Thesis and Dissertation Guidlines
Thesis and Dissertation Guidlines
Thesis and Dissertation Guidlines
OF SCIENCE AND
TECHNOLOGY
2016
Table of Contents
1 INTRODUCTION ....................................................................................................... 1
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1 Introduction
This document provides only a brief introduction to all these topics. The candidate is
advised that much more information is available on the internet. When more detail is
needed, use a search engine such as Google to locate guidance for post-graduate students
on topics ranging from performing a literature search to using Microsoft Word to format
a Ph.D. thesis. Many universities maintain extensive notes on their library or writing
centre websites to aid post-graduate students, and these university-hosted websites can be
considered to provide reliable guidance.
Developing a research topic is a critical and difficult step in a research project. You must
formulate a research project that is original; that is, it must not have been previously
published. Equally important, the topic must be interesting because it makes forward
progress in the field. Finally, the research must be achievable using available resources.
With these constraints, developing a topic must be an iterative process. One cannot
simply choose a title and then set out to do a literature search. Instead, after choosing an
interesting general area for research, you will need to read widely to determine what has
already been achieved. As you read, you can start to formulate a possible topic, and then
will read more about that specific topic. It is likely that as you read more, you will find
that some topics will not be possible, and you will need to think of new ones.
In the very early stages of research, you will want to read introductory material such as
textbooks and even Wikipedia in order to learn basic concepts and vocabulary. But once
a topic is formulated, scholarly sources will need to be consulted.
In some cases, it may be possible to use a bibliographic database that specializes in the
field of research to find journal articles. For example, PubMed is useful for medical
texts; GeoRef is used by geoscientists; and Inspec is useful for physics. However, if you
do not have access to these databases, Google Scholar (scholar.google.com) may be used.
If you are new to this database, read about it by clicking on ‘about Google Scholar’ on
the home page. You should also read some articles about using Google Scholar (these
can be found through a Google search).
Once you have found some sources that look promising, then reading them carefully will
lead you to new sources. You will learn new facts and ideas that help you choose better
search terms to use in Google Scholar. Also, you will probably find that you need to read
the papers that cited by papers you’ve already found, since they will provide important
background to help you understand the field.
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However, if you only read papers that are cited by the papers you have already found,
you will quickly see that this chain only goes backwards in time. It is also important to
be able to go forwards in time to check for newer sources. Citation indexes are designed
to help you find articles that have cited the article you are reading. There exist
specialized citation indexes. If you do not have access to them, another option is to
locate the article of interest in Google Scholar and then click on ‘cited by’ in the Google
Scholar entry. You will now see a list of articles that have cited the article you have
already found.
Once you have found references to articles that may be useful, you will need to find
copies of those articles. Some papers are freely available on the internet, but others are
not. To obtain copies of the articles that are not free, there are three databases that will be
useful at MUST:
These databases will provide access to a very large set of journals. However, if you find
that there is an article that you cannot access in any database, one additional strategy is to
email an author (usually one is marked as the person to whom correspondence should be
addressed), introduce yourself; explain that you have limited access to journals in
Mbarara; and ask if it might be possible to receive a copy of the article by email.
Not all journals maintain high standards of peer review. Therefore, it can be helpful to
use journal rankings. You will find many journal ranking sites by entering ‘journal
ranking’ in the Google search box. Some sites are available only by subscription, and
you can check with the library whether MUST has access to these sites. Other sites are
free, and you can look at several to see how the journal is ranked in each. If a journal is
in the bottom quarter of journals in its field, or is not ranked at all, then you will know
that other scholars have not found articles in this journal worthy of citation.
Note that the journal ranking does not allow you to determine with certainty whether an
article is of high quality. Sometimes a poorly written article slips through the peer-
review process of a good journal, and other times an excellent article is published in a
lower ranked journal. Therefore, it is important to read widely and develop expertise so
that you can begin to evaluate articles yourself. When you recognize the signs of sloppy
work, you will choose not to use these articles.
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Finally, an article may be a reliable source for some information but not for other
information. For example, an article about developing software to track AIDS patients
may begin by stating the number of AIDS patients worldwide. However, since this
article is focused on treatment of AIDS and not quantification of AIDS, it should not be
cited as a source for the number of people living with AIDS. Instead, you might locate
the reference that this article cited when it gave the number, or you might go directly to a
more current and reliable source such as the World Health Organization.
Sometimes you will need information that is easier to find on a website than in a journal
article, such as the population of Uganda. In this case, you should look for the most
reliable sources, which are generally those that are published by a governmental or
intergovernmental agency such as the Uganda Wildlife Authority, the United Nations, or
the World Bank. You may also use recognized non-governmental authorities such as the
International Red Cross. However, remember that it is easy to come up with an
authoritative name and create a website, so just because a website looks and sounds
professional, you should not necessarily trust it. Additionally, be wary of papers written
by students that are posted to websites. A PhD thesis from a recognized institution may
be cited, but an undergraduate paper is not a reliable source.
As you read articles, you will be able to refine your search and reformulate your research
topic. Eventually, if you work carefully, you will have both a well-defined research
project and also a good start on the literature search section of your paper.
However, this work will be much less efficient if you fail to keep careful notes
throughout the process of searching the literature. Without notes, you will find yourself
going in circles, re-using the same search terms, wasting both time and internet access.
One good way to avoid this waste is to save all the search terms you in a document on
your computer. For example, if you are searching for articles on managing diabetes, you
might begin by entering ‘diabetes management’ in the search box in Google Scholar. At
this point, you should also open your record document and enter the date and these search
terms. Then note down how many pages of results you looked at, so that if you choose to
return to this search, you’ll know where to start. If any of the results you check look
promising, copy the bibliographic information into your document (note that you can
click ‘cite’ to obtain the citation information). And, finally, if you obtain the article,
there are two more essential steps: (1) Save the document to a folder on your computer,
giving it a descriptive file name such as the first author’s name and the year; and (2) in
the case that the article is not from the journal publisher’s website, record the complete
url where you retrieved the article. If you take these careful notes, then it will be easy to
compile the references section for your paper.
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2.6 Avoiding plagiarism
Many students think that plagiarism refers only to taking entire pages or chapters from
another source without attribution. However, this is not correct. Plagiarism occurs any
time that someone (1) uses someone else’s ideas or results without attribution; or (2) uses
someone else’s words without attribution. It is still plagiarism even if only one sentence
or one idea is borrowed.
Unintentional plagiarism can easily occur, and is a very serious offense that will result in
the paper being returned for corrections, or sometimes even failure. Plagiarism can be
avoided through careful record keeping and careful writing.
One strategy to avoid plagiarism is to start the writing process using only exact
quotations. For example, if a report on air quality published by the World Health
Organization makes a point that’s important to your paper, then you might begin by
including the entire paragraph (in quotation marks) in your draft paper:
As you further edit your paper, you may decide that you want to shorten this quotation,
and you could write:
Alternately, you may decide that, while you want to include these ideas, your paper will
be easier to read if you rephrase them.
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‘Air Quality Guidelines: Global Update 2005’ World Health Organization, Regional
Office for Europe. Retrieved from
http://www.euro.who.int/__data/assets/pdf_file/0005/78638/E90038.pdf
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Example that is not plagiarized because it rephrases the ideas in the
student’s own words, but still cites the source of the ideas:
Over time, air pollution developed into a more serious problem, especially
due to increased population density and increased use of fossil fuels. In
the 1950s, urban air pollution sometimes became bad enough to result in
clusters of deaths (WHO 2005).
All the previous uses of the material are correctly cited and are not plagiarism. However,
the following example is plagiarism:
In this paragraph, the entire phrase, ‘clean air legislation and actions reduced ambient air
pollution in many regions’ is exactly the same as in the original source. It is not enclosed
in quotation marks, so it appears that the student is claiming to have composed those
words. Simply citing the source does not prevent it from being plagiarism. If more than
a few words in sequence are borrowed from the source, then they must be in quotation
marks.
One point of style: if a several sentences use ideas or information from the same source,
the citations can become awkward:
The WHO report explains that at the present time, air pollution in large
cities in highly developed countries is mainly caused by vehicular traffic.
However, sixty years ago, when coal burning was common in urban areas,
there were periods of severe air pollution, sometimes resulting in spikes in
hospitalizations and deaths. Air quality improvement has been due both to
the reduction in coal burning and to the introduction of regulations on air
quality (2005).
The introductory phrase, ‘the WHO report explains,’ signals that information in all the
sentences up to the reference (2005) comes from the WHO report. Without that signal
phrase, the reader would assume that only the information in the last sentence came from
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the WHO report. Many other variations on this signal phrase are acceptable, such as
‘according to the WHO report’.
Note that one exception to the requirement of citing the source of ideas is if the ideas fall
into the category of ‘common knowledge’. For example, one is not required to cite a
source to state that the radius of the Earth is 6370 km or that in diabetes patients, high
blood sugar levels can lead to serious illness or death. A general rule is that if the
information appears in a textbook or in several independent sources (that have not
plagiarized from each other!) then it is common knowledge. However, a student may still
choose to cite a source for information that is common knowledge in order to aid the
reader who wishes to learn more about the subject.
A research proposal should give the necessary information for a reader who is
knowledgeable of the field to understand what the student is proposing to accomplish;
how the proposed research builds on and adds to the current state of knowledge; and what
tools, resources, and timeframe will be necessary to accomplish the research. A thesis or
dissertation should explain clearly what the student has accomplished and how it has
contributed to the field of research.
The proposal, thesis, and dissertation often follow a standard format that is discussed
below. This format is designed to ensure that the paper includes all necessary
information and that readers are able to easily find the information they seek. This
format is standard for many East African universities, but it is not standard in the rest of
the world, where the format is more flexible.
Depending on the exact nature of the content, the standard format may not be optimal. In
this case, flexibility in the formatting will best achieve the goals of the paper. For
example, some projects may require extensive discussions of theory before the research
problem can be understood, and this development of the theory may include a review of
the literature. In this case, the paper would include a theory section before the statement
of the problem, and there would not be a separate literature review chapter. For other
papers, once the research problem and objectives are explained, the justification and
significance of the research will be immediately obvious, so that a justification section
would be redundant and should be omitted.
Therefore, the following sections should be seen as useful guidance, but changes to the
format may be made with the approval of the research supervisor, and, if necessary, the
department chair. Additionally, faculties and institutes are encouraged to develop their
own additional guidelines that are appropriate to their disciplines.
In order to make obvious the parallels between the research proposal and the thesis or
dissertation, the sections of these papers are discussed together in this document. If a
section should be present in only one type of paper, then this is noted in the discussion.
To aid the student who would like a quick summary of these formats, sample tables of
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contents are provided in the appendices to this document. As discussed above, the exact
sections in the table of contents may vary based on the needs of the project.
One additional format exists for the thesis or dissertation: the paper-based format. This
format is discussed separately at the end of this document.
The proposal, thesis, or dissertation should be set in a standard typographic format, using
a standard font such as Times New Roman or Arial, or, in Latex, Computer Modern
Roman. The font size should normally be 12 point, although for a large font such as
Arial, 11 point may suffice. Use double line spacing except in the abstract and in block
quotations. Page numbers should be centred at the bottom of the page. Margins should
be at least 1 inch on each side, preferably 1.5 inches on the left side to allow for the
binding.
Normally the proposal will be under 20 pages; a master’s dissertation will be in the range
of 50 – 150 pages; and a Ph.D. thesis will be in the range of 100 – 300 pages.
The title should be carefully chosen to capture the scope and content of the study.
Normally it should not be longer than thirty words. The cover page is not numbered.
The preliminary pages should be paginated in lowercase Roman numerals, starting with
(i) for the first page after the cover page. The following pages may be included, as
appropriate.
3.2.1 Declaration
The format for the declaration is below. The candidate signs to indicate that the work
contained in the thesis/dissertation is his/her original work and has not been published or
submitted to any institution for an award. This page is not included in a proposal. It can
follow the format below.
Declaration of Authorship
The work presented in this thesis/dissertation is the result
of my original research work. Where I have used the works
of other persons, due acknowledgements are clearly stated.
No portion of this work has been submitted in support of an
application for a degree or qualification to any other
university or institute of higher learning. I present it
without any reservations for external examination.
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Name……………………………..
Signature………………………… Date……………
3.2.2 Approval
The format for the approval is below. The supervisor(s) sign(s) to indicate that the work
is approved to be sent for review. This page is not included in a proposal. It can follow
the format below.
Approval
Name……………………………………………..
Qualifications……………………………………………
Signature…………..……….…. Date……………….
3.2.3 Dedication
3.2.4 Acknowledgement
The table of contents should include the preliminary pages but not the cover page.
Students are strongly advised to use the word processor’s built-in capability of creating
the table of contents. Include the appendices (if any) in the table of contents. See sample
tables of contents in the appendices of this document.
The abbreviations used in the paper should be listed in alphabetical order. Note that the
list should be kept as short as possible in order to prevent unnecessary work for the
reader. A general guideline is that if a term is not used more than three times in any
chapter, then it should not be abbreviated. Exceptions can be made for cases where the
abbreviation may be more familiar than the full name, such as UNICEF. Once the paper
is complete, use the ‘search’ command to ensure that all abbreviations listed are used in
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the paper, and re-read the paper carefully to ensure that all abbreviations used in the
paper are included in the list.
3.2.8 Abstract
The abstract should be a brief description of the entire work, suitable to be published
separately from the paper. The abstract for a proposal will not normally include any
results, but the thesis and dissertation should include the most significant results and
conclusions. It should be single-spaced, normally under 300 words, and never exceeding
one page. The abstract for completed theses and dissertations will be submitted
separately for publication on the MUST website.
3.3 Body
The main body of the work should be double spaced and paginated in Arabic numerals
separately from the preliminary pages.
3.3.1 Introduction
The introduction should give sufficient information for the reader to understand the
research question and its importance. In some fields, providing this understanding may
require significant development of theories, so that the introduction will be expanded
from the guidelines below. In other fields, the following subsections may be sufficient.
Students are encouraged to discuss with their advisers the possibility of modifying this
list as required to best achieve the goals of the introduction.
Background: the background to the study provides sufficient information for the reader to
understand the topic of investigation and its importance.
Statement of the problem: describes the overall problem that motivates research in this
area.
Aim: states the target of the research. It is also sometimes called the purpose, goal, or
main objective.
Objectives: are specific targets that must be achieved in order to accomplish the main
target of the research study. They are sometimes called the specific objectives. To the
extent possible, the objectives should be specific, measurable, and achievable.
Significance or justification: describes the benefits that will result from the aim being
achieved.
The literature review should make clear how the proposed research builds on and adds to
the current state of knowledge. If the candidate has carefully used the published
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literature to develop a research topic as described in the first chapter, the literature review
will be easy to write. Note that simply describing previously published works is not
sufficient; your paper should make clear how previous work informs your current work.
The materials and methods section should discuss issues such as the research design,
study population, research site, sampling procedure, sample preparation, data collection,
data analysis, and all other relevant information. Choices made in each of these areas
should be explained. This section should also make clear if ethical clearance is required.
In the completed thesis or dissertation, the materials and methods section should give
sufficient detail to enable follow-up by another researcher. If some procedures are very
detailed, an appendix can be used.
The time frame is required only for the proposal, not for the thesis or dissertation. It
should follow a tabulated format shown in Appendix E.
3.3.5 Budget
A research proposal budget should follow the format provided in Appendix F. Theses
and dissertations should not include a budget.
When possible, this chapter should be organized in the same order as the objectives. It is
acceptable to write separate chapters for each objective. A proposal does not include
results, analysis, or discussion.
This chapter should draw conclusions from the work and, if appropriate, make
recommendations for follow-up work. A useful guideline is that it should be possible for
a reader to skip directly from the introductory chapter to the conclusions and
recommendations and still obtain an overall sense of the work. A proposal does not
include conclusions or recommendations.
3.4.1 References
The most important factors in formatting the references are that (1) it must be possible for
the reader to find the work being referenced based on the information provided, and (2)
the formatting should be internally consistent in terms of punctuation, italicization,
ordering of items, etc. The candidate should also check carefully to ensure that all works
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cited in the text are listed in the references, and all works listed in the references are cited
in the text.
There are many different formats for references, and each faculty and institute is
encouraged to choose an appropriate format for its discipline. In the absence of guidance,
the student and research supervisor should choose a style and use it consistently. To
obtain current information on styles prefered by each field, it may be helpful to enter the
following into the Google search box, ‘field PhD thesis reference style’ where ‘field’
would be replaced by the area of research, such as ‘management’ or ‘chemistry’. Many
university libraries and writing centres maintain extensive lists of style guidelines for
different fields.
Once a style is selected, then an additional Google search will aid in finding guidelines
for using the style. The search may be customized for specific types of references, such
as ‘APA style online resource’.
3.4.2 Appendices
Appendices can be used to include information such as data tables and lengthy
derivations that may be useful to some readers but that would disrupt the flow of the
paper if it were included in the main body.
The paper-based dissertation/thesis may be used with the permission of the supervision
team. For a PhD thesis, a minimum of 3 publications or accepted manuscripts are
required. At least 2 should be in well-regarded peer-reviewed journals. A third may be
published or accepted in an edited and peer-reviewed conference proceedings. Masters
dissertations require 1 publication or accepted manuscript in a well-regarded peer-
reviewed journal. The journals should be in the candidate’s field of study. The candidate
should be the first and corresponding author of all publications.
Many of the sections in the paper-based dissertation/thesis are the same as in the standard
format. The sections are listed below, and the ones that are different from the standard
format are then explained. Optional sections are in brackets.
Cover page
Preliminary section
Declaration
Approval
(Dedication)
(Acknowledgement)
Table of contents
Lists of figures, tables, plates, and maps (this list should not include those that
appear only in the publications)
List of abbreviations (this list should include those abbreviations used in the
publications)
Abstract
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List of publications included in the thesis or dissertation
Introduction
Results
Discussion
Conclusions and recommendations
References (not to include those that are cited only in the publications)
(Appendices)
Publications
Introduction:
The introduction will include background information, literature review, research
questions, objectives, and additional discussions of materials and methods that are not
sufficiently discussed in the publications. It is acceptable to divide these sections into
separate chapters.
Results:
The results section does not need to fully repeat the results from each of the papers, but
should attempt to summarize the results for the benefit of the reader.
Publications:
Each of the publications should appear in its pubished form. If it has been accepted but
not yet formatted for printing, then it can be formatted in the style of the rest of the thesis
or in the form in which it was submitted. The student is responsible for obtaining any
required permissions from the publisher and co-authors to reproduce the work.
Appendices:
If any of the papers have co-authors, then written communication from each co-author
should clarify his or her contribution to the papers. These letters should be included in an
appendix. Additional appendices can also be included if necessary.
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APPENDIX A: Title page of a research proposal or thesis/dissertation
(proposal)
For a Thesis in Partial Fulfillment of the Requirements Leading to
the award of Master of Science in Physics of Mbarara University of
Science and Technology
(thesis/dissertation)
Thesis/Dissertation Submitted in Partial in Fulfillment of the
Requirements for the Degree of Doctor of Philosophy in Physics of
Mbarara University of Science and Technology
Supervisor:
Dr David Besigye
June 2017
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APPENDIX B: Sample table of contents of a proposal.
The exact formatting, sections, and ordering may vary. Note that the cover page is not
included in the table of contents.
TABLE OF CONTENTS
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APPENDIX C: Sample table of contents of a traditional dissertation or thesis.
The exact formatting, sections, and ordering may vary. Note that the cover page is not
included in the table of contents.
TABLE OF CONTENTS
DECLARATION ...................................................................................................... i
APPROVAL ............................................................................................................ ii
DEDICATION .......................................................................................................iii
ACKNOWLEGEMENT......................................................................................... iv
TABLE OF CONTENTS ........................................................................................ v
LIST OF TABLES ................................................................................................. vi
LIST OF FIGURES ............................................................................................... vii
LIST OF ABBREVIATIONS ..............................................................................viii
ABSTRACT ........................................................................................................... ix
CHAPTER ONE: INTRODUCTION ..................................................................... 1
1.1 Background........................................................................................................ 3
1.2 Problem statement ........................................................................................... 11
1.3 Aim .................................................................................................................. 15
1.4 Objectives ........................................................................................................ 16
1.5 Scope ............................................................................................................... 17
1.6 Justification...................................................................................................... 18
CHAPTER TWO: LITERATURE REVIEW AND THEORY............................. 20
2.1 Early investigations ......................................................................................... 21
2.2 .......................................................................................................................... 23
2.3. .............................................................................................................................
2.4.
CHAPTER THREE: MATERIALS AND METHODS ....................................... 46
3.1. Sample collection ........................................................................................... 46
3.2 ........................................................................................................................ 48
3.3 ......................................................................................................................... 51
CHAPTER FOUR: RESULTS, ANALYSIS AND DISCUSSIONS........................
4.1. Results ............................................................................................................ 68
4.2. Data analysis ................................................................................................... 75
4.3. Discussion....................................................................................................... 86
CHAPTER FIVE: CONCLUSIONS AND RECOMMENDATIONS.................. 93
5.1. Conclusions .................................................................................................... 93
5.2. Recommendations ........................................................................................ 102
REFERENCES .................................................................................................... 113
APPENDIX A: RAW DATA .............................................................................. 119
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APPENDIX D: Sample table of contents of a paper-based thesis or dissertation.
The exact formatting, sections, and ordering may vary. Note that the cover page is not
included in the table of contents.
TABLE OF CONTENTS
DECLARATION ...................................................................................................... i
APPROVAL ............................................................................................................ ii
DEDICATION .......................................................................................................iii
ACKNOWLEGEMENT......................................................................................... iv
TABLE OF CONTENTS ........................................................................................ v
ABSTRACT ........................................................................................................... vi
LIST OF PUBLICATIONS INCLUDED IN THE THESIS ................................. vii
CHAPTER ONE: INTRODUCTION ..................................................................... 1
1.1 Background........................................................................................................ 3
1.2 Literature review ............................................................................................. 11
1.3 Research questions .......................................................................................... 15
1.4 Objectives ........................................................................................................ 16
1.5 Materials and methods ..................................................................................... 17
CHAPTER TWO: RESULTS ............................................................................... 20
CHAPTER THREE: CONCLUSIONS AND RECOMMENDATIONS.............. 30
CHAPTER FOUR: PUBLICATIONS .................................................................. 36
Paper 1 (give title) ................................................................................................. 37
Paper 2 (give title) ................................................................................................. 45
Paper 3 (give title) ................................................................................................. 55
APPENDIX A: LETTERS FROM COLLABORATORS .................................... 68
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APPENDIX E: Sample timeframe for a research proposal
Time Period
Activity Aug-Nov Dec 2016 Jan-Jun 2017 Jul-Aug 2017 Sep-Dec 2017
2016
Proposal ***
writing
Presentation ***
and
approval
Analysis ***
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APPENDIX F: Sample budget for a research proposal
A: Stationery
Sub-total 104,000
B: Consumables
Sub-total 1,250,000
C: Field Trips
Sub-total 8,700,000
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