizational Behavior (Foundations of OB)
• MNGT 8320 Seminar in Strategic Management (Special topics in Strategy)
• MNGT 8330 Advanced Topics in Strategic Management (Foundations of Strategic Management)
• MNGT 7970 Special Topics in Organization Behavior
• MNGT 7970 Special Topics in Leadership
• MNGT 7970 Special Topics in Entrepreneurship

Dissertation Committee

Selection of a dissertation committee is a natural evolution of the program. The doctoral dissertation chair (or co-chair) must be a member of the Management Department and meet the criteria established by the department. In addition to the chair, the committee must be composed of at least three other members of the Level 2 Graduate Faculty at Auburn University. At most, only one non-AU faculty member can serve on the committee. The non-AU faculty member would serve as a fifth committee member.

Annual Evaluations of Student Progress

The Department of Management’s goal is for all students to successfully complete the PhD program in a timely manner and acquire the knowledge, skills and attitudes needed to assure their future success. Therefore, it is departmental policy to evaluate student performance after the Spring semester of each year. Student evaluations will include performance in coursework, teaching and research activities, meeting program deadlines, other scholarly activities and citizenship. The evaluation procedure is as follows. Students complete the department’s Annual Progress and Activity Report form and deliver it to their Doctoral Advisor and PhD coordinator by the day requested (typically 1–2 weeks after the end of the Spring semester).

A meeting of the core faculty in each concentration will be held to review all PhD students. Faculty Advisors will lead the discussion of their students’ progress and performance. Other faculty, such as statistics faculty, may attend the meetings and provide input. The status of each student’s progress will be determined and communicated in writing to the student. A copy of this progress report will be placed in the student’s permanent file. When students are not meeting PhD program requirements, recommendations for specific actions will be communicated to students, which will specify criteria for maintaining departmental support and program involvement.

The student’s major professor, in coordination with the PhD coordinator and the Department Chair, will be responsible for individual feedback to PhD students in both written and oral forms within a month of evaluation completion.

Comprehensive Doctoral Examination Policy

Objective

The primary objective of the Comprehensive Exam (“Comps”) is to determine if PhD students have adequate mastery of the subject matter in their chosen field (OB/HR or Strategy/Entrepreneurship) and Research Methods. The policy stated in this document follows the official guidelines for the required General Doctoral Examination Policy, established by the Graduate School (see Auburn University Graduate School Bulletin).

Pre-Comps Conditions

To become eligible to take comprehensive exams, doctoral students must meet two qualifying conditions. First, they must complete both their Management Department and overall coursework with a minimum 3.0 cumulative GPA. Second, each student must complete a second-year pre-comps empirical, qualifying paper. The paper must be read, evaluated and signed off on by a primary and secondary departmental faculty member of the student’s choice before the student is allowed to proceed to taking their comprehensive exams. This paper should represent a study design and execution of “publishable quality,” although the paper is not required to meet this standard to complete the qualifying requirement.

Written Exam Content and Format

The written exam is constructed by the members of the Management faculty under the leadership of the PhD coordinator. A new exam is developed for each administration. The written exam will consist of two components:

1. conceptual content of student’s chosen field of study (OB/HR or Strategy/Entrepreneurship)
2. research methods

The exam will take place over a two-day period during the summer of the student’s second year (typically late July). Day 1 will consist of questions related to the conceptual content of the student’s chosen field of study. The Day 2 exam will consist of questions related to Research Methods.

To aid preparation for the exam, students should obtain the most recent syllabi and associated reading lists of the pertinent doctoral seminars and review recent issues of the major journals in the field. Students should be mindful that this exam is comprehensive and thus is not designed to cover only material that has been specifically covered in their graduate courses.

Administration of Written Exam

The doctoral coordinator will manage the scheduling and administration of the written exam each year. The written exam will be offered during the summer of the student’s second year (typically late July). The exam days will not overlap with the regular academic semester. All candidates will be required to take the exam on the specified dates.

Students become eligible to take the exam after they have completed all required course work. Once students sit for the exam on the first day, any section not completed will be recorded as failed. If a serious crisis emerges for a student during this two-day period, the student may petition the faculty to take sections missed at a different date. Such events must be thoroughly documented and meet the Auburn University criteria for an excused absence. If a postponement is allowed, the new date should fall within two weeks of the absence. The makeup exam may consist of different questions than those taken by others during the regular examination period.

Grading of Written Exam

The grading process is run by the doctoral coordinator. All faculty with Graduate Faculty 1 status may be invited to grade questions that fall within their area(s) of expertise. Faculty who currently teach seminars and/or work with doctoral students are expected to grade questions that they feel competent to grade. Faculty evaluators will be blind to the name of the student(s) taking the examination. The grading scale for each question is as follows:

5 = Exemplary. Very complete, comprehensive and well-integrated answer. Consistently uses the appropriate professional terminology. Integrates and cites supporting literature through answer. Approaches questions and problems critically.

4 = Good. Displays very few gaps in knowledge and understanding of concepts and principles. Integrates and cites supporting literature in parts of answer.

3 = Adequate. Displays a few gaps in knowledge and understanding of concepts and principles. Missing a few key concepts and/or literature.

2 = Inadequate. Inconsistent in use of professional terminology. Makes small critical errors. Displays some gaps in knowledge and understanding of concepts and principles. Limited integration and citing of supporting literature.

1 = Poor. Displays large gaps in knowledge. Demonstrates very limited, no knowledge or erroneous knowledge of content area. Shows limited understanding of concepts and principles. Makes major and fatal critical errors; does not cite, mention or integrate supporting literature. Does not make use of professional terminology.

A minimum average score across all questions per section of 3.75 is required to pass that sections of the exam. If a student passes both sections, the student proceeds to oral comps and work on their dissertation proposal.

Any student who scores an average across all questions per section between 3.0 and 3.74 on a section is asked questions about his/her written exam answers for that section during his/her oral comprehensive exam in an effort to gather more data on his/her mastery of the content. Based on this data, a committee consisting of the doctoral coordinator and the faculty who graded the exam decide that this portion of the written exam has now been passed or failed.

If a grade of failure is given, the PhD committee will determine the next steps for a retake. Typically, a retake will be given approximately six months after the first examination. The PhD coordinator will communicate in writing to the student the date of the retake as well as detailed information regarding the inadequacies of the first examination. Failure on the second exam will result in dismissal from the program.

Oral Exam Format and Administration

When students successfully complete the written exam, an oral exam is administered. The faculty expects that the oral exam will be administered within 4 weeks of receiving feedback of the written exam. Thus, students are strongly encouraged to schedule the oral exam as soon as possible after the announcement of the written exam results. The oral exam is required by the Graduate School as part of the General Doctoral Examination Policy to complete the doctoral degree. Please note that the administration of the oral exam is contingent on successful performance on the written exam. Students are provided with their written test results as soon as the grading has been completed, typically within 3 weeks. The purpose of the oral exam is to provide members of faculty an opportunity to assess a student’s mastery of the two content areas by asking additional questions about those areas and to help the student plan his/her dissertation (assuming the oral exam is passed).Grading of oral exam performance is on a Pass/Fail basis.

Entering PhD Candidacy

Successfully passing comprehensive examinations allows PhD students to begin the development of their Dissertation Proposal. A Dissertation is intended to be original research, which contributes to the body on knowledge in the field of study.

By the time the student completes the required PhD coursework, he/she should be focused on the intended dissertation topic. The student should also be working to establish a Dissertation Committee. The doctoral dissertation chair (and co-chair, if applicable) must be a member of the Management Department and meet the criteria established by the department. In addition to the chair, the committee must be composed of at least three other members of the Level 2 Graduate Faculty at Auburn University. At most, only one non-AU faculty member can serve on the committee. The non-AU faculty member would serve as a fifth committee member.

The Dissertation Proposal typically requires the student to complete the first three chapters of a dissertation (introduction, literature review and methodology chapters). It includes a statement of justification for the research, explaining the need and importance of the research topic. It includes an extensive literature review, which provides the conceptual understanding and focus for the research. Finally, it includes a description of the research methodology to be used to carry out the research. In most cases, students will have developed a “proof of concept” for the research by having conducted a pilot research project as part of their manuscript development process. Having sample data and preliminary analysis of the concept allows the student to show the viability of the research project.

After the Dissertation Proposal is completed, the student must present and defend his/her proposal to the Dissertation Committee and the Management Department. Successful completion of the Proposal Defense allows the student to be accepted for candidacy by the Graduate School.

Dissertation and Final Examination

The dissertation in a time-consuming process. It is imperative that every student communicate on a regular basis with members of the dissertation committee. These individuals are dedicating a great deal of time and effort to assuring your success.

Completion of the Dissertation and its defense is the final hurdle for completion of the PhD degree in Management. PhD students are required to complete and successfully defend their Dissertation in a formal Dissertation Defense within four years of entering Candidacy. The Guide to Preparation and Submission of a Dissertation, available in University or local bookstores, can be of help in this process.

All students must take 10 semester hours of MNGT 8990: Research and Dissertation. The number of MNGT 8990 hours during any one semester will range from a minimum of one hour to a maximum of 10 hours, depending on the amount of time being spent on the dissertation. After the final draft of the dissertation is completed and approved by the student's Dissertation Committee, the student may apply to the Graduate School for his/her final Dissertation Defense (known as the Final Examination). The application must be filed with the Graduate School at least ten working days prior to the final defense to allow time to advertise the defense. Dissertation defenses must be advertised to the faculty and PhD students in the Management department.

The student’s Dissertation Committee conducts the final defense. Successful completion requires unanimous support of the committee (the outside reader will attend but does not vote). All faculty and PhD students are permitted and encouraged to attend the defense. Final copies of the dissertation (two) must be submitted to the Graduate School by the deadline established for the semester of graduation. All dissertations must be microfilmed by University Microfilms International of Ann Arbor, Michigan, which publishes the abstract in Dissertation Abstracts. The student is required to pay for these services.

Dissertation: The dissertation must be successfully defended and the appropriate paperwork submitted to the Graduate School no later than August 15th of the sixth year in the PhD program. It is important that all students familiarize themselves with the Graduate School procedures for the completion of the dissertation and graduation. The summary of graduation procedures and the graduation check lists is available in the Graduate School and on the website for the Graduate School.

It is the student's responsibility to meet the Graduate School’s requirements for graduation, which includes clearance for graduation one semester prior to completion, properly formatting the dissertation, meeting the specified dates for submission of drafts for Graduate School review and submission of the final dissertation to meet graduation deadlines. There are many forms that must be completed prior to the defense. Please become aware of the necessary procedures and consult with the Graduate School in Hargis Hall. This is imperative to timely completion and graduation.

Research Involving Human Subjects

All graduate students undertaking research involving human subjects must arrange for the University’s Institutional Review Board (IRB) for the Use of Human Subjects in Research to review and approve the research. As part of this process you will be required to take an on-line certification exam. To obtain approval, the student must complete the form “Protocol for Research Involving Human Subjects” which can be obtained from the Office of the Provost in Samford Hall. Students cannot proceed with the research experience or proposal until this approval is obtained. This is a university requirement. 

Program Dismissal Policies

Students may be dismissed from the PhD programs in the Management Department for the following reasons:

• Academic Dishonesty. The Department of Management follows the policies on academic dishonesty as established in the AU Academic Dishonesty Policy. If a student is found guilty of academic dishonesty after following the procedure outlined in the Academic Dishonesty Policy, he/she will be dismissed from the PhD program.
• Deficient GPA. If a student’s department and/or cumulative graduate GPA falls below 3.0, the student will be placed on academic probation. If the cumulative graduate GPA remains below 3.0 after the next 9 credit hours (one semester) of graduate enrollment (graded and upgraded), the student will be dismissed from the PhD program.
• Class failure. If a student earns an F in any course taken as part of their Auburn coursework toward the graduate degree, they will be dismissed from the program. A grade of incomplete in a class must be removed within six months or it will be automatically converted to an F. The six-month limit applies regardless of whether or not the student is enrolled.
• Violation of Professional Ethical Standards. Graduate students are expected to hold and display the highest levels of professional standards of behavior. Violations of professional standards leading to dismissal from the program include, but are not limited to, the following:
  • Abuses of teaching responsibilities/authority. Graduate students with teaching assignments are expected to conduct themselves in ways, which correspond to accepted standards of teaching. Abuses include inappropriate behaviors, such as sexual harassment; discrimination based on sex, religion, age, race, color, national origin or disability; grade “selling;” excessive class cancellations; and general neglect and dereliction of teaching duties.
  • Violations of Confidentiality Arrangements. Most graduate students will engage in some form of research. Oftentimes this research requires the use of human subjects and arrangements of confidentiality. Violations of the researcher/research subject trust are serious professional offenses and reflect badly on the profession and Auburn University. Violation of agreements with, or abuse of, research subjects are grounds for dismissal from the program.
  • Scholarly misconduct. Plagiarism, data fabrication, data stealing or authorship misconduct (e.g. omitting a rightful author or claiming another's work as your own) with regard to scholarly materials are serious professional offenses and are grounds for dismissal from the program. Falsification of information or misrepresentation of credentials including résumés.
• Failure to Satisfy the Deadlines, Criteria or Other Requirements for Continuation as specified in this document and by the Faculty. If it is judged by the Faculty that a student is not making adequate progress or that his/her ability to complete the program in a timely fashion is in doubt, they can formally communicate to the student their concerns and communicate deadlines, criteria or other requirements that must be met in order to continue in the program. Typically, such requirements would be part of the student’s annual performance review. However, the department can change program requirements as needed at any time during the student’s program.
• Lack of Program Progress. Based on a student’s annual Faculty review, inadequate progress can cause a student’s dismissal from the program.
• Comprehensive Exam Failure. A PhD student cannot enter candidacy and will be terminated from the program if he/she fails to complete their comprehensive exams after their first or second attempt.

Appeal Process. Appeals to any dismissal decision must follow the Appeal Policies set forth in this Policy Manual.

Appeal Policies

Students can appeal faculty decisions as follows: The student should submit, in writing, the request for appeal and justifications for such request to the Department of Management Chair. An ad hoc PhD Review Committee, appointed by the Department Chair, will review and rule on appealed decisions. The committee will include at least one faculty member outside the student’s area of concentration. The committee will have full authority of the department in reviewing and deciding the case.

Four-Year PhD Program

While it is hoped that all PhD students can complete their coursework and dissertation within a four-year period of time, please be advised that office space and stipend support is guaranteed only for four years.