Hints on Layout and Style
for Writers of Dissertations and Theses at the Faculties of Science,
Engineering and Medicine, Lund University
Helen Sheppard, PhD
Updated June 2015
Hints on Layout and Style for Writers of Dissertations and Theses
at the Faculties of Science, Engineering and Medicine at Lund University
?Helen Sheppard, 2015
Word for Word technical translations
www.wordforword.se
Preface
Having edited scientific papers and theses for over 30 years, I have seen the development from
relatively simple typewritten manuscripts with photographic line drawings, to modern
publications containing digital images and with sophisticated layouts akin to those achieved by
professional publishers. As the authors of papers and theses became more aware of layout and
more adventurous in their use of digital publishing programs, I noticed that not only was I
making grammatical and linguistic corrections, but also comments and suggestions regarding the
style of headings, the layout of paragraphs and tables, and the use of symbols and signs.
The aim of this publication is not to provide a complete guide to literary style; others have done
this far more competently. The factual content and methods of scientific writing are also outside
the scope of this guide. My intention is to give examples of the kind of things I frequently correct
or comment on when editing theses originating from the faculties of Science, Engineering and
Medicine at Lund University.
I would like to take this opportunity to thank all friends and colleagues who have given their
comments on the manuscript, especially Margaret Newman-Nowicka, and also Johanna
S?derstr?m for allowing me to use parts of her thesis as an example of good layout and
presentation.
Helen Sheppard
June 2015
Contents
Before you Start Writing… ......................................................................... 1
Thesis or dissertation? .......................................................................................... 1
Papers, theses and dissertations .......................................................................... 1
British or American? ............................................................................................. 1
British and American spelling ............................................................................. 1
-ise and -ize ............................................................................................................ 2
-yse and -yze .......................................................................................................... 3
The General Structure of a Thesis ............................................................ 4
Preliminary matter ................................................................................................ 4
Title page .............................................................................................................. 4
Inset ..................................................................................................................... 4
Dedication ............................................................................................................ 5
Preface .................................................................................................................. 5
Acknowledgements ................................................................................................ 5
Abstract ............................................................................................................... 5
Papers .................................................................................................................. 5
Abbreviations and symbols .................................................................................... 6
Contents ............................................................................................................... 6
The main text ......................................................................................................... 6
The end matter ...................................................................................................... 7
Typography and Corporate Image ............................................................ 8
The University logotype ....................................................................................... 8
Colours ................................................................................................................... 8
Typefaces................................................................................................................ 8
General Layout .......................................................................................... 9
Chapters, headings and subheadings .................................................................. 9
Paragraphs .............................................................................................................. 10
Headers and footers ............................................................................................. 10
Lists ......................................................................................................................... 11
Tables ...................................................................................................................... 12
Figures .................................................................................................................... 13
Equations ............................................................................................................... 14
Printing checklist and template ........................................................................... 14
Abbreviations, Contractions, Acronyms and Symbols ............................... 15
Abbreviations and contractions .......................................................................... 15
e.g., i.e., etc., et al. and c. ....................................................................................... 16
Acronyms ............................................................................................................... 17
Symbols .................................................................................................................. 17
% and °C ............................................................................................................. 17
Mathematical signs ............................................................................................... 17
Capital Letters ........................................................................................... 18
Places ...................................................................................................................... 18
Organisations ......................................................................................................... 18
People ..................................................................................................................... 19
Elements, compounds and trade names ............................................................ 19
Scientific units ....................................................................................................... 19
Academic subjects ................................................................................................. 19
Capitalisation in titles and subtitles of works ................................................... 19
Punctuation ............................................................................................... 20
The apostrophe ..................................................................................................... 20
Commas and brackets .......................................................................................... 20
The Oxford comma ............................................................................................... 20
Colons and semicolons ........................................................................................ 21
Exclamation marks ............................................................................................... 21
Hyphens and dashes ............................................................................................. 21
Hyphens ............................................................................................................... 21
Dashes .................................................................................................................. 25
Numbers and their Units ............................................................................ 26
Numbers ................................................................................................................. 26
Time ........................................................................................................................ 27
Place ........................................................................................................................ 28
Currency ................................................................................................................. 28
Translating Swedish & Other Foreign Names ........................................... 29
Scandinavian versus Nordic ................................................................................ 29
Countries and cities .............................................................................................. 29
Other geographical names ................................................................................... 29
Buildings etc. ......................................................................................................... 29
Organisations ......................................................................................................... 30
Companies ............................................................................................................. 30
People ..................................................................................................................... 30
Bibliography ............................................................................................... 31
Appendix ................................................................................................... 32
Selected pages from Johanna S?derstr?m’s thesis ........................................... 32
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
1
Before you Start Writing…
Thesis or dissertation?
Are you writing a thesis or a dissertation? Well, if you’re from the UK you would write a
Master’s
dissertation and a
Doctoral thesis. If, on the other hand, you lived in the USA, you would write a
Master’s thesis and a Doctoral dissertation. Confusing, isn’t it? If you’re writing your
doctoral
thesis in British English, call it a thesis; if you’re using American English, call it a doctoral
dissertation. The degree of
Licentiate is not well known in English-speaking countries, so it’s
difficult to know whether it should be called a Licentiate dissertation or a Licentiate thesis. My
recommendation is to reserve
thesis for doctoral degrees and to use
dissertation for all others.
Papers, theses and dissertations
All the above are
publications or
printed matter, the aim of which is to disseminate information on
research and its results. No study, theoretical or experimental, was ever carried out in a paper or a
thesis. Studies themselves are normally carried out in laboratories or in the field, except in the
case of theoretical studies. Expressions such as: “In Paper II concentrated hydrochloric acid was
used …”, make me want to run for the exit; at best it conjures up a vision of soggy paper, and at
worst, a fuming, poisonous mess! You should thus also avoid expressions such as, “The aim of
this thesis was to study the effects of….”. The aim of every thesis should be to present your
research, the findings and conclusions. In Swedish, the term
avhandling appears to cover the actual
research; this is not the case in the English language.
British or American?
The general recommendation for writing theses in English at Lund University is to use British
English; Sweden is part of Europe, after all. Having said this, many research groups publish their
work in American journals and are more used to communicating in American English. Before
you start to write your thesis, you should therefore check with your supervisor, faculty office or
dean of postgraduate studies regarding the use of British or American English. The golden rule is:
don’t mix the two!
British and American spelling
Use British English spelling unless you have a special reason for writing your thesis in American
English. You should also be aware that British and American English not only differ in the
spelling of certain words, but also in the use of some prepositions and phrases. For example:
from
March
to December in British English, but March
through December in American English.
A list of words common in scientific and medical texts, whose spellings differ in British and
American English, is given below. The British English spellings are often related to their French
and Greek spelling, while American spellings often reflect the Latin.
British
American
aetiology
etiology
aluminium
aluminum
anaemic
anemic
anaesthetic
anesthetic
analogue
analog
analyse
analyze
behaviour
behavior
caesium
cesium
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
2
catalogue
catalog
catalyse
catalyze
centre, centred
center, centered
channelled, channelling
channeled, channeling
co-factor
cofactor
colour
color
co-worker
coworker
defence
defense
dialogue
dialog
dialyse
dialyze
faeces
feces
favour
favor
fibre
fiber
foetus/foetal
fetus/fetal
fulfil
fulfill
grey
gray
haemo-
hemo-
harbour
harbor
labelling, labelled
labeling, labeled
labour (laborious)
labor (laborious)
litre
liter
metre (100 cm)
meter
meter (measuring device)
meter
modelled, modelling
modeled, modeling
mould
mold
neighbour
neighbor
odour
odor
oedema
edema
programme (TV, project etc.)
but computer program
program
skilful
skillful
sulphur, sulphate, sulphite, sulphide, etc.
sulfur, sulfate, sulfite, sulfide, etc.
through
thru
tumour
tumor
tunnelling
tunneling
vapour
vapor
An exception to this rule is when giving the names of organisations. For example, in a BrE text,
the
US Department of Defense is spelt with an
s, not with a
c, as that is its official name.
-ise and -ize
It is, or was, a commonly held belief that -
ise is the BrE spelling and -
ize the AmE spelling. The
Microsoft spellchecker seems to think so, but this is not the case.
In modern English dictionaries the -
ize form is now the preferred spelling in BrE, with -
ise as an
acceptable variant. Whether you choose to use -
ize or -
ise is partly a matter of taste and partly one
of age. If you were brought up writing
organise, as I was, you’ll find it difficult to suddenly start
writing
organize instead. Whether you decide to use -
ise or -
ize, be consistent. It is not advisable to
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
3
mix forms, e.g. organise, stabilize, polarise and utilize; and you must
never spell the same word
with s
and z in the same publication.
Some words must always be spelt -
ise, in both BrE and AmE.
advise
advertise
arise
comprise
compromise
devise
enterprise
excise
improvise
incise
merchandise
revise
supervise
surmise
surprise
televise
-yse and -yze
The spelling -
yse is preferred to -
yze in BrE as the suffix for verbs derived from -
lysis. For
example:
analyse
catalyse
dialyse
electrolyse
hydrolyse
paralyse
The preferred AmE spelling is -
yze.
The above naturally applies to all forms of such words: organise, organised, organising,
organisation; analyse, analysed, analysing, etc.
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
4
The General Structure of a Thesis
Academic theses have become more like published textbooks, including
preliminary matter, the
text
and
end matter.
? The
preliminary matter consists of a title page, printing and publishing information, perhaps
a dedication, and a preface or acknowledgements. Technical and scientific theses also
usually include an abstract, a list of the papers included in the thesis, a list of symbols and
abbreviations, and the list of contents.
? The
text is usually made up of an introduction, a description of the methods employed,
the results and conclusions, a discussion and suggestions for future work in the area.
? The
end matter will generally include the acknowledgements (if not given in the preliminary
matter), references and appendices.
Preliminary matter
The pages in the preliminary matter may be numbered using Roman1 numerals, i, ii, iii, iv, etc.
Title page
The
title page is usually the first right-hand page (
recto) inside the cover, and contains the title of the
work, the author’s name and the publisher. In theses, the publisher’s name is often replaced by
the University logotype. The back of the title page (
verso) gives
printing and publishing information,
such as the name of the publisher, the date of publication, copyright notices, the ISBN or ISSN
(International Standard Book Number, or Series Number) if applicable, the names of the printer
and binder if desired, and other information on fount type, paper etc.
Inset
The inset (
dokumentblad), inserted inside the front cover, on which the Abstract is printed on the
back, should include the following information, in Swedish or English, depending on the
language in which the thesis is to be defended.
1 Roman or roman, see page 19.
Absorbed Dose using Electron Beams
Applications to Therapy
Sven Andersson
2015
Department of Radiation Physics
Faculty of Science
Lund University
SE-221 85 Lund, Sweden
? Sven Andersson
Department of Radiation Physics
Report LURF-RADPHYS-AVH-3/2004
ISBN 91-97 4455-2-3
Printed in Sweden by Media-Tryck, Lund 2004
The title page
Printing and publishing information
(Text size enlarged for legibility.)
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
5
Akademisk avhandling
som f?r avl?ggande av
teknologie/filosofie doktorsexamen vid
xxxxxxxxx fakulteten vid Lunds
universitet kommer att offentligen f?rsvaras
…dagen den
xx m?nad, kl
xx.xx i h?rsal
xxx,
adress.
Fakultetsopponent: Professor
NN vid
xxxxxxx
Academic thesis, which, by due permission of the Faculty of
xxxxxxxxx at Lund University, will
be publicly defended on
Day,
date Month year, at
time, in lecture hall
xx, at
address, for the degree of
Doctor of Philosophy in
xxxxxxxxx
Faculty opponent: Professor
NN,
Affiliation
Dedication
A
dedication is highly personal and optional, and is presented on the next right-hand page facing
the printing and publishing information.
Preface
The
preface is the author’s introductory address to the reader, in which he or she explains the
purpose and scope of the work. It starts on a new right-hand page. The preface may also be used
to acknowledge the help of colleagues and the support of friends and family. In this case, there
should naturally be no separate acknowledgements section.
Acknowledgements
Acknowledgements may be given in the preliminary matter or in the end matter. The style is usually
highly personal, but avoid being too personal or emotional. What seemed suitable at the time may
be embarrassing after a year or two.
Abstract
As well as being printed on a separate sheet (
dokumentblad) inserted into the thesis, the
Abstract
can be presented before the main text.
Papers
The list of papers is often presented with an introduction such as: “This thesis is based on the
following papers, which will be referred to in the text by their Roman numerals. The papers are
appended at the end of the thesis.”
Recommendation: Use a list format and use typefaces and styles to make it easy for the reader to
discern the authors from the title of the paper and the journal in which it was published. Give the
title of the paper (preferably with capital letters, see p. 18), the names of the authors, and the
journal on separate lines, and do not justify the text (i.e. no even right margin). Use the accepted
abbreviation of the name of the journal or write it out in full. For example:
IV Scintillation Assays using Molecularly Imprinted Microspheres
H. Svensson, W. H. Williams, G. U. Smith and T. Andersson
Anal. Chem.
75, 678-683 (2013)
or
IV Scintillation Assays using Molecularly Imprinted Microspheres
H. Svensson, W. H. Williams, G. U. Smith and T. Andersson
Analytical Chemistry,
75, 678-683 (2013)
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
6
Abbreviations and symbols
A list of
abbreviations and symbols is common in scientific theses. The list may be given in the end
matter, although there is always a risk that the reader will not find it until after having read the
thesis. The recommendation in scientific and technical work is thus to place it at the beginning. It
is headed Abbreviations and Symbols, not List of Abbreviations and Symbols.
Contents
The above are usually followed by a list of the contents, which is headed simply Contents, and
not List of Contents or Table of Contents. The Contents lists the headings and page references
of everything that follows it (i.e. the text and the end matter) and nothing that precedes it (the
preliminary matter). The pages of the Contents are not normally numbered.
A typical table of contents may have the following appearance.
Contents
1. Introduction and Aims of the Study
1
2. Theoretical Background
3
3. Experimental Methods
7
3.1 Activity determination
8
3.2 Mass determination
10
etc.
4. Results
15
4.1 Doses to the subject
17
etc.
5. Discussion
25
6. Conclusions and Future Work
30
Acknowledgements (If not included in the preliminary matter)
32
References
35
Appendix
59
Make use of the Table of Contents function in Word to generate a table of contents automatically.
Not only will it ensure that all the headings are included, but also that the references to page
numbers are correct. (In order to make use of this, you will also have to use the various Styles in MS
Word, see below under Chapters, headings and subheadings.)
The main text
The main text is paginated in Arabic2 numerals (1, 2, 3 etc.) and pagination begins on the first
page of text after the Contents. The first page number referred to in the Contents should thus
always be page 1, and should be a right-hand page. However, this page number is seldom actually
printed, see p. 8 under Chapters, headings and subheadings.
The content of the text will vary depending on the faculty, department and subject. Consult your
supervisor, former postgraduate students, the faculty office or the dean for postgraduate studies
to obtain more information about the required content in your particular discipline.
2 Arabic or arabic, see page 19.
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
7
The end matter
The end matter of a scientific thesis will normally consist of the
Acknowledgements (if not given in
the preliminary matter),
References and
Appendices. (Note that the plural form of appendix is
appendices. “Appendixes” is the plural form of the now functionless part of the large intestine
causing people to be rushed into hospital for its removal.)
These sections are not numbered like the chapters in the main text. If you have only one
appendix, call it the Appendix. Use Appendix A (or 1) only if you have Appendix B or C (or 2
and 3), etc.
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
8
Typography and Corporate Image
Most of us would recognise the logos of international corporations such as SAAB or ABB. This
is because they have developed a corporate image; they have a logo with a specific design in a
specific colour, and they use certain typefaces. In 1995 the Lund University Board decided that a
typographical style should be developed for the University in order to define its corporate image,
and to make publications produced by the University easily recognisable.
The new typographic style was introduced in October 1998, in which the Lund University seal
was defined, together with typefaces and colours to be used in official printed matter distributed
by the University. Complete instructions for the use of the University’s typographic style can be
found on the university website (in Swedish)3.
The University logotype
The University logotype consists of the graphical element, the seal (
sigillet),
together with the name “Lund University”. The seal may not be used on its
own, except as a decorative element provided certain rules are followed
(see instructions in the manual).
LTH has decided to use its own logotype only in Swedish. For publications in English use the
Lund University logotype. Several faculties or areas of the University have their own logotype, for
example:
These can be downloaded from the University web
site. (https://bildweb.srv.lu.se/login/?cat=210 )
Colours
In order to strengthen the corporate image of the University, two colours have been chosen: blue
and bronze, each defined as PMS (Pantone Matching System) and CMYK colours for four-
colour printing. In colour printing, the seal is printed in bronze and the text in blue. Other
colours allowed are black and white and so-called negative printing. These colours should also be
used for decoration on the covers of theses.
Typefaces
The two typefaces making up the University’s typographical style are Frutiger and Adobe
Garamond (AGaramond)4. Frutiger is a so-called grotesque, or sans-serif, typeface, suitable for
headings, subheadings, signs and posters. AGaramond is a classic typeface used for running text.
These typefaces should be used whenever possible. If you do not have access to these typefaces,
Times New Roman should be used for running text and Arial for headings.
3 http://www.medarbetarwebben.lu.se/stod-och-verktyg/kommunikation-och-grafisk-profil/grafisk-profil-och-
logotyp
4 Due to restrictions imposed by licensing agreements, the typefaces used in this document are Garamond and Arial.
The use of the University’s typographic style is described in the manual (in Swedish):
http://medarbetarwebben.lu.se/sites/medarbetarwebben.lu.se/files/lu-grafisk-manual-150218.pdf
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
9
General Layout
Layout is, to a certain degree, a matter of personal taste, although a scientific thesis does not leave
a great deal of scope for embellishment. It is also important to take into account the typographic
style of the University (see above). However, you can do much to improve the readability and
appearance of your thesis by following a few simple rules.
Make use of white space at the beginning of chapters and in margins to improve the readability of
your text, and don’t be afraid to alter the line spacing to make the text less compact. A page
crammed with text from top to bottom is not very inviting to the reader.
Chapters, headings and subheadings
Each new chapter should start on a right-hand page, and the page number is not normally
expressed (written out) on this page, although it is included in the pagination. Chapter headings
should give a good indication of the content of the chapter without being too long.
? Avoid chapter headings longer than one line if possible.
? If it is necessary to continue any heading on the next line do not divide the word at the
end of the first line with a hyphen.
? Never justify headings as is common in running text.
? There is no full stop at the end of headings. Chapters, sections and subsections may be
numbered or not, according to your taste.
Use Frutiger for the highest levels of headings, e.g. chapter, section and subsection. If you find it
necessary to have a fourth level of headings, you might use the same typeface as in the running
text in boldface. A fifth level of headings may be used if necessary, indicated, for example, by
italics. Avoid more than five levels of headings and do not number more than three levels.
Headings in the text are usually adjusted flush left. A family of headings is suggested below. (See
also the manual referred to above.)
1. INTRODUCTION
Heading 1, or chapter title
Typeface: Frutiger, all caps or capital first letters
Full stop after chapter number, tab to text
Boldface, four steps up in size from the main text
8 points vertical space from heading to text
The first line of text is not indented.
1.2 The Glutathione Peroxidase Family
Heading 2
Same font as heading 1
Full stop between section numbers, but NOT after the final number – tab to text
Boldface, one or two steps up in size from the main text. Lower case, but upper-case first letters
may be used.
4 points from heading to text
The first line of text is not indented.
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
10
1.2.1 Cellular glutathione peroxidase
Heading 3
Same font as headings 1 and 2
Full stops between section numbers, but NOT after the final number; space to text
Bold, same size as main text. Lower-case letters for all but the first letter of the first word.
2 points from heading to text
The first line of text is not indented.
Discovery
Heading 4
Same font as main text (AGaramond)
No section numbering
Bold, same size as main text. Lower-case letters for all but the first letter of the first word.
The first line of text is not indented.
Step 1
Heading 5
Same font as main text
No section numbering
Italics, same size as main text. Lower-case letters for all but the first letter of the first word.
The first line of text is not indented.
Make use of the Style formats in MS Word. This will ensure consistency in heading styles and allow
you to change the style of a particular level of heading if you should wish to do so at a later date. It
also allows you to make use of the automatic generation of a table of contents.
Paragraphs
Use AGaramond in running text. The text may be set flush left (uneven right margin) or justified
(even right and left margins). The first line of text under a heading is not indented.
STARTING ON A NEW LINE DOES NOT INDICATE A NEW PARAGRAPH!
A new paragraph in the text is indicated by the insertion of a blank line (or suitable space), or by
indentation of the first line of the new paragraph.
The indentation should be equivalent to a square in the final text.
Although the length of a paragraph is determined by the subject matter, avoid writing very long
(a page of text) or very short (one sentence or 3-4 lines) paragraphs. Very long paragraphs should
be divided at suitable points. Never allow the first line of a new paragraph to stand alone at the
bottom of a page (an
orphan), or the last line to stand alone at the top of a page (a
widow).
Headers and footers
Headers and footers can be used to provide information to the reader, such as the page number,
the title of the publication, or current chapter or section. Page numbers can be inserted in the
footer; centred, or right (and left) justified for right-hand (and left-hand) pages, or in the header.
Personally I prefer page numbers in the footer, leaving the header for the title of the thesis or
chapter.
If you decide to include the chapter and/or section in the header, be prepared for some tricky layouting
using Sections in MS Word (Page Layout → Breaks… – Section Breaks).
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
11
Lists
Lists may be presented in several ways. Short, uncomplicated lists can simply be given in the text
with each element separated by a comma.
The equipment included an alpha source, a collimator, lead shielding and a detector.
A comma is
often used before
and in American English, and it
can be used before
and in British
English if it is necessary, or if it helps the reader understand the sentence better, e.g.:
Bacteria are being used increasingly as production organisms in the biotechnological industry, as additives in
the food and feed industry, and as biocontrol agents in agriculture.
The method proposed here includes model calibration, model validation and analysis, and optimisation.
In the above example it is made clear by the comma after “analysis” that the second part of the
model consists of “validation and analysis”, and the final part of “optimisation”.
(See also the section on the
Oxford comma under
Punctuation regarding the use of a comma after the
item preceding
and in lists.)
If the list is somewhat longer or more complicated, each item may be preceded by a number or a
letter in brackets.
The solution was made up of the following: (i) sodium chloride, (ii) distilled water, (iii) buffer… etc.
The above types of lists are called
run-in lists
.
The other main kind of lists is
displayed or
vertical lists. In displayed lists, each item is written on its
own line. Items in displayed lists may consist of part of a sentence, a whole sentence, or more
than one sentence. Displayed lists are also used for lengthy or compound elements. The
punctuation in a displayed list is treated in the same way as if the items within it had no number
or letter separating them. Items that are complete sentences start with a capital letter and end
with a full stop; sentence fragments do not, and are usually (but not always) lower case. Each
item is labelled (with Arabic or Roman numerals, or a letter) and the text indented. Such lists may
be introduced by a full stop or a colon.
1. Weigh the sample on the lab scales.
2. Add the inoculum.
3. Place in an incubator at 20°C for 6 months.
4. Weigh the sample again.
Note that all lists must have a “parallel” structure. This means that each item must be of the same
grammatical form. In the list above, for example, each item starts with the imperative form of a
verb (weigh, add, place, etc.)
Use the automatic formatting button for bulleted or numbered lists in MS Word to
ensure the correct layout and numbering. You can change the style by right-
clicking the list and selecting Bullets and Numbering...
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
12
Displayed lists may also be unordered, in which each item is preceded by a symbol such as a
bullet or dash:
? heat
? moisture
? pressure
Such lists are useful for short items which have no natural sequence or hierarchy.
Again, make use of the formatting buttons in MS Word, but avoid “fancy” symbols such
as ?, * or? in scientific publications.
Tables
The purpose of a table is to give data or other information as plainly and concisely as possible.
Tables are most suitable for information that is too complex to be presented clearly in the text or
a list, and for information intended for comparison, either within a table or between tables.
Tables should be inserted as close as possible to the point of reference, preferably after the
reference. Use landscape format, as described below, if this is more appropriate.
Page Layout→ Breaks→ Section Breaks→Next Page
Page Layout→ Orientation→ Landscape
Insert your table
Page Layout→ Breaks→ Section Breaks→Next Page
Page Layout→ Orientation→ Portrait
The table number and heading are given
above the table. Make sure that the style (typeface, style
and size) used in table titles is consistent throughout. In a scientific thesis it is common to
number tables according to the chapter, although if there are very few tables they may be
numbered consecutively throughout the thesis. Make sure the heading adequately describes the
content of the table, without unnecessary repetition of the information given in the text. Also, try
to avoid numerous and lengthy footnotes. Leave an adequate amount of space before and after
tables. Use the same number of decimal points for the values within each column, unless there is
a specific reason not to.
Guidelines for table layout
? In general, horizontal rules are used in tables, whereas vertical ones are not.
? Column headings are often in boldface or some other kind of heading style.
? The units pertaining to the contents of each column are usually given in brackets under
the column heading.
? The first letter of the first word of text is capitalised.
? Text in table columns is written flush left, and not justified right or centred.
? Integers are aligned by the right-hand digit, and numbers with decimals should be aligned
by the decimal point.
? Columns of numbers with a ± symbol or < symbol, etc. are often aligned according to
the symbol.
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
13
Below is an example of a simple table.
Table 3.1
Physical characteristics of the subjects participating in this study.
Subject
Age
(y)
Height
(m)
Weight
(kg)
Subject 1
17
1.70
87.5
Subject 2
38
1.98
103.4
Subject 3
65
1.76
79.0
Subject 4
103
1.67
69.0
When referring to specific tables in the text, use a capital letter, e.g. “as can be seen in Table 3.1”.
Figures
As with tables, figures should be inserted as soon as possible after the reference to the figure. It is
important to use good quality figures with sufficiently high resolution, and the appropriate file
format (e.g. JPEG or vector graphics). Ask the printer if you are unsure about the quality or type
of figure.
Figures are normally numbered according to chapter although, as with tables, if there are only a
few they may be numbered consecutively. Label the x and y axes clearly giving the units in
brackets (m) or separated by a comma, m. Use the same number of decimal points on each axis.
Figure captions are placed
below the figure. Refer to figures in the running text as Fig. 2.1 or
Figure 2.1. (The whole word, “Figure” is more reader-friendly, but journals often use “Fig.” to
save space.) Ensure that the style used for figure captions is consistent throughout the whole
thesis. Leave an adequate amount of space before and after figures.
0
2
4
6
8
10
12
14
16
2.0
2.5
3.0
3.5
4.0
4.5
5.0
G
lu
c
o
s
e
y
ie
ld in
s
e
co
nd
pre
tre
a
tm
e
n
t step
(g
/1
0
0
g ra
w m
a
te
ria
l)
Figure 5.3 The amount of glucose solubilised during the second pretreatment step as a function of severity
(Log Ro) for material impregnated with SO2 and of combined severity (CS) for material
impregnated with H2SO4. △- impregnation with SO2 in both steps; ? - impregnation with
H2SO4 in both steps, fermentable samples; ? - non-fermentable samples; ● - impregnation with
H2SO4 in the first step and SO2 in the second pretreatment step.
Severity
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
14
Equations
Displayed equations (those written on a separate line, and not included in the running text) are
normally indented (if there are many of varying length) or centred (if few and short), not set flush
left. Equations may be numbered according to chapter or, if there are few, consecutively. The
equation number is placed at the right-hand side of the page. Equations may be referred to in the
text as: Eq. (2.1) or Eqn (2.1) (see Abbreviations).
Dtotal = Ddirect + Dscattered
(2.1)
Formerly, equations were regarded as being an integral part of the text, and were punctuated
accordingly. This is now considered unnecessary.
Printing checklist and template
You can download a checklist and advice for printing theses and dissertations (in Swedish and
English) from: http://lupak.srv.lu.se/Media/avhkursBes.pdf .
Media-Tryck also has templates for theses and dissertations.
http://www.mediatryck.lu.se/en/theses
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
15
Abbreviations, Contractions, Acronyms and Symbols
“Abbreviations should be used for the convenience of the reader, not the writer.” (Oxford Guide
to Style). I wonder how many of us have ever thought of abbreviations in this way.
? An
abbreviation is formed by omitting the end of a word, e.g. Eq., Fig. and min., or by
taking the first letter of each word making up a term or phrase, e.g. VCR, HPLC or MRI.
? A
contraction is formed by leaving out the middle of a word, e.g. expt, Eqn and Mr .
? An
acronym is formed from the initial letters of a number of words, the result being
pronounced as a word, e.g. CERN, SALT and radar. (NB: Some style guides also call
combinations of letters that do not form pronounceable words acronyms.)
?
Symbols are generally one or two letters representing an SI unit or a parameter in an
equation, e.g. kg, W and χ2.
Abbreviations and contractions
All forms of abbreviations should be explained or defined at their first occurrence in the text.
Note that the Abstract is not normally considered part of the main text, so abbreviations defined
and used here must be redefined the first time they are used in the main text. Abbreviations are
usually defined by writing out the expression, followed by its abbreviation in brackets:
…using magnetic resonance imaging (MRI) …
Some journals allow the opposite convention:
…using MRI (magnetic resonance imaging) …
It is not normally necessary to repeat the definition or explanation of an abbreviation in each
chapter, unless your thesis is long and there is a risk of the reader forgetting what the abbrev-
iation means. Also, there is no point in defining an abbreviation that is not subsequently used.
One single abbreviation cannot mean different things. For example, HPLC is the common
abbreviation for
high-precision liquid chromatography, i.e. the method. You should not also use
HPLC to represent
high-precision liquid chromatograph (the instrument) or
chromatogram (the
resulting output).
Be aware of whether your abbreviations pertain to singular or plural forms. If you define FFV as
meaning
flexible fuel vehicles (in the plural), you may not at a later stage use FFV to mean
a flexible
fuel vehicle. If in doubt, define the singular form and add a lower-case
s. For example, define a
flexible fuel
vehicle as FFV, and flexible fuel
vehicles as FFVs.
The possessive form of an abbreviation is written as with any other word, i.e. an apostrophe and
an
s; the VIP’s car (if there is one VIP) and the VIPs’ car (if there are several VIPs).
It is a good idea to include a list of abbreviations and symbols in a thesis, preferably at the
beginning, so that the reader can easily find it and refer to it when necessary. Abbreviations are
normally listed in alphabetical order so that it is easy for the reader to find a particular abbrev-
iation. Having such a list does not, however, mean that the abbreviations do not need to be
defined in the text.
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
16
Traditionally, abbreviations have been written with a full stop at the end and contractions
without, thus:
Eq. but Eqn (Eq
uation and Eq
uation)
Fig. but Figs etc. (Fig
ure and Fig
ures)
This convention is no longer strictly adhered to, so let consistency be your rule of thumb.
In American English (AmE) punctuation is more likely to be used in abbreviations than in British
English (BrE); hence
Dr Smith in BrE, but
Dr. Smith in AmE. In technical texts, however, full
stops are less common.
Note that if the full stop of an abbreviation ends the sentence, then there is no extra stop, for
example, after etc.
Lower-case abbreviations (e.g., i.e., etc.) should not be used at the beginning of a sentence; write
out the full word or expression, or rephrase the sentence.
The choice of
a or
an before an abbreviation depends on how it is pronounced, not the spelling.
a BA degree
a KLM flight
a UNICEF card
an MP
an MA
an MRI measurement
If, for some reason, an abbreviation is pronounced according to the full name, use
a and
an
accordingly. For example, the abbreviation MS is normally read out as the full word,
manuscript,
thus “a MS”, while MS meaning
multiple sclerosis is often pronounced
M-S, thus “an MS patient”.
e.g., i.e., etc., et al. and c.
Don’t confuse “e.g.” (meaning
exemlpi gratia, Latin for “for example”; Swedish “t ex”) with “i.e.”
(
id est, meaning “that is”; Swedish “dvs”). Although derived from the Latin, these two abbrev-
iations are not usually written in italics in BrE journals. They may, however be written in italics in
AmE journals.
Use a full stop after each letter, and no spaces between the letters. Both e.g. and i.e. are preceded
by commas, e.g. as in this sentence. Commas are used after e.g. and i.e. in AmE but not in BrE.
The abbreviation e.g. is most suitable when introducing lists at the end of a sentence, but in
running text “for example” is preferable. A sentence should not start with e.g. or i.e. (see above),
but a footnote may, in which case the lower case is retained.
22 e.g.
Quercus rober
The Latin
et cetera, meaning, “and other things”, is abbreviated etc. with a full stop and is written
in Roman, not italic, style. It is preceded by a comma if it follows more than one listed item:
birch, beech, oak, etc. Normally, at least two examples are necessary before “etc.”.
The abbreviation et al. meaning “and others” (from the Latin,
et alia) should have a stop after al.
as this is an abbreviation for
alia, but not after et, and should be written in Roman style in BrE.
Some American journals prefer
et al. in italics, and some drop the full stop after
al ...
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
17
The Latin
circa, meaning “about”, is used in English mainly with dates and quantities. It is
abbreviated
c. (in italics) and is set close up to any figures following it:
c.1890. It is not used as
widely as the Swedish ca. Use approximately (or approx.) in English where you would use “ca” in
Swedish.
Acronyms
Acronyms differ from abbreviations in that they form pronounceable words. According to this
definition, NATO and UEFA are acronyms, but not MRI or HPLC. Full stops are not used
between the letters of acronyms. Some acronyms have become so common that they are written
with lower-case letters, e.g. radar, laser, etc.
Acronyms are
not preceded by the definite article: e.g.
NATO has decided …, while abbreviations
may be if one would have used “the” together with the full name, e.g. The BBC recently
transmitted a programme about Sweden.
Symbols
Do not start a sentence with a symbol; write out the word or expression, or rephrase the
sentence. For example,
“χ2 was found to be 0.99” should be rephrased as: “The value of χ2 was found to be 0.99”.
Symbols should not be used in running text in the same way as abbreviations. Avoid writing:
“… and C was 71.8 …” but say instead: “… the value of C was 71.8 …” or “… the value of the
constant was 71.8…”.
Compound symbols such as GeV and MW are written close up, with a space between the
number and the symbol: 12.5 GeV, 25 MW. (See, however, % and °C below.)
% and °C
The symbols for percentage and degrees celsius may be written with or without a space: 20 °C, or
20°C and 50 % or 50%. (Note that the degree symbol ° is always written close up to the C.) The
disadvantage of using spaces is that the number and the unit may fall on different lines. If you
choose to use spaces, use a nonbreaking space to avoid this. Choose one style and use it
consistently.
In MS Word a nonbreaking space is inserted using Insert Symbol… Special Characters…
or Ctrl + Shift + Space.
Mathematical signs
Mathematical signs should be distinguished from normal text. For example, the multiplication
symbol X and the letter x, and the minus sign (–) and a hyphen (-). Also, make sure to
differentiate between prime ( ' ) and an apostrophe ( ’ ). Use a special editor for complicated
formulae.
Mathematical signs such as +, –, >, <, ± etc. should be set close up to numbers in lists and
tables. For example, –1.0, <0.5 etc.
In equations they should be separated by spaces on each side for readability.
x > 0
Y = mX + C
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
18
Capital Letters
Apart from being used at the beginning of a sentence, capital letters are used in running text to
denote places, organisations, people and other proper nouns. However, the longer a proper noun
has been in use, the more likely it is to be written with a lower-case letter. For example, the
internet has now become part of the English language and no longer has a capital
I.
There are discrepancies in the use of capital letters; when in doubt, consult a modern English
dictionary and be consistent!
Places
the Baltic Sea
the Yellow River, but the river Thames
the Netherlands, but The Hague
Saturn, Neptune, Uranus
Note that the Earth
may be written with a capital letter when referring to the planet, but not the
sun or the moon.
Countries, their languages and related adjectives also have capital letters in English …
England, the English language and English roses
Sweden, Swedish and Swedish traditions
America, Americans and American architecture, etc.
… however, usage varies with common adjectives based on nationality.
Roman numerals
or
roman numerals
Venetian blinds
or
venetian blinds
Arabic numbers
or
arabic numbers
Turkish delight
or
turkish delight
Brussels sprouts
or
brussels sprouts
Choose one variant and use it consistently!
Organisations
the Royal Society
the American Society of Physicists
Lund University
the Medical Faculty of Lund University
the Government
or the government (see below)
According to the Oxford Guide to Style,
the Government, when referring to a particular body, is
written with a capital
G in BrE usage and with a lower-case
g in AmE. The Economist Style
Guide claims that
the government should always be written with a lower-case
g. Choose one
convention and use it consistently. The same applies to
the University or
the Department when
referring to a particular university or department mentioned previously. Decide whether to use
capitals or not.
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
19
People
the Prime Minister (of a specific country), but a prime minister
the Vice Chancellor (of a specific university), but a vice chancellor
Professor Andersson
Dr (BrE) Williams
or Dr. (AmE) Williams
Elements, compounds and trade names
Elements and chemical compounds are
not written with capital letters, but trademarked names,
such as Pyrex and Teflon, and proprietary names of pharmaceuticals
are. Note, however, that the
generic name of a drug is preferable to its proprietary name as this may vary from one country to
another.
germanium
Pyrex
sodium chloride
Plexiglas
copper sulphate
diazepam, rather than Valium
Scientific units
When written out in full, scientific units take lower-case letters, e.g. joule, newton, metre,
kilogram, volts, watts, etc. The names of the scientists associated with these units retain their
capital letters: Newton, Joule, Watt, etc.
In expressions such as “Avogadro’s number”, “the Schmidt number”, etc. use the possessive
form (
‘s)
or the definite article (
the), not both together.
Academic subjects
Academic subjects, such as physics, chemistry and medicine do not have capital letters except in
the context of specific courses or degrees: e.g. a Master’s degree in Physics, the Mechanical
Engineering Programme at LTH, the Basic Course in Ecology, as they are proper nouns.
Capitalisation in titles and subtitles of works
Capitalise the first word, and all nouns, pronouns, adjectives, verbs and adverbs, but generally
not
articles (
a, the), conjunctions (
while, etc.), or short prepositions (
in, on, etc.), in both titles and
subtitles, e.g.
Studies on the Interaction of Atmospheric Particles with Fog
Experiments in Aerosol Physics
Style varies from one publisher to another, and taste varies between authors. Titles are thus
sometimes written with lower-case letters.
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
20
Punctuation
It is definitely not my intention here to go through the general rules of punctuation. This section
will be restricted to the problems and issues often encountered in theses.
The apostrophe
Apostrophes are used in English to indicate possession. Use
‘s after singular nouns, e.g.
the judge’s decision, the scientist’s dream, a week’s time.
Use only an apostrophe after plural nouns, e.g.
the judges’ decisions, the scientists’ dreams, in three weeks’ time.
In English we tend
not to use the possessive form for inanimate (non-living) objects, e.g.
the resistors in the circuit
not the circuit’s resistors.
In compound expressions, the
’s is added after the last noun, e.g.
the Institute of Surgeon’s guidelines.
In AmE it is acceptable to write
the treatment’s effects, while in BrE the tendency is to rephrase the
expression :
the effects of the treatment.
Note the following:
its without an apostrophe is the possessive form in the third person singular
it’s with an apostrophe is a contraction of
it is.
Avoid using contractions such as
it’s,
doesn’t,
can’t in scientific texts.
Apostrophes are not used to make plural forms in English. Plural forms are created by simply adding
an
s (or -
es, or by replacing -
y by -
ies), e.g. the
1990s (not the 1990’s).
Commas and brackets
Commas are used to denote a pause in a sentence or to separate main clauses from subordinate
clauses. Commas are also used to separate items in a list. A pair of commas can also be used to
include extra information in a sentence.
Brackets can be used in much the same way as commas (if you prefer them) to include extra
information. Brackets provide a stronger break than a pair of commas.
The Oxford comma
In BrE a list is usually written as under the heading
Lists above:
The equipment included an alpha source, a collimator, lead shielding and a detector.
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
21
In AmE (and Canadian English), a list may be written with a comma after
every item:
The equipment included an alpha source, a collimator, lead shielding, and a detector.
This convention has been adopted by the Oxford University Press, hence the name, the
Oxford
comma (or
serial comma). However, if you use this kind of comma, someone, somewhere, will think
you are confusing the BrE and AmE usage of commas in a list.
A comma may be used after each item in a list if the items are compound items or if confusion
may arise; in other words, if you think it helps the reader to better understand what you are trying
to convey, as in the example below.
The method proposed here includes model calibration, model validation and analysis, and optimisation.
Colons and semicolons
A colon fulfils the same function as words such as
namely,
that is,
for example,
for instance, etc. A
colon is used to introduce the part of the sentence that exemplifies, restates, elaborates or
explains the preceding part.
The results of the experiment were quite clear: the constant A is always greater than 1.0.
A colon is also often used to introduce a list. A colon does not signify the end of a sentence, so it
should not normally be followed by a capital letter. Use a capital letter after a colon only if the
items in the list comprise a complete sentence, or more than one sentence, or start with a proper
noun.
Semicolons are used to join together related sentences.
The effects on agriculture may, however, differ considerably between regions; Northern Europe is expected to
enjoy mainly positive effects due to extension of the growing season, whereas Southern Europe may suffer
from water shortages.
Semicolons can also be used in run-in lists to separate items where the items in the list
themselves contain commas.
The main difference between the
semicolon and the
colon is that the former leads you in any
direction related to the preceding part of the sentence, while the latter takes you along the lines
already laid down.
Exclamation marks
Be
extremely sparing with the use of exclamation marks in English;
especially in scientific
writing.
Hyphens and dashes
Hyphens
A hyphen is a short symbol (-) used to join words together to form compound words, or to
divide them at the end of line.
Compound words
Compound words may consist of two words joined together by a hyphen, or a prefix (or suffix)
and a word joined together. Whether or not compound words are written separately, are joined
by a hyphen or closed (written together) is largely a question of familiarity. The more common a
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
22
compound word or expression, or the longer it has been in use, the more likely it is to be written
as one word. A good example of this is:
data base → data-base → database.
Examples of hyphenated compound words:
test-tube
by-products
part-time
side-effects
bull’s-eye
take-off
Some compound words are hyphenated simply to avoid awkward collisions of vowels or
consonants, particularly if this could lead to mispronunciation, as in some of the examples above.
Scientific terms are often written as one word.
wavenumber, spacetime, semicrystalline
Do
not use hyphens in expressions such as:
SO2-study, phosphor-groups, Lac-plasmid, PTS-proteins, the flow-rate, etc.
as this is the Swedish convention.
The tendency to use a hyphen in words such as
hard disk, sugar cane, paper mill, end product, etc. is
probably influenced by the Swedish. Such expressions are usually two words in English, although
the adjectival form will take a hyphen, e.g.
sugar-cane production. (See below.) The use of
sugarcane as
one word is gaining in popularity. Check the preferred style in your subject, or choose one variant
and use it consistently.
According to my newest dictionaries,
ground water and
waste water are still written separately,
although
groundwater and
wastewater are in use.
Groundspeed and
wastepaper are, however, always
written close up.
There are no hard and fast rules governing the use of hyphens in compound words in English. If you
are unsure, consult a good, modern English dictionary and use the recommended form
consistently,
or check a reliable source of literature in your particular field.
Hyphens are also used to express
numbers from 21 to 99, and
fractions when written out:
twenty-six, sixty-eight, ninety-nine
two-thirds, four-fifths, one-sixth, etc.
According to some style guides, fractions always take a hyphen, while others suggest a hyphen
only when fractions are used as a modifier, e.g. two-thirds full.
Compass points may be hyphenated or not in BrE: south-east, or southeast, north-west, or
northwest, but are not normally hyphenated in AmE.
Hyphens are used with
prefixes to avoid confusion or mispronunciation, especially when there is a
collision of vowels or consonants, e.g.
re-entry
quasi-scientific
non-negotiable
semi-insulating
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
23
However, in AmE, and the current trend in BrE, is for the hyphen to be dropped.
cofactor
pseudomorph
nonlinear
antifreeze
pretreatment
semisolid
antibody
Again, there are no rules governing this, so consult a dictionary or the literature in your subject,
and write consistently.
Regarding suffixes, compound words are more likely to be written closed.
lifelike, lifeless, waterproof, nationwide, worldwide, tenfold, etc.
Adjectival phrases or modifiers
When two or more words are used to form an adjective (a compound modifier) preceding a noun
they are hyphenated to prevent confusion or misinterpretation, for example:
a stainless-steel vessel
a blood-red colour
a well-defined quantity
a state-of-the-art technique
a long-standing effect
small-scale production
However, when such modifiers follow a noun they will normally
not require a hyphen.
a vessel made of stainless steel
the colour was blood red
the quantity is well defined
this technique is state of the art
the effect is likely to be long standing
production on a small scale
Scientific modifiers tend
not to be hyphenated in technical contexts, e.g.
a liquid crystal display, a sodium chloride solution.
Do not hyphenate italicised foreign phrases such as
in situ,
ad hoc, in vitro and
in vivo.
Do not automatically hyphenate two or more modifiers; think about the meaning of the
expression.
A small-scale factory
a factory producing a small amount of something
A small scale factory
a small factory producing scales
A little-used car
a car that has not been used very much
A little used car
a small car that is not new
crude-oil production statistics
if you mean that the oil is crude
crude oil production statistics
if you mean that the statistics are crude
No hyphen is used when the adjectival compound begins with an
adverb.
a frequently made error; slightly used equipment; newly discovered compounds
Note the difference between the following:
cheese making (the noun, without a hyphen)
BUT…cheese-making equipment (adjective, with a hyphen)
to run off (verb, without a hyphen)
BUT… run-off (the noun, with a hyphen)
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
24
Time and distance
Hyphens are used together with periods of time or measures of distance when preceding a noun
as they then act as modifiers.
a five-hour experiment,
but six hours’ fermentation
or a twenty-metre pipe, or a 20-m pipe
Word division
Hyphens are also used to divide words at the end of a sentence. The purpose of the written word
is to communicate, and written matter should thus be easy to read. However, the splitting of
words at the end of a line can impede the flow. The rules governing word division in English and
Swedish are very different. If you divide English words according to Swedish rules the result will
be at best comical, and at worst unreadable. Use the automatic word division function in your
word processor
only if you have the English version or the English dictionary installed.
The main rule in English word division is,
that the pronunciation of the first part of the word be
recognisable before the eye reaches the second part in the succeeding line. Thus, the word
coincidence must be
split
co-inci-dence and not
coin-cidence, to ensure that it is not confused with
coin-age. All other
considerations are secondary to this rule.
? In general, words are spilt into
syllables, e.g.
com-bine,
walk-ing,
vis-u-al-is-ation, etc. In
compound words it is suitable to split the words, e.g.
life-time, etc.
?
Etymology (the origin of the word) should also be taken into consideration, e.g.
geri-
atrics.
? It is suitable to divide a word after a
prefix, e.g.
anti-bacterial, not
an-tibacterial, or before a
suffix, e.g.
count-able.
?
Pronunciation should also be considered, hence,
photo-graph, but
pho-tog-rapher, and not
photo-grapher.
?
Never split an English word between “digraphs” (two letters that form one sound), i.e. -
ea-, -th-, -sh-, etc. Hence
read-able not
re-adable,
worth-less not
wort-hless,
wash-ing, not
was-
hing.
?
Never split a word so that the second part is
unpronounceable, e.g.
prob-able and not
probab-le.
? A split that gives
only two letters at the
beginning of the second line is generally
not
permissible (exceptions are prefixes, such as re-, di-, etc.), and one which gives
only two
letters at the
end of the first line is
undesirable.
?
Never split a word such that the last line of a
paragraph consists only of the second part
of the word.
?
Some words cannot be split, for example,
sources.
Sour-ces misleads the reader into
thinking the word has to do with
sour. Other words simply cannot be pronounced if split:
brou-ght,
thoug-ht, etc.
A number of dictionaries are available, either as purely spelling and word division dictionaries, or
normal English dictionaries, in which word division is indicated in each entry. Consult these if in
doubt.
Note the singular form of the unit of measurement (hour, metre, etc).
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
25
Dashes
There are actually two kinds of dashes; one called an
en rule or
en dash, and the other an
em rule or
em dash. An
en rule takes its name from the width of the letter
n in the text (–), and an
em rule the
width of the letter
m (—).
The Oxford University Press and most American publishers use an unspaced em rule (—) as a
parenthetical dash (instead of a pair of brackets), while other British publishers use an en rule
with spaces on either side ( – ). For the sake of simplicity, let us assume that theses from Lund
University are written in BrE and will
not be published by the Oxford University Press. When
referred to below, a dash is an en dash (–). An example of its use as a parenthetical dash is given
below.
A third possibility – and perhaps the best – is to use background correction.
Until recently, the use of dashes to introduce pauses in sentences was very limited in scientific texts.
Use them sparingly, preferably no more than one pair per paragraph.
A dash can also be used when expressing
intervals or
ranges.
pp. 23–36
35.7–37.6 m2, 1990–9, 1999–2003, 30–40%, etc.
(In the days before desktop publishing, a hyphen was used to express intervals. You may
continue to use a hyphen, or insert a dash, but be consistent.)
A dash is also used to replace the words
to or
and between words of equal importance. For
example:
wave–particle duality
dose–response curve
height–depth ratio
cost–benefit analysis
Arab–American League
current–voltage graph
Beer–Lambert law
Permian–Carboniferous boundary
C–H bonds
c–C6H5
An en dash can be inserted by pressing Ctrl + Num – or Insert – Symbol… – Special characters
in MS Word.
Note: If you write a hyphen in running text preceded and followed by a space in MS Word, it will
probably change it to an en dash, in the belief that you meant to write a dash and not a hyphen (as
hyphens are not normally preceded and followed by spaces). This can either be a nuisance, or a quick
way of writing a dash (instead of Ctrl + Num –, or Insert→ Symbol…).
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
26
Numbers and their Units
Numbers can be written out in words or expressed as figures. In scientific texts it is more normal
to use figures than the written word, although words are required or preferable in some cases.
Some journals and style guides recommend that numbers below ten or eleven be written out.
This is fine in expressions such as, “five experiments were performed”, but would hardly be
appropriate in the expression: “five kg sodium sulphate and seven litres of water”.
Numbers
Never start a sentence with figures (digits), write the number out or rephrase the sentence:
Not: 49% of the subjects were women …
but: Forty-nine percent of the subjects were women …
or: Almost half (49%) of the subjects were women …
Note that the use of a hash symbol (#), e.g. Subject #2, is AmE.
When writing out numbers from 21 to 99, use a hyphen:
twenty-seven, forty-nine, seventy-six, etc.
Hyphens are used when writing out
fractions, such as:
two-thirds, three-quarters, nine-tenths, etc. (See p.20 on hyphens in fractions.)
When fractions are given as decimals, include a zero: i.e. write 0.75 and not .75. (This does not
apply to quantities such as the level of probability, which never exceeds 1.)
Write out
ordinal numbers such as
first,
firstly,
second,
secondly, etc. in running text. When using the
figure form, write 1st, 2nd, 3rd, 4th, etc.
or 1st, 2nd, 3rd, 4th, etc. (The use of a colon in such
expressions is Swedish.)
The numbers 1, 2, 3 etc. are
integers, while those with decimals (1.0, 3.14159, etc.) are called
real
numbers. The number 1 is thus not the same as 1.0.
A decimal
point (.) is used in English to separate the whole part from the decimal part, and not a
comma (,) as in other European languages.
Thus, 10.449 is about 10?, while 10,449 is about ten thousand, five hundred.
When giving comparable numbers in tables or figures make sure to give the same number of
decimal places, i.e. 3.50, 3.55, 3.60, 3.65, etc. The zero is just as important as the five in the
second decimal place; this is a question of scientific precision, not a style issue.
Do not mix figures and abbreviated forms of units.
9 m
or
nine metres
6 h
or
six hours
1 ?
or
one ohm
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
27
In general texts, numbers greater than four figures (9999) are divided by a comma, e.g.
a population
of 20,000, a turnover of 550,000 million dollars.
In scientific texts, a (nonbreaking) space should be used:
2 000 000
14 349 etc.
A nonbreaking space is inserted by pressing Ctrl + Shift + Space, or Insert→ Symbol… Special
Characters…
In the USA and now in Britain, a
billion is a thousand million (109). (Formerly, a British billion
was a million million or 1012.) (Did you know that a
milliard was the old name for a thousand
million in the UK? I didn’t!)
A
trillion in both the USA and Britain is now a million million (1012).
However, note that in France and Germany these terms are ambiguous. Explain what you mean
by a million, billion etc. or use the 10x convention.
Time
Write years as 1997, 1887, 2004 etc. rather than ’99, ’04 etc. (Note that the SI abbreviation for
years is
y, not
yr or
yrs.) In historical contexts note: 250 BC, but AD 109.
Dates are written:
5 January 2004 in BrE and
January 5, 2004 in AmE, according to the Oxford
Guide to Style, although these conventions are not strictly adhered to.
Be very careful when using all-figure dates as conventions vary and may lead to
misunderstanding. All the dates below are 5 January 2014.
Swedish
(yy-mm-dd)
British English
(d.m.y)
American English
(m/d/y)
ISO
(yyyy-mm-dd)
14-01-05
5.1.14
1/5/14
2014-01-05
To avoid confusion, write dates clearly, preferably giving the month (abbreviated if necessary).
The days of the week and months of the year are written with capital first letters and are
abbreviated as follows:
Sun.
Mon.
Tue.
Wed.
Thur.
Fri.
Sat.
Jan.
Feb.
Mar.
Apr.
May
June
July
Aug.
Sept.
Oct.
Nov.
Dec.
When giving spans of dates “elide” to the fewest number of digits, e.g. 1804–7, 1918–26 and
2001–4. However, do not elide dates spanning different centuries: 1998–2003. Use the full date in
headings, titles and tables.
Note:
from 2001
to 2003; but
between 2001
and 2003
the
1990s, not the
1990’s
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
28
The time of day is given in general texts as 9 a.m. or 6 p.m., etc. The abbreviations a.m. and p.m. are
derived from the Latin,
ante meridiem (before noon ) and
post meridiem (after noon) and are written
in Roman style. Expressions such as,
in the morning or
in the afternoon or
evening, are superfluous
together with a.m. and p.m.
When using the
24-hour system, write 09.00 or 18.00 with a full stop. Note that midday and
midnight are expressed as 12.00 and 24.00, respectively.
Place
In scientific writing, degrees of latitude and longitude are written:
40° 42.5? N 74° 1.25? W
As N, S, E and W are specified, the addition of lat. or long. is superfluous. If you prefer to use
latitude and longitude, write: Lat. 40.980810, Long. –74.093665
Currency
Symbols for various currencies are printed close up to the amount.
?100
?5 million
45p
US$20,000
$500 million
90?
�900
�50 million
50?
SEK500
SEK20 billion
Million may be abbreviated M and billion bn, both written close up: ?5M and �20bn.
In table headings where thousands of Swedish kronor, euros or dollars are given, write:
EUR '000 or EUR thousand, etc.
Sometimes it may be necessary or advisable to convert one currency to another, e.g.
The company was valued at SEK300 million (�32.5 million).
The cost of producing ethanol is thus SEK10 ($1.4) per litre.
The exchange rate (and date) should be given in brackets or in a footnote.
It is also possible to write out currencies in words: 50 euros, 195 dollars, etc., but this is
uncommon in scientific texts.
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
29
Translating Swedish & Other Foreign Names
Scandinavian versus Nordic
Scandinavia is, strictly speaking, the Scandinavian peninsula of
Norway and
Sweden, but the term
generally includes
Denmark and
Finland as well. As a cultural term,
Scandinavian also embraces
Iceland and the
Faeroes. The countries of the Nordic Council include
Denmark,
Finland,
Iceland,
Norway,
Sweden, the
Faeroes,
Greenland and the
?land islands. Nordic is thus a broader term.
You will probably find that most non-Nordic readers will be more familiar with the term
Scandinavian, and more likely to be able to relate to it than Nordic.
Countries and cities
When writing in English, we generally use the English names of countries and cities when they
exist. A good English atlas or a good dictionary will help you with the names of countries, cities,
lakes and seas.
Swedish
English
Helsingfors
Helsinki
G?teborg
Gothenburg
Tjernobyl
Chernobyl
Vitryssland
Belarus
K?penhamn
Copenhagen
However, it has become common to revert to the original names rather than the romanized
forms, e.g.
Kolkata (formerly Calcutta) and Beijing (formerly Peking).
Other geographical names
Use the name in English if there is one, or the original name explaining to the reader what it
means. For example:
Sk?ne
Scania
V?ttern
Lake V?ttern
Stortorget
Stortorget (the main square)
Kattegat
The Kattegat, the strait between Denmark and Sweden
Bottenhavet
the Baltic Sea
M?lardalen
the M?laren Valley
Nissan
the River Nissan
K?vlinge?n
K?vlinge?n, the river flowing from Lake Vomb (
Vombsj?)
Buildings etc.
Translations of these names can generally be found in dictionaries or on the internet. Note that
slott can be translated as a palace, castle or manor, depending on the size and importance of the
building.
Domkyrkan i Lund
Lund Cathedral
Globen
the Stockholm Globe
Stadshuset
the City Hall
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
30
?resundsbron
the ?resund Bridge or the ?resund Link
Drottningholm slott
Drottningholm Palace
Trollen?s slott
Trollen?s Manor
Organisations
Check to see if the organisation has an official English name. This can be done in dictionaries
such as Gullbergs Svensk-Engelsk fackordbok (published by Norstedts), or Utrikes namnbok5,
or by checking the organisation’s website, or by telephoning them directly.
Do not try to translate the
name yourself. Some organisations do not have direct translations of their names. In such cases, use
the Swedish name together with an explanation.
FOI, Totalf?rsvarets forskningsinstitut
The Swedish Defence Research Agency
Vetenskapsr?det
The Swedish Research Council
F?rs?kringskassan
The National Social Insurance Office
KK-stiftelsen
The Knowledge Foundation
Kunskapsbron
“Kunskapsbron”, an organisation for technology transfer
Companies
Company names should be quoted as they are and an explanation given when necessary.
Telia
“Telia”, the Swedish telecom operator
IKEA
IKEA
PostNord
“PostNord”, the postal service in the Nordic region
Ericsson
“Ericsson”, the well-known telecommunications company
Apoteksbolaget
“Apoteksbolaget” , the National Corporation of Swedish Pharmacies
People
People’s names are generally not translated, but historical or biblical names are often different in
English and Swedish. Some examples are given below.
Carl von Linné
Carl Linnaeus
Sankte Per
Saint Peter
P?ven Johannes Paulus
Pope John Paul
Platon
Plato
Aristoteles
Aristotle
Djinghis Khan
Genghis Khan
Kung Bore
Jack Frost
5 http://www.regeringen.se/contentassets/faa6dc368525470087a6c9a80d0013e8/utrikes-namnbok-uppdaterad-juli-
2013
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
31
Bibliography
The Oxford Guide to Style (Oxford University Press, 2002, ISBN 0-19-869175-0),
The Economist Style Guide, partially available online: www.economist.com/styleguide/introduction
The English Style Guide of the European Commission Translation Service (EU, 2015), available on the
internet at:
http://ec.europa.eu/translation/english/guidelines/documents/styleguide_english_dgt_en.pdf
Translating Names – Guidelines for Translators, Ian Hinchliffe, SF? (Swedish Association of
Professional Translators)
Technically Speaking, Margaret Newman-Nowicka (Studentlitteratur 2003, ISBN 91-44-02116-X)
(www.studentlitteratur.se/technicallyspeaking)
Collins English Dictionary, 21st Century Edition (Harper Collins, 2014, ISBN 10: 0007522746)
The Concise Oxford Dictionary, (Oxford University Press, UK, 2011, ISBN-13: 978-0199601080)
Grafisk profil, Lunds universitet,
http://medarbetarwebben.lu.se/sites/medarbetarwebben.lu.se/files/lu-grafisk-manual-
150218.pdf
Eats, Shoots and Leaves, Lynne Truss (Profile Books, UK, ISBN 1-86197-612-7)
Hints on Layout and Style for Writers of Dissertations and Theses – Word for Word, June 2015
32
Appendix
Selected pages from Johanna S?derstr?m’s thesis
Optimisation of Two-step
Steam Pretreatment of Softwood
for Bioethanol Production
Johanna S?derstr?m
Department of Chemical Engineering
Lund University, Sweden
2004
Akademisk avhandling f?r avl?ggande av teknologie doktorsexamen vid
Tekniska fakulteten vid Lunds universitet. Avhandlingen kommer att f?rsvaras
p? engelska vid en offentlig disputation p? Kemicentrum, Getingev?gen 60,
Lund, h?rsal B, fredagen den 5 mars 2004 kl 10.30.
Fakultetsopponent ?r Professor Edward Kendall Pye, Vice President R&D,
Lignol Innovations Corp., Vancouver, BC, Canada.
OPTIMISATION OF TWO-STEP STEAM
PRETREATMENT OF SOFTWOOD
FOR BIOETHANOL PRODUCTION
Copyright ? 2004 Johanna S?derstr?m
All rights reserved
Printed in Sweden by KFS AB, Lund, 2004
DEPARTMENT OF CHEMICAL ENGINEERING
LUND UNIVERSITY
P.O. BOX 124
SE-221 00 LUND, SWEDEN
ISSN 1100-2778
ISRN LUTKDH/(TKKA-1002)/1-75/(2004)
ISBN 91-628-5953-6
Organisation
LUND UNIVERSITY
Document name
DOCTORAL THESIS
Department of Chemical Engineering
Date of issue
March, 2004
CODEN:
LUTKDH/(TKKA-1002)/1-75/(2004)
Author(s)
Johanna S?derstr?m
Sponsoring organization
Energimyndigheten
Title and subtitle
Optimisation of Two-step Steam Pretreatment of Softwood for Bioethanol Production
Abstract
Fuel ethanol can be produced from lignocellulosics by an enzymatic process consisting of steam
pretreatment, enzymatic hydrolysis, fermentation and ethanol refining. This thesis deals with the steam
pretreatment step in the enzymatic process used for ethanol production from softwood, which is an
abundant lignocellulosic raw material in the Northern hemisphere.
Steam pretreatment is an effective method of hydrolysing hemicellulosic sugars, as well as enhancing the
accessibility of enzymes to the cellulose. Too mild conditions will result in a material with low enzymatic
digestibility. On the other hand, too harsh pretreatment conditions will degrade some sugars to by-products
causing a decrease in the yield, as well as inhibition in the following process steps.
In this thesis a two-step steam pretreatment process is described where hemicellulosic sugars are
recovered after the first pretreatment step, performed under mild conditions, and the enzymatic digestibility
of cellulose is increased in the second pretreatment step, performed under harsher conditions. Prior to
steam pretreatment either SO2 or H2SO4 was added to catalyse the hydrolysis. Impregnation with SO2 in
both pretreatment steps resulted in the highest overall ethanol yield, regardless of whether simultaneous
saccharification and fermentation or separate enzymatic hydrolysis and fermentation was employed.
Experimental data obtained when steam pretreatment and the enzymatic steps were performed in a
process development unit resulted in valuable information on overall sugar and ethanol yields.
Two-step steam pretreatment results in higher overall ethanol and sugar yields than one-step steam
pretreatment. An economic evaluation shows that although the ethanol yield is higher, this advantage is
somewhat offset by the higher capital and energy costs. It is possible to perform the second step without a
pressure reduction and re-impregnation of SO2, without a reduction in ethanol yield. The production cost
for such a process is lower than for a one-step steam pretreatment process. However, the process concept
has yet to be proved on pilot scale.
Key words
Ethanol production, steam pretreatment, SO2, H2SO4, SSF, enzymatic hydrolysis, fermentation, softwood,
spruce, economy
Classification system and/or index terms (if any)
Supplementary bibliographical information Language
English
ISSN and key title:
1100-2778
ISBN
91-628-5953-6
Recipient?s notes
Number of pages
174
Price
Security classification
Distribution by (name and address):
Department of Chemical Engineering, Lund University
P.O. Box 124, SE-221 00 Lund, Sweden
I, the undersigned, being the copyright owner of the abstract of the above-mentioned dissertation, hereby
grant to all reference sources permission to publish and disseminate the abstract of the above-mentioned
dissertation.
Signature
Date: January 23, 2004
List of publications
This thesis is based on the following papers, which will be referred to by their
roman numerals in the text.
I S?derstr?m, J., Pilcher, L., Galbe, M. & Zacchi, G.
Two-Step Steam Pretreatment of Softwood with SO2 Impregnation
for Ethanol Production.
App. Biochem. Biotechnol. 2002,
98-100, 5-21.
II S?derstr?m, J., Pilcher, L., Galbe, M. & Zacchi, G.
Two-step Steam Pretreatment of Softwood by Dilute H2SO4
Impregnation for Ethanol Production.
Biomass Bioenergy 2003,
24,
475-486.
III S?derstr?m, J., Pilcher, L., Galbe, M. & Zacchi, G.
Combined Use of H2SO4
and SO2
Impregnation for Steam
Preatreatment of Spruce in Ethanol Production.
App. Biochem.
Biotechnol. 2003,
105-108, 127-140.
IV S?derstr?m, J., Galbe, M. & Zacchi, G.
Comparison of SHF and SSF of Two-step Steam-Pretreated
Softwood for Ethanol Production.
J. Wood Chem. Technol. (Submitted)
V S?derstr?m, J., Galbe, M. & Zacchi, G.
The Effect of Washing in One- and Two-Step Steam Pretreatment
of Softwood for Production of Ethanol.
Biotechnol. Progr. (Accepted)
iv
Other related publications by the author:
Wingren, A., S?derstr?m, J., Galbe, M. & Zacchi, G.
Process Considerations and Economic Evaluation of Two-Step Steam
Pretreatment for the Production of Ethanol from Softwood.
Biotechnol. Progr.
(Submitted)
S?derstr?m, J., Galbe, M. & Zacchi, G.
Two-step Steam Pretreatment of Softwood for Ethanol Production.
Proceedings of ISAF XIV, Phuket, Thailand, 2002
v
My contribution to the papers
Paper I
I did practically all the work.
Paper II
I planned the study and evaluated the results. I also performed
some of the experimental work and wrote the paper. Dr Robert
Eklund at the Mid Sweden University, ?rnsk?ldsvik, Sweden,
performed the first pretreatment step. Some of the second-step
pretreatment experiments as well as some of the SSF and
enzymatic hydrolysis experiments were performed by MSc
Linda Pilcher under my supervision.
Paper III
I planned the experiments and did most of the experimental
work, except the first pretreatment step, which was performed
by Dr Robert Eklund. I performed the evaluation of the results
and wrote the paper.
Paper IV
I did essentially all the work.
Paper V
I developed the experimental plan and evaluated the results.
MSc Gustav Sassner performed most of the experiments under
my supervision. I wrote the paper.
vi
Acknowledgements
During the five years of work that has resulted in thesis, many people have
contributed in one way or another. I am very grateful of all of you; but there
are some who deserve special thanks.
First of all, I would like to thank my supervisor, Professor Guido Zacchi, for
his guidance and constant constructive criticism throughout this work. Thank
you for always taking the time to discuss the work, even when you had none.
My co-supervisor, Dr Mats Galbe deserves considerable credit for always being
around to help me with anything from practical problems in the lab to all kinds
of problems with the computer. I still don’t know where all that software came
from! Thank you also for a very fun ride in the jungle.
All the members of the Ethanol Group, for making the project interesting and
for helping me to see the whole wood-to-ethanol process, and for sharing long
days in the lab.
Mrs Linda Pilcher, for helping with the steam pretreatment experiments and
for valuable discussions on the experimental set-up. Mr Gustav Sassner, for
helping with the fed-batch experiments and taking samples at odd times.
Mr Leif Stanley and Mr Hans-Olof Jedlid for always being helpful when the
equipment didn’t work, or when something had to be constructed.
Mrs Lill Dahlstr?m, our secretary, for always helping with things you don’t
always notice, but appreciate when they are done.
I would also like to thank all former and present colleagues at the Department
of Chemical Engineering, especially those who have shared an office with me,
for creating an inspiring environment and making it fun to go to work. Thanks
to “lunchg?nget” for the company and interesting discussions about almost
anything at lunch time, and the participants of the various dance courses for
making us laugh and sweat together.
Thank you, mum and dad for your endless love and support throughout the
years and for introducing me to science when I was very young. Thank you
Andreas and David for always being such great brothers.
Finally, the Swedish Energy Agency is gratefully acknowledged for their
financial support of this work.
viii
Popul?rvetenskaplig introduktion till avhandlingen
Den h?r avhandlingen handlar om hur br?nsleetanol kan tillverkas fr?n barrved
f?r att anv?ndas som ers?ttning f?r bensin. Genom att anv?nda etanol
tillverkad av biomassa som br?nsle, bidrar man inte till koldioxidutsl?ppen.
Biomassan, eller veden, har under sin livstid ur luften tagit upp motsvarande
m?ngd koldioxid, som sl?pps ut vid den slutliga f?rbr?nningen. Utnyttjande av
biobr?nslen medf?r d?rf?r ett slutet kretslopp, dvs. det sker ingen
nettoproduktion av koldioxid. Den globala koldioxidhalten ?kar stadigt p?
grund av f?rbr?nningen av fossila br?nslen och bidrar till v?xthuseffekten.
Det ?r mycket sv?rare att framst?lla etanol ur ved ?n att utg? fr?n socker eller
st?rkelse, dvs. sockerbetor eller s?d. Tr? ?r ett s? kallat lignocellulosamaterial.
Det betyder att det huvudsakligen best?r av tre komponenter, n?mligen
cellulosa, hemicellulosa och lignin. I tr? finns sockret i form av cellulosa och
hemicellulosa. Cellulosa best?r av l?nga, raka kedjor av sammanl?nkade
sockermolekyler, glukos. Runt dessa cellulosakedjor ligger hemicellulosa, vilken
?r uppbyggd av grenade kedjor av sockermolekyler, delvis best?ende av andra
sockermolekyler ?n glukos, och lignin. Cellulosa och hemicellulosa kan
omvandlas till etanol, medan ligninet antingen kan anv?ndas som br?nsle f?r
processen eller s?ljas som ett fast torkat br?nsle med h?gt energiinneh?ll.
F?r att etanol ska kunna konkurrera med petroleumbaserade br?nslen som
diesel och olja, m?ste framst?llningsprocessen optimeras. Tr?flis f?rbehandlas
och delas upp i en v?tskefas, som inneh?ller sockerarter fr?n hemicellulosan,
och ett fast material, som best?r av cellulosa och lignin. En liten del av det
fasta materialet anv?nds f?r att tillverka enzymer som bryter ner cellulosa. Den
resterande delen av det fasta materialet bryts ner till enkla sockerarter med
hj?lp av de producerade enzymerna. De bildade sockren j?ses till etanol som
sedan destilleras f?r att n? en h?g koncentration.
I ett naturligt material sitter cellulosan v?l inb?ddad mellan hemicellulosa och
lignin. Om enzymer tills?tts h?nder ingenting. Enzymerna kommer helt enkelt
inte ?t att bryta ner cellulosan eftersom hemicellulosa och lignin ?r i v?gen.
F?rbehandling av r?materialet ?r d?rf?r n?dv?ndigt f?r att g?ra det m?jligt f?r
enzymerna att penetrera in i fibrerna och bryta ner cellulosan till enkla
sockerarter, glukos. F?rbehandlingen g?rs med hj?lp av ?nga. Det ?r det h?r
steget, f?rbehandlingen, som huvuddelen av avhandlingen handlar om. Veden
hackas f?rst s?nder till flis. Detta flismaterial behandlas sedan med ?nga med
h?g temperatur i en tryckbeh?llare under n?gra minuter, och ?ngan tr?nger in i
veden. D? trycket s?nks till normalt lufttryck expanderar ?ngan och veden
spr?ngs s?nder. Hemicellulosan bryts ner av v?rmen, och dess sockerarter
?terfinns i den bildade v?tskan. V?tskan bildas d? den v?rmande ?ngan
ix
Optimisation of Two-step Steam Pretreatment of Softwood for Bioethanol Production
kondenserar. Den fasta ?terstoden best?r av lignin och cellulosa, vilken nu ?r
mer tillg?nglig f?r enzymerna.
Enzymer ?r proteiner som i det h?r fallet p?skyndar nedbrytningen av cellulosa
till glukos. Enzymer som bryter ner cellulosa kallas cellulaser. Enzymerna
produceras av en r?tsvamp som h?rr?r fr?n S?derhavet. Denna st?llde till med
stora problem f?r de amerikanska soldaterna under andra v?rldskriget d?r den
f?rst?rde kl?der och annan materiel som bestod av cellulosa. I hydrolyssteget
bryts cellulosan i den f?rbehandlade tr?flisen ner till socker (glukos) med hj?lp
av enzymer. Naturlig cellulosa ?r resistent mot hydrolys (nedbrytning) p? grund
av sin natur. Det beh?vs d?rf?r flera olika enzymer f?r att klara av
nedbrytningen. En del cellulaser bryter ner cellulosamolekylen i kortare kedjor,
andra ”klipper av” enheter av l?nkade glukosmolekyler fr?n kedjorna,
ytterligare andra klyver s?dana enheter av tv? glukosmolekyler, och det bildas
socker (glukos). Enzymerna ?r kr?sna n?r det g?ller den omgivning de lever i.
Inte nog med att de vill ha ”r?tt” sorts mat, de trivs ocks? b?st vid en viss
temperatur och ett visst pH.
Cellulosa
Enzymer
Glukos
Cellulosa
Enzymer
Glukos
Enzymer bryter ner cellulosa till glukos.
Vanlig bagerij?st omvandlar glukos fr?n cellulosan till etanol och koldioxid
med hj?lp av enzymer. Det ?r en v?l bepr?vad metod som testats under
tusentals ?r, vid j?sning av ?l och vin, och vid br?dbakning. Koncentreringen
av etanolen ?r inget problem, eftersom man inte beh?ver t?nka p? att rena den.
F?roreningar, till exempel finkeloljor, som inte f?r finnas i konsumtionssprit
f?rb?ttrar snarare motoralkoholens egenskaper.
Etanolprocessen m?ste optimeras b?de tekniskt och ekonomiskt.
Avhandlingen beskriver processoptimeringar och ekonomiska ber?kningar f?r
det f?rsta steget i processen, f?rbehandlingen.
x
Contents
1 INTRODUCTION.................................................................1
1.1
THE AIM AND OUTLINE OF THE THESIS.............................................. 4
2 LIGNOCELLULOSIC MATERIALS .................................. 7
2.1
COMPOSITION OF LIGNOCELLULOSIC BIOMASS................................ 7
2.1.1
Cellulose.............................................................................................. 9
2.1.2
Hemicellulose .................................................................................... 10
2.1.3
Lignin............................................................................................... 11
2.1.4
Extractives and ash .......................................................................... 11
2.2
DIFFERENCES BETWEEN SOFTWOOD AND HARDWOOD............... 12
2.3
RAW MATERIAL AND THEORETICAL ETHANOL YIELD................... 12
3 ETHANOL PRODUCTION FROM SOFTWOOD...........15
3.1
THE ACID HYDROLYSIS PROCESS........................................................ 16
3.2
THE ENZYMATIC PROCESS ................................................................... 17
3.2.1
Pretreatment...................................................................................... 18
3.2.2
Enzymatic hydrolysis......................................................................... 18
3.2.3
SHF or SSF .................................................................................... 20
3.3
DEGRADATION PRODUCTS AND INHIBITORS .................................. 21
3.3.1
Degradation products formed in steam pretreatment............................ 21
3.3.2
Inhibition..........................................................................................21
4 PRETREATMENT METHODS ........................................23
4.1
PHYSICAL METHODS.............................................................................. 24
4.2
CHEMICAL METHODS............................................................................ 24
4.3
PHYSICO-CHEMICAL METHODS........................................................... 25
4.4
BIOLOGICAL METHODS ........................................................................ 26
4.5
STEAM PRETREATMENT........................................................................ 27
4.5.1
Use of SO2 or H2SO4 as a catalyst................................................... 28
4.5.2
Severity factor and combined severity .................................................. 28
4.5.3
Previous pretreatment studies ............................................................. 29
5 OPTIMISATION OF TWO-STEP STEAM
PRETREATMENT..............................................................33
5.1
WHY TWO STEPS? ................................................................................... 34
5.2
PRETREATMENT EQUIPMENT.............................................................. 35
5.3
EXPERIMENTAL METHODS .................................................................. 36
5.4
TWO-STEP STEAM PRETREATMENT.................................................... 37
5.4.1
Second pretreatment step.................................................................... 39
5.4.2
Overall sugar yield............................................................................. 41
Optimisation of Two-step Steam Pretreatment of Softwood for Bioethanol Production
5.4.3
Ethanol yield .....................................................................................44
5.5
COMPARISON OF TWO-STEP AND ONE-STEP STEAM
PRETREATMENT.....................................................................................................46
5.6
CONCLUSIONS.........................................................................................48
6 COMPARISON OF SSF AND SHF IN A PROCESS
DEVELOPMENT UNIT .................................................... 51
6.1
EXPERIMENTAL PROCEDURE...............................................................51
6.2
INCREASED SIZE OF PRETREATMENT EQUIPMENT .........................52
6.3
SSF VERSUS SHF.....................................................................................53
6.4
IMPREGNATION WITH SO2 OR H2SO4? ..............................................55
6.5
CONCLUSIONS.........................................................................................55
7 ECONOMIC EVALUATION .............................................57
7.1
COMPARISON BETWEEN ONE- AND TWO-STEP PRETREATMENT .58
7.2
RESULTS....................................................................................................59
7.2.1
Improvements in the two-step process...................................................60
7.3
CONCLUSIONS.........................................................................................62
8 CONCLUSIONS AND FUTURE WORK ..........................63
REFERENCES .........................................................................67
Chapter 1
1 Introduction
The oil crises of the nineteen seventies resulted in the awakening of interest in
alternatives to petrol and diesel to reduce our dependence on oil-producing
countries. One of the fuels considered was ethanol. However, when oil prices
decreased again, ethanol became too expensive an alternative. In the eighties
the so-called greenhouse effect became known and the desire to reduce the
emission of greenhouse gases, such as carbon dioxide was increased. Thus,
ethanol once again became the subject of discussion.
Interest in producing biofuels, such as ethanol, has grown further since 1997,
when the Kyoto protocol was proposed to limit the global net emission of
carbon dioxide. The EU adopted a white paper for a Community strategy and
action plan, “Energy for the Future” stating that 12% of the total energy
consumption should come from renewable sources in 2010. One way of
reducing environmental effects and our dependence on fossil fuels is to use
renewable bioethanol produced from domestic resources.
In Sweden, the transportation sector is responsible for about one-third of all
carbon dioxide emission, around 20 Mton per year. In the year 2000 the total
energy consumption in Sweden was 398 TWh, of which 92 TWh originated
from transportation. Petrol and diesel constituted 83% of the energy
consumed within the transportation sector (1).
Optimisation of Two-step Steam Pretreatment of Softwood for Bioethanol Production
Ethanol can be produced from renewable resources such as agricultural waste
and forest residues. New crops and forest plantations assimilate the carbon
dioxide that is released during the production and combustion of ethanol.
Thus there is no net emission of carbon dioxide to the atmosphere, see Figure
1.1. Another advantage of using fuel ethanol is the decrease in the emission of
CO and non-combusted hydrocarbons that form smog (2).
Atmosphere
Photosynthesis
Biomass
Production of ethanol
Ethanol
Storage
Carbon dioxide
Atmosphere
Photosynthesis
Biomass
Atmosphere
Photosynthesis
Biomass
Production of ethanol
Ethanol
Storage
Carbon dioxide
Figure 1.1 The carbon cycle.
Today, the major use of ethanol is as an oxygenated fuel additive. One
attractive advantage of introducing ethanol as a fuel is the possibility of using it
neat or in a mixture with petrol in conventional internal combustion engines,
the spark-ignition engine. Today, all cars with a catalyst can be run on a
mixture of 90% petrol and 10% ethanol, and newer cars can use up to 20%
ethanol without adjustment of the engine. Engines that can run on pure
ethanol and flexible fuel vehicles (FFV) that can use any mixture of petrol and
ethanol are available. Several positive effects are achieved when using a blend
of ethanol and petrol. As ethanol has a higher octane number (93-113) than
petrol, the need for toxic octane-enhancing additives is reduced. Ethanol
provides oxygen for combustion, which leads to reduced emissions of carbon
monoxide and non-combusted hydrocarbons. Ethanol may also be used in
compression-ignition engines to replace diesel. However, it is necessary to add
an emulsifier when mixing ethanol with diesel, and in a cold climate it may be
difficult to start the engine.
Although ethanol has a volumetric energy content of only 65% of that of
petrol, one litre of a blend of 15% ethanol in petrol can replace one litre of
petrol. If ethanol completely replaces petrol it is still possible to drive 75-80%
of the distance possible with the same volume of petrol, due to the higher
engine efficiency (15% higher) obtained with ethanol (2
,3). When comparing
2
Chapter 1 Introduction
the costs of ethanol and petrol it is essential that these differences in energy
content be borne in mind.
In spite of the advantages associated with ethanol, Brazil, the USA and Canada
are the only countries that produce large quantities of fuel ethanol. The raw
materials used are sugar and maize. However, within the European Union it is
recommended that petrol for internal combustion engines be mixed with 5%
ethanol before 2010 (3). In Sweden, an ethanol plant for production based on
grain, with a capacity of 50 000 m3, was started up in 2001. In addition, a pilot
plant for the production of ethanol from softwood is today (2004) under
construction in Sweden. The capacity will be 2000 kg raw material per day,
corresponding to 400-500 litres ethanol per day. Initially an acid hydrolysis
process will be used, but a process employing enzymatic hydrolysis (EH) or
simultaneous saccharification and fermentation (SSF) will be tested after one
year. The results obtained from the studies described in this thesis have been
of great value in the design of the process.
One of the main reasons for ethanol not being produced on a large scale is that
the production cost is still too high. Despite the fact that the efficiency of
ethanol production is steadily increasing, tax relief is still required to make fuel
ethanol commercially competitive with petrol and diesel (3). To attain an
economically viable process the production cost must be reduced to about the
same level as for fossil fuels. The cost of the raw material constitutes one of
the major contributions to the total production cost, which makes it necessary
to use the cheapest raw materials possible (4
,5). For example, the raw material
accounts for 40% to 70% of the production cost when using sugar cane or
maize as a feedstock (6). Lignocellulosic biomass is an abundant and cheap raw
material. It accounts for 50% of the total biomass on earth, with an estimated
annual production of 10-50·1012 kg (6).
In the Northern hemisphere the dominating source of lignocellulosic material
is softwood. Fifty-five percent of Sweden’s area is covered with forest, of
which 85% is softwood (7). Being such an abundant and low-cost feedstock,
softwood is of great interest for the production of bioethanol in several
countries, including Sweden, Canada and the western USA (7-9).
The total ecologically sustainable energy potential of woody biomass for fuel
production in Sweden is about 130 TWh per year. Today the production is
about 40 TWh per year, leaving about 90 TWh for potential use (10). This
roughly corresponds to the energy consumption of the transportation sector
(1). However, due to the shutdown of some of Sweden’s nuclear power plants,
some biomass will be required to generate heat and power, and thus only a
small proportion will be available for ethanol production; enough to replace
about 20% of the petrol and diesel used today.
3
Optimisation of Two-step Steam Pretreatment of Softwood for Bioethanol Production
The technology used to produce ethanol from crops containing starch, such as
wheat, barley and potatoes, is well established and has been used for centuries
for the production of alcoholic beverages. However, for fuel ethanol
production a cheaper raw material is needed. Lignocellulosic waste such as
agricultural residues, municipal waste, energy crops and logging waste from
forestry are suitable raw materials. Unfortunately, the production of ethanol
from lignocellulosic materials is much more complex and not yet fully
optimised.
When ethanol is produced from lignocellulosic biomass, the sugars in the
hemicellulose and cellulose are converted to ethanol using either acid or
enzymatic processes. Acid and enzymes break down the cellulose and
hemicellulose to sugars, which can be fermented by bacteria or yeast. The weak
ethanol solution is then concentrated by distillation. The solid residue, lignin,
has a high energy content and can be used as a solid fuel.
Man has known for more than 100 years how to hydrolyse cellulose. This can
be done with either concentrated or dilute acid. Processes employing
concentrated acids, such as sulphuric and hydrochloric acid, result in high
yields but are associated with problems concerning corrosion and acid
recovery. In addition, large amounts of gypsum are formed during
neutralisation of the acid hydrolysate when H2SO4 is used.
Dilute acid hydrolysis is usually performed at a high temperature. The process
is non-specific. Sugars may be degraded to furfural, 5-hydroxymethylfurfural
(HMF) and other compounds, reducing the sugar yield and also causing
problems in the fermentation step (11-14).
The enzymatic process provides more specific conversion of cellulose and thus
has the potential to give higher yields of ethanol. It is the enzymatic process
that is discussed in this thesis.
1.1 The aim and outline of the thesis
The main purpose of this work was to investigate the pretreatment step in the
wood-to-ethanol process based on softwood. For the process to be feasible, it
is essential to use optimal pretreatment conditions in order to maximise the
yield of ethanol in the subsequent process steps and to minimise the formation
of by-products. The enzymatic process has the potential of producing ethanol
from softwood in an environmentally friendly and cost-effective way. The
4
Chapter 1 Introduction
pretreatment step is one of the most costly in the process and it is thus
important to improve and to optimise it as much as possible.
The first three chapters of this thesis provide background information and put
this work into perspective. The lignocellulosic biomass is described, and
differences between various kinds of raw materials are discussed. A short
introduction to the production of ethanol from biomass with different
techniques, as well as problems associated with degradation and inhibition, is
also given.
In Chapter 4 various pretreatment methods that can be used in the wood-to-
ethanol process are described. The mechanisms of steam pretreatment are
presented together with some previously obtained results.
The next three chapters summarise the results presented in
Papers I-V. In
Chapter 5 optimisation of a two-step steam pretreatment method for spruce is
discussed, and a comparison of different pretreatment strategies is presented.
Chapter 6 describes the differences between small and large scale in the
pretreatment step, and the differences between the different process
configurations SSF (simultaneous saccharification and fermentation) and SHF
(separate hydrolysis and fermentation). Some aspects of the economy of two-
step steam pretreatment are discussed in Chapter 7.
Finally, Chapter 8 gives some concluding remarks and suggestions for future
work.
5
Chapter 2
2 Lignocellulosic Materials
Wood has long been used as a raw material. Thousands of years ago giant
forests covered large areas of the earth’s surface. Man used wood for fuel and
for tools. However, wood is also a very modern raw material. It is used for
building and furniture, but is also a basic substance in pulp and paper, fibre
products, films, additives and many other products. In the presented work,
wood has been used as a raw material for the production of fuel ethanol.
Oddly enough, primeval forests form the basis of many of the fossil fuels we
use today, such as oil and coal.
2.1 Composition of lignocellulosic biomass
Lignocellulosic biomass from different plant species may appear quite
different, however, the chemical composition is fairly similar. All
lignocellulosic material consists mainly of three components: cellulose,
hemicellulose and lignin. These three polymers comprise about 90% of the dry
material. The rest consists of small amounts of ash, soluble phenolics and fatty
acids called extractives, and other minor components. Some variation in the
composition can be seen between different species and within the same species
depending on environmental and genetic variability, and within the same plant
Optimisation of Two-step Steam Pretreatment of Softwood for Bioethanol Production
between trunks, bark and branches. Table 2.1 gives typical compositions of
some different lignocellulosic materials.
Table 2.1 Composition of various lignocellulosic materials as percentage of dry material.
(–, below detection limit; n.d., not determined)
Glucan Mannan
Xylan
Galactan Arabinan Lignin
Ref.
Hardwoods
White oak
43.6
2.9
18.0
0.4
2.4
23.2
(15)
Yellow poplar
49.9
4.7
17.4
1.2
1.8
18.1
(15)
Birchwood
38.2
1.2
18.5
–
n.d.
22.8
(16)
Aspen
43.2
0.2
15.1
–
–
16.7
(16)
Willow
36.8
1.9
12.7
n.d.
1.2
20.7
(17)
Softwoods
Pinus radiata
42.8
11.3
5.9
2.5
1.6
27.2
(16)
Pine wood
37.7
7.0
4.6
–
–
27.5
(16)
Spruce wood
41.9
14.3
6.1
–
1.2
27.1
(16)
Spruce bark
27.3
3.2
3.2
–
4.1
37.1
(16)
Other
Bagasse
42.7
–
21.0
–
0.6
18.6
(16)
Wheat straw
36.5
0
18.4
–
2.2
17.6
(16)
Corn stover
36.0
–
19.8
1.3
2.8
17.8
(18)
Douglas fir
42.0
23.5
–
–
–
27.8
(19)
Wood cells are composed of fibres held together by the middle lamella, Figure
2.1. The cellulose fibrils in the thin primary wall (P) are embedded in a matrix
of lignin and hemicellulose and arranged in a network, allowing the cell to
expand while growing. The secondary wall consists of three layers, S1, S2 and
S3, where S3 is sometimes called the tertiary wall. The second layer, S2, is the
thickest layer in the wood cell and comprises about 80% of the wood. This
layer is responsible for the strength of the fibres. The lumen is the inner part
of the wood cell. Between the individual cells there is a thin layer, the middle
lamella, which “glues” the cells together. This layer is in principle free of
cellulose, consisting mainly of lignin (20).
8
Chapter 2 Lignocellulosic Materials
Primary
wall, P
Secondary
wall, S1
Secondary
wall, S2
Secondary
wall, S3
Lumen
Middle
lamella
Primary
wall, P
Secondary
wall, S1
Secondary
wall, S2
Secondary
wall, S3
Lumen
Middle
lamella
Figure 2.1 Structure of wood cells (adapted from Fan et al. (20)).
2.1.1 Cellulose
Cellulose is a linear polymer of D-glucose molecules. These units are bound
together by β-(1,4)-glycosidic linkages. Two adjacent glucose units are linked
by the elimination of one molecule of water between their hydroxylic groups at
carbon atoms 1 and 4. The repeating unit in the cellulose chain is strictly
speaking the cellobiose unit, consisting of two glucose units, as shown in
Figure 2.2. The degree of polymerisation (DP), that is, the number of glucose
units in the cellulose chain, is typically in the range of 7500-15 000 for plant
cellulose. Cellulose in spruce has a DP around 8000 (21).
CH2OH
O
OH HO
O
O
OH
OH
O
O
CH2OH
CH2OH
O
O
OH HO
OH
OH
O
O
CH2OH
CH2OH
O
O
OH HO
OH
OH
O
O
CH2OH
CH2OH
O
O
HO
OH
OH
OH
O
O
CH2OH
Figure 2.2 The structure of cellulose.
The glucose molecules in the cellulose are free to rotate; this may cause the
OH groups to form H bridges both within its own molecule (intramolecular)
forming fibrils, and with neighbouring chains (intermolecular), forming
microfibrils. This leads to a very rigid macromolecular structure, which is
responsible for the surprising strength of plants.
Most of the cellulose chains are highly ordered and crystalline, but some
regions have a lower crystallinity between the fibrils,
i.e. amorphous regions.
9
Optimisation of Two-step Steam Pretreatment of Softwood for Bioethanol Production
These regions are less recalcitrant to enzymatic hydrolysis (20). The degree of
crystallinity varies with plant species. However, the pore size is considered to
be of great importance for enzymatic digestibility (22
,23).
2.1.2 Hemicellulose
Hemicelluloses, or polyoses, found in wood are mainly short, highly branched
heteropolymers of hexoses such as glucose, mannose and galactose, and
pentoses such as xylose and arabinose (24). Hemicellulose also presents
various substitutes,
e.g. acetyl groups or uronic groups that are attached to the
main chain or to the branches, see Figure 2.3. The linkages between these
compounds are various types of glycosidic bonds (21). The degree of
polymerisation ranges from 20 to 300, which is much lower than for cellulose.
The chemical structure of hemicellulose makes it highly hydrophilic, allowing
for good access by water. It also explains why the degradation of
hemicelluloses is very much facilitated compared with that of cellulose.
Hemicelluloses are usually bound covalently to lignin and through hydrogen
linkage to cellulose, thus acting as a glue between the cellulose and the lignin.
A
CH2OH
OH HO
O
O
O
O
O
CH2OH
OH
OH
O
O
OH HO
CH2
O
O
OH
OH
CH2OH
HO
O
O
HO
OH
CH2OH
CH2OH
O
O
OH
OH
O
O
HO
OH
CH2OH
O
O
CH2OH
HO
OH
O
O
OAc
CH2OH
OH
CH2OH
O
O
OH
HO
O
O
OH HO
CH2OH
B
O
O
O
O
O
OH
OH
H3CO
OH
COOH
OH
OH
O
O
O
OH
OH
OH
O
OH
OH
HOH2C
O
OH
O
O
COOH
O
O
O
OH
OH
O
O
O
O
O
OH
OH
HOH2C
OH
OH
O
O
O
OH
OH
OH
O
OH
O
O
O
O
OH
OH
H3CO
OH
O
Figure 2.3 The structure of hemicellulose from softwood, A: O-acetyl-galacto-
glucomannan, B: arabino-4-O-methylglucuronoxylan.
10
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68
