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5. Guidelines to properly write a doctoral dissertation

June 8, 2017
Yokohama National University

In accordance with Article 9 of the Degree Regulations (Order of the Ministry of Education, Science and Culture No. 9 of 1953), Yokohama National University (YNU) in principle releases the full text of a doctoral dissertation written by a student at YNU to the public on the internet through the Yokohama National University Repository and makes it available not only in Japan but also in other countries around the world within one year after the date on which the student earns a doctoral degree.
Students are expected to engage in research activities at YNU in compliance with the Yokohama National University Research Code of Conduct (established on February 22, 2007) and the Yokohama National University Regulations on Ensuring the Proper Conduct of Research (Regulations No. 8 of February 22, 2007). In addition, the Japanese government has released the Guidelines for Responding to Misconduct in Research (adopted by the Minister of Education, Culture, Sports, Science and Technology on August 26, 2014) and has been strongly demanding that universities take responsibility to promote effective measures to deal with fraudulent research activities, while the fundamental principle is that university faculty members and researchers should maintain discipline themselves, and the scientific community should be self-directed.
Reflecting these trends in society, the Guidelines sum up what should be kept in mind by graduate students at YNU writing and submitting doctoral dissertations. Meanwhile, each graduate school may separately present what should be kept in mind by its students; therefore, graduate students should make sure to read and confirm the rules set by their graduate school.
　(Ensuring fair research activities)The linked page is in Japanese only.
　(Yokohama National University Repository)The linked page is in Japanese only.

1. Researcher ethics among graduate students (scientists’ code of conduct)
   YNU’s graduate schools strongly demand that not only faculty members and researchers but also graduate students comply thoroughly with researcher ethics rules (or scientists’ code of conduct) and acquire knowledge and skills about the researcher ethics rules set in accordance with the characteristics of their major field of study. Since doctoral dissertations are, in principle, made public on the internet through the Yokohama National University Repository, it is essential for graduate students to comply with the Copyright Act (Act No. 48 of 1970) and other laws and regulations.
   Graduate students should make sure to understand the contents of a research ethics pamphlet published by YNU’s Research Initiatives and Promotion Organization (Department of Research Promotion), entitled “Fundamentals of Research,” and a pamphlet published by the Japan Society for the Promotion of Science (JSPS), entitled “For the Sound Development of Science: The Attitude of a Conscientious Scientist.” At the same time, to understand the contents of the Copyright Act, graduate students should refer to a pamphlet published by the Research Promotion Department, entitled “YNU Copyright Guide,” the websites of the Agency for Cultural Affairs and the Copyright Research and Information Center (CRIC), and other sources.
   Students should also pay attention to the laws and regulations of the country to which their co-researchers or relevant publishers belong.
   (Research ethics and education pamphlets (Fundamentals of Research/Principles of Research Practice))
   （JSPS）
   (YNU Copyright Guide)
   (Agency for Cultural Affairs)
   （CRIC）
   
2. Proper ways to quote a source
   The Copyright Act’s Article 32 (Quotations) states: “It is permissible to quote and thereby exploit a work that has been made public. In such a case, the work must be quoted consistent with fair practices and within a scope that is justified for the purpose of news reporting, critique, study, or other place in which the work is quoted.”
   It is possible to “quote” text, tables, charts, photos, etc., from others’ works that have been made public and to use them in doctoral dissertations without approval from the copyright owners; however, to maintain consistency with “fair practices” within “a scope that is justified” for research and other purposes and to make sure not to unfairly prejudice the interests of the copyright owners, the Copyright Act provides strict requirements for quoting from others’ works. In addition, in accordance with Article 48 of the Copyright Act, when quoting from others’ works, it is necessary to “clearly indicate the sources.”
   
   1. Fair practices
      To maintain consistency with “fair practices,” for example, there has to be a “necessity” to quote from others’ works, or for literary works, the “quoted text” needs to be clearly denoted as a quotation (e.g., by surrounding it with quotation marks or italicizing it).
   2. Scope that is justified
      To “quote” another person’s work within “a scope that is justified,” for example, there has to be a clear “subordinate-superior relationship” between the quoted text and the remaining text, with the doctoral dissertation serving as the “superior” and the quoted work serving as the “subordinate.”
      In addition, though the Copyright Act does not have provisions concerning the maximum length of text, charts, or tables that can be quoted, another person’s work should be quoted only when necessary, and the length of quoted material needs to be kept to the minimum. It should be noted that some fields of study or academic journals may have specific guidelines regarding the maximum length of text, charts, or tables that can be quoted from one academic paper.
   3. Clearly indicating the sources
      To “clearly indicate the sources” means to clearly provide information on the works quoted, including author, dissertation title, journal name, volume, issue, page number, publication year, and digital object identifier (DOI). Graduate students should follow the practice of the academic community in their major field of study.
   4. Use of plagiarism detection tools
      YNU’s graduate schools may use the plagiarism detection software iThenticate and other tools to ensure that the sources are quoted appropriately in doctoral dissertations. Graduate students should follow the directions provided by their graduate school.
3. Treatment of duplicate submission and authorship
   According to the Guidelines for Responding to Misconduct in Research (adopted by the Minister of Education, Culture, Sports, Science and Technology on August 26, 2014), duplicate submission“differs from fabrication, falsification, and plagiarism, which fatally harm trust in science; but it is still harmful to the originality of a research paper or journal, raises problems of copyright ownership, and is a violation of researcher integrity in that it can improperly inflate research accomplishments. For these reasons it is forbidden in the submission rules of most academic societies and journals.”
   If a graduate student at YNU plans to write and submit a doctoral dissertation based on a research paper that has been already published in an academic journal, etc., the student should take notice of and follow any policies of the academic journal. For example, even the author of the doctoral dissertation cannot release it to the public through the Yokohama National University Repository in violation of the policies of the academic journal. Graduate students should follow the directions provided by their graduate school.
   Furthermore, if a graduate student at YNU plans to write a doctoral dissertation based on a research paper that has been already published in an academic journal, etc., and there are co-authors of the research paper, the graduate student needs to obtain prior approval from the co-authors for (1) writing the doctoral dissertation and (2) releasing the dissertation to the public through the Yokohama National University Repository. The same applies when writing a doctoral dissertation based on the results of research conducted with co-researchers or co-workers.
   The following public databases can be used to search for major academic journals. In addition, as for an academic journal that is not registered in these databases, the student needs to refer directly to the publisher of the journal.
   (Japan Consortium for Open Access Repository (JPCOAR))
   (Overseas publishers: Sherpa Romeo)
4. Treatment of inventions, etc.
   If a graduate student at YNU plans to write and submit a doctoral dissertation that includes an invention, etc., the student needs to provide prior notification about the invention to the student’s graduate school and, if necessary, to the Research Initiatives and Promotion Organization (Department of Industry–University–Government Collaboration); this enables the student to apply for a patent or other intellectual property right before releasing the dissertation to the public.
   Special notice is required if the screening of doctoral dissertations is conducted publicly.
   (Intellectual property-related procedures)The linked page is in Japanese only.
5. Withholding the release of a doctoral dissertation through the Yokohama National University Repository
   As for the release of a graduate student’s doctoral dissertation to the public on the internet, if there are unavoidable circumstances, and approval is obtained from YNU, it is possible to release the summary instead of the full text of the dissertation, in accordance with the Degree Regulations (Order of the Ministry of Education, Science and Culture No. 9 of 1953). These unavoidable circumstances apply to the following doctoral dissertations and include circumstances recognized as unavoidable by the faculty council of the student’s graduate school; therefore, the student must complete procedures to withhold the release of the dissertation.
   1. The doctoral dissertation includes contents that cannot be made public on the internet because, for example, there are expressions based on three-dimensional shapes.
   2. The doctoral dissertation includes contents that cannot be made public on the internet even after one year after the granting of a doctoral degree because, for example, copyrights or personal information must be protected.
   3. In connection with publication, academic journals that prohibit multiple submission, patent filing, and other factors, the release of the full text of the doctoral dissertation to the public on the internet clearly causes disadvantages to the individual who has received the doctoral degree, even after one year after the granting of the degree.
   4. Other circumstances recognized as unavoidable by the faculty council of the student’s graduate school
   Meanwhile, even if approval is granted to withhold the release of a doctoral dissertation, the summary instead of the full text of the dissertation is made public, and the full text is made accessible by request (at YNU and the National Diet Library). If an individual’s unavoidable circumstances disappear, the full text of the individual’s doctoral dissertation is made public on the internet through the Yokohama National University Repository; therefore, even after completing the doctoral course, the individual needs to notify to that effect.
6. Becoming aware of social responsibility
   The Science Council of Japan has released a statement concerning the “dual use of scientific research outcomes,” and according to its Code of Conduct for Scientists: Revised Version (January 25, 2013),“scientists shall recognize that there exist possibilities that their research results, contrary to their own intentions, may be used for destructive actions, and shall select appropriate means and methods as allowed by society in conducting research and publicizing the results” (Paragraph 6).Scientists need to be aware of their own social responsibility.

（Educational Affairs Division）