PhD Course Requirements

Students entering the PhD degree with a relevant MS degree must complete the requirements below, though additional courses may be required by the Academic Advisor. Students entering the PhD degree with an MS degree outside of chemical engineering must complete the requirements below, and all Core/mandatory courses outlined in the MS section and additional courses required by the Academic Advisor. Students must complete the requirements below:

• 300-level courses* (6 credits)
• Graduate Seminar (non- credit)
• Winter Enrichment Program (non-credit)

Courses taken while pursuing the KAUST MS degree cannot be counted towards the PhD course requirements. Courses must be technical courses and cannot be substituted with Research, Internship, or Broadening Courses to fulfill degree requirements.

*Approved by PhD Advisor

Graduate Seminars (non-credit)

All students must register for 5 semesters and receive a Satisfactory grade. Students must attend a minimum of 8 Graduate Seminars per semester  to receive a Satisfactory (S) grade. The seminars can be chosen from any Graduate Seminar series offered by the PSE division. Attendance of additional seminars in other KAUST programs is highly encouraged. 

Winter Enrichment Program (non-credit)

All students must register for WE 100 and successfully complete one Winter Enrichment Program (WEP), usually taken in the first year of study. Students who completed WEP as part of their KAUST MS must take the WEP program again.

PhD Candidacy

In addition to the coursework requirements, students must successfully complete the required PhD candidacy milestones to progress toward PhD candidate status. These milestones are as follows:

• A subject-based qualifier
• PhD Proposal Defense

Once students have advanced to candidacy, students are designated as PhD or Doctoral Candidates.

Qualifying Exam

Once students successfully complete the coursework requirements (typically within their first year at KAUST), they must register for the qualifier. The qualifier will be carried out twice a year. The CE qualifier will be usually carried out twice a year, i.e., during the Fall and Spring Semesters. Students must pass the qualifier by the end of their third semester. The qualifier schedule will be announced by the CE Curriculum Committee at least one month in advance. Students who wish to attend the exam must register through their GPSA and be approved by the CE Curriculum Committee.

The exam includes three subjects: (i) transport phenomena, (ii) thermodynamics, and (iii) reaction engineering. Students need to pass all three subjects. In each subject, the format of the exam is based on a two-hour written exam given by the CE Faculty. The exams will be based on CE 201, CE 202 and CE 203 course contents. Students can use a non-programmable calculator but no electronic devices (such as computers or cell phones). If required, the CE Faculty will provide notes (equations etc.).

Outcomes of the qualifier include (1) pass of all three subjects; (2) pass of two subjects; (3) fail of two subjects; (4) fail of all three subjects. Students in situation (2) have one chance to retake the failed subject. Students in situation (3) and (4) have one chance and are required/expected to retake all three subjects. Once students have successfully completed the qualifier, they work toward the Dissertation Proposal Defense under the supervision of the Academic Thesis Advisor. It is highly recommended that right after the successful completion of the qualifier the process of periodic review meetings begins, between the student, academic advisor, and a (small, possibly ad-hoc) Faculty Committee. 

Qualifying Exam Results:
At the conclusion of the qualifying exam, students will receive one of the following outcomes:

• Pass: The student has successfully passed the exam.
• Fail with Retake: The student must retake the exam within the next qualifying exam period or by the milestone deadline, whichever comes first. If significant issues are identified, the Committee may recommend additional actions, including academic sanctions (e.g., probation) or the implementation of a study plan.
• Fail Without Retake: The student has not passed the qualifying exam. This decision requires a unanimous vote by the Committee and endorsement by the Dean.

After the exam, the final proposal document and qualifying exam result form must be submitted to the GPSA within two (2) working days, regardless of the outcome. The GPSA will coordinate the collection of all required signatures.

The Dissertation proposal defense aims to demonstrate that students have the ability and are adequately prepared to undertake PhD level research in the proposed area. This preparation includes necessary knowledge of the chosen subject, a review of the literature and preparatory theory or experiment as applicable. Students must pass the Proposal Defense by the end of their fifth semester.

The Proposal includes a written proposal and an oral presentation. The written proposal should be about ten pages, including (1) background and motivation; (2) hypotheses and objectives; (3) research plan and methodology; (4) significance and potential impact; and (5) time schedule. The duration of the oral presentation should be about 30-40 minutes followed by a Q&A session. During the Q&A session, the Committee can ask questions related to the proposed work but may also be related to general knowledge related to the field of studies.

The Proposal Defense is organized by the GPSA. PhD students must submit a petition form to the GPSA that includes the list of Faculties who will serve on the Committee to take the Dissertation Proposal Defense at the end of the semester preceding when they will Defend their Proposals. The petition must be approved by the Dean.

PhD Dissertation Proposal Committee 

The PhD proposal defense committee must include a minimum of three members and may have up to four members. The committee structure is outlined as follows: 

Member	Role
1	Faculty	Primary affiliation within the student’s program
2	Faculty	Primary affiliation within the student’s program
3	Faculty	Primary affiliation outside the student’s program
4	Faculty or Research Scientist	Affiliation within or outside of KAUST

Notes:

• The committee must be approved by the Dean.
• Members 1-3 are mandatory, while member 4 is optional.
• The student’s advisor serves as the chair of the committee. If the advisor holds a primary affiliation within the student’s program, then they act as member 1. If the advisor has a secondary or one-time affiliation within the student’s program, then they act as member 3.
• The student’s co-advisor may serve as member 4.
• Adjunct Professors and Professors Emeriti may continue serving on existing Committees but may not serve as Chair on new Committees.
• Professors of Practice, Research Professors and Visiting Professors may serve as member 4.
• Once approved, any changes to the committee require the approval of both the student's advisor and Dean.
• The proposal defense committee must remain the same for the dissertation defense. Any exceptions to this rule require approval from both the student’s advisor and the Dean.

Proposal Defense Results

At the end of the proposal Defense, students will be evaluated as follows:

• Pass: The student successfully passes their proposal.
• Fail with Retake: The student is invited to retake the defense within three months or by the milestone deadline, whichever comes first. If substantial issues are identified, the Committee may prescribe a course of action, which may include but is not limited to, academic sanctions (probation/dismissal), or a study plan.
• Fail Without Retake: The student has unsuccessfully defended their proposal, resulting in the termination of their candidacy. For a "Fail Without Retake" decision, the Committee’s vote must be unanimous and endorsed by the Dean.

Students who successfully pass the Dissertation proposal Defense are deemed PhD Candidates. At the end of the proposal Defense, a PhD Proposal Results Form must be completed and submitted to the GPSA. 

Dissertation

The Dissertation is the final milestone of the PhD program. Students must complete the following:

• Petition to Defend Dissertation/ Form Dissertation Defense Committee 
• Defend Dissertation 
• Archive Dissertation

It is the responsibility of students to keep making steady and timely progress towards the dissertation work. Progress is overseen regularly by the Dissertation Advisor. It is recommended (not required) that students update, typically every semester, the Proposal Committee members concerning their progress. If students have serious problems with Dissertation work and the issues are not resolved by the Dissertation Advisor, students must inform the GPSA and seek help from other members of the Proposal Committee and/or the Associate Dean. 

Petition to Defend Dissertation

Students must determine the Defense date with the agreement of all members of the Dissertation Defense Committee. It is the sole responsibility of students to submit the required documents in consultation with the GPSA and the Dissertation Academic Advisor by the deadline published in the Academic Calendar and at least 2 months prior to the Defense date. The required documents include: (i) a list of proposed committee members (including a CV of the external examiner), (ii) a current CV of the student (including a list of publications), (iii) a current transcript, and (iv) the dissertation.

Students must defend their Dissertation and obtain the final approval of the Dissertation Defense by the end of their fourth year (8 Semesters and 4 Summer Sessions). Students must follow the Thesis and Dissertation Guidelines available on the KAUST Library webpage when they write their Dissertation.

Formation of Dissertation Defense Committee

 The PhD dissertation defense committee must include a minimum of three members and may have up to five members. The committee structure is outlined as follows: 

Member	Role	Affiliation
1	Faculty	Primary affiliation within the student’s program
2	Faculty	Primary affiliation within the student’s program
3	Faculty	Primary affiliation outside the student’s program
4	External examiner	Affiliation outside of KAUST
5	Faculty or Research Scientist	Affiliation within or outside of KAUST

Notes:

•  The committee must be approved by the Dean. 
• Members 1-4 are mandatory, while member 5 is optional. 
• The student’s advisor cannot serve as the chair of the committee. The chair can be within or outside the program. If the advisor holds a primary affiliation within the student’s program, then they act as member 1. If the advisor has a secondary or one-time affiliation within the student’s program, then they act as member 3.
• The student’s co-advisor may serve as member 5.
• Professors of Practice and Research Professors may serve as member 5. They cannot be the advisor of the student and cannot serve as the chair of the committee. 
• Adjunct Professors and Professors Emeriti may continue serving on existing committees but are not permitted to serve on new committees. 
• Visiting Professors may only serve as member 5 but they are not permitted to serve as external examiner.
• Guidelines for selecting the external examiner can be found on the PSE website. 
• Once approved, any changes to the committee require the approval of both the student's advisor and the Dean.

Dissertation Defense

The Dissertation Defense is a public presentation followed by a Q&A and an oral Defense. It should last three hours at most. Expectations for the document are as follows:

• The written Dissertation is required to comply with the University formatting guidelines, which are on the library website.
• The complete version of the Dissertation must be sent to the Dissertation Defense Committee at least six weeks prior to the targeted defense date.
• The PhD Dissertation must be written in fluent high-quality English using proper language, style, and appropriate methods of scientific reasoning.
• Parts of the Dissertation research should have been presented at international conferences.
• The Dissertation research must lead to high-quality scientific publications in international peer-reviewed journals, ideally leading journals of the field. At least two such journal publications are expected for each PhD graduate in the Chemical Engineering program. 

Procedure and Expectations for the PhD Dissertation Defense include:

• The final defense is a public event that consists of an oral presentation followed by questions from the audience and the Committee. 
• PhD candidates present in about 35-40 minutes a public presentation of the key ideas, methods, and results of the Dissertation research, and put into the context of previous work in this field. The presentation is followed by a 10-15 min Q&A session by the general audience, after which the general audience leaves the room. 
• The closed-doors Q&A session is taken with the Dissertation Committee. During this Q&A session, the Dissertation Committee members take turns in asking their questions, moderated by the Dissertation Committee Chair who ensures that all members have about the same amount of time for questions, and that all aspects of the Dissertation defense occur in a fair, collegial, respectful, and transparent manner. 
• For a successful defense, it is expected that (i) PhD candidates clearly demonstrate deep knowledge and innovative research in the chosen field of research; (ii) candidates can answer questions well, independently, with minimal help from Committee members; (iii) candidates are able to engage in a high-quality scientific debate with the Committee and are able to truly defend the Dissertation work. 
• The PhD Dissertation defense concludes if the Committee Chair calls it closed, after having asked all Committee members if they had any further questions or comments. The Chair then asks the candidate to leave the room. The Committee then decides on the outcome of the defense, which the Chair communicates to the candidate. 
• The outcome (pass, pass with conditions, retake, fail) is documented in the appropriate form, including a detailed description of the conditions (if any), which is then communicated to the candidate. The report of the Committee Chair (to be submitted to the dean within three business days) contains a summary of the defense procedure and further details on the conditions (if any) on Dissertation improvements. 

 Dissertation Defense Results

The format of the Oral Defense is left to the discretion of the dissertation Committee. At the end of the Final Defense, students will be evaluated with one of the following outcomes:

• Pass: The Committee agrees with no more than one dissenting vote. The dissertation must be archived within two weeks of the defense, and the student must send the Result Form to the GPSA within two days of the defense.
• Pass with Conditions: All committee members must agree on the required conditions. If they cannot agree, the Dean will make the final decision. The student has up to three months to meet these conditions, unless the Committee unanimously agrees to change the deadline.
• Fail with Retake: If conditions cannot be met within three months, or more than one member casts a negative vote, one retake of the defense is allowed. The retake must occur within six months of the original defense unless the Committee unanimously agrees to a shorter timeline. If the student fails the retake, they will be dismissed from the University. The Committee Chair must immediately inform the GPSA to initiate the necessary actions.
• Fail Without Retake: The decision must be unanimous, resulting in the student’s dismissal from the University. The Committee Chair must inform the GPSA immediately to take the necessary actions. 

Additional Guidelines:

• Students who have exceeded their duration of study must apply for an extension as per the Time Limit and Extension Policy. All conditions must be fulfilled by the end of the extension period, which takes precedence over the Committee’s set deadlines. 
• The outcome of the Dissertation Defense must be recorded by submitting the Dissertation Defense Evaluation Form to the Office of the Registrar within two days of the defense.
• Additionally, students must submit the Defense Results Form by the deadline published in the Academic Calendar.
• The required forms are available on the webpage of the Office of the Registrar.  

Dissertation Document

Students must follow the Thesis and Dissertation Guidelines available from the KAUST Library when they write their Dissertation.

Dissertation Archiving

Students must archive the Dissertation in the KAUST Library two weeks from the final result form. This must not exceed the deadline published in the Academic Calendar. The required form is available from the Office of the Registrar.