Thesis by Publication Guidelines (Draft)

Theses based or partially based on conjointly published or unpublished work

1. Definition of Thesis

A thesis by definition is a coherent argument or work. A thesis however presented must demonstrate a clear theme and should thus:

be prefaced by an introductory chapter which places the research within a broader perspective of the particular discipline and which outlines the theme;
establish clear links between the individual chapters/papers, as appropriate; and
conclude with a summary chapter.

The exact nature of the work's theme may depend on the individual case. For example, where a student may have had to change research direction, for whatever reason, it may be assumed that the new work will be pursued within the same general framework. Thus, in this case while the research will now move in a different direction, a portion of the literature survey may remain relevant etc.

2. Option of presenting Thesis based on published or unpublished work: Rationale

At Meeting 8/2001 (7 September 2001), the Research Graduate School Committee endorsed in principle the option of presenting for examination a thesis consisting of, or partially consisting of, conjointly published or unpublished work, linked by a clear theme. Students of course have always been allowed to include work of which they are the sole author.

The intention is to allow students who were formerly required to recast conjointly authored work for inclusion as chapters in their theses, to include the papers as they stand. However, a detailed statement at the front of the thesis must indicate the nature and extent of the student's contribution to such conjointly authored work and the underlying research.

3. Doctoral Degrees legislation

The Research Graduate School Doctorate Regulations state:
17 Thesis
17.1 A thesis must-

17.1.1 be prepared under supervision;
17.1.2 be the original work of the candidate except where due reference is made in the thesis;
17.1.3 constitute a significant contribution to the knowledge and understanding of the field of study concerned; and
17.1.4 demonstrate the capacity of the candidate to carry out independent research.

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17.2.1 may be based on published and unpublished papers; and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.

4. Difference between standard candidature and staff candidature (Regulation 6 of Doctor of Philosophy Regulations)

Under Regulation 6, staff candidates have long been able to present a thesis consisting of sole or conjointly authored papers, linked by a unifying theme.

Standard Candidature Staff Candidature (Regulation 6)

An applicant for admission to candidature must have qualified in the university for-

a masters degree by research; or
a degree of bachelor with honours 1, or honours 11 division A,
or qualifications which in the opinion of the Research Graduate School Committee are equivalent or a satisfactory substitute.
An applicant for admission to candidature must have qualified in the university for-
a masters degree by research; or
a degree of bachelor with honours 1, or honours 11 division A,-
or qualifications which in the opinion of the Research Graduate School Committee are equivalent or a satisfactory substitute.

Additionally:
Staff candidature under regulation 6 of the PhD Regulations is normally intended for established, experienced and independent researchers who already have a substantial publication record. Formal supervision arrangements are required. No formal supervision is thus required
A maximum candidature of 4 years full-time equivalent and a minimum period of two years full-time equivalent shall apply. There is no minimum period of candidature although a minimum period of 12 months candidature is recommended. This period of candidature will be used to develop the thesis and convert a series of papers into a coherent whole through the writing of an introduction, conclusion, linking passages etc. The research project is undertaken during the period of candidature (see above). Persons enrolled under the provisions of regulation 6 should:

have held a 0.5 level appointment or above at lecturer B or above, for a minimum of three years at Monash University at the time of submission.
currently hold that position at the time of submission.
have completed at least 75% of the thesis work while a member of the Monash University academic staff; and have already completed a significant proportion of the work intended to be included within the thesis at the time of application.
Where these conditions do not apply, such candidate should enrol as a normal candidate with a nominated supervisor.

Student amenities fees apply. Members of staff enrolled as staff candidates (under regulation 6) are not required to meet the amenities fees.

5. Requirements for submission

Nature of a sustained theme
While a clear theme is usually in a particular area of research, it may also derive from a common methodology adopted in the pursuit cross-disciplinary research.

An introductory chapter which places the specific work in the broader context of its relevant research area, and a concluding chapter which draws together the research documented in the preceding chapters, are required. Other linking material which converts the work into a coherent whole is also essential (see thesis format below).

Contribution of candidate
Both the % (extent) and 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 standard format is proposed in attachment 1.
An example of another format is illustrated in attachment 2.

Thesis format
Where a thesis in part or full consists of a series of published or unpublished work, a coherent framework should be retained, viz:

Thesis title.
Table of contents.
Abstract/summary (~500 words).
Signed statement confirming that the work submitted for examination has not previously been submitted for examination for a prior degree.
Where conjointly authored work is incorporated in the thesis, statement(s) countersigned by contributing authors as to the nature and extent of the contribution of the candidate.
General acknowledgements, as appropriate.
Introduction: eg statement of the research problem, focus of inquiry, overview of developments in relevant field of research; and what each published or unpublished work contributes to the overall scheme of the research inquiry.
Literature survey (unless dealt with in the published or unpublished papers which comprise chapters in the thesis).
Methodology/materials chapter/analytical techniques/research design etc(unless dealt with in the published or unpublished work which comprises chapters in the thesis or unless not appropriate for the relevant discipline). Additional chapters between the published/unpublished work may sometimes be required to 'fill in the gaps' and to provide linkage
Chapters in which the hypothesis/thesis topic is argued in detail (which may comprise in part or full the published or unpublished work)
Concluding/summary chapter
Appendices (if appropriate). Note: appendices may also be place at the end of chapters to which they refer; and References/bibliography.

All pages should be of A4 size. Therefore, work should be either included:

In a word processed format, in which case a footnote at the beginning of the chapter should give details of the journal in which it has appeared or to which it has been submitted
As an A4 photocopy of the paper as it appeared in the journal.

Attachment 1
Acknowledgement of Contribution to the research work and/or authorship (doc 27KB)