Adama Science and Technology University

Vice President for Academic Affairs

Office of Postgraduate Studies (OPS)

Guideline for Postgraduate Studies

June 2017
ASTU
 ACKNOWLEDGEMENTS

It is our gratitude to acknowledge Adama Science and Technology University top

management and school deans for their unreserved cooperation in realizing the national

workshop conducted on enrichment of postgraduate guideline document and later on its

official endorsement.

We also express our deepest thanks to ASTU”s school Associate Deans for Research and

Technology Transfer for their active participation in ad hoc committee that was established to

prepare the guideline that include: Dr. Zelalem Biru, Dr.Legesse Lemecha, Dr. Mekuria

Abera, Mr.Girma Debele and Mr.Tesfaye G/Michael as well as the central coordinators: Dr.

Teshome Abdo, Dr Boja Mekonneen, Dr. Amenu Oljirra, Dr Getachew B /meskel and Mr

Roba Gemechu.

Lastly, the office of postgraduate studies also extends its thanks to all others who have

contributed for the successful completion guideline preparation.

Office of Postgraduate Studies

Adama, Ethiopia

June 2017
 TABLE OF CONTENTS

CONTENTS PAGE

Chapter 1: Introduction..............................................................................................1
1.1 Background…………….............................................................................................1
1.2 The Need for Preparing the Guideline……………………………………………....1
1.3 Objectives of the Guidelines.......................................................................................2
1.3.1 General Objective....................................................................................................2
1.3.2 Specific Objectives (In progress) ............................................................................2
1.4 Organizational Structure of offices and committees in charge of postgraduate
Studies...............................................................................................................................2

Chapter 2: Duties and responsibilities of academic officers in charge of

Office of postgraduate studies..................................................................................3
Article 1: Duties and Responsibilities of the Dean for OPS ............................................3
Article 2: Duties and Responsibilities of the Associate Dean for OPS............................ 3
Article 3: Duties and Responsibilities of School Associate
Dean for Academic Affairs............................................................................................. 4
Article 4: Duties and Responsibilities of Program Graduate Committee (PGC) .............5
Article 5: Duties and Responsibilities of PGC Chairperson..............................................5
Article 6: Duties and Responsibilities of the Program Chair ...........................................6
Article 7: Duties and Responsibilities of Thesis Advisors and
Dissertation Supervisor....................................................................................................6
Article 8: Duties and Responsibilities of Postgraduate Students.....................................8
Article 9: Duties and Responsibilities of PhD Supervisory Committee
/Doctoral committee/……………………………………………………………………8

Chapter 3: Masters programs.................................................................................10

Part I. Admission to Master’s Programs.........................................................................10
Article 10: General Admission Provisions......................................................................10
Article 11: Specific Admission Provisions......................................................................10
Article 12: Procedures for Admission............................................................................11
Article 13: The Case of Joint Programs ........................................................................13
Article 14: Provisional Admissions ...............................................................................13
Part II. Thesis Proposal Writing ....................................................................................13
Article15: Procedures for Topic selection and Proposal Approval ...............................13
Article 16: Components of a Research Proposal.......................................................... 14
Article 17: Sequence of Content for Thesis Proposal................................................... 17
Article 18: Page Format: .............................................................................................. 18
Article 19: Numbering: ............................................................................................... 18
Article 20: Final Submission........................................................................................ 18
Part III. Thesis writing and reporting......................................................................... 19
Article 21: Preliminary Section .................................................................................. 19
Article 22: Main body of the report ............................................................................ 20
Article 23: Reference.....................................................................................................22
Article 24: Standard format for Reporting ....................................................................24
Article 25: Headings .....................................................................................................25
Article 26: Pagination................................................................................................... 25
Article 27: Proof Reading..............................................................................................25
Article 28: Binding and Submission .............................................................................25
Article 29: Thesis Progress Report ................................................................................26
Article 30: Procedures for Thesis Submission ..............................................................26
Part IV. Master’s Thesis Evaluation ..............................................................................26
Article 31: Requirements and Procedures for Master’s thesis examination ..................26
Article 32: Decision .......................................................................................................27
Article 33: Final submission-after thesis defense ..........................................................28
Article 34: Graduation....................................................................................................29

Chapter 4: PhD programs.......................................................................................30

4.1 Regular PhD program………………………………………………………...30
Part I. Admission to PhD Programs ..............................................................................30
Article 35: General Admission Provisions ....................................................................30
Article 36: Specific Admission Provisions ………………………………………........30
Article 37: Procedures for Admission.............................................................................31
Article 38: The Case of Joint/sandwich Programs .........................................................32
Article 39: The study plan...............................................................................................33
Article 40: Agreement ....................................................................................................33
Article 41: Duration of Study..........................................................................................33
Article 42: Course work and grading..............................................................................34
Part II. Dissertation Proposal Writing..............................................................................34
Article 43: Procedures for Topic selection and Proposal Approval.................................34
Article 44: Components of a Research Proposal..............................................................35
Article 45: Sequence of Content for Dissertation Proposal ............................................38
Article 46: Page Format: .................................................................................................38
Article 47: Numbering: ....................................................................................................39
Article 48: Final Submission ...........................................................................................39
Part III. Dissertation Writing and Reporting....................................................................39
Article 49: Preliminary Section .......................................................................................39
Article 50: Main body of the Dissertation .......................................................................41
Article 51: Reference........................................................................................................43
Article 52: Standard format for Reporting .......................................................................45
Article 53: Headings .........................................................................................................46
Article 54: Pagination........................................................................................................46
Article 55: Proof Reading..................................................................................................46
Article 56: Binding and Submission .................................................................................46
Article 57: Dissertation Progress Report ..........................................................................47
Article 58: Procedures for Dissertation Submission .........................................................47
Part IV. PhD Dissertation Examination ...........................................................................47
Article 59: Procedures and Requirements for Doctoral Dissertation Examination ..........48
Article 60: Decision ..........................................................................................................49
Article 61: Final Submission-After Dissertation defense .................................................51
Article 62: Graduation.......................................................................................................51

4.2. Ethio-German Homegrown PhD by Research Program.............................52

Article 63. General Rules ..................................................................................................52
Article 64. Co-ordination ...................................................................................................53
Article 65. Approval of Candidates and Admission Procedure .........................................53
Article 66. Duration of the Program....................................................................................54
Article 67. Visiting an External Supervisor who is Abroad................................................55
Article 68. Sponsorship, Funding, and Scholarships ..........................................................55
Article 69. Study Rules…………………………………………………………….…..….55
Appendix ………………………………………………………………………..………...56
 Chapter 1: Introduction
1.1 Background
Currently, to realize the mission bestowed by the Ethiopian government, particularly Ministry of
Science and Technology, Adama Science and Technology University (ASTU) has formulated a
vision of being the first choice in Ethiopia and a premier center of excellence in applied sciences and
technology in Africa by 2030. Mainly it has geared its main academic endeavor to research and
postgraduate studies than ever before.
In this regard, the university has taken great strides towards introducing new postgraduate programs
and developing standardized postgraduate curricula for both masters and PhD programs. In the
2016/17 academic year the new curricula have been prepared for fifty new Master’s Programs in
fifteen programs of engineering and applied natural science schools of ASTU and fifteen programs
were launched. Similarly, in the second semester academic year 2016/17 twelve new regular PhD
programs have been identified and their curricula were waiting for senate endorsement after
critically reviewed through national curriculum review workshop.
On the other hand, all these fundamental changes in line with postgraduate affairs should be guided
by one centrally set guideline which incorporates all rules and standards used to realize education
and research quality and also maintain uniformity across all schools and programs in ASTU. It is
with this intention that this comprehensive Postgraduate Guideline was initiated and developed. This
guideline basically consists of five major parts: Part I Introduction which embraces rationale,
objectives and significances of the guideline as well as organizational structure of different offices in
charge of postgraduate programs, Part II deals with duties and responsibilities of different central,
school level and program level offices and committees. Part III is treating all academic issues and
research endeavors related to Master’s programs from admission to graduation. Part IV discusses all
academic issues and research endeavors related to regular PhD programs from admission to
graduation. Lastly part V briefly presents how to handle currently introduced Homegrown PhD by
research programs. These five major parts were again classified into 77 articles.
1.2. The Need for Preparing the Guideline
By now, in ASTU, there is no separately set comprehensive, up-to-date, well-structured and
officially endorsed postgraduate guideline which serves as centrally binding document. This has led
to lack of clear demarcation of duties and responsibilities among various parties involved in the
program, lack of clear information for all stakeholders particularly students, instructors and invited
guests. Therefore, this document is initiated by office of postgraduate studies and prepared to vividly

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 indicate duties and responsibility of each party involved in the program and also to incorporate all
necessary rules and regulations of postgraduate programs from admission to graduation.
1.3. Objectives of the Guidelines
1.3.1. General Objective
The general objective of the guideline is to provide a standardized and harmonized rules and
regulations which provide adequate information to all stakeholders so as to maintain quality
postgraduate education and research in ASTU.
1.3.2 Specific Objectives
The specific objectives of the guidelines are:
 To create a sense of accountability, responsibility and transparency at all levels with respect to
postgraduate affairs
 To establish uniform working procedures pertaining to postgraduate studies
 To provide quick reference to all stakeholders in charge of postgraduate studies
 To create clarity in handling postgraduate programs by avoiding confusion
 To realize provision of quality postgraduate education through support and close supervision
 To provide good customer service by setting appropriate procedures
1.4. Organizational Structure of offices and committees in charge of postgraduate
Studies
Briefly the organizational structure of PG studies has been shown in the Figure below.

VPA

DGAA Schools

OPS SADAA

ADOPS
Departement

DGC
Figure 1. Duties and Responsibilities of different offices and
Committees in charge of postgraduate programs

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 Chapter 2: Duties and Responsibilities of Academic Officers in different offices
and committees in charge of postgraduate programs
This part is composed of eight articles which elaborate the specific duties and responsibilities of the
Dean for OPS, Associate Dean for OPS, the School Associate Deans for Academic Affairs
(SADAA), the DGC and its chairperson, the program chairs, the thesis/dissertation
advisors/supervisors and the graduate students.
Article 1: Duties and Responsibilities of the Dean for OPS
He/she is accountable to the Director General of Academic Affairs (DGAA) and has the following
duties and responsibilities:
1. Prepares and presents strategic plans of the OPS program and the annual to the Director General of
Academic Affairs;
2. Ensures effective implementation of the planned activities of the office;
3. Takes appropriate actions regarding programs, candidates or other academic matters, in consultation
with the respective schools;
4. In cooperation with the Registrar, issues directives pertaining to registration, record keeping and the
like for graduate programs and ensures their implementation;
5. Submits quarterly reports to the DGAA and makes any recommendations thereof to the DGAA and
other appropriate bodies of the University;
6. Makes recommendations for the strengthening, development and commencement of new PG
programs.
7. Facilitates the initiation of introducing new inter-disciplinary and multi-disciplinary postgraduate
programs;
8. Approves different payment for PG related issues when requested centrally
9. Set necessary guidelines, standards, criteria’s and so on centrally in relation to postgraduate
programs;
10. In collaboration with DGAA or Vice President for Academic Affairs shall make cooperation with
other local higher learning institutions, industries, research centers and ministries to share
experiences and strengthen the postgraduate programs with national and international;
11. Supervises all activities of the PG programs across the schools;
12. Performs any other duties that may be assigned by the DGAA or Vice President for Academic
Affairs and the Senate.
Article 2: Duties and Responsibilities of the Associate Dean for OPS
He/she is accountable to Dean of OPS, and has the following duties and responsibilities:
1. Supervises all activities of the PG programs across the schools;
2. Coordinates announcement, entrance examinations and screening of candidates for graduate studies
across schools;
3. Follows up and monitors proposal & thesis/dissertation defense at program and school levels;

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4. Identify all academic problems related to graduate studies and makes follow up for corrective
measures at university level;
5. Develops guidelines governing graduate program along with schools as required;
6. Supervises graduate programs course offerings and progresses of thesis and dissertation of graduate
students across schools;
7. Organizes report and submits to OPS Dean on issues pertaining to postgraduate programs on
quarterly basis;
8. Undertakes periodic evaluation and assessment of graduate programs across schools in collaboration
with office of Academic Standards and Quality Assurance;
9. Supervises the uniform implementation of the rules governing the assignment/appointment of
advisors and Examination across schools;
10. Organizes the enrolment data of graduate lists and the academic staff profile conducting
postgraduate programs.
Article 3: Duties and Responsibilities of School Associate Dean for Academic Affairs
He/she is accountable to respective School Dean, and has the following duties and responsibilities:
1. Supervises all activities of postgraduate programs;
2. Prepares periodic reports on PG activities and submits the same to the School Dean and/or OPS;
3. Organizes the preparation of entrance examinations, and screening of candidates for graduate
programs in the school;
4. Facilitates common resources (class room, transportation, etc.)for postgraduate programs across the
programs in the school;
5. Organizes and schedules proposal & thesis/dissertation defense, seminars and other related cross
cutting activates at school level;
6. Propose any possible inputs contributing to the quality of postgraduate programs in collaboration
with Associate Dean for Research and Technology Transfer (particularly in relation to research
facilities, research fund and quality of research outputs);
7. Identifies any academic problems related to graduate programs and makes corrective measures in the
schools along with OPS;
8. Supervises graduate programs course offerings and thesis/dissertation proposals of graduate students
at school level;
9. Organizes report and submits to School Dean or OPS committee on issues pertaining to postgraduate
programs on quarterly basis.
10. Undertakes periodic evaluation and assessment of graduate programs of the school;
11. Supervises the uniform implementation of rules governing the assignment/appointment of
advisor/examination Board members at school level;
12. Organizes the enrolment data of the graduate students and the academic staff profiles at school level.
Article 4: Duties and Responsibilities of department Graduate Committee (DGC)
The DGC shall be composed of the Program Chair as Chairperson and at least three staff members
but not exceeding five with the rank of Assistant Professor or above to be elected as the program

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 graduate committee. The DGC is accountable to the Program Chair and has the following duties and
responsibilities:
1. The PGC shall formally recommend or assign a major advisor to supervise the work of the candidate
as per ASTU Senate Legislation;
2. Approves a research advisor with minimum academic rank ( assistance professor and associate
professors for masters and PhD programs respectively) for each graduate student;
3. Recommends members of Examining Board for thesis, dissertation and other qualifying
examinations for approval by the school Dean/OPS;
4. Organizes any review process at program level and approves thesis/dissertation proposal submitted
by graduate students under the supervision of their academic advisors;
5. Assigns course instructor to the approved postgraduate program courses;
6. Undertakes periodic evaluation and assessment of the existing graduate programs, and supervises the
implementation of the decision of the school;
7. Ensures a uniform implementation of rules governing the assignment/appointment of
advisors/Examination Board members as well as their functions.
Article 5: Duties and Responsibilities of DGC Chairperson
1. The DGC chairperson is the official representative of the program to its graduate students. The PGC
chairperson oversees all graduate students enrolled in his/her program and serves as the chief liaison
with program. Programs are expected to provide counseling on all aspects of the program and any
conflict situations that may arise, and stay informed of students’ research activities and progress;
2. The DGC chairperson is responsible for ensuring that students receive proper supervision and that
the students are aware of all program requirements, degree regulations and other general regulations
of the program. The chair is also charged with ensuring that students conduct their research in a
manner that is as effective, safe and productive as possible. Coordinate other activities as per ASTU
senate legislation.
3. He/She ensures timely implementation of the program according to already set rules and regulations
of the University regarding postgraduate programs;
4. He/She sets agenda on postgraduate program issue and chairs the Program Postgraduate Committee.
Article 6: Duties and Responsibilities of the Program Chair
The program chair is accountable to School Dean and has the following duties and responsibilities:
in relation to postgraduate programs as per ASTU senate legislation
1. Supervises all activities of the postgraduate programs in the program;
2. Approves and reviews grades and status of postgraduate students;
3. Prepares periodic reports on the postgraduate program’s activities and submits the same to the
school;
4. Approves a research advisor for each graduate students as recommended by DGC;
5. Approves members of Examining Board for thesis/dissertation and other qualifying examinations as
recommended by the PGC;
6. Facilitates the review of thesis/dissertation proposal along with PGC;

5
7. Identifies and seeks solution with the concerned authority all academic problems that concern
graduate programs at all level;
8. Facilitates graduate program course offerings and thesis proposal review of graduate students;
9. Periodically assesses and evaluates existing postgraduate programs in the program;
10. Implements the decisions of the OPS;
11. Ensures a uniform implementation of the rules governing the assignment/appointment of
advisors/Examination Board members as well as their functions;
12. Accomplishes all other duties assigned by the school dean related to postgraduate programs.
Article 7: Duties and Responsibilities of Thesis Advisors and Dissertation Supervisors
1. The advisor shall be with a minimum academic rank of assistant professor or equivalent rank (senior
researcher from recognized research institute); The supervisor shall be with a minimum academic
rank of associate professor;
2. In addition to the major advisor/supervisor, there can be a co-advisor/co-supervisor to support the
major advisor and the candidate. The co-advisor/co-supervisor must possess master degree and rich
experience in the envisaged research area. Advisor/supervisor selection, assignment and number of
advisees per advisor/supervisor should be in accordance of senate legislation; In PhD program a co-
supervisor for PhD candidate shall be assistant professor with PhD degree.
3. The major advisor/supervisor and the co-advisor/co-supervisor can be from program/school or
outside the program or school in which the candidate is registered, and may be from another
university or from outside the university system, who is having appropriate competence and
experience;
4. The major supervisor with DGC and in consultation with PhD scholar appoints a co-advisor.
5. For good reason, which may include the existence of a dispute between the candidate and a member
of the advisors/ supervisors, the PGC may replace a major advisor/ supervisor and co-advisor/co-
supervisor. If the school dean is the advisor/ supervisor with whom the student is in dispute, the
matter shall be addressed by the office of postgraduate studies;
6. Thesis advisors (dissertation supervisors) oversee the research undertakings of graduate
students/candidates in a manner generally set out through the practices and traditions of their
disciplines and academic program. To ensure mutually compatible expectations, advisors/supervisors
should discuss with students/candidates the general nature of their working relationship early in the
developmental stages of their collaboration.
7. Advisors/supervisors shall be available to students on a reasonable basis for consultation and
discussion of thesis/dissertation progress of the thesis/dissertation and issues related to research.
They shall provide timely comments on written material submitted by students/candidates and this
would include comments on the advisability of submitting thesis for examination as per ASTU
senate legislation;

6
8. Advisors/supervisors shall make appropriate arrangements for students when they go on sabbatical
leave or are on extended absence. In addition, the advisor/supervisor shall play an active role in
seeking to ensure the availability of basic resources required for the research;
9. The advisor/supervisor shall fully inform the student/candidate all contractual obligations (s), as they
may pertain to the student, which may affect the public defense and/or publication of a student’s
thesis/dissertation;
10. When a thesis/dissertation is accepted with major modifications, it is the responsibility of the
advisor/supervisor to demonstrate to the Examining Committee that the required modifications have
been made. The advisor/supervisor should inform the chair and the program in writing that the
modifications have been incorporated;
11. If the advisor/supervisor wishes to withdraw from supervising a student, the advisor/supervisor
should demonstrate justifiable reasons and it should be communicated to the chair and the student in
writing;
12. The advisor/supervisor has the responsibility to act in a manner which conforms to the basic
principles of natural justice, academic integrity and professionalism and to manage in a similar
manner, conflict situations which may arise in the relationship with the student;
13. The advisor/supervisor must submit twice per semester/quarterly student progress report to their
respective program respectively;
14. In all cases, whether the thesis/dissertation work is being done at ASTU or elsewhere, it is the
responsibility of the major advisor/supervisor to ensure that there is a satisfactory means of
communication between the student and the co-advisor/co-supervisor during the course of the thesis
work.
Article 8: Duties and Responsibilities of Postgraduate Students
1. The postgraduate students are responsible for presenting their work and meeting contractual
obligations in a timely fashion and for maintaining regular contact and meeting with
advisors/supervisor. They are also required to complete a postgraduate students in minimum twice
per month their progress report;
2. Students should submit thesis/dissertation to their advisors/supervisor before submission for final
examination;
3. Students shall have right to communicate with staff members for advisor/supervisor ship. PGC may
confirm and endorse the proposed advisor/supervisor to the students;
4. Students should have a rational ground for wishing to change an advisor/supervisor or members of
Examining Committees; they should submit a written request outlining the reasons directly to the
PGC chairperson. The chair presents the case to the PGC, which is responsible for the final decision,
within two weeks;

7
5. Postgraduate students have the duty to act in a manner which conforms to basic principles of natural
justice, academic integrity and professionalism and to manage in a similar manner, conflict situations
which may arise in the relationship with advisors/supervisor;
6. Postgraduate students should make themselves aware of rules and regulations on proper citation,
including copyright and intellectual property regulations to avoid representing as their own work the
work of another as this will result in a severe charge of plagiarism.
Article 9: Duties and Responsibilities of PhD Supervisory Committee /Doctoral Committee/
1. The DGC establishes potential supervisory committee most closely specialized in the research area
of PhD scholar.
2. The major supervisor in consultation with department chair identifies and recommends the members
of the supervisory committee to the DGC.
3. The major supervisor and co-supervisor (if any) shall be members of supervisory committee
4. The Supervisory Committee should be appointed not later than the first year after the student has
been admitted to the PhD program.
5. The committee must have a minimum of four members, one of whom should be from outside the
department. In case if there are no co-supervisor members from the inside shall be two in number.
6. All committee members should have a position of associate professor or at least PhD degree.
7. The DGC communicate to the proposed members and request for their confirmation. After getting
their confirmation of willingness to act as member of supervisory committee, the DGC requests the
School Dean to issue letter of appointment to the members.
8. The supervisory committee should meet as early as possible to review student’s background, for the
proposed research and to discuss student’s expected research areas and provide guidance.
9. All committee members have been assisting and following the candidate in proposal writing and
dissertation writing.
10. The supervisory committee must meet at least twice every year to evaluate student research progress
and to provide necessary comments.
11. The major research supervisor shall be the chairman of supervisory committee
12. Every six month, commencing from the date of registration, the student shall submit and present the
progress report to supervisory committee and to DGC.
13. The committee should make sure that all course work and seminar are completed by the student.

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 Chapter 3: Masters Programs
Part I. Admission to Master’s Programs
This part of the document is entirely devoted to issues related to application and requirements for
admission to the Master’s Program. It is composed of five articles.
Article 10: General Admission Provisions
A student who has a high scholastic standing, with professional experience is eligible to apply for
postgraduate program. Detail admission requirements are given hereunder.
1. All students applying to join ASTU in the master’s program shall sit for written entrance
examination prepared by respective program.
2. A minimum of five Masters Students shall be admitted in any program.
3. Maximum number of postgraduate students assigned to an academic staff for advisory shall not
exceed eight for all years. Therefore, the maximum number of students admitted to specific program
shall be determined by number of academic staff available, availability of space, resource and
demand for training.
4. Office of Postgraduate Studies shall approve matching of accepted Masters Students with number of
available academic staff before getting registered.
5. The OPS through discussion with concerned schools may, from time to time, include additional
admission requirements in conformity with the university’s rules and regulation. These may be of
general application or may pertain to specific programs of graduate studies.
6. Any well-qualified person with a bachelor’s degree from an accredited institution of higher learning
or with equivalent international education may apply for admission to the master’s program.
7. Foreign applicants sitting for entrance examination, submit results of GRE/TOEFL/ELTS or
equivalent, language proficiency examination (for applicants whose high school and undergraduate
medium of instruction is not English, etc.)

9
 Article 11: Specific Admission Provisions
1. Applicants who meet the following requirement shall be eligible for admission to the master’s
program of respective field of study.
1.1 Academic requirements:
a) An applicant to Master’s program shall possess BSc/BA/MBA degree in respective field of study
and rate at least “good” (C) in his/her undergraduate senior project/seminar/ senior essay.
b) An applicant shall score a cumulative grade point average of at least 2.5 for female and 2.75 for
male.
c) An applicant should fulfill other possible additional criteria set by respective program/school which
is not violating these centrally governing criteria.
1.2 General requirements:
a) All university-wide non-academic requirements for admission to Master’s program in ASTU shall
apply as stipulated in the university senate legislation.
b) An applicant requires acceptable recommendation letter from two referees of his/her previous higher
learning institution.
2. The selection of applicants shall be made based on the academic achievement and other related
criteria indicated in the below.
3. Selection criteria shall be weighted appropriately and shall be subjected to the approval of Program
level graduate committee.
4. Incase if male and female applicants are in equal status, female applicants shall be favored as an
affirmative action.
5. Pass mark for acceptance to master’s program is 60% and above to all field of study.
6. In case if large number of applicants fulfills the pass mark, respective Program/School shall
determine the cut-point to accept maximum number of students matching the existing academic
staff and other available resources.

Table 1: Selection Criteria

N Criteria %
O
1 CGPA 30
2 Written entrance examination 60
4 Related field of specialization 5
5 Recommendations 5
Total 100%

Note: The CGPA of every applicant shall be multiplied by 7.5.

Article 12: Procedures for Admission
1. Announcement
1.1 Under normal circumstances, the concerned school sends the request for announcement for
registration and admission through OPS before eight weeks of stipulated registration time twice a

10
 year except for summer students. After evaluating and organizing the request of Schools, the OPS
send the same to the registrar office for central announcement and further action.
2. Placement Procedures
2.1 Program reports their intake capacity to OPS as stipulated in the university’s annual academic
calendar. Similarly, the call should go through OPS to Student Admission and Registration Office
(SARO);
2.2 After organizing the intake capacity of all programs/schools, OPS sends the same to other
universities, MoST and MoE;
2.3 MoST, MoE and other interested universities based on the list of programs, send the list of assigned
students in the university through the office of Vice President for Academic Affairs (VPAA), while
private applicants appeal personally;
2.4 VPAA forwards the placement of students to OPS for prompt action.
2.5 The OPS forwards the list of assigned graduate students to all concerned program/schools for their
information/farther action;
2.6 The schools send the selected candidates to the OPS for endorsement;
2.7 The OPS sends the same to SARO and gives letter of acceptance to legible candidates;
2.8 Candidates who are legible for admission should get transferred their official transcript to SARO
from the universities where they did their first degrees before their actual registration;
2.9 The sponsoring organization of the students should deposit the specified tuition fees and research
fund into university’s account or sign and send letter of sponsorship before registration;
2.10Sponsored students become legible for registration only when the research fund is deposited/letter
of sponsorship submitted by the sponsor of a student to OPS;
2.11Free scholarship for family of academic staff shall be granted as per ASTU senate legislation after
an applicant has gone through formal admission procedures;
2.12Any application for free scholarship shall be presented to office of VPAA and then will be decided
to award or decline by Administrative Council (AC). No office can award scholarship and grant
admission without the knowledge of VPAA;
2.13The school provides status report of postgraduate students to OPS every semester.
2.14Simultaneous enrolment in more than one program is not allowed to candidacies. No program can
make the selection and admission of postgraduate students without the knowledge and permission of
OPS.
3. Registration
Those candidates who have fulfilled the requirements for admission shall receive acceptance letter
from the OPS and they will be registered at SARO.

11
 The time of study for the master’s program shall be two years from the admission date to
submission. One year extension shall be granted for a candidate with recommendation of his /her/
Advisor supervisor, employer and final decision of School Managing Council in consultation with
the OPS.
Article 13: The Case of Joint Programs
Announcement and admission requirements for joint master’s program shall be governed as per the
MOU signed by the two signatory parties.
Article 14: Provisional Admissions
1. Students admitted to a program from a field of specialization other than the intended area of
specialization will be required to take undergraduate courses which will be determined by respective
program/school;
2. A student who was given provisional admission has to complete the prescribed courses before being
formally accepted as a regular master’s student;
3. The duration of the student’s stay in the university as a provisionally admitted student shall be
determined by the concerned program, but shall not exceed one academic year;
4. A provisionally admitted student who has satisfactorily completed the prescribed undergraduate
courses shall be granted regular graduate student status;
5. Such a student must obtain a grade of at least B in the undergraduate courses taken as prescribed in
stipulated senate legislation;

Part II. Thesis Proposal Writing

This part of the document is entirely devoted to issues related to thesis proposal writing to the
Master’s Program. It is composed of five articles.
Article15: Procedures for Masters Topic selection and Proposal Approval
Thesis proposal approval passes through six important steps: namely formulation, submission,
reviewing, presentation, correcting presented proposal and final approval.
1. Formulation
Graduate students in collaboration with his/her thesis advisor(s) should identify researchable topic.
Advisors are expected to critically assess thesis proposal before the student submit it to PGC for
critical reviewing by the reviewers. The assessment includes every section of the proposal such as
the title, relevance of the problem it is addressing, objectives set to address the problem, relevant
literature review, materials, methods or approaches used to meet the objectives set appropriateness of
data analysis method to be used, work plan, the project cost, budget source and references.

2. Proposal Submission

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 Masters student must make sure that he/she had strictly followed research proposal writing
guidelines set by ASTU, OPS. Graduate program thesis title shall be submitted as per the curriculum
of the program.
3. Reviewing of the Research Proposal
The DGC chairperson gives the submitted thesis proposal to Master’s thesis proposal professionals
in the Program/out of the Program to review and provide their comments, suggestion and questions
during the proposal presentation by the student at the open defense.
4. Presentation of the Proposal
4.1 The PGC chairperson sets a schedule for the student where and when to present his/her proposal.
The chairperson can help in facilitating the required resource materials to be used by the students for
the presentation;
4.2 The advisor(s) and reviewers of the proposal should attend the presentation. The reviewers could
submit their comments to PGC chairperson or come with their comments to the presentation;
4.3 The student will present his/her proposal briefly for 15-20 minutes. After the presentation, questions,
comments suggestions, and answers will be entertained for about 30 minutes. Priority to comment
will be given for the reviewers of the proposals;
5. Correcting and Approval of the Proposal
5.1 The Masters student in collaboration with his/her advisor(s) should include all agreed corrections
and suggestions during the presentation at the PGC level. The corrected version of the proposal
should be signed by the student and his/her advisors and submitted in four copies to PGC
chairperson within two weeks;
5.2 The chairperson in collaboration with the PGC secretary thoroughly checks for the inclusion of the
agreed corrections and suggestions. The PGC chairperson should sign on the four copies of the
corrected and accepted proposal and send to the respective school in writing with approved minutes
attached.
5.3 The OPS will assess the proposal in terms of the guidelines used and the correctness of the
procedures used. The school dean signs on the completed proposals, and sends to the OPS for the
final approval.
Article 16: Components of a Research Proposal
1. Preliminary section
1.1 Title
Research proposal title should demarcate the main focus/ or theme of the proposed study. The title
should accurately reflect the scope and content of the study. In addition, it should be concise,
simple and catchy in not more than 20 words. The title should be informative/descriptive yet
discrete and contain the key words of the proposal. The selection and approval title of the thesis
should be done as per ASTU Senate legislation.
1.2 Proposal Summary

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 It is a brief summary of consisting approximately 300 words (more or less). It should include the
research objective, the rationale for the study, the hypothesis (if any) and method of the study. It
should also be one page, one paragraph, single space and italic in format.
2. Introduction
This section includes the background information of the subject, statement of the problem,
significance of the study and objectives of the study.
2.1 Background of the study:
In background of the study, the researcher should:
 Create reader interest in the topic,
 Lay the broad foundation for the problem that leads to the study,
 Place the study within the larger context of the scholarly literature, and
 Reach out to a specific audience.
2.2 Statement of the problem
 The problem statement describes the context for the study, and it also identifies the general analysis
approach. It is important in a proposal that the problem stands-out that readers can easily recognize
it.
 A problem statement should be presented within a context, and that context should be provided and
briefly explained, including a discussion of the conceptual or theoretical framework in which it is
embedded. Clearly identify and explain the theoretical framework that undergirds the study.
2.3 Questions and/or hypotheses (Optional)
 Questions are most often used in qualitative inquiry. Hypotheses are relevant to theoretical research
and are generally used in quantitative inquiry. When a researcher states hypotheses, the reader is
entitled to have an exposition of the theory that lead to them (and of the assumptions underlying the
theory);
 A research question poses a relationship between two or more variables but phrases the relationship
as a question; a hypothesis represents a declarative statement of the relations between two or more
variables;
 Deciding whether to use questions or hypotheses depends on factors such as the purpose of the
study, the nature of the design and methodology.
2.4 Significance of the study
Indicate how the researcher will refine, revise, or extend existing knowledge in the area under
investigation. Such refinements, revisions, or extensions may have substantive, theoretical, or
methodological significance. Practitioners and professional readers should be considered.
2.5 General and specific objectives
These are specific objectives arising directly from the general objectives of the study. For each
specific objective you must have a method to attempt to achieve it.
2.6 Delimitation/Scope (this component is field specific)

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 This section delimits the specific area of the research. Delimitation addresses how a study will be
narrowed in scope—how it is bounded. This is the place to explain the things that the researcher is
doing and why he/she has chosen not to do them—the literature he/she will not review (and why
not), the population he/she is studying (and why not), the methodological procedures he/she will not
use(and why he/she will not use them).
2.7 Operational Definitions (this component is field specific)
This section clearly identifies and defines the central concepts or ideas of the study. When defining
terms, make a judicious choice between using descriptive or operational definitions.
3 Literature Review
This section deals with the analysis of existing literature on the subject with the objective of
revealing contributions, weaknesses and gaps. The literature review should be according to the
themes of the study and should reflect the objectives, hypotheses, methods and research questions.
The review of the literature provides the background and context for the research problem. The
literature review helps relate the proposed study to the larger ongoing discourse in the literature
about a phenomenon, filling in gaps in the literature and extending earlier studies. It should establish
the need for the research and indicate that the writer is a knowledgeable about the area.
4 Materials and Methods (this component is field specific)
In this section the students should give clear, specific, appropriate and credible procedures that shall
be followed to attain the proposed objectives of the study. The research design planed for use should
be clearly stated. The research method should be appropriate to the problem area i.e. the statement of
the problem, objective and hypothesis. The logistics of implementation should be viewed parallel to
the choice of the research methodology and design.
5 Sampling (This component is field specific and optional)
Based on the nature of the field of specializations the necessary sampling techniques and size should
be identified and employed in consultation with advisor.

6 Data Collection
Outline the general plan for collecting the data. This may include administration procedures,
interview or observation procedures. Include an explicit statement covering the field controls to be
employed. Provide a general outline of the time schedule you expect to follow.
7 Data Analysis
The students should decide how the data generated will be analyzed. Descriptions of data analytical
methods, techniques, tools and statistical tests that will be used should be provided. Software planed
for use in statistical analysis may also mention (e.g., ethnography, SAS, SPSS, STATA and Others).
8 Ethical Consideration
Ethics of the research here refers to the morals of the investigation or intervention as
regards the minimal abuse, disregard, safety, social and psychological well-being of the

15
 person, community and /or animals i.e., how the principles of consent, beneficence and justice are
handled in the study. The researcher needs to include a statement where ethical clearance will be
obtained.
9 Budget
This is the financial plan for implementation of the research. It should be clear, realistic and
reasonable (affordable). It should be itemized according to the following: equipment, stationery,
materials, per-diem, travel, research assistance, services (Secretarial, Photocopying, Printing,
Binding, laboratory etc.), dissemination (Publishing, Conferences etc.), contingency 10%, and
Others (Specify).
10 Time Framework/Work Plan
This is the schedule / time-table of activities covering the period over which the research is to
be implemented with due regard to budgetary consideration. See the appendix
References
This is a list of all works cited in the proposal and should be written according to the approved
format. Citations shall not be less than 15 in the proposal and text books as a citations are not
advisable. The format shall be according to field area of specialization.
Article 17: Sequence of Content for Thesis Proposal
16.1Cover Page
This page should bear thesis title , name of the candidate (full name), logo of the university , name of
the program, name of the school , University, advisor(s), town(place) of the university, month and
year, in that order. See the appendix
16.2 Signature Page
A signature page should be designed to contain the signatures of the student, advisor/s, proposal
reviewers and chair of the PGC, school dean and OPS. See appendix
16.3 Table of contents:
16.4List of tables, figures, special symbols (if any) and abbreviations (if any)
16.5Text of the proposal (starts from page 1 written in Arabic numerical)
16.6Endnotes (Where applicable)
16.7References
16.8Appendixes
Article 18: Page Format:
The submission of the proposal must be on a A4-size paper. It must be 1.5 spaced, written in 12 point
sized standard font, with a 3 cm left hand margins and a 2.5 cm margin at the top, bottom and right.
Charts, tables, figures, appendices, references and all other pages must also conform to the required
technical regulations and must not extend beyond the margins. Maps, figures, photographs, charts,
tables and appendices must be numbered, titled and sources must be indicated underneath.

16
 Article 19: Numbering:
Pages must be numbered consecutively, as must be chapters, sections, etc. Try to avoid more than
four levels of heading consistency in numbering must be maintained throughout the work including
Appendices. Preliminary pages must be numbered consecutively in lowercase Roman numbers
(example: i, ii, iii, iv, v, vi…) and the body of the proposal (Introduction onwards including endnotes
section, reference and appendix) should be numbered in Arabic numbers (Example: 1, 2, 3, 4, 5…).
Article 20: Final Submission
A student shall make the required modification by the reviewer/s upon defense before she/he submits
the proposal. Minor modifications require approval of the advisor; major modifications require
approval of reviewer/s. This does not entail that the committee shall conduct a formal meeting.
Students shall submit the final version of the proposal. The final version must contain any revisions
required by the reviewer /s and submitted within two weeks for Master’s after a defense.
Part III. Thesis Writing and Reporting
A written format of a research work is known as thesis or research report. All such works may differ
considerably in scope of treatment and details of presentation. Even then all types of research reports
are expected to follow a general uniform, common pattern of format, style and structure. The general
format of research report is evolved and it has become a tradition in academic arena. A research
report is an organized format of research work done. It is viewed in three major categories:
Preliminaries, Textual Body, and References. Therefore, as of the senate legislation this guideline
addresses general standard pattern in thesis writing in ten articles.
Article 21: Preliminary Section
This section includes:
1. Cover page:
The cover page is the first page of a thesis. It is preferably printed on hard paper. It includes the title
of the thesis, name of the candidate (full name), logo of the university, name of the program, name of
the school , University, town(place) of the university, month and year, in that order is formally
submitted. This is the only page of a thesis for which a page number is not assigned. Please refer to
the sample pages
2. Title Page
The title page is the second page of a thesis, the first page for which a page number is assigned
although it does not have a number typed on it. It includes the title of the thesis, name of the
candidate (full name), name of the program, name of the school, ASTU, name of advisor (s), town
(place) of the university, month and year, in that order is formally submitted. Samples are provided.
3. Approval Sheet

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 The final approval page will be incorporated into the student’s thesis after being signed by the board
of examiners and members of the advisory committee or advisors. The signing of the document will
occur after a successful open defense and all required revisions to the document arising from the
defense. See appendix
4. Declaration of Student and Advisor
The thesis shall contain a declaration of both student and advisor(s) to the effect that the work is the
result of the student own investigation and that it has not been already submitted in candidature for a
degree of this or any other university. See appendix
5. Acknowledgement
Acknowledgement is a brief account of the report or the origin and the utility of the study for which
the thesis is presented. It also includes the acknowledgement to the persons and sources that have
been helpful to the investigator. If the researcher does not want to mention anything about the study
on this page except acknowledging debt to others, it will be desirable to use the title simple and
restrained without flattery and effusive recognition for help by the family members and others. . The
title ACKNOWLEDGEMENT should be typed in capital letters.
6. Table of Contents
This section lists all the main chapter headings and the essential sub-headings with the appropriate
page numbers against each heading or sub-heading. The listing of the main chapters is generally
preceded by some preliminaries like preface or acknowledgement, list of tables, list of figures,
acronyms, abbreviations, abstract and their respective pages in small Roman numbers and followed
at the end by appendices, and Indexes. Contents should neither be too detailed nor should too
sketchy. The table of contents serves as an important purpose in providing an outline of the contents
of the report. The capitalized title ‘Contents’ should be the central heading of the page and the
capitalized word ‘CHAPTER’ and ‘PAGE’ should lead to the numbers of chapters and those of pages
respectively on the left and right margins.
7. List of Tables
The table of contents is followed by the list of tables on a separate page. This list of tables consists of
the titles or captions of the tables included “in the thesis along with the page number where these can
be located. The capitalized title ‘LIST OF TABLES’ should be the central heading of the page and
the capital words ‘TABLE’ and ‘PAGE’ should lead to the numbers and those of pages respectively
at left and right margins. The statistical data are presented in vertical columns and horizontal row,
according to some classification of subject matter. In the main body of the report any table should be
completed within a page. Numbering tables shall be sequentially arranged through out thesis.
8. List of Figures and Illustrations

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 A figure is a device that presents figurative data in pictorial or visual form. The figure is used to a
variety of graphs, charts, maps, sketches, diagrams and drawings. It helps to understand the aspects
of data clearly and easily. One idea or fact should be presented in each figure. The description of the
figure must be given in the textual body. ‘FIGURE’ should be written in the center of the page at the
bottom of the figure. The title of the figure should be written in capital letters two spaces below the
figure. In the main body of the report any figure should be completed within a page. A list of figures
on a separate page is prepared in the same form as the list of tables except that they are numbered
with Arabic numbers. Numbering figures and illustrations shall be sequentially arranged throughout
thesis.
9. List of Acronyms and Abbreviations
List of acronyms and abbreviation shall be included on a separate page.
10. Abstract
It is a brief summary of approximately 400 words (more or less). It should include the research
objective, methods employed, major findings & conclusions and recommendations of the study. It
should also be one page, one paragraph, single space and Italic in format. It should include key
words. This format can be amended as per the requirement of the specific field of study.
Article 22: Main body of the report
The text of the thesis is the most important section in the organization of research report. The quality
of worth of thesis is mainly examined in this section. It is the original production of the researcher.
The main body of the report serves the function of demonstrating the competence of the researcher.
If any sentence, paragraph, concept fails to serve the single function within a given section or
chapter, it is irrelevant. The subject matter of any chapter should be relevant to that point. Generally
the main body of the research reports shall be determined by the specific requirement of the fields of
study.
1. Introduction
It consists of the background of the study, statement of the problem, objectives, hypotheses, and
research questions, significance of the study, delimitations and limitations of the study. It is reported
in past tense form of work completed.
2. Literature Review
This chapter is essential in most of the research studies. It presents the comprehensive development
of the problem background. It indicates what has already been studied by others, which has a bearing
upon the present study. The review of literature stresses two aspects: the first is the consideration of
the subject-matter and it is likely more important than the other. The second is related to
methodology and design. The review chapter is devoted to the development of the problem statement

19
 or the objective of the inquiry. The review is utilized to retain a direct relevancy to the study in hand.
It is the balancing chapter of the research report.
3. Materials and Methods
This chapter indicates the line of approach of the study. The first aspect deals with the method,
population and sample of the study and the second part provides the tools and techniques employed
in the research. It also presents the procedure of the study. The whole plan of the study is discussed
in detail under this chapter. Administration of tools and scoring procedure are reported
systematically. The data organization and presentation should be given in this section.
N.B: This part shall be modified so that it will be compatible with the nature of the field of study.
4. Result and Discussion
In this chapter analysis and results are reported so as to draw the inferences of the study. The
analyses of data are presented in tabular form and in figures or pictorial presentation. The results are
interpreted in detail. This chapter provides the original work or contribution by the researcher. The
communicative accuracy is required in this chapter. The text must be developed to ensure an
effective ordering of the evidences.
In the discussion, the students interpret their results. The discussion is used to highlight the
importance of the study and describe the limitations of the study and implications for future research.
If students choose to write the results and discussion as one chapter, they should follow the
description of major findings with appropriate interpretation and discussion.
N.B: This part shall be modified so that it will be compatible with the nature of the field of study.
5. Conclusions and Recommendations
This section requires the creative and reflective aspect of the researcher. The results are discussed to
make them more meaningful comparison of the results with the evidence in the review section
should be woven into the text whenever such a discussion can serve to clarify the points being
reported. This is the final chapter of a report, thus findings and conclusions of the study are
summarized and recommendations for further studies are also given. The main thrust in the section is
the answer of the question or solution of the problem. The validity of the findings should be
mentioned.
Article 23: Reference
1. Reference
This is the third section of a research report. It consists of generally the references and appendices.
The references and appendices are written on a separate page - in the center with capital letters.

20
 References are a list of the printed sources utilized in the research work. If the sources in the text are
numbered to refer to the source in the references, the entries must be numerically listed in the order
of appearance in the text.
The various format manuals include information on form for the references. If the list of sources is
too large the references should be categorized in the following sections: Books, monographs,
documents and reports, periodicals and journals, essay and articles, unpublished thesis and material
and newspapers. In writing references the surname is written first than initials, year of publication,
title of the book, publishers name, place and total number of pages. The referencing and citation
style can be modified based on the requirement of the field of study. The selected format should be
consistently used throughout the thesis.
The following are examples of writing references in APA style.
N.B: This part shall be modified so that it will be compatible with the nature of the field of study.
i. Example for single author:
Best, John. W (1977) Research in Education, 3rd ed., New Jersey: Prentice-Hall Inc. Englewood
Cliffs, 403 pp.
ii. Example for two authors:
McGrath, J.H. and D. Gene Watts (1970) Research Methods and Designs for Education’
Pennsylvania: International Text-Book Company, 222 pp.
iii. Example for three or more authors:
Selltiz, Claire et al. (1959). Research Method in Social Relations, New York: Holt, Rinehart and
Winston, 424 pp.
iv. Example for editor as author:
Buros, Oscar K. ed. (1965). The Sixth Mental Measurement, Yearbook: Highland Park,N.J. :
Gryphon Press 1163 pp.
v. Example for author not given:
Author’s Guide (1955) Englewood Cliffs, N.J. Prentice Hall, 121 pp.
vi. Example for unpublished thesis:
Sharma, R.A. (1972). Some Predictors of Teacher Effectiveness, Unpublished” Ph.D. Thesis
Submitted to Meerut University, 320 pp.
vii. Article in an Encyclopedia and Hand Book.
Barr, A.S. (1944), Criteria of Teacher-EffectivenessEbel’s Encyclopedia of Educational Research,
742 p.
viii. Example for Journals and Periodicals:

21
 Bar, A.S. (1940), ‘The Measurement and Prediction of Teaching Efficiency,’ Review of Educational
Research, 10(4): pp. 185-190.
ix. A chapter written by an author other than the editor:
MacCoby E.E. (1954), ‘The Interview: A Tool of Social Science’,’ Chapter 12, in the Hand Book of
Social Psychology, Addison, Wesley Cambridge Mass.
2. Appendices
An appendix is the important reference materials category. It includes the material which cannot be
logically included in the main body or textual body of the research report or the relevant materials
too unwieldy to include in the main body. The appendix usually includes: tools of research, statistical
tables and sometime raw-data (when data were processed through computer). Even the material of
minor importance e.g. forms, letters, reminders, interview sheets, blank questionnaires, charts,
tables, lengthy questions, report of cases (if follow-up or case studies have been conducted). The
tools and other material should be placed first and tables at the end and page numbers should be
assigned in Roman Numbers (i, ii, xxi). The appendix serves the function of providing greater clarity
and authenticity for the readers or consumers of the thesis. The items of the appendix are very
essential for a good research report.
3. Footnotes
Footnotes serve a number of purposes. They enable the researcher to substantiate his presentation by
quotations or citations of other authorities, to give credit to sources of material that he has reported
and to provide the reader with specific sources that he may use to verify the authenticity and
accuracy of material quoted. The citation or quoted statements are written in single-spaced whereas
the text is written double-spaced. The footnotes are placed at the bottom of the page and are
separated from the text by a 3cm horizontal line drawn from the left margin. Footnotes are numbered
consecutively within a chapter.
Article 24: Standard format for Reporting
The research report should be written in a style that it is clear and concise. Therefore the following
considerations should be kept in view in writing a research report.
Table 2: Standard format for reporting
Language English and other local languages

Paper Specifications:

 Color White
 Size 21 cmx29.7 cm (A4)

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 Weight > 80 gm

Typing:
 Left margin 3 cm

 Right margin 2.5 cm

 Top margin 2.5 cm

 Bottom margin 2.5cm

 Spacing 1.5
 Side Front Single
 Font size 12
 Font type Times New Roman,

 Font style Regular

 Font color Black
 Breaking a word on 2 lines Not allowed

 Corrections with fluid Not allowed

 Overwriting Not allowed
 Crossing out words Not allowed

 Typing machine Computer

 Printing quality Laser or better quality
 Copies High quality photocopy
Article 25: Headings
Generally a research report is divided into chapters; each chapter begins from a new page. The title
of a chapter is called the chapter heading. The word ‘CHAPTER’ is written in capital letters, in the
center of the page and title is placed three spaces of the chapter. The following is the example:
Major Heading: A chapter of the report is divided into major chairs. The major heading is written
in capital letters, bold face and at the center of the page.
Sub-heading: A major heading is sometimes divided into sub headings which are known as minor
heading it starts with left margin of a page in lower-upper letters.
Paragraph Heading: If the minor heading is further divided, the paragraph is used. It must be
indented five spaces and underlined. A full stop and dash is marked after such a heading. The written
matter starts on the same line.
These headings are also specified by using the numbers. For the Main headings1, 2, 3, 4...so on are
assigned in a chapter. The minor headings or sub-headings are shown in decimal numbers e.g. 2.1,
2.2, 2.3, it indicates that 1, 2, 3 are the minor headings of second main headings. Similarly paragraph

23
 headings are indicated in further decimal numbers e.g. 2.1.1, 2.1.2, 2.1.3 last numbers, 1, 2, 3 are
paragraph headings of first minor heading of second major heading.
Article 26: Pagination
Assigning page numbers of the report is very essential. The title page or initial page of any section
does not have a page number typed on it, but a number is allotted to it in the series of pages. Page
numbers are typed in the bottom right hand corner, one inch below the top edge of the page. The
small or lower Roman numerals (i, ii, iii, iv,) are assigned for the pages of preliminary section. The
serial Arabic numbers. 1, 2, 3, 4…..so on are assigned for the pages of textual body or main body of
the report i.e. Chapter 1 to last references and annex or appendix. .
Article 27: Proof Reading
A research report should not have errors. It requires that final typed copies must be checked
carefully. All types of errors should be deleted before submission.
Article 28: Binding and Submission
It is the last activity for preparing research report. Before giving to the binder it should be arranged
properly and systematically and the serial number of pages are checked carefully and should be
approved by thesis advisor. A great precaution must be taken in printing the topic or title of the thesis
that it must be the photo-state form of the topic which was approved by Program Graduate
Committee. The covering page must be the same as inner cover given in preliminary section. Then,
four hard copies should be submitted, to the respective Programs for evaluation purpose.
Article 29: Thesis Progress Report
1. Master’s student doing thesis work must submit written progress report to the Program chair through
the major advisor every month for Master’s.
2. The candidate’s report should give (i) a summary of progress to date; (ii) an outline of the proposed
program for the next … months; and (iii) an outline of any difficulties experienced whether in
respect of supervision, resources, or otherwise. See appendix
3. If the report is unsatisfactory, or if progress is unsatisfactory, or if there is a dispute between student
and any member of advisor, the School dean/ ADAA, in consultation with the PC and the major
advisor, if appropriate, will take the necessary action. This may include discussing with the PC
and/or the major advisor the ways in which progress may be improved, it may include the issuing of
a formal warning to the student if progress is unsatisfactory, and, in the case of a dispute, it may
include an attempt at resolution of the dispute.
4. If at any time the student is dissatisfied with the supervision provided or the resources available or
with any other matter affecting his or her progress, the student should report the matter to the PC. If
the student is still dissatisfied, he or she may take the matter to the School Dean/ ADAA, then to
OPS.

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 Article 30: Procedures for Thesis Submission
Thesis submission for Master’s students shall be determined as per ASTU legislation. Based on the
nature of his or her study Master’s students are requested to submit ethical clearance.
Part IV. Master’s Thesis Evaluation
The Master’s thesis evaluation process is normally made up of three components: the examination of
the Master’s thesis, the oral presentation, and the questioning of the Master’s candidate. Examiners
evaluate a thesis by completing the form prepared for this purpose. Reports for Master’s
examinations are submitted to the Program immediately after the defense. In line with these, this
guideline addresses requirements and procedures for Master’s thesis examination, decision,
submission after defense and graduation.
Article 31: Requirements and Procedures for Master’s thesis examination
1. Thesis evaluation shall be conducted as per ASTU senate legislation. Unless otherwise agreed to, the
defense is generally scheduled within two to three weeks from the student’s initial submission of the
thesis.
2. The DGC shall appoint an examining committee as per ASTU senate legislation. The examining
committee consists of a minimum of three members. So far as possible, one of the examiners should
be external to the university. The DGC shall assign the chair of the committee.
3. The student’s advisor must be a non-grading member of the examining committee. In programs
where there is a thesis advisory committee, any or all members of this committee may be named as
members of the examining committee, subject to the practices of the relevant program. The thesis
defense is open to all interested
4. The chair adjourns the examination session when the examining committee decides that further
questioning is unnecessary. The deliberations of the examining committee are held in a closed
session and the advisor(s) shall not take part in the rendering of final decision on the thesis and its
grading. These decisions shall not be made in the presence of the advisor(s).
5. It is the responsibility of the chair of the Examining Committee to ensure that the report form is fully
completed and signed before the examining committee adjourns.
6. The chairperson of BoE opens the meeting by introducing the members of the BoE and invites the
advisor to introduce the candidate and her/his graduate work.
7. The chairperson introduces and invites the candidate to present his thesis research work.
8. The candidate presents the main results of her/his research work for 20-30 minutes.
9. The members of the BoE examine the candidate for about 30-45 minutes on the subject of her/his
thesis through questions, critics, comments, etc.
10. Up to 10 minutes are given to the audience to give comments and ask questions.
11. Based on the result of the open defense examination and assessment of the report by each member of
the board of examiners, an evaluation pass (satisfactory and above) fail (rejected) shall be given in

25
 both the thesis defense and the performance certification forms, which are accordingly signed by the
members.
12. The chairperson announces the decision of the board of examiners to the candidate and the audience.
Article 32: Decision
1. Accepted as submitted: This may include corrections that do not require the supervisor’s approval.
2. Accepted with minor modifications: Defined as corrections which can be made immediately and to
the satisfaction of the advisor and internal examiner.
3. Accepted with major modifications: The committee’s report shall include a precise description of
the modifications along with a date (maximum of six months) for their completion. It is then the
responsibility of the student’s advisor to confirm in writing to the Examining Committee and the
Program that the required modifications have been made and approved. It is not necessary for the
Examining Committee to reconvene.
4. Rejected: Such a thesis may be re-submitted only once, in revised form or with some additional
work. Such re-submission can only be made six months or more from the date of the original
defense. Formal re-submission of a thesis follows the same procedure as an initial submission. The
candidate shall then defend his/her thesis. The PGC shall assign members of the examining
committee, which may include the same examiners who suggested the re-submission.
A candidate has the right to appeal in writings to his/her own or with consent of the advisor(s) to the
OGS, when the thesis is rejected by the BoE within one month after the defense examination. The
OGS will examine the candidates appeal vis-à-vis the BoE’s decision by establishing a committee of
subject specialists, minimum of three and pass a final verdict which will be communicated to the
candidate and the BoE within three months of appeal by the student. When one of the examiners
raises issue of plagiarized material, decisions must be passed based on relevant regulations stipulated
in the ASTU Senate Legislation.
Rating Points: The points given by the external examiner, internal examiner and chairperson shall
be multiplied by 0.5, 0.35 and 0.15, respectively, and added up. Students will receive one of the
following ranks/grades based on their score.
Table 3: Rating Points
No. Rank % Remarks
1 Excellent >85 Outstanding in all aspects of content, method, and form
2 Very good 75<X<84 Close to outstanding in all aspects of content, method, and form
3 Good 65<X<74 Significantly above average in terms of content, method, and form
4 Satisfactory 50<X<64 Acceptable overall in terms of content, method, and form although
consideration may be given to balancing weakness in one area by
strength in another
5 Fail <49 A deficiency in content, method, or form with no compensating
strengths in other areas

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5. Evaluation format: The format shall be signed only by board of examiners who participate in the
final thesis defense examination. By signing the form, members indicate approval or disapproval of
the content of the thesis and the student’s ability to defend it. In case of major modifications or
failure, members should outline clearly their recommendation as to what the candidate is expected.
Submit the completed forms to the chairperson immediately after the final thesis defense
examination is concluded (see appendices).
Article 33: Final submission-after thesis defense
Students must submit the final version of their theses, in hard copy as well as electronically in a PDF
format within two weeks after defense. The final version of the thesis must include any required
modifications requested by the examining committee. DGC of the Program is responsible for
ensuring that all required forms, duly completed and signed, are forwarded to the Program as per
ASTU senate legislation. On the basis of the board of examiners report the DGC will forward the
candidate’s grade to the respective school. The dean examines this request in light of the report from
the PGC and forwards it to the registrar.
Article 34: Graduation
On the basis of the program’s report and the candidates’ records, the school presents the list of
candidates to SGC/SMC members to decide whether the candidate has fulfilled the requirements for
the Master’s degree. If the decision is positive, the supporting documentation will be presented to the
senate standing committee through OPS, SARO and school. After being endorsed with senate
standing committee the list of candidates will be sent to registrar office to recommend to the senate
that the candidate be awarded the degree as per senate legislation.

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 Chapter 4: PhD Programs

4.1 Regular PhD Programs

Part I. Admission to PhD Programs

This part of the document is entirely devoted to issues related to application and requirements for
admission to the PhD Programs. It is composed of five articles.
Article 35: General Admission Provisions
A research scholar who has a high scholastic standing, with professional experience is eligible to
apply for PhD program. Detail admission requirements are given hereunder.
1. All research scholars applying to join ASTU in the PhD program shall sit for written entrance
examination prepared by respective program.
2. A minimum of one research scholars shall be admitted in any program.
3. Maximum number of PhD students assigned to an academic staff for supervisory shall not exceed
eight for all years. Therefore, the maximum number of research scholars admitted to specific
program shall be determined by number of academic staff available, availability of space, resource
and demand for training.
4. Office of Postgraduate Studies shall approve matching of accepted PhD students with number of
available academic staff before getting registered.
5. The OPS through discussion with concerned schools may, from time to time, include additional
admission requirements in conformity with the university’s rules and regulation.
6. Any well-qualified person with a Master’s degree from an accredited institution of higher learning or
with equivalent international education may apply for admission to the PhD program.
7. Foreign applicants may, in lieu of sitting for entrance examination, submit results of
GRE/TOEFL/ELTS or equivalent, language proficiency examination (for applicants whose high
school and undergraduate medium of instruction is not English, etc.)
Article 36: Specific Admission Provisions
1. Applicants who meet the following requirement shall be eligible for admission to the PhD program
of respective field of study.
1.1 Academic requirements:
a. An applicant to PhD program shall possess MSc/MA degree in respective field of study and rate at
least “good” (B) in his/her MSc/MA thesis or project.
b. An applicant shall score a cumulative grade point average of at least 3.0 for female and 3.25 for
male.
c. An applicant should fulfill other possible additional criteria set by respective program/school which
is not violating these centrally governing criteria.
1.2 General requirements:

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a. All university-wide non-academic requirements for admission to PhD program in ASTU shall apply
as stipulated in the university senate legislation.
b. An applicant requires acceptable recommendation letter from two referees of his/her previous higher
learning institution.
2. The selection of applicants shall be made based on the academic achievement and other related
criteria indicated in the table below.
3. Selection criteria shall be weighted appropriately and shall be subjected to the approval of Program
level graduate committee.
4. Incase if male and female applicants are in equal status, female applicants shall be favored as an
affirmative action.
5. Pass mark for acceptance to PhD program is 70% and above to all field of study.
6. In case if large number of applicants fulfills the pass mark, respective Program/School shall
determine the cut-point to accept maximum number of students matching the existing academic staff
and other available resources.

Table 4 Selection Criteria

N Criteria %
O
1. CGPA (MSc/MA) 30
2. Written entrance examination 50
3. Synopsis 15
4. Recommendations 5
Total 100%
Note: The CGPA of every applicant shall be multiplied by 7.5.
Article 37: Procedures for Admission
1. Announcement
Under normal circumstances, the concerned school sends the request for announcement for
registration and admission through OPS before eight weeks of stipulated registration time twice a
year except for summer students. After evaluating and organizing the request of Schools, the OPS
send the same to SARO for central announcement and further action.
2. Placement Procedures
2.1 Program reports their intake capacity to OPS as stipulated in the university’s annual academic
calendar. Similarly, the call should go through OPS to Student Admission and Registration Office
(SARO);
2.2 After organizing the intake capacity of all programs/schools, OPS sends the same to other
universities, MoST and MoE;
2.3 MoST, MoE and other interested universities based on the list of programs, send the list of assigned
students in the university through the office of Vice President for Academic Affairs (VPAA), while
private applicants appeal personally;

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 2.4 VPAA forwards the placement of students to OPS for prompt action.
2.5 The OPS forwards the list of assigned graduate students to all concerned program/schools for their
information/farther action;
2.6 The schools send the selected candidates to the OPS for endorsement;
2.7 The OPS sends the same to SARO and gives letter of acceptance to legible candidates;
2.8 Candidates who are legible for admission should get transferred their official transcript to SARO
from the universities where they did their second degrees before their actual registration;
2.9 The sponsoring organization of the students should deposit the specified tuition fees and research
fund into university’s account or sign and send letter of sponsorship before registration;
2.10Sponsored students become legible for registration only when the research fund is deposited/letter
of sponsorship submitted by the sponsor of a student to OPS;
2.11Free scholarship for family of academic staff shall be granted as per ASTU senate legislation after
an applicant has gone through formal admission procedures;
2.12Any application for free scholarship shall be presented to office of VPAA and then will be decided
to award or decline by Administrative Council (AC). No office can award scholarship and grant
admission without the knowledge of VPAA;
2.13The school provides status report of PhD students to OPS every semester.
2.14Simultaneous enrolment in more than one program is not allowed to candidacies. No program can
make the selection and admission of PhD students without the knowledge and permission of OPS.
3. Registration
Those candidates who have fulfilled the requirements for admission shall receive acceptance letter
from the OPS and they will be registered at SARO.
Article 38: The Case of Joint/sandwich Programs
Announcement and admission requirements for joint PhD program shall be governed as per the
MOU signed by the two signatory parties.
Article 39: The study plan
1. Upon successful admission, the candidate, with the help of his/her major and co-supervisors, draws a
study plan. A plan for the PhD program and a complete project description shall be made as per the
curriculum of the program. The study plan includes: description of the research project, work
schedule for the research, an account of necessary infrastructure, description of any plan to spend
some time at other universities, research institutes or companies (including foreign universities,
research institutes or companies).
2. The study plan is to be approved by the respective student/Program Advisory Committee/Doctoral
committee/.
3. The approved study plan will be submitted to the PGC.
Article 40: Agreement
1. Admission to a PhD program is formalized in a written agreement between the PhD student, the
supervisor (s) and the Program/ School at which the student has been admitted. External bodies may

30
 also be parties to this agreement. If the PhD student is to be associated with another employer, an
agreement must be made which regulates working conditions, including how much time is to be used
for the PhD project, the use of materials and access to scientific equipment. The agreement shall
ensure that the PhD student regularly participates in an active research group, and enable the
completion of the doctoral program within the contractual period.
2. If there are substantial changes to the agreement during the time of the study, a new agreement must
be drawn up.
3. Upon significant breach of contract, such as lacking progression, violation of ethical rules and
substantial changes of the research project, the PGC/SGC/OGS can decide to give the student a safe
exit prior to the completion of the program.
Article 41: Duration of Study
The time of study for the PhD program shall from three – four from the admission date to
dissertation submission. Course works shall take one year. One year extension shall be granted for a
candidate with recommendation of his /her supervisor, employer and final decision of School
Managing Council in consultation with the OPS. A candidate who cannot complete the PhD studies
within the expected duration is treated according to the senate legislation. Under any circumstance
the university shall not extend the duration of study more than eight years.

Article 42: Course work and Grading

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1. If ASTU, or the unit administering the program, does not organize the entire training program itself,
it should enable the student to receive equivalent training at other institutes/ bodies which supply
approved doctoral degree program, for topics for which no suitable educational program/courses are
available, an individual reading list may be approved as part of the academic training program.
2. Organized academic training shall consist of courses with a work load minimum of 24 credit hours.
3. The passing grade in courses taken as part of the PhD degree academic training is “B” or higher. For
courses that are assessed as either “pass” or “fail”, the student must obtain a “pass” grade. Doctoral
students who have obtained below the passing grade in a course taken as part of their academic
training can re-sit for the exam, before qualifying exam.
4. Every PhD student has to sit for the qualifying comprehensive exam immediately after completing
the course work. Unless he/she passes the qualifying exam he/she will not be registered for
dissertation. If the PhD student couldn’t passes the qualifying exam he/she can retake once.
5. Applications for changes of the approved study plan shall be prepared in agreement with the main
supervisor, and submitted to the PGC/SGC for approval.
Part II. Dissertation Proposal Writing
This part of the document is entirely devoted to issues related to dissertation proposal writing to PhD
Programs. It is composed of five articles.
Article 43: Procedures for Topic selection and Proposal Approval
Thesis proposal approval passes through six important steps: namely formulation, submission,
reviewing, presentation, correcting presented proposal and final approval.
1. Formulation
PhD candidates in collaboration with his/her dissertation supervisor(s) should identify researchable
topic. Supervisors and advisory committee are expected to critically assess dissertation proposal
before the student submit it to PGC for critical reviewing by the reviewers. The assessment includes
every section of the proposal such as the title, relevance of the problem it is addressing, objectives
set to address the problem, relevant literature review, materials, methods or approaches used to meet
the objectives set appropriateness of data analysis method to be used, work plan, the project cost,
budget source and references.
2. Proposal Submission
PhD candidates must make sure that he/she had strictly followed research proposal writing
guidelines set by ASTU, OPS. Graduate program dissertation title shall be submitted as per the
curriculum of the program.
3. Reviewing of the Research Proposal
The PGC chairperson gives the submitted dissertation proposal to two reviewers, professionals in the
field, to review and provide their comments and questions during the proposal presentation by the
student at the open defense.
4. Presentation of the Proposal

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1. The PGC chairperson sets a schedule for the student where and when to present his/her proposal.
The chairperson can help in facilitating the required resource materials to be used by the students for
the presentation;
2. The supervisor(s), advisory committee and reviewers of the proposal should attend the presentation.
The reviewers could submit their comments to PGC chairperson or come with their comments to the
presentation;
3. The student will present his/her proposal briefly for 20-30 minutes. After the presentation,
questions, comments and answers will be entertained for about 45 minutes. Priority to comment will
be given for the reviewers of the proposals.
5. Correcting and Approval of the Proposal
1. The candidate in collaboration with his/her supervisors (s) should include all agreed corrections and
suggestions during the presentation at the PGC level. The corrected version of the proposal should
be signed by the student and his/her supervisors and submitted in five copies to PGC chairperson
within one months;
2. The chairperson in collaboration with the PGC secretary thoroughly checks for the inclusion of the
agreed corrections and suggestions. The PGC chairperson should sign on the five copies of the
corrected and accepted proposal and send to the respective school in writing with approved minutes
attached.
3. The OPS will assess the proposal in terms of the guidelines used and the correctness of the
procedures used. The dean signs on the completed proposals, and sends to the OPS for the final
approval.
Article 44: Components of a Research Proposal
1. Preliminary section
1.1 Title
Research proposal title should demarcate the main focus/ or theme of the proposed study. The title
should accurately reflect the scope and content of the study. In addition, it should be concise,
simple and catchy in not more than 20 words. The title should be informative/descriptive yet
discrete and contain the key words of the proposal. The selection and approval title of the
dissertation should be done as per ASTU Senate legislation.
1.2 Proposal Summary
It is a brief summary of approximately 300 words (more or less). It should include the research
objective, the rationale for the study, the hypothesis (if any) and method of the study. It should also
be one page, one paragraph, single space and italic in format.
2. Introduction
This section includes the background information of the subject, statement of the problem,
objectives of the study and significance of the study.

33
1.1 Background of the study:
In background of the study, the researcher should:
 Create reader interest in the topic,
 Lay the broad foundation for the problem that leads to the study,
 Place the study within the larger context of the scholarly literature, and
 Reach out to a specific audience.
1.2 Statement of the problem
 The problem statement describes the context for the study, and it also identifies the general analysis
approach. It is important in a proposal that the problem stands-out that readers can easily recognize
it.
 A problem statement should be presented within a context, and that context should be provided and
briefly explained, including a discussion of the conceptual or theoretical framework in which it is
embedded. Clearly identify and explain the theoretical framework that undergirds the study.
1.3 Questions and/or hypotheses (Optional)
 Questions are most often used in qualitative inquiry. Hypotheses are relevant to theoretical research
and are generally used in quantitative inquiry. When a researcher states hypotheses, the reader is
entitled to have an exposition of the theory that lead to them (and of the assumptions underlying the
theory);
 A research question poses a relationship between two or more variables but phrases the relationship
as a question; a hypothesis represents a declarative statement of the relations between two or more
variables;
 Deciding whether to use questions or hypotheses depends on factors such as the purpose of the
study, the nature of the design and methodology.
1.4 General and specific objectives
These are specific objectives arising directly from the general objectives of the study. For each
specific objective you must have a method to attempt to achieve it.
1.5 Significance of the study
Indicate how the researcher will refine, revise, or extend existing knowledge in the area under
investigation. Such refinements, revisions, or extensions may have substantive, theoretical, or
methodological significance. Practitioners and professional readers should be considered.
1.6 Delimitation/Scope (this component is field specific)
This section delimits the specific area of the research. Delimitation addresses how a study will be
narrowed in scope—how it is bounded. This is the place to explain the things that the researcher is
doing and why he/she has chosen not to do them—the literature he/she will not review (and why

34
 not), the population he/she is studying (and why not), the methodological procedures he/she will not
use(and why he/she will not use them).
1.7 Operational Definitions (this component is field specific)
This section clearly identifies and defines the central concepts or ideas of the study. When defining
terms, make a judicious choice between using descriptive or operational definitions.
2. Literature Review
This section deals with the analysis of existing literature on the subject with the objective of
revealing contributions, weaknesses and gaps. The Literature Review should be according to the
themes of the study and should reflect the objectives, hypotheses, methods and research questions.
The review of the literature provides the background and context for the research problem. The
literature review helps relate the proposed study to the larger ongoing discourse in the literature
about a phenomenon, filling in gaps in the literature and extending earlier studies. It should establish
the need for the research and indicate that the writer is a knowledgeable about the area.
3. Materials and Methods (this component is field specific)
In this section the students should give clear, specific, appropriate and credible procedures that shall
be followed to attain the proposed objectives of the study. The research design planed for use should
be clearly stated. The research method should be appropriate to the problem area i.e. the statement of
the problem, objective and hypothesis. The logistics of implementation should be viewed parallel to
the choice of the research methodology and design.
4. Sampling (This component is field specific and optional)
Based on the nature of the field of specializations the necessary sampling techniques and size should
be identified and employed in consultation with supervisor.
5. Data Collection (This component is field specific and optional)
Outline the general plan for collecting the data. This may include administration procedures,
interview or observation procedures. Include an explicit statement covering the field controls to be
employed. Provide a general outline of the time schedule you expect to follow.
6. Data Analysis
The students should decide how the data generated will be analyzed. Descriptions of data analytical
methods, techniques, tools and statistical tests that will be used should be provided. Software planed
for use in statistical analysis may also mention (e.g., ethnography, SAS, SPSS, STATA and Others).
7. Ethical Consideration
Ethics of the research here refers to the morals of the investigation or intervention as
regards the minimal abuse, disregard, safety, social and psychological well-being of the
person, community and /or animals i.e., how the principles of consent, beneficence and justice are

35
 handled in the study. The researcher needs to include a statement where ethical clearance will be
obtained.
8. Budget
This is the financial plan for implementation of the research. It should be clear, realistic and
reasonable (affordable). It should be itemized according to the following: equipment, stationery,
materials, per-diem, travel, research assistance, services (Secretarial, Photocopying, Printing,
Binding, laboratory etc.), dissemination (Publishing, Conferences etc.), contingency 10%, and
Others (Specify).
9. Time Framework/Work Plan
This is the schedule / time-table of activities covering the period over which the research is to
be implemented with due regard to budgetary consideration. See the appendix
10. References
This is a list of all works cited in the proposal and should be written according to the approved
format. Citations shall not be less than 15 in the proposal and text books as a citations are not
advisable. The format shall be according to field area of specialization.
Article 45: Sequence of Content for Dissertation Proposal
1. Cover Page
This page should bear dissertation title , name of the candidate (full name), logo of the university ,
name of the program, name of the school , ASTU, supervisor(s), town(place) of the university,
month and year, in that order. See appendix
2. Signature Page
A signature page should be designed to contain the signatures of the candidate, supervisor(s),
proposal reviewers and chair of the PGC, school dean and OPS. See appendix
3. Table of contents
4. List of tables
5. Figures, Special symbols (if any) and illustrations
6. Acronyms and Abbreviations (if any)
7. Text of the proposal (starts from page 1 written in Arabic numerical)
8. Endnotes (Where applicable)
9. References
10. Appendixes
Article 46: Page Format:
The submission of the proposal must be on a A4-size paper. It must be 1.5 spaced, written in 12 point
sized standard font, with a 3 cm left hand margins and a 2.5 cm margin at the top, bottom and right.
Charts, tables, figures, appendices, references and all other pages must also conform to the required
technical regulations and must not extend beyond the margins. Maps, figures, photographs, charts,
tables and appendices must be numbered, titled and sources must be indicated underneath.

36
 Article 47: Numbering:
Pages must be numbered consecutively, as must be chapters, sections, etc. Try to avoid more than
four levels of heading consistency in numbering must be maintained throughout the work including
Appendices. Preliminary pages must be numbered consecutively in lowercase Roman numbers
(example: i, ii, iii, iv, v, vi…) and the body of the proposal (Introduction onwards including endnotes
section, reference and appendix) should be numbered in Arabic numbers (Example: 1, 2, 3, 4, 5…).
Article 48: Final Submission
A student shall make the required modification by the reviewer/s upon defense before she/he submits
the proposal. Minor modifications require approval of the supervisor(s); major modifications require
approval of reviewer/s. This does not entail that the committee shall conduct a formal meeting.
Students shall submit the final version of the proposal. The final version must contain any revisions
required by the reviewer /s and submitted within a month after defense.
Part III. Dissertation Writing and Reporting
A written format of a research work is known as dissertation or research report. All such works may
differ considerably in scope of treatment and details of presentation. Even then all types of research
reports are expected to follow a general uniform, common pattern of format, style and structure. The
general format of research report is evolved and it has become a tradition in academic arena. A
research report is an organized format of research work done. It is viewed in three major categories:
Preliminaries, Textual Body, and References. Therefore, as per ASTU senate legislation, this
guideline addresses general standard pattern in dissertation writing in ten articles.
Article 49: Preliminary Section
This section includes:
1. Cover page:
The cover page is the first page of a dissertation. It is preferably printed on hard paper. It includes
the title of the dissertation, name of the candidate (full name), logo of the university, name of the
program, name of the school, ASTU, Adama, month and year, in that order is formally submitted.
This is the only page of a dissertation for which a page number is not assigned. Please refer to the
sample pages
2. Title Page
The title page is the second page of a dissertation and the first page for which a page number is
assigned although it does not have a number typed on it. It includes the title of the dissertation, name
of the candidate (full name), name of the program, name of the school, ASTU, name of supervisor
(s), Adama, month and year, in that order is formally submitted. Samples are provided.
3. Approval Sheet

37
 The final approval page will be incorporated into the student’s dissertation after being signed by the
board of examiners and members of the advisory committee or supervisor(s). The signing of the
document will occur after a successful open defense and all required revisions to the document
arising from the defense. See appendix
4. Declaration of Student and Supervisor(s)
The dissertation shall contain a declaration of both student and supervisor(s) on the same page to the
effect that the work is the result of the student own investigation and that it has not been already
submitted in candidature for a degree of this or any other university. See appendix
5. Acknowledgement
Acknowledgement is a brief account of the purport or the origin and the utility of the study for which
the dissertation is presented. It also includes the acknowledgement to the persons and sources that
have been helpful to the investigator. If the researcher does not want to mention anything about the
study on this page except acknowledging debt to others, it will be desirable to use the title simple
and restrained without flattery and effusive recognition for help by the family members and others. .
The title ACKNOWLEDGEMENT should be typed in capital letters.
6. Table of Contents
This section lists all the main chapter headings and the essential sub-headings with the appropriate
page numbers against each heading or sub-heading. The listing of the main chapters is generally
preceded by some preliminaries like preface or acknowledgement, list of tables, list of figures,
acronyms, abbreviations, abstract and their respective pages in small Roman numbers and followed
at the end by appendices, and Indexes. Contents should neither be too detailed nor should too
sketchy. The table of contents serves as an important purpose in providing an outline of the contents
of the report. The capitalized title ‘Contents’ should be the central heading of the page and the
capitalized word ‘CHAPTER’ and ‘PAGE’ should lead to the numbers of chapters and those of pages
respectively on the left and right margins. An example’ has’ been given in the tabular form.
7. List of Tables
The table of contents is followed by the list of tables on a separate page. This list of tables consists of
the titles or captions of the tables included “in the dissertation is along with the page number where
these can be located. The capitalized title ‘LIST OF TABLES’ should be the central heading of the
page and the capital words ‘TABLE’ and ‘PAGE’ should lead to the numbers and those of pages
respectively at left and right margins. The statistical data are presented in vertical columns and
horizontal row, according to some classification of subject matter. In the main body of the report any
table should be completed within a page. Numbering tables shall be sequentially arranged through
out dissertation.

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8. List of Figures and Illustrations
A figure is a device that presents figurative data in pictorial or visual form. The figure is used to a
variety of graphs, charts, maps, sketches, diagrams and drawings. It helps to understand the aspects
of data clearly and easily. One idea or fact should be presented in each figure. The description of the
figure must be given in the textual body. ‘FIGURE’ should be written in the center of the page at the
bottom of the figure. The title of the figure should be written in capital letters two spaces below the
figure. In the main body of the report any figure should be completed within a page. A list of figures
on a separate page is prepared in the same form as the list of tables except that they are numbered
with Arabic numbers. Numbering figures and illustrations shall be sequentially arranged throughout
dissertation.
9. List of Acronyms and Abbreviations
List of acronyms and abbreviation shall be included on a separate page.
10. Abstract
It is a brief summary of approximately 400 words (more or less). It should include the research
objective, methods employed, major findings & conclusions and recommendations of the study. It
should also be one page, one paragraph, single space and Italic in format. It should include key
words. This format can be amended as per the requirement of the specific field of study.
Article 50: Main body of the Dissertation
The text of the dissertation is the most important section in the organization of research report. The
quality of worth of dissertation is mainly examined in this section. It is the original production of the
researcher. The main body of the report serves the function of demonstrating the competence of the
researcher. If any sentence, paragraph, concept fails to serve the single function within a given
section or chapter, it is irrelevant. The subject matter of any chapter should be relevant to that point.
Generally the main body of the dissertation shall be determined by the specific requirement of the
fields of study.
1. Introduction
It consists of the background of the study, statement of the problem, objectives, hypotheses, and
research questions, significance of the study, delimitations and limitations of the study. It is reported
in past tense form of work completed.
2. Literature Review
This chapter is essential in most of the research studies. It presents the comprehensive development
of the problem background. It indicates what has already been studied by others, which has a bearing
upon the present study. The review of literature stresses two aspects: the first is the consideration of
the subject-matter and it is likely more important than the other. The second is related to

39
 methodology and design. The review chapter is devoted to the development of the problem statement
or the object of the inquiry. The review is utilized to retain a direct relevancy to the study in hand. It
is the balancing chapter of the research report.
3. Materials and Methods
This chapter indicates the line of approach of the study. The first aspect deals with the method,
population and sample of the study and the second part provides the tools and techniques employed
in the research. It also presents the procedure of the study. The whole plan of the study is discussed
in detail under this chapter. Administration of tools and scoring procedure are reported
systematically. The data organization and presentation should be given in this section.
N.B: This part shall be modified so that it will be compatible with the nature of the field of study.
4. Result and Discussion
In this chapter analysis and results are reported so as to draw the inferences of the study. The
analyses of data are presented in tabular form and in figures or pictorial presentation. The results are
interpreted in detail. This chapter provides the original work or contribution by the researcher. The
communicative accuracy is required in this chapter. The text must be developed to ensure an
effective ordering of the evidences.
In the discussion, the candidates interpret their results. The discussion is used to highlight the
importance of the study and describe the limitations of the study and implications for future research.
If students choose to write the results and discussion as one chapter, they should follow the
description of major findings with appropriate interpretation and discussion.
N.B: This part shall be modified so that it will be compatible with the nature of the field of study.
5. Conclusions and Recommendations
This section requires the creative and reflective aspect of the researcher. The results are discussed to
make them more meaningful comparison of the results with the evidence in the review section
should be woven into the text whenever such a discussion can serve to clarify the points being
reported. This is the final chapter of a report, thus findings and conclusions of the study are
summarized and recommendations for further studies are also given. The main thrust in the section is
the answer of the question or solution of the problem. The validity of the findings should be
mentioned.
Article 51: Reference
6. References
This is the third section of a research report. It consists of generally the references and appendices.
The references and appendices are written on a separate page - in the center with capital letters.

40
 References are a list of the printed sources utilized in the research work. If the sources in the text are
numbered to refer to the source in the references, the entries must be numerically listed in the order
of appearance in the text.
The various format manuals include information on form for the references. If the list of sources is
too large the references should be categorized in the following sections: Books, monographs,
documents and reports, periodicals and journals, essay and articles, unpublished thesis/ dissertation
and material and newspapers. In writing references the surname is written first than initials, year of
publication, title of the book, publishers name, place and total number of pages. The referencing and
citation style can be modified based on the requirement of the field of study. The selected format
should be consistently used throughout the dissertation.
The following are examples of writing references in APA style.
N.B: This part shall be modified so that it will be compatible with the nature of the field of study.
i. Example for single author:
Best, John. W (1977) Research in Education, 3rd ed., New Jersey: Prentice-Hall Inc. Englewood
Cliffs, 403 pp.
ii. Example for two authors:
McGrath, J.H. and D. Gene Watts (1970) Research Methods and Designs for Education’
Pennsylvania: International Text-Book Company, 222 pp.
iii. Example for three or more authors:
Selltiz, Claire et al. (1959). Research Method in Social Relations, New York: Holt, Rinehartand
Winston, 424 pp.
iv. Example for editor as author:
Buros, Oscar K. ed. (1965). The Sixth Mental Measurement, Yearbook: Highland Park,N.J. :
Gryphon Press 1163 pp.
x. Example for author not given:
Author’s Guide (1955) Englewood Cliffs, N.J. Prentice Hall, 121 pp.
xi. Example for unpublished thesis:
Sharma, R.A. (1972). Some Predictors of Teacher Effectiveness, Unpublished” Ph.D. Thesis
Submitted to Meerut University, 320 pp.
xii. Article in an Encyclopedia and Hand Book.
Barr, A.S. (1944), Criteria of Teacher-EffectivenessEbel’s Encyclopedia of Educational Research,
742 p.
xiii. Example for Journals and Periodicals:

41
 Bar, A.S. (1940), ‘The Measurement and Prediction of Teaching Efficiency,’ Review of Educational
Research, 10(4): pp. 185-190.
xiv. A chapter written by an author other than the editor:
MacCoby E.E. (1954), ‘The Interview: A Tool of Social Science’,’ Chapter 12, in the Hand Book of
Social Psychology, Addison, Wesley Cambridge Mass.
7. Appendices
An appendix is the important reference materials category. It includes the material which cannot be
logically included in the main body or textual body of the research report or the relevant materials
too unwieldy to include in the main body. The appendix usually includes: tools of research, statistical
tables and sometime raw-data (when data were processed through computer). Even the material of
minor importance e.g. forms, letters, reminders, interview sheets, blank questionnaires, charts,
tables, lengthy questions, report of cases (if follow-up or case studies have been conducted). The
tools and other material should be placed first and tables at the end and page numbers should be
assigned in Roman Numbers (i, ii, xxi). The appendix serves the function of providing greater clarity
and authenticity for the readers or consumers of the dissertation. The items of the appendix are very
essential for a good research report.
8. Footnotes
Footnotes serve a number of purposes. They enable the researcher to substantiate his presentation by
quotations or citations of other authorities, to give credit to sources of material that he has reported
and to provide the reader with specific sources that he may use to verify the authenticity and
accuracy of material quoted. The citation or quoted statements are written in single-spaced whereas
the text is written double-spaced. The footnotes are placed at the bottom of the page and are
separated from the text by a 3cm horizontal line drawn from the left margin. Footnotes are numbered
consecutively within a chapter.
Article 52: Standard format for Reporting
The research report should be written in a style that it is clear and concise. Therefore the following
considerations should be kept in view in writing a research report.
Table 5: Standard format for reporting
Language English and other local languages

Paper Specifications:

 Color White
 Size 21 cmx29.7 cm (A4)

42
 Weight > 80 gm

Typing:
 Left margin 3 cm

 Right margin 2.5 cm

 Top margin 2.5 cm

 Bottom margin 2.5cm

 Spacing 1.5
 Side Front Single
 Font size 12
 Font type Times New Roman,

 Font style Regular

 Font color Black
 Breaking a word on 2 lines Not allowed

 Corrections with fluid Not allowed

 Overwriting Not allowed
 Crossing out words Not allowed

 Typing machine Computer

 Printing quality Laser or better quality
 Copies High quality photocopy

Article 53: Headings

Generally a research report is divided into chapters; each chapter begins from a new page. The title
of a chapter is called the chapter heading. The word ‘CHAPTER’ is written in capital letters, in the
center of the page and title is placed three spaces of the chapter. The following is the example:
1. Major Heading: A chapter of the report is divided into major chairs. The major heading is written
in capital letters, bold face and at the center of the page.
1.1 Sub-heading: A major heading is sometimes divided into sub headings which are known as minor
heading it starts with left margin of a page in lower-upper letters.
1.2 Paragraph Heading: If the minor heading is further divided, the paragraph is used. It must be
indented five spaces and underlined. A full stop and dash is marked after such a heading. The written
matter starts on the same line.
1.3 These headings are also specified by using the numbers. For the Main headings1, 2, 3, 4...so on are
assigned in a chapter. The minor headings or sub-headings are shown in decimal numbers e.g. 2.1,

43
 2.2, 2.3, it indicates that 1, 2, 3 are the minor headings of second main headings. Similarly paragraph
headings are indicated in further decimal numbers e.g. 2.1.1, 2.1.2, 2.1.3 last numbers, 1, 2, 3 are
paragraph headings of first minor heading of second major heading.
Article 54: Pagination
Assigning page numbers of the report is very essential. The title page or initial page of any section
does not have a page number typed on it, but a number is allotted to it in the series of pages. Page
numbers are typed in the bottom right hand corner, one inch below the top edge of the page. The
small or lower Roman numerals (i, ii, iii, iv,) are assigned for the pages of preliminary section. The
serial Arabic numbers. 1, 2, 3, 4…..so on are assigned for the pages of textual body or main body of
the report i.e. Chapter 1 to last references and annex or appendix. The maximum pages for PhD
dissertation shall not exceed 250 pages.
Article 55: Proof Reading
A research report should not have errors. It requires that final typed copies must be checked
carefully. All types of errors should be deleted before submission.
Article 56: Binding and Submission
It is the last activity for preparing research report. Before giving to the binder it should be arranged
properly and systematically and the serial number of pages are checked carefully and should be
approved by thesis advisor. A great precaution must be taken in printing the topic or title of the
dissertation that it must be the photo-state form of the topic which was approved by PGC. The
covering page must be the same as inner cover given in preliminary section. Then, five hard copies
should be submitted, to the respective Programs for evaluation purpose.
Article 57: Dissertation Progress Report
1. PhD candidates doing dissertation work shall submit written progress report to the Program chair
through the major supervisor(s) every month and presents report every semester.
2. The candidate’s report should give (i) a summary of progress to date; (ii) an outline of the proposed
program for the next … months; and (iii) an outline of any difficulties experienced whether in
respect of supervision, resources, or otherwise. See appendix
3. If the report is unsatisfactory, or if progress is unsatisfactory, or if there is a dispute between a
candidate and any member of supervisor, the School dean/ ADAA, in consultation with the PC and
the major supervisor, if appropriate, will take the necessary action. This may include discussing with
the PC and/or the major supervisor the ways in which progress may be improved, it may include the
issuing of a formal warning to the candidate if progress is unsatisfactory, and, in the case of a
dispute, it may include an attempt at resolution of the dispute.
4. If at any time the candidate is dissatisfied with the supervision provided or the resources available
or with any other matter affecting his or her progress, the candidate should report the matter to the

44
 PC. If the candidate is still dissatisfied, he or she may take the matter to the School Dean/ ADAA,
then to OPS.
Article 58: Procedures for Dissertation Submission
Dissertation submission for PhD students shall be determined as per article 112, sub-article 4 (4.1-
4.3). Based on the nature of his or her study PhD students are requested to submit ethical clearance.
Publications
Normally a PhD candidate is expected to publish three articles in peer reviewed journal from the
result of the dissertation work. However, no PhD candidate shall graduate without publishing at least
two publications on peer reviewed journals.

Part IV. PhD Dissertation Examination

The Doctoral dissertation examination process is made up of three components: the examination of
the dissertation, the oral presentation and the questioning of the PhD candidate. Examiners evaluate
a dissertation by completing the evaluation form. Examiners report and ranking forms must be
submitted to the Program before the doctoral dissertation defense. In line with these, this guideline
addresses requirements and procedures for doctoral dissertation examination, decision, submission
after defense and graduation.
Article 59: Procedures and Requirements for Doctoral Dissertation Examination
1. Dissertation evaluation shall be conducted as per ASTU senate legislation. Unless otherwise agreed
to, the defense is generally scheduled within three up to five months from the candidate’s initial
submission of the dissertation.
2. The dissertation examination is the final of the candidate’s program. It exposes their research and
their dissertation to academic criticism and gives the candidate the opportunity to defend it.
3. Upon initial submission of a dissertation to the Program, the DGC, in consultation with the
candidate’s supervisor(s), appoints Board of Examiners (BoE). The DGC chairperson forwards the
final version of the dissertation to the recommended members of BoE including the name and
address of the chairperson, internal and external examiners and the preferred date and time for the
oral examination to the Program as per ASTU senate legislation.
4. The BoE consists of at least three up to five members, of whom one must be from the candidate’s
Program or program within the university (internal examiner) and two from outside the university
preferably one from abroad (external examiners). The proposed BoE would be approved by the
school dean and OPS.
5. The BoE members will have a copy of the dissertation from three to five months before the
proposed date of examination.

45
6. The chairman of the PGC or his/her designate shall be the chair of the BoE. When the DGC chair is
the supervisor of the defending candidate, the DGC shall assign the chair of the BoE. The
candidate’s supervisor shall be a non –voting member of the BoE.
7. The Program announces the upcoming defense via notice posted on the Program’s and university’s
notice board. Any member of the university can attend a doctoral defense.
8. The chairperson opens the meeting by introducing the members of the BoE and invites the major
supervisor to introduce the candidate.
9. The candidate first presents the dissertation orally with whatever aids are required to make an
effective presentation from 40-60 minutes. The candidate is then questioned on the dissertation for a
maximum of two hours. The chair will give priority to questions from members of the BoE. About
15 minutes are given to the audience to give comments and ask questions. The chair adjourns the
examination when the BoE decides that further questioning is unnecessary.
10. Based on the result of the open defense examination and assessment of the dissertation by each
member of the BoE, an evaluation pass/fail will be given in both the dissertation defense and the
performance certification forms, which are accordingly signed by the BoEs.
11. The chairperson announces the decision of the BoEs to the candidate and the audience.
12. The supervisor or members of the supervisory committee shall not take part in the rendering of final
decision on the dissertation and its grading. These decisions shall not be made in the presence of the
supervisor(s).
13. It is the responsibility of the chair to see that a report on the examination is prepared before the BoE
adjourns. This report will be written on a report format prepared for this purpose, and will carry the
signatures of all members of the BoE. The written reports of absent readers, and of members of the
BoE who dissent from its decision, must be accompanied.
Article 60: Decision
1. Accepted as submitted: This may include corrections that do not require the supervisor’s approval.
2. Accepted with minor modifications defined as corrections which can be made immediately and to
the satisfaction of the supervisor and internal examiner.
3. Accepted with major modifications. The BoEs report shall include a precise description of the
modifications along with a date maximum of 6 months for their completion. It is then the
responsibility of the candidate’s supervisor to confirm in writing to the BoE and the Program that the
required modifications have been made and approved. It is not necessary for the BoE to reconvene.
4. Rejected: Such a dissertation may be re-submitted only once, in revised form or with some
additional work. Such re-submission can only be made 6-12 months from the date of the original
defense. Formal re-submission of a dissertation follows the same procedure as an initial submission.
The candidate shall then defend his/her dissertation. The PGC shall assign the same members of the
BoE if possible.

46
 In case of appeal a candidate has right to appeal in writings to his/her own or with consent of the
supervisor(s) to the OPS, when the dissertation is deferred or rejected by the BoE within one month
after the defense examination. The OPS will examine the candidates appeal vis-à-vis the BoE
decision by establishing a committee of subject specialists minimum of three and pass a final verdict
which will be communicated to the candidate and the BoE within three months of appeal by the
candidate.
When one of the examiners raise issue of plagiarized material, decisions must be passed based on
relevant regulations stipulated in the ASTU Senate Legislation.
When the above decision has been made, the next step is to rate the dissertation. Theses rendered one
of the first three decisions above (accepted as submitted, accepted with minor modifications,
accepted with major modifications) shall be rated as excellent, very good, good, or satisfactory. A
dissertation that has been rejected shall be rated fail. The points given by the external and internal is
multiplied by 0.65 and 0.35 respectively and added up (refer to dissertation evaluation format).

5. Rating
5.1 Excellent (90-100): A dissertation rated ‘excellent’ ought to be an original contribution to
knowledge. This does not mean that it must explore a “new” or little studied program. An original
contribution to knowledge can also result from a novel and perceptive reassessment of a familiar
question. The dissertation should be exemplary both in the selection of problems and data for
consideration and in the manner by which conclusions are drawn about the problems. If based upon
empirical data, the dissertation graded ‘excellent’ should report the clearly and completely. The
conclusions drawn from the data should be persuasive. The reader of a work rated ‘excellent’ should
conclude that he or she knows something new about the problem
5.2 Very good (75-89): A dissertation rated ‘very good’ should demonstrate a mature and sustained
critical engagement with the theoretical and practically context of the work. The research should
show very high familiarity with the literature in the area of study. The work should also reflect an in-
depth integration of research data and a candidate’s personal contributions. The analysis and
interpretation parts of the dissertation should demonstrate a clear understanding of the issues and
critical judgment. The dissertation ought to be well organized, written, and proofread-with very few
errors tolerated.
5.3 Good (65-74): A dissertation rated ‘good’ need not be a contribution to knowledge, but should show
sound judgment, a substantial amount of work, clarity of thought and presentation, and some
creativity. The writer of a dissertation with ‘good’ pass need only demonstrate that he or she has
thought intelligently and carefully about a problem and presented those thoughts clearly and
persuasively. If the dissertation is an empirical one, the research design should be sound and the data

47
 judiciously interpreted, although slight flaws in design or analysis may occur. The dissertation ought
to be well organized, written, and proofread-with occasional errors tolerated.
5.4 Satisfactory (50-64): A dissertation rated ‘satisfactory’ has to demonstrate some understanding of
debates and issues appropriates to the area of study. While a dissertation with ‘satisfactory’ pass
should be deficient in no major way, it may be weak in selection of the problem, manner of
presentation, research design and analysis, or interpretation and conclusions. The deficiency in the
dissertation with satisfactory pass may be in one of these areas or to a lesser degree in a number of
them. A ‘satisfactory’ pass candidate is able, when provoked, to offer limited critical reflection.
5.5 Fail (Below 50):
5.6 A dissertation should be rated according to its merits. Poor ones should receive poor ratings. A
dissertation rated ‘fail’ shows minimal industry, deficient understanding of the subject discussed,
poor presentation, and insufficient familiarity with the relevant literature.
Evaluation format (Form III) shall be signed only by board of examiners who participate in the final
dissertation defense examination. By signing the form, members indicate approval or disapproval of
the content of the dissertation and the candidate’s ability to defend it. In case of major modifications
or failure, members should outline clearly their recommendation as to what the candidate is expected
to do on form IV. Submit the completed forms to the chairperson immediately after the final
dissertation defense examination is concluded (see appendices).
Article 61: Final Submission-After Dissertation defense
1. A PhD candidate must submit the final version of his/her dissertation, in hard copy as well as
electronically in a PDF format within a month after defense. The final version of the dissertation
must include any required modifications requested by the BoE and any formatting revisions
requested by the Program with the recommendation of the internal examiner. The candidate is
responsible for the final electronic submission of his/her dissertation and DGC of the department is
responsible for ensuring that all required forms, duly completed and signed, are forwarded to the
Program as per article ASTU senate legislation.
2. On the basis of the BoE report the DGC will forward the candidate’s grade to the respective school.
The dean approves this request in light of the report from the DGC and forwards it to the OPS and
finally to SARO.
Article 62: Graduation
On the basis of the program’s report and candidates’ records; the school presents the list of
candidates to SMC members to decide whether the candidate has fulfilled the requirements for the
PhD degree. If the decision is positive, the supporting documentation will be presented to the senate
standing committee through OPS, SARO and respective school. After being endorsed with senate

48
 standing committee the list of candidates will be sent to SARO to recommend to the senate that the
candidate be awarded the degree as per senate legislation.

4.2. Ethio-German Homegrown PhD by Research Program

These PhD program is special programs handheld by agreements of two countries. Now it becomes
important to set guideline for Ethio-German homegrown PhD by research as disclosed hereunder.
The Ministry of Education is making different collaborations and signing different agreements with
different countries to fulfill human power demands of universities in Ethiopia. Among them, the
MoE in letter written by ref. no 7/2-4303/641/35; on the date 22/04/16 officially informed our
university as it has made agreement on 07/07/14 with “German Academic Exchange Service-
DAAD” to train 40 university instructors for four consecutive years.
The university instructors who win the competition are expected to conduct their PhD by research in
both German and in their home base university which is known as “Ethio-German Homegrown PhD
by Research Program”.
Therefore, this separate set of procedural and substantive rule document is required to serve as
Guideline for Ethio-German Homegrown Ph.D. by Research Program of ASTU.
Article 63. General Rules
1. Short Title
This document shall be cited as, “The 2016 ASTU Guideline for Ethio-German Homegrown Ph.D.
by Research Program”
2. Applicable Laws
Notwithstanding the rules provided in this guideline, Higher Education Proclamation No. 650/2009,
Council of Ministers Regulations Nos. 237 and 210/ 2011, ASTU Senate Legislation of 2011 is
mutatis mutandis applicable to Homegrown Ph.D. by Research Program of ASTU
3. Definitions of Terms
Unless otherwise expressly provided, the following terms shall have the meaning given to them
hereunder –

49
a) “Ethio-German Homegrown Ph.D. by Research Program” means, a three years study program that
runs by the individual staff’s initiation, and responsibility to undertake a study to earn a PhD degree
by doing an independent research under the supervision of two privately recruited professors of the
field of study.
b) “Homegrown PhD Degree by Research” means a degree of doctor of philosophy that is awarded by
ASTU to candidate who has been accepted in ASTU after the successful completion of the PhD by
Research program.
c) “Candidate of Homegrown PhD by Research” means, a candidate who is undertaking research for
PhD degree having formally registered for the Homegrown PhD by Research program in ASTU.
d) “Senate Legislation” means, the 2017 ASTU Senate Legislation.
e) “School Managing Council (SMC)” means the committee that is established for each school as per
the senate legislation.
f) “Program Managing Council (PMC)” means, the Managing Council of the program that is
established as per the senate legislation.
g) “External Supervisor” means a professor who is in or outside of Ethiopia but not in ASTU.
h) “Internal Supervisor” means a professor who is serving in ASTU. In case the internal supervisor
could be from external universities.
i) “The Program” means, PhD Degree by Research Program.
Article 64. Co-ordination
This Homegrown PhD by Research program is coordinated by the respective school of the
candidate. Until the termination of the program each school has equal chance to invite the candidate
for recruitment.
Article 65. Approval of Candidates and Admission Procedure
Approval of candidates and admission procedures of Homegrown PhD by Research program shall
follow the following steps:
Step 1. Program/School shall formally announce the Homegrown PhD by Research Program when
requested by the MoE and identify the lists of the staff eligible for Upgrading as approved by the
Program Graduate Committee (PGC) for further competition at the MoE, nationally.
1) The document shall consist of all the relevant information of the staff like educational
qualifications, years of services in and out of ASTU, field chosen for upgrading, level of degree
sought, mode or program of study preferred, etc. based on the format that the MoE developed to this
effect.
2) The application and selection shall be made per the schedule of ‘Ethio-German Homegrown PhD
by Research Program’, possibly annually.
Step 2. Any of the candidates for upgrading, who intends to get admission to the program shall
identify the area of the research and starts searching for one external and one internal supervisor

50
Step 3. Having secured oral/written consent of the two supervisors, the candidate prepares a
research proposal and attaches all the necessary documents for submission and presents to the
screening committee at MoE for approval of a proposal or research project. The Nomenclature of
the program shall be decided during the approval of the proposal.
Step 4. When the candidate is eligible and accepted by MoE, the approved research proposal and
the documents attached there shall be submitted to respective program in ASTU.
Step 5. The candidate for Homegrown PhD by Research submits the approved proposal and the
documents attached there to accompany by letter of confirmation of the school dean and OPS, to the
supervisors and the funding institutions.
Step 6. The candidate requests the supervisors and the funding institutions to provide him/her with
their written confirmations to be submitted to respective School Dean and Office of Postgraduate
Studies.
Step 7. The school dean shall pass the name/s of candidate/s to office of postgraduate for the final
approval.
Step 8. Dean of postgraduate office shall issue to the candidate a letter of acceptance/admission to
the program and informs the same to SARO.
Step 9. Office of Postgraduate Studies, Office of Director General for Academic Affairs, the School,
Program and the Candidate shall work jointly to arrange and facilitate for concluding and
administering the contractual agreement by which the supervisors and the candidate undertake
commitment for the successful completion of the study.
Step 10.The candidate who obtained admission to the program shall get registered within one week
as of the date of the letter of acceptance. The period of registration and admission to the program are
not subject to extension or transfer to other times unless justified by a force majeure.
Step 11.The candidate who is registered for the program shall be issued an identification card as a
Candidate of Homegrown PhD by Research Program and subsequent registrations and ID card
renewal of the candidate shall take place as per the rules of registration of regular candidates.
Step 12.Except the first registration that may be made at any time, all subsequent registrations shall
take place as per the schedule of the office of the registrar.
Step 13.Subsequent semester registration of the candidate of Homegrown PhD by Research shall
only be effective with confirmation of respective School and Office of Postgraduate Studies to
whom the candidate shall present and submit semester progress report of the research which shall be
supported by the written confirmation of both supervisors.

51
 Step 14. Program of the candidate shall plan and administer regular progress reports for the
candidate jointly with the School and Office of Postgraduate Studies. A PhD by Research candidate
is obliged to conduct at least three seminars during his/her study time and two publications.
Article 66. Duration of the Program
Homegrown PhD by Research program shall be completed within three years. This period may be
extended for one more year if both supervisors agree and approve the extension. Another one further
year extension may be allowed without ASTU’s financial support excluding monthly salary. The
maximum period of study shall not exceed five years.
Article 67. Visiting an External Supervisor who is Abroad
1. A candidate of Homegrown PhD by Research is entitled to visit his/her supervisor from Germany
per Ethio-German Homegrown PhD Research agreement signed between Ethiopia (MoE) and
Germany.
2. The time, frequency and duration of each visit shall be implemented per Ethio-German Homegrown
PhD by Research agreement signed between Ethiopia and Germany.
3. A candidate shall not divert his/her program in other universities or double registration is prohibited
Article 68. Sponsorship, Funding, and Scholarships
1) ASTU staff who is a candidate of Homegrown PhD by Research shall be entitled to:
a) Exemption of teaching load as per the senate legislation;
b) Full monthly salary and any other related benefits of staff is allowed;
c) Any additional funding that he/she secured from funding institutions, particularly Germany and
others (if any), is allowed;
d) ASTU allows up to 65,000 Birr subject to an approval by Office of Postgraduate Studies.
2) A non-staff of ASTU will not get the opportunity to attend Homegrown PhD by Research program.
Article 69. Study Rules
The rules in the senate legislation are applicable to the studies of Homegrown PhD by Research
program.
Repeal of Laws
Any rule, decision, or action that is contrary to this document has no legal effect.
Effective Date
This document shall enter into force as of the date of its adoption by the Senate of ASTU.

Whereas another currently running collaborative postgraduate program in ASTU which is known as
Ethio - Belgium postgraduate program will be handled based on the newly endorsed Curriculum in
in the respective schools, and the agreements made between the two countries.i.e Ethiopia and
Belgium.

52
Appendix

Appendix 1: Graduate studies Application form

Office of the School Registrar

Adama Sciences and Technology University

P.O/ Box 1888

Adama, Ethiopia.

Personal Data (please write in block letters)

Full name: ………………………………………………………………………………………

Place and date of birth………………………………………………………………………………. Marital
status: Gender:…………………. Nationality:-----------------------Postal address
……………………………………………………………………………………………..
City………………………………………………………..Zone/Country ………………………
Tel.No…………………………………………………Cell phone ……………………………
Fax………………………………………………………….E-mail………………………………
Fellowship (Please mark x in the boxes)

I will pay all my expenses (including research grant and tuition fee)

Fellowship is requested but has not yet been granted

Fellowship support is required

Fellowship has already been awarded

If the fellowship has been awarded, please indicate the name of the sponsor and attachment of award.

……………………………………………………………………………………………………………………
……………………………………………………

Please mark one: MSc/MA/MBA/ /PhD program

Department ………………………

Specializations ………………….

Employment Records (Start from recently obtained Credential)

Service Year

53
Name of Employer/ Address Position(s) From To
organization held

Academic Record (Start from recently obtained Credential)

Year of
attendance
University/ Country Major field of Diploma/Bachelor’s
College study /Master’s From To

Publications (if any)

Attach list of articles you have published, write name of journal(s) and year of publication

……………………………………………………………………………………………………………………
……………………………………………………………………………………………………………………

Checklist of documents submitted (Tick in the boxes)

Completed application form

Copy of Diploma/Bachelor /Master’s

Copy of transcript (student copy)

Curriculum vitae

Sponsorship letter (if any)

Recommendation letter(2)

Language proficiency test result

*Only for applicants whose medium of

instruction was not English

54
Statement by the applicant
I hereby certify that all the information given in this form is complete and correct. I fully realize that the
University is entitled to take any action on me; including dismissal if the information given by me here is
found incorrect or misleading at any time. I also realize that I will not be entitled to any reimbursement of
whatever fee I might have paid in cases where the University takes any action on me as a result of the
incorrect or misleading information given by me. I further undertake to observe all the rules and regulations
of the university if I am accepted by the University, and to refrain from any activity which may be contrary to
the interest of Ethiopian people. I shall take full responsibility for reading and abiding by the rules and
regulations of the University.
Date and place:…………………………………. ……………………………………………
Signature:…………………………………………………………………………………..

ATTENTION! Please check the academic calendar of Adama Science and Technology University for the date
of entrance examination

Specialization……………………………………………..MSc/MA/MBA/PhD

55
 Appendix 2: Letter of Recommendation form
FOR OFFICE USE ONLY

File No…………………………………………………………………………………………………

Source of Fund ………………………………………………………………………………

Full name of the applicant (in block letters)

…………………………………………………………………………………………………

(To be filled out by a University instructor, employer or by a member of a professional association)

The above mentioned candidate has applied for admission into ------------------- department
-------------------School of Adama Sciences and Technology University. The office of graduate studies
will greatly appreciate your assistance in assessing the applicant by answering the following
questions. The information supplied will be held confidential.

1. For how long and in what capacity have you known the candidate?
…………………………………………………………………………………………………
………………………………..
2. Give your evaluation of the applicant’s academic potential to pursue graduate studies.
…………………………………………………………………………………………………
………
3. State the candidate’s special points of strength and /or weakness in his/her area of
specialization
…………………………………………………………………………………………………
………
4. State how the graduate program in the area of the candidate’s specialization will equip the
candidate to serve the best interests of the country better than with the education he/she has
now has
.......................................................................................................................................................
..................................................................................
5. Describe the candidate’s character and ability specially with respect to withstanding the rigors
of graduate studies, and professional commitment.
…………………………………………………………………………………………………
………
Name………………………………………………..Position ………………………………
Date …………………………… Signature ……………………………………………
Organization ……………………………………….…………………………………………
P.O Box ………………………………………………………………………………………
Town /City ………………………………………………………..Zone/Country …………
Tel. No…………………………………………………Cell phone …………………………
Fax…………………………………………………………. E-mail …………………………
Please seal and sign on the postage mail the completed form directly to the following address

[Office of respective school registrar]

Adama Sciences and Technology University

P.O Box 1888 Fax Number: Email Address:

56
 Adama, Ethiopia

Appendix 3: Letter of Acceptance to Master’s program

Date--------------------------
Letter of Acceptance to the Office of Graduate Studies

To: --------------------------------------------------------------------------------- (full name)

Dear applicant,
I am pleased to inform you that your application to join the Master’s program in
“----------------------------------------------------------------------------------------- (Field of Study) in
the ---------------------------------------------------- (department) has been accepted, and hence you
are admitted to the Office of Graduate Studies of Adama Science and Technology University
(ASTU) to pursue your Graduate Studies.

I wish you success in your studies

Sincerely,
Name of the Dean
Signature and Stamp

57
Appendix 4: Letter of Acceptance to PhD program

Date--------------------------

Letter of Acceptance to the Office of Graduate Studies

To: --------------------------------------------------------------------------------- (Full Name)

Dear applicant,

I am pleased to inform you that your application to join PhD program in

“-----------------------------------------------------------------------------------------
----------------------------------------------------------(Field of Study) in the
---------------------------------------------------- (department) has been accepted in accordance with the
approval provided from your supervisor(s) and department/ school, and hence you are admitted to the
Office of Graduate Studies of Adama Science and Technology University (ASTU) to pursue your PhD
Studies.

I wish you success in your studies

Sincerely,

Name of the Dean

Signature and Stamp

58
Appendix 5: Thesis Proposal Outer Cover Page

Title---------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------

Name of Candidate (Full Name)

A Proposal Submitted to the department of----------------,

School of ……………..

Office of Graduate Studies

Adama Science and Technology University

Adama

Month, year

59
Appendix 6: Thesis Proposal Inner Cover Page

Title---------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------

Name of Candidate (Full Name)

Advisor(s)

A proposal thesis Submitted to the department of----------------

School of ……………..

Office of Graduate Studies

Adama Science and Technology University

Adama

Month, year

60
Appendix 7: Dissertation Proposal Outer Page

Title---------------------------------------------------------------------------------------------------------------------
-------------------------------------------------

Name of Candidate (Full Name)

A Dissertation proposal Submitted to

The department of----------------

School of ………………….

Adama Science and Technology University

Adama

Month, year

61
Appendix 8: Dissertation proposal Inner Cover Page

Title---------------------------------------------------------------------------------------------------------------------
-------------------------------------------------

Name of Candidate (Full Name)

Supervisor (s)

A Dissertation proposal Submitted to

The department of----------------

School of ………….

62
Appendix 9: Approval sheet for thesis and Dissertation proposal

_____________________________ _____________________ ___________________

Name of Student Signature Date
_____________________________ _____________________ ___________________
Advisor /Supervisor/ Signature Date
_____________________________ _____________________ ___________________
Department Chair Signature Date
_____________________________ _____________________ ___________________
School Dean Signature Date

_____________________________ _____________________ ___________________

Postgraduate Dean Signature Date

63
 Appendix 10: Checklist for evaluating master’s thesis proposal and Dissertation proposal
For evaluating Master’s thesis proposal and Dissertation proposal the following checklist shall be
used by assessors/ reviewers.

Name of Student ________________________________________________________

Examiner Name__________________________________________________________

Research
title:---------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------

Items Yes No

Title:

1. Is the title brief and informative?

2. Is it clear and concise?

3. Does the title make clear the population of interest and the major variables?

4. Have vague, ambiguous, and emotion laden terms been avoided?

Introduction:

1. Have the variables of interest been identified?

2. Has the theoretical foundation for the study been developed?

3. Is the problem clearly stated and properly defined?

4. Is there a justification or rationale for the study?

5. Is the significance of the study recognized?

6. Have the objectives been stated clearly?

7. Are specific questions raised; hypotheses clearly stated (if any)?

8. Are assumptions and delimitations stated?

9. Are important terms defined?

Method /Design:

1. Is the research design identified and described?

Participants/Subjects:

1. Are study site and target population briefly described?

2. Are the samples/participants identified and described?

3. Are the techniques of selecting samples identified and described in detail?

64
 4. Does the sampling size allow for generalization to the population of interest?

Procedures:

1. Are the procedures identified and described for data collection and analysis?

Instruments/Tools/Materials:

1. Are appropriate instruments identified and adequately described?

2. Is pilot study designed for standardizing the instruments?

3. Is the information on the validity and reliability of the instruments provided for adapted
instruments?

Methods of Analysis of the Data:

1. Are appropriate descriptive statistics identified for summarizing the data?

2. Are appropriate inferential statistics identified for testing the hypothesis?

Ethical consideration:

1. Is informed consent of participant included?

2. Is confidentiality of responses addressed?

3. Is there the need for ethical clearance?

References:

1. Are proper in text citation used?

2. Are all resources acknowledged?

3. Are all references in appropriate standard?

Work plan: Are all activities briefly stated?

Budget breakdown:

General quality of the proposal:

1. Are language clarity, readability and good organization of the proposal observed?

Oral presentation:

1. Does the presenter justify his/her study area?

2. Does the presenter have knowledge of his/her research problem?

3. Does the presenter properly articulate his/her research questions/hypotheses?

4. Does the presenter have knowledge of his/her research methodology?

5. Does the presenter have clarity and coherence in his/her presentation?

6. Does the presenter give valid responses to questions /comments raised by examiner?

65
General comments

Name and signature of the examiner:

1. --------------------------------------------------- -----------------------------Date-----------------
Name and Signature of Supervisor/Advisor:

2. --------------------------------------------------- ---------------------------Date-------------------

Name and Signature of department Chair:

3. ----------------------------------------------------------------------------- Date--------------------

66
Appendix 11: Master’s Thesis Outer Cover Page

Title---------------------------------------------------------------------------------------------------------------------
-------------------------------------------------

Name of Candidate (Full Name)

A Thesis Submitted to

The department of----------------

School of ……………..

Presented in Partial Fulfillment of the Requirement for the Degree of Master’s

in--------------------------------------------- (Specialization in)

Office of Graduate Studies

Adama Science and Technology University

Adama

Month, year

67
Appendix 12: Master’s Thesis Inner Cover Page

Title---------------------------------------------------------------------------------------------------------------------
-------------------------------------------------

Name of Candidate (Full Name)

Advisor (s)

A Thesis Submitted to

The department of----------------

School of …………..

Presented in Partial Fulfillment of the Requirement for the Degree of Master’s

in--------------------------------------------- (Specialization in-----)

Office of Graduate Studies

Adama Science and Technology University

Adama

Month, year

68
Appendix 13: Dissertation Outer Cover Page

Title---------------------------------------------------------------------------------------------------------------------
-------------------------------------------------

Name of Candidate (Full Name)

A Dissertation Submitted to

The department of----------------

School of ……………

Presented in Fulfillment of the Requirement for the Degree of Doctor of Philosophy

in--------------------------------------------- (Specialization in)

Office of Graduate Studies

Adama Science and Technology University

Adama

Month, year

69
Appendix 14: Dissertation Inner Cover Page

Title---------------------------------------------------------------------------------------------------------------------
-------------------------------------------------

Name of Candidate (Full Name)

Supervisor (s)

A Dissertation Submitted to

The department of----------------

School of ……………..

Presented in Fulfillment of the Requirement for the Degree of Doctor of Philosophy

in--------------------------------------------- (Specialization in-----)

Office of Graduate Studies

Adama Science and Technology University

Adama

Month, year

70
Appendix 15: Approval of Board of Examiners

We, the undersigned, members of the Board of Examiners of the final open defense by
__________________________________ have read and evaluated his/her thesis entitled
“_______________________________________________________________________” and
examined the candidate. This is, therefore, to certify that the thesis has been accepted in partial
fulfillment of the requirement of the Degree of ………………………………………..

_____________________________ _____________________ ___________________

Supervisor /Advisor Signature Date

_____________________________ _____________________ ___________________

Chairperson Signature Date
_____________________________ _____________________ ___________________
Internal Examiner Signature Date
_____________________________ _____________________ ___________________
External Examiner Signature Date

71
Appendix 16: Declaration

I hereby declare that this MSc/MA Thesis /PhD Dissertation is my original work and has not been
presented for a degree in any other university, and all sources of material used for this thesis/
dissertation have been duly acknowledged.

Name: _____________________________________________________________________

Signature:___________________________________________________________________

This MSc/ MA Thesis /PhD dissertation has been submitted for examination with my approval as
thesis advisor/ dissertation Supervisor.

Name: ____________________________________________________________________

Signature:__________________________________________________________________

Date of submission:………..

72
Appendix 17: Supervisor’s/Advisor’s approval sheet

To: ..................................................... department

Subject: Thesis/Dissertation Submission

This is to certify that the thesis/dissertation entitled

“-------------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------- submitted in partial
fulfillment of the requirements for the degree of Master’s/Doctor of Philosophy in
------------------------------------------------------------------------, the Graduate program of the department
of -----------------------------------------------------------------, and has been carried out by
------------------------------------------------------------------------------ Id. No -----------------------------------,
under my/our supervision. Therefore, I/we recommend that the student has fulfilled the requirements
and hence hereby he/she can submit the thesis/dissertation to the department.

_____________________________________ _________________________ _________________

Name of major Advisor/supervisor Signature Date

73
Appendix 18: Thesis evaluation format
A three-part form will be used to evaluate Master’s thesis to assess oral presentations, the written
thesis, the potential of becoming an independent researcher and the oral thesis defense. The evaluation
format will be sent to members’ board of examiners along with thesis.

FORM I. THESIS COMPONENTS (70%)

Components % points

A Abstract 3%

B Introduction 10%

C Literature review 10%

D Research design and procedures/Materials and methods/ 15%

E Results and discussion 20%

F Summary, conclusion and recommendations 9%

G References 3%

Total (70%) /70

FORM II: DEFENSE/ORAL EXAMINATION (30%)

Components % points

A Manner of presentation 5%

B Confidence in the subject matter 10%

C Depth of knowledge related to thesis/ project 15 %

Total (30%) /30

GRAND TOTAL (100%)

Components % points

I Thesis components 70%

II Defense examination 30%

GRAND TOTAL (100%) /100

FORM III: THESIS EVALUATION AND DECISION FORM

Particulars of the student and decision of the External /Internal/chairperson Examiner
Name _______________________________________________ ID No.__________
Graduate Departement _____________________________________________________

74
 Date of Thesis defense __________________________________________________

ThesisTitle__________________________________________________________________
___________________________________________________________________________
________________________________________________________

External examiner Evaluation

Internal examiner evaluation

Chairperson

Grade:

Excellent (A) (85-100):

Very Good (B+) (75-84):

Good (B) (65-74):

Satisfactory (B-) (50-64):

Fail (C) (Below 50):

The candidate has passed failed

Signature of the Examiner:

Name (print or type Signature Date

_______________________________ _____________ ___________

Questions to be asked:

Main comments on thesis (please mark on thesis with red/blue/pen as well

Recommendation to the candidate in the case of failure:

Form IV- Summary Reports on Master’s Thesis Examination

Performance Certificate for Master’s Thesis

Name ________________________________________ID No._____________________

Thesis Title
___________________________________________________________________________
__________________________________________________________________________________
___Departement______________________________________ Department ________________
Year_______________

1. Comments on thesis presentation & defense

______________________________________________________________________________
______________________________________________________________________________

75
 ______________________________________________________________________________
______________________________________________________________________________
____________________________________________

2. Suggestions made by Board of Examiners

______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
____________________________________________

3. Modification (s) to be made

______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
____________
4. Final decisions by the board of examiners
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
____________

5. Evaluation result (Excellent, Very Good, Good, Satisfactory, Fail)

Name____________________________ Signature_______________ Date_________

(Chairperson, Board of Examiners

76
Appendix 19: Thesis evaluation and decision form (A summary)

Particulars of the student and decision of the Board of Examiners

Name _______________________________________________ ID No.__________

Graduate Department _____________________________________________________
Date of Thesis defense ________________________________Thesis
Title_______________________________________________________________________
___________________________________________________________________________
_________________________________________________________

External examiner Evaluation

Internal examiner evaluation

Chairperson evaluation

Total points

Or (0.5 * External examiner’s +0.35* internal examiner’s + 0.15* chairperson) =

Grade:

Excellent (A) (85-100):

Very Good (B+) (75-84):

Good (B) (65-74):

Satisfactory (B-) (50-64):

Fail (C) (Below 50):

The candidate has passed failed

We, the undersigned, members of the Board of Examiners of the final open defense by
__________________________________ have read and evaluated his/her thesis entitled
“_______________________________________________________________________” and
examined the candidate. This is, therefore, to certify that the thesis has been accepted in partial
fulfillment of the requirement of the Degree.

Signatures of the Board of Examiners:

Name (print or type) Signature

Advisor _________________________________________ _____________

77
 Chairperson_________________________________________ _____________

Internal examiner_____________________________________ _____________

External examiner_____________________________________ ____________

FORM IV: To be completed by the school dean and by the dean of office of graduate studies

To be completed by the department chair

Approved Not approved

Name of the DC Signature Date

To be completed by the school dean

Approved Not approved

Name of the Dean Signature Date

To be completed by Dean Office of Graduate Studies

Approved Not approved

Name of the Dean Signature Date

78
Appendix 20: PhD Dissertation Evaluation
A three-part form will be used to evaluate PhD Dissertation to assess oral presentations, the written
thesis, the potential of becoming an independent researcher and the oral thesis defense. The evaluation
format will be sent to members’ board of examiners along with Dissertation.

FORM I. DISSERTATION COMPONENTS (70%)

Components % points

A Abstract 3%

B Introduction 10%

C Literature review 10%

D Research design and procedures/Materials and methods/ 15%

E Results and discussion 20%

F Summary, conclusion and recommendations 9%

G References 3%

Total (70%) /70

FORM II: DEFENSE/ORAL EXAMINATION (30%)

Components % points

A Manner of presentation 5%

B Confidence in the subject matter 10%

C Depth of knowledge related to dissertation 15 %

Total (30%) /30

GRAND TOTAL (100%)

Components % points

I Dissertation components 70%

II Defense examination 30%

GRAND TOTAL (100%) /100

79
 FORM III: DISSERTATION EVALUATION AND DECISION FORM
Particulars of the student and decision of the External /Internal/chairperson Examiner
Name _______________________________________________ ID No.__________
Graduate Departement _____________________________________________________
Date of Thesis defense __________________________________________________
ThesisTitle____________________________________________________________________
_____________________________________________________________________________
____________________________________________________

External examiner Evaluation

Internal examiner evaluation

Chairperson evaluation

Grade:

Excellent (A) (85-100):

Very Good (B+) (75-84):

Good (B) (65-74):

Satisfactory (B-) (50-64):

Fail (C) (Below 50):

The candidate has passed failed

Signature of the Examiner:

Name (print or type Signature Date

_______________________________ _____________ ___________

Questions to be asked………………………………………………..

Main comments on dissertation (please mark on thesis with red/blue/pen as well)

………………………………………………………………………………………………………………
……………………………………………………..

Recommendation to the candidate in the case of failure:

Form IV- Summary Reports on PhD Dissertation Examination

Performance Certificate for PhD Dissertation

Name ________________________________________ID.No.__________________________

Thesis Title
___________________________________________________________________________
_____________________________________________________________________________Dept___
___________________________________ department ________________ Year_______________

80
1. Comments on thesis presentation & defense

_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
________________________________

2. Suggestions made by Board of Examiners

_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
________________________________

3. Modification (s) to be made

_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
___
4. Final decisions by the board of examiners
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
___

5. Evaluation result (Excellent, Very Good, Good, Satisfactory, Fail)

Name ____________________________________ Signature__________ Date_____
(Chairperson, Board of Examiners)

To: department Graduate Committee

From: ------------------------------------------------------------------------------------------------
Major advisor and member of the examiners of the Master’s thesis/PhD dissertation open
defense. Student------------------------------------------------------------------ had a defense
examination of Master’s thesis/PhD dissertation entitled
“-------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------------
----------------------------------------------------------
The examining board had finally accepted the thesis with minor /major editorial corrections and
had delegated the committee consisting of the advisors, -----------------------------------------to see
that the student has incorporated all the recommendation. Accordingly, I have checked that
student................................................................... has taken care of all the suggestion of editorial
correction indicated by the member of examining board to the best satisfaction. This is,
therefore, to testify student-----------------------------------------------------------has met the
requirements and that she/he is recommended for graduation.

Sincerely,
CC:
SGS
Name of Student--------------------------------------------------------------------

81
82
Appendix 21: dissertation evaluation and decision form
Particulars of the student and decision of the Board of Examiners

Name _______________________________________________ ID No.__________

Graduate department _____________________________________________________
Date of Dissertation defense __________________________________________________
DissertationTitle______________________________________________________________
___________________________________________________________________________
____________________________________________________________

External examiner Evaluation

Internal examiner evaluation

Chairperson evaluation

Total points

Or (0.6* External examiner’s +0.40* internal examiner’s ) =

Grade:

Excellent (A) (85-100):

Very Good (B+) (75-84):

Good (B) (65-74):

Satisfactory (B-) (50-64):

Fail (C) (Below 50):

The candidate has passed failed

We, the undersigned, members of the Board of Examiners of the final open defense by
__________________________________ have read and evaluated his/her dissertation entitled
“_______________________________________________________________” and examined the
candidate. This is, therefore, to certify that the Dissertation has been accepted in fulfillment of the
requirement of the Degree of Doctor Philosophy.

Signatures of the Board of Examiners:

Name (print or type) Signature

Supervisor _________________________________________ _____________

Chairperson_________________________________________ _____________

Internal examiner_____________________________________ _____________

External examiner_____________________________________ ____________

83
FORM IV: TO BE COMPLETED BY THE SCHOOL DEAN AND BY THE DEAN OF OFFICE OF
GRADUATE STUDIES

To be completed by the department Chair

Approved Not approved

Name of the DC Signature Date

To be completed by the school dean

Approved Not approved

Name of the Dean Signature Date

To be completed by Dean Office of Graduate Studies:

Approved Not approved

Name of the Dean Signature

84
Appendix 22: Thesis/PhD Progress Report Form

This form is the means by which progress of masters and PhD studies are periodically assessed by the
student and supervisory team, and reported via the HOD / the Associate Dean of Graduate studies of
the School/ School Dean. It is a means by which any problems or issues may be identified and
appropriate action determined. The School of Graduate Studies uses this form to monitor students’
progress and ensure that supervision is effective. The regular submission of progress reports shall be
as per guideline for thesis/dissertation writing and reporting. Failure to fulfill this regulation may
lead to termination of enrolment and scholarship (if applicable).

This form has three parts:

PART A: Progress Report – to be completed by the Student

PART B: Comments – to be completed by the advisor(s)

PART C: Recommendations and Signatures – to be completed by the Student, Advisor(s), and Chair
of D/School and School of GS

PART A: STUDENT COMMENTS

Name      

ID Number       Thesis/PhD date of first      

enrolment:

Department/School:       Name of sponsor (If any):

Enrolment Status Full-time Part-time

Supervisor /Advisor(s)

Supervisor/ Advisors      

      Main Advisor /Supervisor      

      Co-Supervisor /      

Co-advisor

85
Outline below your progress and achievements the last 2 months for thesis / the last semester for
dissertation. Indicate what milestones have been achieved, including detailing what chapters or
sections of your thesis/dissertation have been written in draft or final form.

……………………………………………………………………………………………………………

Outline below your research goals for the next 2 months for thesis / the next semester for dissertation.
Indicate what milestones have been set for the next 2months/semester, including detailing what
chapters or sections of your thesis/dissertation you plan to write in this period.
……………………………………………………………………………………………………………
……………………………………………………………………………………………………………

1. I rate the quality of my work as:

a. Very Good c. Satisfactory
b. Good d. Below my expectations

If (d) what measures have you taken to address this?

     

2. I assess my rate of progress as:

a. Very Good c. Satisfactory
b. Good d. Below my expectations

If (d) what measures have you taken to address this?

     

3. In the past 2 months for thesis / semester for dissertation I have:

Given a Program seminar? Yes No
Attended a conference(s)? Yes No
Given a presentation(s) based on my research? Yes No
Had research output(s) published (for PhD candidate)
(e.g. journal articles; book chapters; conference proceedings; creative works)? Yes No

If yes, please give details:

     

86
4. I have submitted work to my supervisory team Yes No
I have received written feedback Yes No

5. I have outstanding resource issues concerning my research Yes No

If Yes, please detail:

     

6. Ethical approval for my thesis/dissertation research:

has been obtained is pending is not required

Please provide approval numbers where ethical approvals have been received. If ethics approval is pending
please provide details of which ethics board application has been submitted to
     

7. There any intellectual property issues related to my research that have not been resolved
Yes No

If Yes, please detail:

     

8. How often and by what means do you and your advisor(s) maintain contact?

Detail the means of contact (e.g., face-to-face; email; Skype) and the frequency of each
     

9. Contact with my advisor (s) could be improved? Yes No

If Yes, please comment:

     

10. Please provide details below of any way that you think your advisor (s) could improve the
support of your studies

87
     

11. Are there any issues that CoP/Associate Dean for Graduate Studies or the School Dean should be
aware of? Yes No

If Yes, please comment:

     

PART B: Supervisor /advisors’ comments

Please provide comments on the student’s progress and achievements in the last 2 months for thesis
/semester for dissertation:

……………………………………………………………………………………………………………
…………………………………………………..

Please provide comments on the student’s thesis/dissertation goals and milestones for the next 2
months for thesis /semester for dissertation:

……………………………………………………………………………………………………………
……………….

12. The quality of the student’s work is:

a. Very good c. Satisfactory
b. Good d. below acceptable standard

If (d) what measures have been taken to address this?

     

13. The student’s rate of progress is:

a. Very good c. Satisfactory
b. Good d. below acceptable standard

If (d) what measures have been taken to address this?

     

88
 14. How often and by what means do you and your advisee maintain contact?

Detail the means of contact (e.g., face-to-face; email; Skype) and the frequency of each
     

15. Are you satisfied with the frequency and means of contact? Yes No
If No, please comment:
     

16. Are there any intellectual property issues which have not been resolved?
Yes No

If Yes, please comment:

     

17. Are there any issues that the HoD/ Associate Dean for Graduate Studies of the school or the
School Dean should be aware of? Yes No

If Yes, please comment:

     

PART C: RECOMMENDATIONS AND SIGNATURES

C1 Main Advisor to complete

I recommend that the student’s enrolment be:

89
 Continued

Continued subject to specified conditions as outlined below

Terminated

Specified conditions of continued enrolment:      

I have discussed our comments with the student: Yes No

Please outline any issues that emerged from the discussion with the student:

     

Signature of Advisors

     ________________________________       ____________________

Signature of main advisor Date

     ________________________________       ____________________

Signature of co-advisor Date

C2 Student to complete

If you would like to make any comments in response to the comments made by your advisor(s) please
do so in the box below:

     

I have discussed this progress report with my supervisor: Yes No

Please outline any issues that emerged from the discussion with your supervisor/advisor(s):

     

     ________________________________       ____________________

90
Signature of Candidate Date

C3: Chair of department/Associate dean for Graduate Studies of the School/School Dean to complete

Please comment below on the student’s progress and goals and on the comments made by the student
and by the advisor(s). If any concerns have been raised by either the student or supervisor, please
indicate what actions have been taken and any further action you recommend.

     

I recommend that the candidate’s enrolment be:

Continued

Continued subject to specified conditions as outlined below

Terminated

Specified conditions of continued enrolment:      

     ________________________________      ____________________

Signature of HOD/S or School Dean Date

C4: School of Graduate Studies to complete

Acting on behalf of the Academic Board, I have resolved that this progress report be:

Approved

Declined

I resolve that the candidate’s enrolment be:

Continued

Continued subject to specified conditions as outlined below

Terminated

Specified conditions of continued enrolment:

     

91
     ________________________________      ___________________

Signature of School Dean/Associate dean for GS Date

Comments:      

92
93