guidelines declaration authorship by E22ENyL2


									Declaration of Authorship for Doctoral / MPhil Theses Only:
Theses Based or Partially Based on Conjointly Published or Unpublished Work

Privacy Notice: The information on this form is collected for the primary purpose of providing confirmation of co-authorship. Other
purposes of collection include attending to administrative matters and statistical analyses. If you choose not to complete all the
questions on this form, it may not be possible for Monash Research Graduate School to acknowledge that the work came from an
active collaboration between researchers. Personal information may also be disclosed to external examiners, conjoint authors and will
be available to those who access the thesis in the library. You have a right to access personal information that Monash University holds
about you, subject to any exceptions in relevant legislation. If you wish to seek access to your personal information or inquire about the
handling of your personal information, please contact the University Privacy Officer on (03) 9905 6011.

1.       Option of presenting a thesis based on published or unpublished work(s)

While candidates have always been allowed to include work of which they are the sole author, candidates who
were formerly required to recast conjointly authored work for inclusion as chapters in their theses may now
include the papers as they stand. This document explains the requirements for such thesis presentation.
2.       Research Graduate School Committee Regulations

Section 17.2 of the Research Graduate School Committee Regulations (Doctorate) states:
17.2 A thesis-
17.2.1 may be based on published and unpublished papers; and
17.2.2 may contain joint or multi-authored work, provided the papers are prefaced with a statement signed by
the authors disclosing their respective contributions [emphasis added]
Normal candidature conditions still apply: the research and any related publications must be
undertaken during the period of candidature. (See section 6 of the Research Graduate School Doctorate
Regulations (Doctor of Philosophy).)

Note: Candidates are strongly urged to arrange for the relevant authorship declaration form to be completed
by contributing authors as soon as the paper is prepared or submitted for publication. This should facilitate the
collation of authorship contribution when the thesis is ready for submission.

3.       Requirements for submission

In addition to the standard requirements for submission (see the web links given below), the following apply:
Extent of contribution of candidate

Both the percentage (the ‘extent’) and the ‘nature’ of the candidate’s contribution should be established.
Essentially, the initiation, key ideas, development and writing up of each of the work should be the primary
responsibility of the candidate.
Acknowledgement of the contribution to the research work and / or authorship by the candidate and
other parties
 A general declaration listing the work(s) written by the candidate in collaboration with other authors
  should be placed in the front of the thesis. (See Part A of this document.)
 A specific declaration will be required for each work written by the candidate in collaboration with other
  authors which appears in the thesis. Each declaration should be placed at the start of the thesis chapter in
  which the conjointly authored work appears. (See Part B of this document.)
Please note that completion of these forms does not negate the need to comply with any other university
requirements relating to conjointly authored works.

Exceptional cases
The arrangements outlined below should apply only in the most exceptional cases where a contributing author
is unable to sign, for example, because :

           the author is deceased, or an author cannot be contacted after sustained attempts to do so
           agreement cannot be reached between participating authors as to the nature and extent of their
            respective contributions.

If therefore, for any reason, the general or chapter-specific authorship declarations cannot be completed, a
request to vary these requirements must be made by the candidate and supervisor (and countersigned by the
head of department) to the Research Graduate School Committee before the thesis is submitted for
examination. Such a request should set out clearly the reasons why a variation to standard procedures is

4.          Links to further information

Doctoral Information Handbook: Chapter 7: Thesis and examination matters
Doctoral Examinations Submissions Checklist

    Guidelines for provision of authorship information following an approved request.

       1.   Wherever possible the standard format should be followed.

       2.   In cases of papers where this is not possible then, for each such paper, a statement regarding the candidate’s author contributions
            is to be made that may include reference to the following:

                    Conception and study design; refining of the research question
                    Conduct of the research work or interviews
                    Analysis and interpretation of the data
                    Drafting of the submitted manuscript
                    Critical revision of the manuscript
                    Statistical analysis. (If routine in nature then an acknowledgment may be appropriate.)

       3. The senior author(s) to sign-off on the overall % contribution of the candidate. If the senior author is not available then the Head of
           Department / School may sign.
                              PART A: Suggested General Declaration
              [This declaration to be modified as required and inserted in the front of the thesis.]

                                           Monash University
                                    Monash Research Graduate School

Declaration for thesis based or partially based on conjointly published or unpublished work

                                            General Declaration
In accordance with Monash University Doctorate Regulation 17 / Doctor of Philosophy and Master of
Philosophy (MPhil) regulations the following declarations are made:

I hereby declare that this thesis contains no material which has been accepted for the award of any other
degree or diploma at any university or equivalent institution and that, to the best of my knowledge and belief,
this thesis contains no material previously published or written by another person, except where due
reference is made in the text of the thesis.

This thesis includes [insert number] original papers published in peer reviewed journals and [insert number]
unpublished publications. The core theme of the thesis is [insert theme]. The ideas, development and writing
up of all the papers in the thesis were the principal responsibility of myself, the candidate, working within the
[insert name of academic unit] under the supervision of [insert name of supervisor].

The inclusion of co-authors reflects the fact that the work came from active collaboration between
researchers and acknowledges input into team-based research.

In the case of [insert chapter numbers] my contribution to the work involved the following:

[If this is a laboratory-based discipline then there could follow a paragraph outlining the assistance given
during the experiments, the nature of the experiments and an attribution to the contributors.]

Thesis    Publication title                              Publication status*        Nature and extent of candidate’s
chapter                                                                             contribution

[ * For example, ‘published’ / ‘in press’ / ‘accepted’ / ‘returned for revision’]

Signed:         ………………………………………………………………………

Date:           ………………………………
                   PART B: Suggested Declaration for Thesis Chapter
     [This declaration to be completed for each conjointly authored publication and to be placed at the
                         start of the thesis chapter in which the publication appears.]

                                            Monash University

                 Declaration for Thesis Chapter [insert chapter number]
In the case of [insert chapter number], contributions to the work involved the following:

Name                    % contribution       Nature of contribution
[Candidate’s name]
[name 1]
[name 2] *

Declaration by co-authors

The undersigned hereby certify that:

(1) they meet the criteria for authorship in that they have participated in the conception, execution, or
    interpretation, of at least that part of the publication in their field of expertise;
(2) they take public responsibility for their part of the publication, except for the responsible author who
    accepts overall responsibility for the publication;
(3) there are no other authors of the publication according to these criteria;
(4) potential conflicts of interest have been disclosed to (a) granting bodies, (b) the editor or publisher of
    journals or other publications, and (c) the head of the responsible academic unit; and
(5) the original data are stored at the following location(s) and will be held for at least five years from the
    date indicated below:


[Please note that the location(s) must be institutional in nature, and should be indicated here as a
department, centre or institute, with specific campus identification where relevant.]

Signature 1                                                                                    Date
Signature 2
Signature 3

                       [ * Please include additional rows if there is insufficient space.]

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