what is chapter 1 in dissertation

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How to write dissertation chapter 1, published by steve tippins on july 19, 2022 july 19, 2022.

Last Updated on: 2nd February 2024, 04:48 am

Congratulations, you’ve made it to the dissertation stage! You should be incredibly happy. However, beginning to write chapter one might be a little daunting. We’re going to cover a broad overview on chapter one here in this article so that you know the territory before you set out.

Purpose of Chapter One

The purpose of chapter one is to introduce the reader to what’s coming. Chapter one usually runs around 15 pages, and it gives the reader the highlights of what’s coming. Typically, you start with an introduction. 

#1. Introduction

The introduction includes a few citations and says, “Hey, we’re going to talk about ___.” Fill in the blank with your topic (educational policy, or management handling of turnover, etc.). Also, don’t say “hey” like we did (that wouldn’t be very good academic writing).

#2. Background of the Problem

The next section is the background of the problem. I like to think of this as a very short literature review , showing the reader that there’s a foundation of scholarly research about this topic.

#3. Theoretical/Conceptual Framework

Follow that up by the theoretical or conceptual framework . Think of this as the seminal research upon which your study is based. Maslow’s hierarchy of needs, for example, is an incredibly popular conceptual framework. Erickson’s theories are popular in education, and systems theory is being used in many disciplines now. 

#4. Problem Statement

Next comes what many consider to be the guts or the foundation of the dissertation: your problem statement . Your problem statement is typically one line. Now it might be surrounded by a paragraph or two, but the actual problem statement is one sentence. It should begin, “The problem to be studied is…” and finish with something that directly aligns with your purpose and research questions. For example, “…we don’t know the impact of extra after school education on student grades in math,” or “…we are not aware of the perceptions of employees regarding management, changing retirement plans.” 

Over 50% of doctoral candidates don’t finish their dissertations.

#5. Purpose Statement

Next comes your purpose statement . The purpose is directly related to the problem. If the problem is that the impact of management decisions on employee turnover is unknown, then our purpose would be to determine the impact of management decisions on employee turnover.

#6. Research Questions

Follow this by the research questions. Your research questions should be highly aligned with your problem and your purpose. For example, your research question could be: “what is the relationship between management decisions and employee turnover?” Or for another topic, “what are the perceptions of parents regarding teacher pay raises?” 

Quick aside: You’re going to say things over and over and over again in your dissertation. Say them the exact same way. You get in trouble when you try to get interesting and use different terms, because doing so actually introduces new meanings. Be okay with sounding boring. 

#7. Methodology

Next is a brief Methodology section. Am I going to use a quantitative approach? Am I going to use a qualitative approach? What sources am I going to use? Is this going to be secondary data? Am I going to interview parents? Quickly tell the reader that you’re going to have a whole chapter (chapter three) to really go further on this. 

#8. Definition of Key Terms

Many chapter ones include a definition of key terms. If I’m talking about phenomenology, I’d better tell the reader what phenomenology is. If I’m talking about special ed teachers, I’m going to say what a special ed teacher is.

#9. Validity

You also may have a section in chapter one on validity. This is going to be somewhere in your dissertation, and it’s going to assure the reader that you’re following all the ethical steps and that results can be transferable. 

#10. Conclusion and Segway to Chapter Two

Finally, you’re going to have a conclusion wrapping everything up, summarizing for the reader what they heard, and a segue into chapter two.

Steve Tippins

Steve Tippins, PhD, has thrived in academia for over thirty years. He continues to love teaching in addition to coaching recent PhD graduates as well as students writing their dissertations. Learn more about his dissertation coaching and career coaching services. Book a Free Consultation with Steve Tippins

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Chapter by Chapter: How to Structure a Dissertation Chapter

Writing a dissertation can be a daunting task, but breaking it down into manageable chapters can make the process much more approachable. Each chapter serves a specific purpose and contributes to the overall narrative of your research. Understanding the role of each chapter and how to structure it effectively is crucial for a successful dissertation.

Key Takeaways

• Understanding the role of each dissertation chapter is essential for a cohesive and well-structured thesis.
• A compelling introduction sets the context, states the research problem, and outlines the structure of the dissertation.
• A thorough literature review identifies key sources, synthesizes existing research, and highlights research gaps.
• A robust methodology chapter details the chosen methods, ensures validity and reliability, and addresses ethical considerations.
• Presenting and analyzing results involves organizing data, interpreting findings, and using visual aids effectively.

Understanding the Role of Each Dissertation Chapter

There are many moving parts to a dissertation, and the best way to simplify them is by chapter . Each chapter follows certain rules and serves a specific purpose. The most efficient way to break down the work ahead of you into pieces is to understand the role each chapter plays in the dissertation.

Purpose and Importance

Each chapter in a dissertation has a unique role and contributes to the overall coherence of your research. The introduction sets the stage, the literature review contextualizes your study, the methodology explains your research design, the results present your findings, the discussion interprets these findings, and the conclusion wraps everything up. Understanding these roles is crucial for structuring your dissertation effectively.

Common Misconceptions

A common misconception is that the chapters can be written in isolation. In reality, each chapter should build upon the previous one, creating a logical flow. Another misconception is that the literature review is just a summary of existing research. Instead, it should critically analyze and synthesize the literature to highlight gaps your research aims to fill.

Examples from Various Disciplines

Different disciplines may have specific requirements for dissertation chapters. For instance, a dissertation in the humanities might focus more on theoretical frameworks, while a science dissertation might emphasize experimental methods. Regardless of the discipline, the fundamental structure remains the same, ensuring that your research is presented in a clear and organized manner.

Crafting a Compelling Introduction

If done right, your introduction chapter will set a clear direction for the rest of your dissertation. Specifically, it will make it clear to the reader (and marker) exactly what you’ll be investigating, why that’s important, and how you’ll be going about the investigation. Conversely, if your introduction chapter leaves a first-time reader wondering what exactly you’ll be researching, you’ve still got some work to do.

Conducting a Thorough Literature Review

A thorough literature review is a cornerstone of any dissertation, providing a comprehensive overview of existing research and setting the stage for your own study. This chapter is essential for demonstrating your understanding of the field and identifying where your research fits within the broader academic conversation.

Designing a Robust Methodology

In this chapter, you need to address two critical questions: exactly how will you carry out your research, and why have you chosen to do things this way? Crafting an effective Ph.D. thesis proposal requires a well-thought-out methodology that aligns with your research objectives and questions. This chapter is crucial as it lays the foundation for your entire study, ensuring that your approach is both systematic and justified.

Presenting and Analyzing Results

In this chapter, you will present the raw results of your analysis, whether qualitative, quantitative, or mixed methods. Dissertation data analysis is the process by which researchers interpret findings to drive useful insights. Focus on presenting the data clearly and concisely, without delving into interpretations, which will be covered in the discussion chapter.

Discussing the Implications of Your Findings

Next, you’ll typically discuss the implications of your findings . In other words, you’ve answered your research questions – but what does this mean for the real world (or even for academia)? What should now be done differently, given the new insight you’ve generated?

Concluding Your Dissertation Effectively

As the closing part, this section plays a big role in shaping readers’ opinion. There are many conclusion dissertation layout examples, so Google them to see what makes them important. Here, you repeat major points and make the final impact on your audience . Show some objectivity. Acknowledge that everything wasn’t flawless and topic still needs research. Offer solutions and underline your professionalism by providing recommendations for other experts who might feel interested in the same subject.

Concluding your dissertation effectively is crucial for leaving a lasting impression. If you're struggling with sleepless nights and anxiety, our step-by-step Thesis Action Plan is here to help. Designed by experts and validated by students worldwide, our guides will provide you with the clarity and confidence you need to finish strong. Don't let stress hold you back any longer. Visit our website to claim your special offer now and transform your thesis writing experience.

In conclusion, structuring a dissertation chapter by chapter is a meticulous yet rewarding process that demands careful planning and execution. Each chapter serves a distinct purpose and contributes to the overall coherence and rigor of the dissertation. By adhering to a structured approach, students can ensure that their research is presented logically and persuasively. This article has outlined the key components and considerations for each chapter, providing a comprehensive guide for students embarking on their dissertation journey. Ultimately, a well-structured dissertation not only reflects the depth and quality of the research but also enhances the readability and impact of the scholarly work.

Frequently Asked Questions

What is the purpose of the introduction chapter in a dissertation.

The introduction chapter sets the context for your research, states the research problem, and outlines the structure of the dissertation.

How do I choose the appropriate methodology for my dissertation?

Choosing the appropriate methodology involves selecting methods that are suitable for your research questions and ensuring they are valid and reliable.

What should be included in a literature review chapter?

A literature review should identify key sources, synthesize existing research, and highlight research gaps that your dissertation aims to address.

How can I effectively present and analyze my results?

Effectively presenting and analyzing results involves organizing data systematically, interpreting findings, and using visual aids such as charts and graphs to enhance clarity.

What are common misconceptions about dissertation chapters?

Common misconceptions include the belief that all dissertations follow the same structure and that the literature review is merely a summary of existing research.

How should I discuss the implications of my findings?

Discussing the implications involves connecting your findings to the existing literature, exploring practical applications, and acknowledging limitations and areas for future research.

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How to write a fantastic thesis introduction (+15 examples)

The thesis introduction, usually chapter 1, is one of the most important chapters of a thesis. It sets the scene. It previews key arguments and findings. And it helps the reader to understand the structure of the thesis. In short, a lot is riding on this first chapter. With the following tips, you can write a powerful thesis introduction.

Elements of a fantastic thesis introduction

An introductory chapter plays an integral part in every thesis. The first chapter has to include quite a lot of information to contextualise the research. At the same time, a good thesis introduction is not too long, but clear and to the point.

This list can feel quite overwhelming. However, with some easy tips and tricks, you can accomplish all these goals in your thesis introduction. (And if you struggle with finding the right wording, have a look at academic key phrases for introductions .)

Ways to capture the reader’s attention

Open with a (personal) story.

An established way to capture the reader’s attention in a thesis introduction is by starting with a story. Regardless of how abstract and ‘scientific’ the actual thesis content is, it can be useful to ease the reader into the topic with a short story.

Start by providing data or statistics

So if your thesis topic lends itself to being kick-started with data or statistics, you are in for a quick and easy way to write a memorable thesis introduction.

Begin with a problem

Emphasising the thesis’ relevance

A good thesis is a relevant thesis. No one wants to read about a concept that has already been explored hundreds of times, or that no one cares about.

Define a clear research gap

Every thesis needs a crystal-clear research gap. Spell it out instead of letting your reader figure out why your thesis is relevant.

Describe the scientific relevance of the thesis

Scientific relevance comes in different forms. For instance, you can critically assess a prominent theory explaining a specific phenomenon. Maybe something is missing? Or you can develop a novel framework that combines different frameworks used by other scholars. Or you can draw attention to the context-specific nature of a phenomenon that is discussed in the international literature.

Describe the societal relevance of the thesis

Formulating a compelling argument.

Arguments are sets of reasons supporting an idea, which – in academia – often integrate theoretical and empirical insights. Think of an argument as an umbrella statement, or core claim. It should be no longer than one or two sentences.

Write down the thesis’ core claim in 1-2 sentences

Support your argument with sufficient evidence.

The core claim of your thesis should be accompanied by sufficient evidence. This does not mean that you have to write 10 pages about your results at this point.

Consider possible objections

Think about reasons or opposing positions that people can come up with to disagree with your claim. Then, try to address them head-on.

Providing a captivating preview of findings

Address the empirical research context.

If you did all your research in a lab, this section is obviously irrelevant. However, in that case you should explain the setup of your experiment, etcetera.

Give a taste of the thesis’ empirical analysis

Hint at the practical implications of the research.

You already highlighted the practical relevance of your thesis in the introductory chapter. However, you should also provide a preview of some of the practical implications that you will develop in your thesis based on your findings.

Presenting a crystal clear thesis structure

Provide a reading guide.

The reading guide basically tells the reader what to expect in the chapters to come.

Briefly summarise all chapters to come

Design a figure illustrating the thesis structure.

Especially for longer theses, it tends to be a good idea to design a simple figure that illustrates the structure of your thesis. It helps the reader to better grasp the logic of your thesis.

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How To Write A Dissertation Or Thesis

8 straightforward steps to craft an a-grade dissertation.

By: Derek Jansen (MBA) Expert Reviewed By: Dr Eunice Rautenbach | June 2020

Writing a dissertation or thesis is not a simple task. It takes time, energy and a lot of will power to get you across the finish line. It’s not easy – but it doesn’t necessarily need to be a painful process. If you understand the big-picture process of how to write a dissertation or thesis, your research journey will be a lot smoother.  

In this post, I’m going to outline the big-picture process of how to write a high-quality dissertation or thesis, without losing your mind along the way. If you’re just starting your research, this post is perfect for you. Alternatively, if you’ve already submitted your proposal, this article which covers how to structure a dissertation might be more helpful.

How To Write A Dissertation: 8 Steps

• Clearly understand what a dissertation (or thesis) is
• Find a unique and valuable research topic
• Craft a convincing research proposal
• Write up a strong introduction chapter
• Review the existing literature and compile a literature review
• Design a rigorous research strategy and undertake your own research
• Present the findings of your research
• Draw a conclusion and discuss the implications

Step 1: Understand exactly what a dissertation is

This probably sounds like a no-brainer, but all too often, students come to us for help with their research and the underlying issue is that they don’t fully understand what a dissertation (or thesis) actually is.

So, what is a dissertation?

At its simplest, a dissertation or thesis is a formal piece of research , reflecting the standard research process . But what is the standard research process, you ask? The research process involves 4 key steps:

• Ask a very specific, well-articulated question (s) (your research topic)
• See what other researchers have said about it (if they’ve already answered it)
• If they haven’t answered it adequately, undertake your own data collection and analysis in a scientifically rigorous fashion
• Answer your original question(s), based on your analysis findings

In short, the research process is simply about asking and answering questions in a systematic fashion . This probably sounds pretty obvious, but people often think they’ve done “research”, when in fact what they have done is:

• Started with a vague, poorly articulated question
• Not taken the time to see what research has already been done regarding the question
• Collected data and opinions that support their gut and undertaken a flimsy analysis
• Drawn a shaky conclusion, based on that analysis

If you want to see the perfect example of this in action, look out for the next Facebook post where someone claims they’ve done “research”… All too often, people consider reading a few blog posts to constitute research. Its no surprise then that what they end up with is an opinion piece, not research. Okay, okay – I’ll climb off my soapbox now.

The key takeaway here is that a dissertation (or thesis) is a formal piece of research, reflecting the research process. It’s not an opinion piece , nor a place to push your agenda or try to convince someone of your position. Writing a good dissertation involves asking a question and taking a systematic, rigorous approach to answering it.

If you understand this and are comfortable leaving your opinions or preconceived ideas at the door, you’re already off to a good start!

Step 2: Find a unique, valuable research topic

As we saw, the first step of the research process is to ask a specific, well-articulated question. In other words, you need to find a research topic that asks a specific question or set of questions (these are called research questions ). Sounds easy enough, right? All you’ve got to do is identify a question or two and you’ve got a winning research topic. Well, not quite…

A good dissertation or thesis topic has a few important attributes. Specifically, a solid research topic should be:

Let’s take a closer look at these:

Attribute #1: Clear

Your research topic needs to be crystal clear about what you’re planning to research, what you want to know, and within what context. There shouldn’t be any ambiguity or vagueness about what you’ll research.

Here’s an example of a clearly articulated research topic:

An analysis of consumer-based factors influencing organisational trust in British low-cost online equity brokerage firms.

As you can see in the example, its crystal clear what will be analysed (factors impacting organisational trust), amongst who (consumers) and in what context (British low-cost equity brokerage firms, based online).

Need a helping hand?

Attribute #2:   Unique

Your research should be asking a question(s) that hasn’t been asked before, or that hasn’t been asked in a specific context (for example, in a specific country or industry).

For example, sticking organisational trust topic above, it’s quite likely that organisational trust factors in the UK have been investigated before, but the context (online low-cost equity brokerages) could make this research unique. Therefore, the context makes this research original.

One caveat when using context as the basis for originality – you need to have a good reason to suspect that your findings in this context might be different from the existing research – otherwise, there’s no reason to warrant researching it.

Attribute #3: Important

Simply asking a unique or original question is not enough – the question needs to create value. In other words, successfully answering your research questions should provide some value to the field of research or the industry. You can’t research something just to satisfy your curiosity. It needs to make some form of contribution either to research or industry.

For example, researching the factors influencing consumer trust would create value by enabling businesses to tailor their operations and marketing to leverage factors that promote trust. In other words, it would have a clear benefit to industry.

So, how do you go about finding a unique and valuable research topic? We explain that in detail in this video post – How To Find A Research Topic . Yeah, we’ve got you covered 😊

Step 3: Write a convincing research proposal

Once you’ve pinned down a high-quality research topic, the next step is to convince your university to let you research it. No matter how awesome you think your topic is, it still needs to get the rubber stamp before you can move forward with your research. The research proposal is the tool you’ll use for this job.

So, what’s in a research proposal?

The main “job” of a research proposal is to convince your university, advisor or committee that your research topic is worthy of approval. But convince them of what? Well, this varies from university to university, but generally, they want to see that:

• You have a clearly articulated, unique and important topic (this might sound familiar…)
• You’ve done some initial reading of the existing literature relevant to your topic (i.e. a literature review)
• You have a provisional plan in terms of how you will collect data and analyse it (i.e. a methodology)

At the proposal stage, it’s (generally) not expected that you’ve extensively reviewed the existing literature , but you will need to show that you’ve done enough reading to identify a clear gap for original (unique) research. Similarly, they generally don’t expect that you have a rock-solid research methodology mapped out, but you should have an idea of whether you’ll be undertaking qualitative or quantitative analysis , and how you’ll collect your data (we’ll discuss this in more detail later).

Long story short – don’t stress about having every detail of your research meticulously thought out at the proposal stage – this will develop as you progress through your research. However, you do need to show that you’ve “done your homework” and that your research is worthy of approval .

So, how do you go about crafting a high-quality, convincing proposal? We cover that in detail in this video post – How To Write A Top-Class Research Proposal . We’ve also got a video walkthrough of two proposal examples here .

Step 4: Craft a strong introduction chapter

Once your proposal’s been approved, its time to get writing your actual dissertation or thesis! The good news is that if you put the time into crafting a high-quality proposal, you’ve already got a head start on your first three chapters – introduction, literature review and methodology – as you can use your proposal as the basis for these.

Handy sidenote – our free dissertation & thesis template is a great way to speed up your dissertation writing journey.

What’s the introduction chapter all about?

The purpose of the introduction chapter is to set the scene for your research (dare I say, to introduce it…) so that the reader understands what you’ll be researching and why it’s important. In other words, it covers the same ground as the research proposal in that it justifies your research topic.

What goes into the introduction chapter?

This can vary slightly between universities and degrees, but generally, the introduction chapter will include the following:

• A brief background to the study, explaining the overall area of research
• A problem statement , explaining what the problem is with the current state of research (in other words, where the knowledge gap exists)
• Your research questions – in other words, the specific questions your study will seek to answer (based on the knowledge gap)
• The significance of your study – in other words, why it’s important and how its findings will be useful in the world

As you can see, this all about explaining the “what” and the “why” of your research (as opposed to the “how”). So, your introduction chapter is basically the salesman of your study, “selling” your research to the first-time reader and (hopefully) getting them interested to read more.

How do I write the introduction chapter, you ask? We cover that in detail in this post .

Step 5: Undertake an in-depth literature review

As I mentioned earlier, you’ll need to do some initial review of the literature in Steps 2 and 3 to find your research gap and craft a convincing research proposal – but that’s just scratching the surface. Once you reach the literature review stage of your dissertation or thesis, you need to dig a lot deeper into the existing research and write up a comprehensive literature review chapter.

What’s the literature review all about?

There are two main stages in the literature review process:

Literature Review Step 1: Reading up

The first stage is for you to deep dive into the existing literature (journal articles, textbook chapters, industry reports, etc) to gain an in-depth understanding of the current state of research regarding your topic. While you don’t need to read every single article, you do need to ensure that you cover all literature that is related to your core research questions, and create a comprehensive catalogue of that literature , which you’ll use in the next step.

Reading and digesting all the relevant literature is a time consuming and intellectually demanding process. Many students underestimate just how much work goes into this step, so make sure that you allocate a good amount of time for this when planning out your research. Thankfully, there are ways to fast track the process – be sure to check out this article covering how to read journal articles quickly .

Literature Review Step 2: Writing up

Once you’ve worked through the literature and digested it all, you’ll need to write up your literature review chapter. Many students make the mistake of thinking that the literature review chapter is simply a summary of what other researchers have said. While this is partly true, a literature review is much more than just a summary. To pull off a good literature review chapter, you’ll need to achieve at least 3 things:

• You need to synthesise the existing research , not just summarise it. In other words, you need to show how different pieces of theory fit together, what’s agreed on by researchers, what’s not.
• You need to highlight a research gap that your research is going to fill. In other words, you’ve got to outline the problem so that your research topic can provide a solution.
• You need to use the existing research to inform your methodology and approach to your own research design. For example, you might use questions or Likert scales from previous studies in your your own survey design .

As you can see, a good literature review is more than just a summary of the published research. It’s the foundation on which your own research is built, so it deserves a lot of love and attention. Take the time to craft a comprehensive literature review with a suitable structure .

But, how do I actually write the literature review chapter, you ask? We cover that in detail in this video post .

Step 6: Carry out your own research

Once you’ve completed your literature review and have a sound understanding of the existing research, its time to develop your own research (finally!). You’ll design this research specifically so that you can find the answers to your unique research question.

There are two steps here – designing your research strategy and executing on it:

1 – Design your research strategy

The first step is to design your research strategy and craft a methodology chapter . I won’t get into the technicalities of the methodology chapter here, but in simple terms, this chapter is about explaining the “how” of your research. If you recall, the introduction and literature review chapters discussed the “what” and the “why”, so it makes sense that the next point to cover is the “how” –that’s what the methodology chapter is all about.

In this section, you’ll need to make firm decisions about your research design. This includes things like:

• Your research philosophy (e.g. positivism or interpretivism )
• Your overall methodology (e.g. qualitative , quantitative or mixed methods)
• Your data collection strategy (e.g. interviews , focus groups, surveys)
• Your data analysis strategy (e.g. content analysis , correlation analysis, regression)

If these words have got your head spinning, don’t worry! We’ll explain these in plain language in other posts. It’s not essential that you understand the intricacies of research design (yet!). The key takeaway here is that you’ll need to make decisions about how you’ll design your own research, and you’ll need to describe (and justify) your decisions in your methodology chapter.

2 – Execute: Collect and analyse your data

Once you’ve worked out your research design, you’ll put it into action and start collecting your data. This might mean undertaking interviews, hosting an online survey or any other data collection method. Data collection can take quite a bit of time (especially if you host in-person interviews), so be sure to factor sufficient time into your project plan for this. Oftentimes, things don’t go 100% to plan (for example, you don’t get as many survey responses as you hoped for), so bake a little extra time into your budget here.

Once you’ve collected your data, you’ll need to do some data preparation before you can sink your teeth into the analysis. For example:

• If you carry out interviews or focus groups, you’ll need to transcribe your audio data to text (i.e. a Word document).
• If you collect quantitative survey data, you’ll need to clean up your data and get it into the right format for whichever analysis software you use (for example, SPSS, R or STATA).

Once you’ve completed your data prep, you’ll undertake your analysis, using the techniques that you described in your methodology. Depending on what you find in your analysis, you might also do some additional forms of analysis that you hadn’t planned for. For example, you might see something in the data that raises new questions or that requires clarification with further analysis.

The type(s) of analysis that you’ll use depend entirely on the nature of your research and your research questions. For example:

• If your research if exploratory in nature, you’ll often use qualitative analysis techniques .
• If your research is confirmatory in nature, you’ll often use quantitative analysis techniques
• If your research involves a mix of both, you might use a mixed methods approach

Again, if these words have got your head spinning, don’t worry! We’ll explain these concepts and techniques in other posts. The key takeaway is simply that there’s no “one size fits all” for research design and methodology – it all depends on your topic, your research questions and your data. So, don’t be surprised if your study colleagues take a completely different approach to yours.

Step 7: Present your findings

Once you’ve completed your analysis, it’s time to present your findings (finally!). In a dissertation or thesis, you’ll typically present your findings in two chapters – the results chapter and the discussion chapter .

What’s the difference between the results chapter and the discussion chapter?

While these two chapters are similar, the results chapter generally just presents the processed data neatly and clearly without interpretation, while the discussion chapter explains the story the data are telling  – in other words, it provides your interpretation of the results.

For example, if you were researching the factors that influence consumer trust, you might have used a quantitative approach to identify the relationship between potential factors (e.g. perceived integrity and competence of the organisation) and consumer trust. In this case:

• Your results chapter would just present the results of the statistical tests. For example, correlation results or differences between groups. In other words, the processed numbers.
• Your discussion chapter would explain what the numbers mean in relation to your research question(s). For example, Factor 1 has a weak relationship with consumer trust, while Factor 2 has a strong relationship.

Depending on the university and degree, these two chapters (results and discussion) are sometimes merged into one , so be sure to check with your institution what their preference is. Regardless of the chapter structure, this section is about presenting the findings of your research in a clear, easy to understand fashion.

Importantly, your discussion here needs to link back to your research questions (which you outlined in the introduction or literature review chapter). In other words, it needs to answer the key questions you asked (or at least attempt to answer them).

For example, if we look at the sample research topic:

In this case, the discussion section would clearly outline which factors seem to have a noteworthy influence on organisational trust. By doing so, they are answering the overarching question and fulfilling the purpose of the research .

For more information about the results chapter , check out this post for qualitative studies and this post for quantitative studies .

Step 8: The Final Step Draw a conclusion and discuss the implications

Last but not least, you’ll need to wrap up your research with the conclusion chapter . In this chapter, you’ll bring your research full circle by highlighting the key findings of your study and explaining what the implications of these findings are.

What exactly are key findings? The key findings are those findings which directly relate to your original research questions and overall research objectives (which you discussed in your introduction chapter). The implications, on the other hand, explain what your findings mean for industry, or for research in your area.

Sticking with the consumer trust topic example, the conclusion might look something like this:

Key findings

This study set out to identify which factors influence consumer-based trust in British low-cost online equity brokerage firms. The results suggest that the following factors have a large impact on consumer trust:

While the following factors have a very limited impact on consumer trust:

Notably, within the 25-30 age groups, Factors E had a noticeably larger impact, which may be explained by…

Implications

The findings having noteworthy implications for British low-cost online equity brokers. Specifically:

The large impact of Factors X and Y implies that brokers need to consider….

The limited impact of Factor E implies that brokers need to…

As you can see, the conclusion chapter is basically explaining the “what” (what your study found) and the “so what?” (what the findings mean for the industry or research). This brings the study full circle and closes off the document.

Let’s recap – how to write a dissertation or thesis

You’re still with me? Impressive! I know that this post was a long one, but hopefully you’ve learnt a thing or two about how to write a dissertation or thesis, and are now better equipped to start your own research.

To recap, the 8 steps to writing a quality dissertation (or thesis) are as follows:

• Understand what a dissertation (or thesis) is – a research project that follows the research process.
• Find a unique (original) and important research topic
• Craft a convincing dissertation or thesis research proposal
• Write a clear, compelling introduction chapter
• Undertake a thorough review of the existing research and write up a literature review
• Undertake your own research
• Present and interpret your findings

Once you’ve wrapped up the core chapters, all that’s typically left is the abstract , reference list and appendices. As always, be sure to check with your university if they have any additional requirements in terms of structure or content.  

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20 Comments

thankfull >>>this is very useful

Thank you, it was really helpful

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Great to hear that – thanks for the feedback. Good luck writing your dissertation/thesis.

This is the most comprehensive explanation of how to write a dissertation. Many thanks for sharing it free of charge.

Very rich presentation. Thank you

Thanks Derek Jansen|GRADCOACH, I find it very useful guide to arrange my activities and proceed to research!

Thank you so much for such a marvelous teaching .I am so convinced that am going to write a comprehensive and a distinct masters dissertation

It is an amazing comprehensive explanation

This was straightforward. Thank you!

I can say that your explanations are simple and enlightening – understanding what you have done here is easy for me. Could you write more about the different types of research methods specific to the three methodologies: quan, qual and MM. I look forward to interacting with this website more in the future.

Thanks for the feedback and suggestions 🙂

Hello, your write ups is quite educative. However, l have challenges in going about my research questions which is below; *Building the enablers of organisational growth through effective governance and purposeful leadership.*

Very educating.

Just listening to the name of the dissertation makes the student nervous. As writing a top-quality dissertation is a difficult task as it is a lengthy topic, requires a lot of research and understanding and is usually around 10,000 to 15000 words. Sometimes due to studies, unbalanced workload or lack of research and writing skill students look for dissertation submission from professional writers.

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thank you so much, that was so useful

Hi. Where is the excel spread sheet ark?

could you please help me look at your thesis paper to enable me to do the portion that has to do with the specification

my topic is “the impact of domestic revenue mobilization.

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• Introduction to Problem Statements, Purpose Statements, and Research Questions

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Chapter 1 introduces the research problem and the evidence supporting the existence of the problem. It outlines an initial review of the literature on the study topic and articulates the purpose of the study. The definitions of any technical terms necessary for the reader to understand are essential. Chapter 1 also presents the research questions and theoretical foundation (Ph.D.) or conceptual framework (Applied Doctorate) and provides an overview of the research methods (qualitative or quantitative) being used in the study.  

• Research Feasibility Checklist Use this checklist to make sure your study will be feasible, reasonable, justifiable, and necessary.
• Alignment Worksheet Use this worksheet to make sure your problem statement, purpose, and research questions are aligned. Alignment indicates the degree to which the purpose of the study follows logically from the problem statement; and the degree to which the research questions help address the study’s purpose. Alignment is important because it helps ensure that the research study is well-designed and based on logical arguments.
• SOBE Research Design and Chapter 1 Checklist If you are in the School of Business and Economics (SOBE), use this checklist one week before the Communication and Research Design Checkpoint. Work with your Chair to determine if you need to complete this.

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• Dissertation

What Is a Dissertation? | Guide, Examples, & Template

A dissertation is a long-form piece of academic writing based on original research conducted by you. It is usually submitted as the final step in order to finish a PhD program.

Your dissertation is probably the longest piece of writing you’ve ever completed. It requires solid research, writing, and analysis skills, and it can be intimidating to know where to begin.

Your department likely has guidelines related to how your dissertation should be structured. When in doubt, consult with your supervisor.

You can also download our full dissertation template in the format of your choice below. The template includes a ready-made table of contents with notes on what to include in each chapter, easily adaptable to your department’s requirements.

Download Word template Download Google Docs template

• In the US, a dissertation generally refers to the collection of research you conducted to obtain a PhD.
• In other countries (such as the UK), a dissertation often refers to the research you conduct to obtain your bachelor’s or master’s degree.

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Table of contents

Dissertation committee and prospectus process, how to write and structure a dissertation, acknowledgements or preface, list of figures and tables, list of abbreviations, introduction, literature review, methodology, reference list, proofreading and editing, defending your dissertation, free checklist and lecture slides.

When you’ve finished your coursework, as well as any comprehensive exams or other requirements, you advance to “ABD” (All But Dissertation) status. This means you’ve completed everything except your dissertation.

Prior to starting to write, you must form your committee and write your prospectus or proposal . Your committee comprises your adviser and a few other faculty members. They can be from your own department, or, if your work is more interdisciplinary, from other departments. Your committee will guide you through the dissertation process, and ultimately decide whether you pass your dissertation defense and receive your PhD.

Your prospectus is a formal document presented to your committee, usually orally in a defense, outlining your research aims and objectives and showing why your topic is relevant . After passing your prospectus defense, you’re ready to start your research and writing.

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The structure of your dissertation depends on a variety of factors, such as your discipline, topic, and approach. Dissertations in the humanities are often structured more like a long essay , building an overall argument to support a central thesis , with chapters organized around different themes or case studies.

However, hard science and social science dissertations typically include a review of existing works, a methodology section, an analysis of your original research, and a presentation of your results , presented in different chapters.

Dissertation examples

We’ve compiled a list of dissertation examples to help you get started.

• Example dissertation #1: Heat, Wildfire and Energy Demand: An Examination of Residential Buildings and Community Equity (a dissertation by C. A. Antonopoulos about the impact of extreme heat and wildfire on residential buildings and occupant exposure risks).
• Example dissertation #2: Exploring Income Volatility and Financial Health Among Middle-Income Households (a dissertation by M. Addo about income volatility and declining economic security among middle-income households).
• Example dissertation #3: The Use of Mindfulness Meditation to Increase the Efficacy of Mirror Visual Feedback for Reducing Phantom Limb Pain in Amputees (a dissertation by N. S. Mills about the effect of mindfulness-based interventions on the relationship between mirror visual feedback and the pain level in amputees with phantom limb pain).

The very first page of your document contains your dissertation title, your name, department, institution, degree program, and submission date. Sometimes it also includes your student number, your supervisor’s name, and the university’s logo.

Read more about title pages

The acknowledgements section is usually optional and gives space for you to thank everyone who helped you in writing your dissertation. This might include your supervisors, participants in your research, and friends or family who supported you. In some cases, your acknowledgements are part of a preface.

Read more about acknowledgements Read more about prefaces

The abstract is a short summary of your dissertation, usually about 150 to 300 words long. Though this may seem very short, it’s one of the most important parts of your dissertation, because it introduces your work to your audience.

Your abstract should:

• State your main topic and the aims of your research
• Describe your methods
• Summarize your main results
• State your conclusions

Read more about abstracts

The table of contents lists all of your chapters, along with corresponding subheadings and page numbers. This gives your reader an overview of your structure and helps them easily navigate your document.

Remember to include all main parts of your dissertation in your table of contents, even the appendices. It’s easy to generate a table automatically in Word if you used heading styles. Generally speaking, you only include level 2 and level 3 headings, not every subheading you included in your finished work.

Read more about tables of contents

While not usually mandatory, it’s nice to include a list of figures and tables to help guide your reader if you have used a lot of these in your dissertation. It’s easy to generate one of these in Word using the Insert Caption feature.

Read more about lists of figures and tables

Similarly, if you have used a lot of abbreviations (especially industry-specific ones) in your dissertation, you can include them in an alphabetized list of abbreviations so that the reader can easily look up their meanings.

Read more about lists of abbreviations

In addition to the list of abbreviations, if you find yourself using a lot of highly specialized terms that you worry will not be familiar to your reader, consider including a glossary. Here, alphabetize the terms and include a brief description or definition.

Read more about glossaries

The introduction serves to set up your dissertation’s topic, purpose, and relevance. It tells the reader what to expect in the rest of your dissertation. The introduction should:

• Establish your research topic , giving the background information needed to contextualize your work
• Narrow down the focus and define the scope of your research
• Discuss the state of existing research on the topic, showing your work’s relevance to a broader problem or debate
• Clearly state your research questions and objectives
• Outline the flow of the rest of your work

Everything in the introduction should be clear, engaging, and relevant. By the end, the reader should understand the what, why, and how of your research.

Read more about introductions

A formative part of your research is your literature review . This helps you gain a thorough understanding of the academic work that already exists on your topic.

Literature reviews encompass:

• Finding relevant sources (e.g., books and journal articles)
• Assessing the credibility of your sources
• Critically analyzing and evaluating each source
• Drawing connections between them (e.g., themes, patterns, conflicts, or gaps) to strengthen your overall point

A literature review is not merely a summary of existing sources. Your literature review should have a coherent structure and argument that leads to a clear justification for your own research. It may aim to:

• Address a gap in the literature or build on existing knowledge
• Take a new theoretical or methodological approach to your topic
• Propose a solution to an unresolved problem or advance one side of a theoretical debate

Read more about literature reviews

Theoretical framework

Your literature review can often form the basis for your theoretical framework. Here, you define and analyze the key theories, concepts, and models that frame your research.

Read more about theoretical frameworks

Your methodology chapter describes how you conducted your research, allowing your reader to critically assess its credibility. Your methodology section should accurately report what you did, as well as convince your reader that this was the best way to answer your research question.

A methodology section should generally include:

• The overall research approach ( quantitative vs. qualitative ) and research methods (e.g., a longitudinal study )
• Your data collection methods (e.g., interviews or a controlled experiment )
• Details of where, when, and with whom the research took place
• Any tools and materials you used (e.g., computer programs, lab equipment)
• Your data analysis methods (e.g., statistical analysis , discourse analysis )
• An evaluation or justification of your methods

Read more about methodology sections

Your results section should highlight what your methodology discovered. You can structure this section around sub-questions, hypotheses , or themes, but avoid including any subjective or speculative interpretation here.

Your results section should:

• Concisely state each relevant result together with relevant descriptive statistics (e.g., mean , standard deviation ) and inferential statistics (e.g., test statistics , p values )
• Briefly state how the result relates to the question or whether the hypothesis was supported
• Report all results that are relevant to your research questions , including any that did not meet your expectations.

Additional data (including raw numbers, full questionnaires, or interview transcripts) can be included as an appendix. You can include tables and figures, but only if they help the reader better understand your results. Read more about results sections

Your discussion section is your opportunity to explore the meaning and implications of your results in relation to your research question. Here, interpret your results in detail, discussing whether they met your expectations and how well they fit with the framework that you built in earlier chapters. Refer back to relevant source material to show how your results fit within existing research in your field.

Some guiding questions include:

• What do your results mean?
• Why do your results matter?
• What limitations do the results have?

If any of the results were unexpected, offer explanations for why this might be. It’s a good idea to consider alternative interpretations of your data.

Read more about discussion sections

Your dissertation’s conclusion should concisely answer your main research question, leaving your reader with a clear understanding of your central argument and emphasizing what your research has contributed to the field.

In some disciplines, the conclusion is just a short section preceding the discussion section, but in other contexts, it is the final chapter of your work. Here, you wrap up your dissertation with a final reflection on what you found, with recommendations for future research and concluding remarks.

It’s important to leave the reader with a clear impression of why your research matters. What have you added to what was already known? Why is your research necessary for the future of your field?

Read more about conclusions

It is crucial to include a reference list or list of works cited with the full details of all the sources that you used, in order to avoid plagiarism. Be sure to choose one citation style and follow it consistently throughout your dissertation. Each style has strict and specific formatting requirements.

Common styles include MLA , Chicago , and APA , but which style you use is often set by your department or your field.

Create APA citations Create MLA citations

Your dissertation should contain only essential information that directly contributes to answering your research question. Documents such as interview transcripts or survey questions can be added as appendices, rather than adding them to the main body.

Read more about appendices

Making sure that all of your sections are in the right place is only the first step to a well-written dissertation. Don’t forget to leave plenty of time for editing and proofreading, as grammar mistakes and sloppy spelling errors can really negatively impact your work.

Dissertations can take up to five years to write, so you will definitely want to make sure that everything is perfect before submitting. You may want to consider using a professional dissertation editing service , AI proofreader or grammar checker to make sure your final project is perfect prior to submitting.

After your written dissertation is approved, your committee will schedule a defense. Similarly to defending your prospectus, dissertation defenses are oral presentations of your work. You’ll present your dissertation, and your committee will ask you questions. Many departments allow family members, friends, and other people who are interested to join as well.

After your defense, your committee will meet, and then inform you whether you have passed. Keep in mind that defenses are usually just a formality; most committees will have resolved any serious issues with your work with you far prior to your defense, giving you ample time to fix any problems.

As you write your dissertation, you can use this simple checklist to make sure you’ve included all the essentials.

Checklist: Dissertation

My title page includes all information required by my university.

I have included acknowledgements thanking those who helped me.

My abstract provides a concise summary of the dissertation, giving the reader a clear idea of my key results or arguments.

I have created a table of contents to help the reader navigate my dissertation. It includes all chapter titles, but excludes the title page, acknowledgements, and abstract.

My introduction leads into my topic in an engaging way and shows the relevance of my research.

My introduction clearly defines the focus of my research, stating my research questions and research objectives .

My introduction includes an overview of the dissertation’s structure (reading guide).

I have conducted a literature review in which I (1) critically engage with sources, evaluating the strengths and weaknesses of existing research, (2) discuss patterns, themes, and debates in the literature, and (3) address a gap or show how my research contributes to existing research.

I have clearly outlined the theoretical framework of my research, explaining the theories and models that support my approach.

I have thoroughly described my methodology , explaining how I collected data and analyzed data.

I have concisely and objectively reported all relevant results .

I have (1) evaluated and interpreted the meaning of the results and (2) acknowledged any important limitations of the results in my discussion .

I have clearly stated the answer to my main research question in the conclusion .

I have clearly explained the implications of my conclusion, emphasizing what new insight my research has contributed.

I have provided relevant recommendations for further research or practice.

If relevant, I have included appendices with supplemental information.

I have included an in-text citation every time I use words, ideas, or information from a source.

I have listed every source in a reference list at the end of my dissertation.

I have consistently followed the rules of my chosen citation style .

I have followed all formatting guidelines provided by my university.

Congratulations!

The end is in sight—your dissertation is nearly ready to submit! Make sure it's perfectly polished with the help of a Scribbr editor.

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Dissertation Chapters: A Guide to Writing Your Dissertation

Embarking on your dissertation is equal parts exhilaration and trepidation. It’s finally your turn to stake out your territory in the body of knowledge and hone your expertise. Naturally, it’s a lot of work, the evidence of which is reflected in your dissertation chapters. These chapters, which comprise the bulk of your dissertation, offer a clear snapshot of your topic, the work that has already been done by other scholars in your field, gaps in the literature, complications, your approach, and more. 

There are many moving parts to a dissertation, and the best way to simplify them is by chapter. Each chapter follows certain rules and serves a specific purpose. The most efficient way to break down the work ahead of you into pieces is to understand the role each chapter plays in the dissertation. 

These are frequently asked questions about dissertation chapters.  

• How many chapters are in a dissertation? 
• What is the content of each dissertation chapter?
• How long is each dissertation chapter? 
• How long does it take to write dissertation chapters?  

How Many Dissertation Chapters are in a Dissertation?

Usually five. While there are no short answers in academia, five dissertation chapters is the convention across many fields, if not most. Five dissertation chapters is a safe bet. As always, though, do your homework and find out exactly what the expectations are for dissertations in your department. 

Read (skim) dissertations written by recent graduates from your department to determine norms for chapter length and the extensiveness of the critical research they did and the studies they conducted. The average could be anything from 130 pages (math) to 500+ pages (history) –either way, you need to know. Also, visit office hours and talk to a few faculty members in your department. Whether they end up on your dissertation committee or not, their perspective will be helpful. 

Content of Each Dissertation Chapter

There is a format for the structure of a dissertation that most fields adhere to, and it is very specific. The first three chapters constitute your dissertation proposal , which must be completed, defended, and approved by your dissertation committee. Once your proposal is successfully defended,  you can proceed with the research you will need to do to write the two final chapters. 

Dissertation Chapters

• Dissertation Chapter One: Introduction to the Study This chapter includes your problem and purpose statements, research questions, and definitions of key terms examined in your research. 
• Dissertation Chapter Two: Literature Review This section is a deep dive of the extant research on your topic, as well as your opportunity to identify and highlight gaps in the literature. 
• Dissertation Chapter Three: Research Methods This chapter offers a summary of how you propose to collect data and your methods of analysis. 
• Dissertation Chapter Four: Results In this section, you present your findings and share the results of your study. 
• Dissertation Chapter Five: Conclusion The final chapter is an opportunity to offer your analysis of your findings and discuss the implications. 

How Long is a Dissertation Chapter?

Dissertation chapter lengths vary, though the number of pages you can expect to write will likely correlate with standard dissertation lengths in your discipline. If you are doing research in a field like anthropology or theology, be prepared to conduct extensive literature reviews and write lengthy chapters. Topics that require a great deal of background information also make the pages add up. 

When thinking about the length of your dissertation chapters, also be aware that chapter lengths are not evenly divided. The bulk of your writing happens in the first three chapters, especially if the literature review covers a lot of ground. If you are writing a 130-page dissertation, the dissertation proposal will take up more than half of that space. Results sections can be comparatively short, and many scholars linger in the conclusion chapter because it’s their time to shine and it’s fun to write. 

How Long Does It Take to Write Dissertation Chapters? 

The amount of time it takes to write a dissertation depends on many factors and can vary greatly depending on the student, the program, and the discipline. This is a great conversation to have with your dissertation advisor, or even the chair of your department if you are still in the early stages of your graduate education. It never hurts to have a rough timeline in mind so you can get organized and plan for the journey ahead. 

These elements often determine the amount of time it takes to write dissertation chapters: 

Academic Discipline

Some graduate degrees take longer than others, and much of that disparity occurs after coursework is completed. In many arts programs, most of the dissertation is written while coursework is taking place. It’s a different story in the sciences and humanities. In fields like biology and chemistry, issues like lab space and institutional approval must be resolved before a study can even begin, much less be written about, and that can take months. In fields like history, the scholarly research phase is similarly extensive. 

University libraries are an academic wonderland, but that doesn’t mean they hold all the answers or everything that you’ll need to get to work on your literature review or background material. Like many burgeoning scholars, I was excited to discover that I would need to travel in order to undertake some archival research for the critical introduction to my dissertation. However, the time required to set this up and visit the sites extended the amount of time it took to write these dissertation chapters. 

Life has a sneaky way of persisting, even when you have a dissertation to write. Many scholars experience unavoidable stops and starts while writing their dissertations, and it’s important to make allowances for being human, even if it interferes with your writing schedule. In my experience, we do our best to write as quickly as possible, but there are inevitable hiccups along the way. No matter. Course correct and keep going. You can do this, and the rewards of having a completed, bound dissertation in your hands will make all the effort worthwhile. 

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Courtney Watson, Ph.D.

Courtney Watson, Ph.D. is an Associate Professor of English at Radford University Carilion, in Roanoke, Virginia. Her areas of expertise include undergraduate and graduate curriculum development for writing courses in the health sciences and American literature with a focus on literary travel, tourism, and heritage economies. Her writing and academic scholarship has been widely published in places that include  Studies in American Culture ,  Dialogue , and  The Virginia Quarterly Review . Her research on the integration of humanities into STEM education will be published by Routledge in an upcoming collection. Dr. Watson has also been nominated by the State Council for Higher Education of Virginia’s Outstanding Faculty Rising Star Award, and she is a past winner of the National Society of Arts & Letters Regional Short Story Prize, as well as institutional awards for scholarly research and excellence in teaching. Throughout her career in higher education, Dr. Watson has served in faculty governance and administration as a frequent committee chair and program chair. As a higher education consultant, she has served as a subject matter expert, an evaluator, and a contributor to white papers exploring program development, enrollment research, and educational mergers and acquisitions.

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Dissertation Chapter 1 – What Should Be Included

• July 20, 2020
• Essay Guides and Topics

Here's What We'll Cover

Chapter 1 of the dissertation plays a fundamental role in helping readers acknowledge your area of study in a lengthy manner. Therefore, you must always follow the right outline and format . You will agree with me that dissertation chapter one plays an integral role in providing an excellent dissertation paper.

However, many students get the whole dissertation wrong due to availing a wrongly written chapter one. All hope isn’t lost as you can buy your term paper online to reduce the stress and the hustle of writing one.

Even so, you still need to understand how chapter one of your dissertation should be. This article provides you with insightful information on what a dissertation chapter 1 includes. 

Introduction To The Dissertation Chapter 1

The introduction segment helps introduce the subject at hand to the readers.

In order to do this,

You need to use the funnel approach to start with a broadened perspective while narrowing your study to your dissertation topic. Using the funnel approach helps mark your research territories. 

Therefore, your introduction must provide a few quotes from other researchers.

As a researcher, you need to do your study and understand the research gaps available for your study area.

Through availing quotations from other researchers, you will showcase the possible research gap and the need to fill that gap. 

Background Of The Problem

The problem has been prevailing for years, and you need to showcase this.

Therefore, consider showing the history, geographical setting, and the extent of the problem.

Through the background information you avail, your readers will understand the practicality of the problem and how it has affected life and existence.

Background of the problem helps prepare your readers to understand the relevance of the paper. 

Statement Of The problem

Once you introduce your dissertation, you need to have a statement of the problem.

Every essay must have a problem to be addressed.

Therefore, writing an ideal statement of the problem helps you avail of a powerfully crafted dissertation chapter 1.

There are five different parts of the statement of the problem and they include;

• Showcase the research gap

Deficiencies

• Significance of the study
• Purpose of the study
• Research questions
• Research hypothesis
• Definition of terms
• Assumptions, limitations, and delimitations

The topic helps you identify and state the problem that your research focuses on or addresses.

You need to state the problem from both the practical and theoretical perspectives.

Showcase The Research Gap

Other researchers must have investigated the problem in the past years but haven’t availed a remarkable solution yet.

Therefore, ensure that you showcase the gap available by showing how previous researchers have failed to avail of a proven solution.

The gap in your SOP is different from the one in your introduction. Your introduction’s research gap is broad, but this one must have clarity.

Your readers need irrefutable proof that the problem exists.

Therefore, consider writing a maximum of two paragraphs showcasing what other researchers and papers have written proving the problem’s existence. 

You need to demonstrate how your investigation filled the available gap hence solving the problem.

Your statement of the problem must never provide a specific solution to the problem but should guide readers towards a great solution. 

Who is your targeted audience? You need to identify who your investigation and research eyes focus on and areas where it would be useful. 

Your statement of the problem should have at least five paragraphs, with each paragraph focusing on a specific area.

You cannot provide irrefutable resources when writing your SOP section unless it’s the evidence part. 

Significance Of The Study

Detailing is necessary for this section. Therefore, ensure that you show the significance of your investigation and research to other researchers and people concerned with your specific area of study.

Therefore, ensure that you answer the questions “why and how the study is important?”

Consider showing the research gap available but uniquely from how you presented the gap in your SOP and introduction sections.

The main idea is showcasing the significance of your research in chapter 1 of the dissertation.

Purpose Of The Study

What will your investigation unveil? Your readers need to acknowledge what you are looking for in your studies and what you purpose on revealing. 

Research Questions

Your research must have answers to specific questions. Therefore, understand those questions that you will be answering throughout the study or investigation.

Your research questions should be the same as your purpose, but they are supposed to be in question form. 

The section should have jotted down questions that your research shall answer. It would be best if you considered precision and concision when developing these questions. 

Research Hypothesis  

This section gives you a platform to answer the questions in the previous sections.

It would help if you settled for the null hypotheses while answering the questions. Your answers must be detailed but concise. 

Definition Of Terms

Your chapter 1 should have keywords and terms not commonly used, but they are variables to your dissertation.

Therefore, ensure that you note the keywords and have them defined from a theoretical and operational perspective. 

To define a keyword theoretically, you will have to go through other related research and understand their definition for the particular keywords.

Once you have scanned the papers and identified their keyword definitions, consider quoting these definitions. 

Once you have theoretically defined the keywords, ensure to have another paragraph availing an empirical definition.

Empirical definitions help state how your research defines the keywords. 

Assumptions, limitations, And Delimitations

During your investigation process for chapter 1 of your dissertation, you are prone to have some assumptions and experience some limitations.

You also need to understand the difference between limitation and delimitation.

While a limitation is out of your control as a researcher, delimitation is chosen by you in your research.

For instance, it is your choice to have teenagers answer your questionnaires and not adults. Therefore, you have delimited yourself to having teenagers answer your questions. 

Dissertation chapter 1 must have a conclusion. The conclusion helps remind the reader of the purpose of the research and the statement of the problem.

Without the problem, your thesis becomes null and void. Therefore, ensure that you remain precise and relevant in your conclusion . 

How thorough you are with your chapter 1 determines how relevant and remarkable your dissertation will be.

Therefore, you should ensure that you understand the outline and what each section brings to the table. 

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What should be in Chapter 1 of a dissertation?

In chapter one you make a compelling case regarding the problem under research.

What is Chapter 1 of a dissertation?

Identify the need for the study and why it is of concern to the researcher. The purpose of the Study section of Chapter 1 provides a reflection of the problem statement and identifies how the study will be accomplished. It explains how the proposed study will contribute to the field.

What are the 5 chapters of a dissertation?

They include; introduction, literature review, methodology, findings, conclusion, discussion, and future consideration.

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Chapter 1: creating the blueprint for your dissertation.

The first chapter of your dissertation can be challenging to complete, and as many of our dissertation assistance  clients have shared, it can even be difficult to start! This is because the introduction to the dissertation provides a blueprint for the rest of the study, laying out key aspects of your proposed research that will be covered in more depth in subsequent chapters. 

This means that in addition to mastering the fine art of APA editing  and formatting, you need to have a fairly solid understanding of the applications of quantitative or qualitative research methods, an in-depth appraisal of the current literature on your topic, and a firm grasp of the concept of alignment to write your first chapter. Understandably, this might seem a bit intimidating for first-time researchers! We hope that the following section-by-section overview helps to ease you into this first major chapter in your dissertation.

Background: What Is the Overall Aim of This Section?

All studies, dissertations included, contribute to the larger body of research on a particular topic, and your aim with this section is to help the reader understand the specific literature context for your dissertation. As you may already know, you will complete an in-depth discussion of the research literature related to your topic in your literature review chapter; however, a brief background section in your first chapter helps to orient the reader to the current research related to your dissertation topic. 

When writing the background section, include at least one paragraph on each key element of your topic (Sampson, 2012). For example, if you plan to conduct statistical analysis  to determine the relationship between exposure to trauma, substance misuse, and homelessness in men with schizophrenia, your background will need to cover the four key elements of: (a) trauma exposure, (b) substance misuse, (c) homelessness, and (d) men who experience schizophrenia.

What Are the Essential Elements of the Background Section?

• Brief summary of relevant research on key elements of your topic
• Description of gap in research that your study will help to address
• Explanation of the reason the study is needed

Problem Statement: What Is the Overall Aim of This Section?

Although the problem statement i s fairly short, usually running 250 to 350 words, many of our dissertation consulting clients have expressed that they found it to be the most challenging section of Chapter 1 to write. This short section is the centerpiece of the topic development  process, as it helps to illustrate the need for your study by explaining the problem that you will address with your dissertation, including whom the problem affects and how. Because your dissertation must contribute to an existing gap in the research, it is important that you draw only from very recent sources (i.e., those published within the last 3 to 5 years) when developing the problem statement.

A common mistake we encourage our dissertation assistance clients to avoid is equating a lack of research with the research gap; these are not the same thing. Instead, the research gap actually consists of at least three other recent studies that express a need for additional quantitative or qualitative research in a particular area. Another common error is to use this section to describe what you intend to investigate through your study or to explain what type of statistical analysis or qualitative analysis   you have planned; but, save that information for later in the chapter and just focus on the problem for now.

What Are the Essential Elements of the Problem Statement Section?

• Description of problem of interest, including whom it affects and how
• Prevalence statistic (i.e., how widespread is the problem?)
• Citations of 12-15 recent (i.e., published within last 3-5 years) sources that document the existence of the problem
• Citations of at least three current studies that note a need for additional research on the topic

Purpose: What Is the Overall Aim of This Section?

In this very short section of the chapter, your goal is to help the reader understand the aims of your dissertation. The first sentence—or purpose statement—should contain all key information on how you intend to address the problem you articulated in the previous section (Bloomberg & Volpe, 2008). As the purpose statement is presented verbatim throughout the dissertation, it helps to be thorough and yet concise, stating the method, design, variables or phenomena of interest, population, and often, location of the study. Our dissertation assistance clients often find that they need to go through a few rounds of committee review and editing in order to get the phrasing of the purpose statement just right.

An important note is that the verbs you choose for the purpose statement must align with the research method and design . For example, you might say that the purpose of a qualitative research study is to explore the lived experiences of your participants with regard to some specific phenomenon. On the other hand, you would not use the verb “explore” if you’re planning a study that involves statistical analysis of relationships between variables. For quantitative studies, use verbs such as “examine” or “investigate.” As an example, you might say that the purpose of a quantitative correlational study is to examine the relationship between two or more variables of interest.

What Are the Essential Elements of the Purpose Section?

• Specify the method and design
• Use a verb that aligns with method and design
• Specify variables when using quantitative method, or phenomenon of interest for qualitative research

Research Questions: What Is the Overall Aim of This Section?

In this section, your aim is to help readers understand the specific questions that you will answer through your dissertation. These are your research questions, which must convey “all methodological aspects of the research” (Sampson, 2012, p. 28). Because of this, they need to align with your purpose statement, using the same terminology for population and variables/phenomena of interest. 

Research questions must also be carefully worded so that they reflect the research approach and intended analysis. For example, statistical analysis terminology such as “relationship” and “difference” should not be used in qualitative research questions, as qualitative analysis  cannot determine relationships or differences between variables. As with your dissertation’s purpose statement, perfecting the research questions may require a few rounds of committee review and editing because every word matters.

If you are planning to conduct qualitative research, it may help to understand that the research questions are not the same as the interview questions  that you will later ask your participants. This is a common misunderstanding among our dissertation consulting clients who are conducting qualitative research for the first time. For example, imagine that you are planning a qualitative analysis of African American executives’ experiences of ascent to leadership positions. Although you might be interested in asking your participants questions about their early experiences, education, mentorship, training, and networking, you wouldn’t write research questions for each of these topics. Instead, you would create one or two very broad research questions that refer to the phenomenon of interest (i.e., experiences of ascent to leadership positions for African American executives), which create an “umbrella” for the more specific interview questions that will guide data collection  for your dissertation.

What Are the Essential Elements of the Research Questions Section?

• Align the research questions with the purpose statement
• Align the research questions with research method and design
• Present the research questions with hypotheses if using a quantitative method

Theoretical Framework: What Is the Overall Aim of This Section?

In this section, your aim is to help the reader understand the explanatory structure that will hold your dissertation together logically. With a theoretical framework, you base this structure on established theories that help to explain how specific variables or dimensions relate to each other; with a conceptual framework, you base the structure on your own literature-based analysis of how key variables or phenomena relate to one another. To provide an appropriate explanatory structure, the theoretical or conceptual framework needs to align with your problem, purpose, and research questions (Grant & Osanloo, 2014). Whether you are conducting qualitative analysis or statistical analysis, you will also need to interpret your dissertation’s findings through the lens of your framework in your discussion chapter .

What Are the Essential Elements of the Theoretical Framework Section?

• Cite the originators of the theory
• Explain the key tenets of the theory
• Explain how the framework makes sense for your study, given its topic

Nature of the Study: What Is the Overall Aim of This Section?

When developing this section, your aim is to help the reader to understand the proposed methodological plan for your dissertation. In addition to specifying the research method and research design, you must also present your rationale for choosing this approach (Bloomberg & Volpe, 2008). For example, if you have selected a qualitative research method , you will need to explain not only why this method aligns with your purpose but also why statistical analysis (i.e., a quantitative method) would not be suitable for answering your research questions. Although you will cover this in greater depth in your methods chapter, this section should also briefly discuss your sample and data collection, along with the specific type of statistical analysis or qualitative analysis you will use to analyze your data.

What Are the Essential Elements of the Nature of the Study Section?

• Provide rationale for choice of method
• Provide rationale for choice of research design
• Briefly describe sample, data collection, data analysis

Assumptions: What Is the Overall Aim of This Section?

Your objective in this section is to help readers understand the assumptions that it was necessary for you to make to conduct your study; these are aspects of your dissertation that you believe—but cannot prove—to be true. One common assumption is that participants will respond to questions honestly and accurately. Note that for quantitative studies,  there will also be assumptions that are related to the statistical analysis regarding properties of the data, such as independence of observations, normality of the distribution, and homogeneity of variances. Our statisticians often help with developing appropriate assumptions for our dissertation assistance clients who are completing quantitative studies.

What Are the Essential Elements of the Assumptions Section?

• Only include those assumptions that are essential to the particular study
• Explain why it is necessary to make those assumptions

Scope and Delimitations: What Is the Overall Aim of This Section?

In writing this section, your aim is to help the reader to understand the specific aspects of the problem you will investigate through your dissertation (i.e., its scope) and also aspects of the problem that you will not examine (i.e., its delimitations). For example, imagine that you are conducting qualitative research  to explore perspectives on cognitive-behavior therapy among persons who experience depression. You would explain this focus and why you selected it, additionally specifying populations (e.g., persons with co-occurring mental health diagnoses) and treatments (e.g., mindfulness-based therapies) that you have chosen not to focus on in your dissertation.

What Are the Essential Elements of the Scope and Delimitations Section?

• Specific focus of study and why you chose this
• Aspects of topic, populations, or frameworks that you will not investigate

Limitations: What Is the Overall Aim of This Section?

Your aim in this section is to help readers understand the potential shortcomings of your study. Limitations may arise from your dissertation’s methodology or procedures, and they typically relate to either internal validity or external validity (Price & Murnan, 2004). For example, internal validity may be threatened if you are using an instrument with incomplete or inadequate psychometric properties, and procedures such as convenience sampling may limit the external validity (i.e., generalizability) of your results. The small, purposive samples typically used in qualitative research also limit generalizability, and even though this is normal and expected, it is still important to acknowledge this limitation formally.

What Are the Essential Elements of the Limitations Section?

• Aspects of the study that could limit generalizability
• Potential sources of bias
• Steps you will take to minimize these limitations

Significance: What Is the Overall Aim of This Section?

When preparing the significance section, your aim is to help readers understand how your dissertation’s findings might benefit specific individuals or the general public by reducing or eliminating the issue you described in your problem statement. By demonstrating the social significance of your proposed study in this section, you justify the investment in time and resources that you, your committee, and your university will make over the course of the study (Sampson, 2012).

As an example, imagine that your plan is to use your dissertation to help address the general problem of teacher attrition in rural school districts, and your specific problem is lack of effective mentorship in such settings. An outcome that you would hope for, given this general and specific problem, is that your dissertation’s findings would help to increase the quality of mentorship for new teachers in rural areas, thereby increasing retention. Note that it is important to keep your significance statements reasonable, considering the scope and boundaries of your dissertation. Although you might hope that increasing teacher retention would help to increase high school students’ graduation rates and college readiness, these student-specific implications would be outside of the bounds of your specific study.

What Are the Essential Elements of the Significance Section?

• Explain potential contributions to knowledge and practice
• Align implications for positive social change with the field of study
• Keep implications reasonable, given the scope of the study

Final Thoughts

The potential contributions you can make to the world around you through your research are undoubtedly considerable, and our dissertation consultants   would be thrilled to support you to bring your study to its full potential. We definitely recommend that you take the time to develop a top-notch Chapter 1, as this sets the tone for the remainder of your dissertation research. Best of luck with your research, and if we can help in any way, please let us know !

Bloomberg, L. D., & Volpe, M. (2008). Completing your qualitative dissertation: A roadmap from beginning to end . Sage. https://doi.org/10.4135/9781452226613.n1

Grant, C., & Osanloo, A. (2014). Understanding, selecting, and integrating a theoretical framework in dissertation research: Creating the blueprint for your “house”.  Administrative Issues Journal ,  4 (2), 12-26. https://doi.org/10.5929/2014.4.2.9

Price, J. H., & Murnan, J. (2004). Research limitations and the necessity of reporting them.  American Journal of Health Education ,  35 (2), 66-67. https://doi.org/10.1080/19325037.2004.10603611

Sampson, J. P. (2012). Guide to quantitative and qualitative dissertation research . Florida State University Libraries. https://diginole.lib.fsu.edu/islandora/object/fsu:405471/datastream/PDF/view

How To Write Chapter 1 Of A PhD Thesis Proposal (A Practical Guide)

After submitting a concept paper and your supervisor gives you the go-ahead, then it is time to start writing the proposal for your PhD thesis or dissertation.

The format of a thesis proposal varies from one institution to another but generally has three main chapters: chapter 1 (introduction), chapter 2 (literature review), and chapter 3 (research methodology).

Related post: How To Choose a Research Topic For Your PhD Thesis (7 Key Factors to Consider)

While in some institutions PhD students may be required to write more chapters, these three chapters are the meat of any thesis proposal. This article focuses on how to write chapter 1 of a PhD thesis proposal.

Chapter 1 of a thesis proposal has about 10 sections discussed below:

Introduction to the chapter

Background to the study, statement of the problem, justification of the study, significance of the study, objectives of the study and/or research questions, scope of the study, limitations and delimitations of the study, definition of terms, chapter summary, final thoughts on how to write chapter 1 of a phd thesis proposal, related posts.

This is the first section of chapter 1 of a thesis proposal. It is normally short about a paragraph in length. Its purpose is to inform the readers what the chapter is all about.

This section is the longest in chapter 1 of a thesis proposal.

It provides the context within which the study will be undertaken.

It gives a historical explanation of the issue under investigation.

It is important to use existing data and statistics to show the magnitude of the issue. Grey literature (for instance, reports from the government, non-governmental organisations, local institutions and international organisations among others) play an important role when providing the background to the study.

The background is often given starting from a general perspective and narrows down to a specific perspective.

For example, if the proposal is on maternal health in South Africa, then the background of the study will discuss maternal health from the global perspective, then maternal health in Africa, and then it will narrow down to maternal health in South Africa. It will provide data and statistics provided by reports from the Millennium Development Goals (MDGs), Sustainable Development Goals (SDGs), and demographic and health surveys (DHS) of various countries and specifically South Africa, among other reports. Such information paints a clear picture of the problem under investigation and sets the stage for the discussion of the problem statement.

The background to the study should be clear and comprehensive enough such that your readers will be on the same page after reading the section, irrespective of their prior knowledge in your research topic.

While reviewing literature for this section, a good practice is to build mind maps that highlight the important concepts for the study topic and how those concepts relate to each other.

It is also referred to as problem statement or issue under investigation.

The statement of the problem is the elephant in the “chapter 1” room. It is what most students struggle with and the area that can make or break a proposal defense.

It is very common to hear supervisors or defense panelists make comments such as:

“I don’t see any problem here.”

“This problem is not a problem.”

“This problem does not warrant a PhD-level study.”

When writing the statement of the problem, start the section with the problem, as in… The problem (or issue) under investigation is ….

After stating the problem then follow it up with an explanation of why it is a problem.

For PhD students, the problem under investigation should be complex enough to warrant a doctoral-level study and at the same time it should add to the body of knowledge in your chosen field of study. The latter – addition to knowledge – is what distinguishes a PhD-level thesis from a Masters-level thesis.

While crafting the problem statement it is also important to remember that the problem will influence the research objectives and the research methodology as well. The student should therefore think through these aspects carefully.

The justification is used to address the need for conducting the study and addressing the problem. It therefore follows the problem statement.

It is also referred to as the rationale for the study and addresses the “why” of the study: Why does this problem warrant an investigation? What is the purpose for carrying out the study?

In the example of maternal health in South Africa, the rationale or justification for the study would be the high maternal mortality ratios in South Africa and their undesirable effects on children and family. Therefore the study would help bring to light the major causes of maternal mortality in the country and how they can best be mitigated.

Whereas the justification of the study addresses the need for the study, the significance of the study highlights the benefits that would accrue after the study is completed.

The significance can be looked at from two perspectives:

• Academic perspective
• Practical perspective

For the academic perspective , the significance entails how the study would contribute to the existing body of knowledge in the chosen topic. Will it add to the methodology? Theory? New data? Will it study a population or phenomenon that has been neglected?

For PhD students, the addition to the body of knowledge is key, and should always be at the back of the student’s mind.

For the practical perspective , the significance of the study would be the impact and benefits that different stakeholders would derive from the findings of the study.

Depending on the study, the stakeholders may include: the Government, policymakers, different ministries and their agencies, different institutions, individuals, a community etc. This will vary from one study to another.

The significance of the study is best presented from a general to specific manner, like an inverted pyramid.

Each beneficiary is discussed separately.

Research questions are the question form of the research objectives. Depending on your institution and/or department where you are doing your PhD you may have both objectives and research questions or either.

There are two types of objectives: the general objective and the specific objectives. The general objective is a reflection of the study topic while the specific objectives are a breakdown of the general objective.

Coming up with good research objectives is an important step of any PhD thesis proposal. This is because the research objectives will determine whether the research problem will be adequately addressed and at the same time it will influence the research methodology that the study will adopt.

Research objectives should therefore emanate from the research problem.

While crafting the objectives, think about all those things that you would like to accomplish for your study and if by doing them they will address the research problem in totality.

Once you’ve noted all those activities that you would like to undertake, group the like ones together so as to narrow them down to 4 or 5 strong objectives.

The number of research objectives that PhD students should come up with will be determined by the requirements of their institution. However, the objectives should be adequate enough such that a single paper can be produced from each objective. This is important in ensuring that the PhD student publishes as many papers as is required by their institution.

Objectives are usually stated using action verbs. For instance: to examine, to analyse, to understand, to review, to investigate… etc.

It is important to understand the meaning of the action verbs used in the research objectives because different action verbs imply different methodology approaches. For instance: to analyse implies a quantitative approach, whereas to explore implies a qualitative approach.

Therefore, if a study will use purely quantitative research methodology, then the action verbs for the research objectives should strictly reflect that. Same case applies to qualitative studies. Studies that use a mixed-methods approach can have a mix of the action verbs.

Have a variety of the action verbs in your research objectives. Don’t just use the same action verb throughout.

Useful tip: To have a good idea of the action verbs that scholars use, create an Excel file with three columns: 1) action verb, 2) example of research objective, and 3) research methodology used. Then every time you read a journal paper, note down the objectives stated in that paper and fill in the three columns respectively. Besides journal papers, past PhD theses and dissertations are a good source of how research objectives are stated.

Another important point to remember is that the research objectives will form the basis of the discussion chapter. Each research objective will be discussed separately and will form its own sub-chapter under the discussion chapter. This is why the complexity of the research objectives is important especially for PhD students.

The scope of the study simply means the boundaries or the space within which the study will be undertaken.

Most studies have the potential of covering a wider scope than stated but because of time and budget constraints the scope gets narrowed down.

When defining the scope for a PhD study, it should not be too narrow or too wide but rather it should be adequate enough to meet the requirements of the program.

The scope chosen by the student should always be justified.

Limitations refer to factors that may affect a study which are not under the control of the student.

Delimitations on the other hand are factors that may affect the study for which the student has control.

Limitations are therefore caused by circumstances while delimitations are a matter of choice of the student.

It is therefore important for the student to justify their delimitations and mitigate their study’s limitations.

Examples of study limitations:

– political unrest in a region of interest: this can be mitigated by choosing another region for the study.

– covid-19 restrictions may limit physical collection of data: this can be mitigated by collecting data via telephone interviews or emailing questionnaires to the respondents.

Examples of study delimitations:

– choice of a particular community as the unit of the study: in this case the student should justify why that particular community was chosen over others.

– use of quantitative research methodology only: in this case the student should justify why they chose the research methodology over mixed-methods research.

The definition of key terms used in the study is important because it helps the readers understand the main concepts of the study. Not all readers have the background information or knowledge about the focus of the study.

However, the definitions used should be the denotative definitions, rather than the connotative (dictionary) definitions. Therefore the context within which the terms have been used should be provided.

This is the last section of the introduction chapter and it basically informs the reader what the chapter covered.

Like the introduction to the chapter, the chapter summary should be short: about one paragraph in length.

Chapter 1 of a PhD thesis proposal is an important chapter because it lays the foundation for the rest of the proposal and the thesis itself. Its role is to inspire and motivate the readers to read on. The most challenging task with chapter 1 is learning how to state the problem in a manner that is clear and to the point. For PhD students, the research problem should be complex enough to warrant a doctoral-level study.

Whereas the format of the chapter may vary from one institution to another, the sections presented in this article provide a guide to most of what is required for the chapter to be complete. Learning how to write chapter 1 of a PhD thesis proposal requires constant writing practice as well as reading of many past PhD theses and dissertations.

How To Write Chapter 2 Of A PhD Thesis Proposal (A Beginner’s Guide)

How To Write Chapter 3 Of A PhD Thesis Proposal (A Detailed Guide)

Grace Njeri-Otieno

Grace Njeri-Otieno is a Kenyan, a wife, a mom, and currently a PhD student, among many other balls she juggles. She holds a Bachelors' and Masters' degrees in Economics and has more than 7 years' experience with an INGO. She was inspired to start this site so as to share the lessons learned throughout her PhD journey with other PhD students. Her vision for this site is "to become a go-to resource center for PhD students in all their spheres of learning."

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In this section

• Graduate Program-Specific Contacts
• Doctoral Dissertation Policies and Procedures
• Master’s Thesis Policies and Procedures
• Thesis and Dissertation Release and Embargo Options

Thesis and Dissertation Formatting Guidelines & Deep Blue Archiving

• Graduate Studies Forms
• Three Minute Thesis Competition
• Graduate Student Appreciation Week

The purpose of these Formatting Guidelines is to make all dissertations and theses legible, accessible, preservable, and uniform in presentation. The steps you take now to format your dissertation and thesis will improve the file for future readers.

See The Mardigian Library’s  Formatting Your Thesis or Dissertation with Microsoft Word  for video tutorials designed to help you get most of the formatting of your thesis correct the first time. It is recommended that you use the dissertation/thesis template available in this guide which has most of the guidelines already incorporated.

For questions about formatting beyond what is covered in these resources, please check with your dissertation or thesis advisor.

File Format

• Submit the dissertation or thesis as a PDF file

Structure/Accessibility

Techniques for creating accessible documents, including adding alternative text for images, can be found on this  website.

Set Document Title:  Set the document title (note: this is a document property, not the filename) as your dissertation or thesis title.

Set Document Language

Set the Language of Parts (Quotations, Sections) That Are Different from the Main Language (required if applicable)

Use Correct Headings:  Use appropriate heading levels for section and subsection titles. Use “Heading 1” for main section titles (e.g. a Chapter), “Heading 2” for subsection titles (e.g. a Chapter section), and so on.

Create Lists, Columns, and Other Structures by Using the Appropriate Structural Element.  Do not use space bar, tab, or enter to arrange text in apparent tables, lists, or columns.

Images, Figures, Tables, Media

• Include descriptive alt text for all images and figures to convey the meaning and context of a visual item in a digital setting (do not use images of tables.)
• Use at least 2-inch top margin on the Title Page.
• Use 2-inch top margin on the first page of every chapter and major section (Acknowledgements, List of Figures, Bibliography, etc.…)
• Use at least 1-inch margins (top, bottom, left, right) on all pages. 

Text, Fonts, Color, Spacing

• Use a legible font, size 12 point, black color for all body text. Recommended fonts include Times or Times New Roman (serif fonts) or Arial (sans-serif font). Images and text within images may be in color.
• Headings may be visually different than body text (bigger, bold) and no bigger than size 16 point.
• Font size for footnotes, endnotes, captions, tables, figures, and equations may be smaller than the body text and no less than 9 point.
• Text in the Front Matter that links to a location within the dissertation or thesis (from the Table of Contents, for example) should not be underlined or outlined as hyperlinks.
• Use embedded fonts to ensure all font information in your document is secured in your PDF.
• Use either 1.5-line or double-line spacing throughout for all body text. 
• Use single-line spacing for text in tables, lists, footnotes/endnotes, figure/table legends/captions, and bibliographic entries (with a blank line between each citation or entry). 

Numbering and Page Numbering

• Number chapters consecutively and name them as follows: Chapter [#] [Title of Chapter]. For example, Chapter 1 Introduction. 
• Include the chapter number and name as a heading on the first page of chapter and in the Table of Contents.
• Number all tables, figures, appendices, etc. consecutively and name them as follows: Table [#] [Caption/Title/Legend]. 
• Tables, Figures, etc. may be numbered simply using whole numbers throughout the document (Figure 1, Figure 2, Figure 3) or by combining the chapter number and table, figure, etc. number per chapter (Figure 2.1, Figure 2.2, Figure 3.1). Choose one system from an appropriate style guide and use it consistently.
• Include a List of Figures, List of Tables, etc. in the front matter if the dissertation or thesis includes more than one figure, table, illustration, appendix, etc. (required if applicable)
• List of Figures (or List of Tables, List of Illustrations, List of Appendices, etc.) includes the title of each, its caption/title/legend, and page number on which it begins.
• Include page numbers in the front matter, centered in the footer, using lowercase Roman numerals, beginning on page ii (the first page after the Identifier/Copyright page).
• Include page numbers in the dissertation text and following sections, centered in the footer, using Arabic numerals, beginning on page 1.

Components of the Dissertation and Thesis

Include the following components, in the following order. All required components must be included.

Use the page numbering conventions given below. Every section below starts on a new page with 2-inch top margin.

Title Page (required)

No page number. No page count.

• See the section below for details of component requirements.

Frontispiece (Illustration or Epigraph) (optional)

Identifier/Copyright Page (required)

• No page number. Start page count here.
• See section below for details of component requirements.

Dedication (optional)

• Page numbers required. Start lowercase Roman numerals (starting with ii) here.
• Acknowledgments (optional)

Page numbers required. Lowercase Roman numerals.

Preface (optional)

Table of Contents (required)

List of Tables, List of Figures, etc. (required if applicable)

• List of Tables required if there is more than one table, etc.

List of Illustrations/Photos (required if applicable)

List of Appendices (required if applicable)

List of Abbreviations, List of Acronyms, List of Symbols (optional)

Abstract (required)

Dissertation or Thesis Text (required)

• Page numbers required. Start Arabic numerals here.
• Appendices (optional)

Bibliography or Reference section(s). (required)

Page numbers required. Arabic numerals. Insert at the end of each chapter, or the end of the dissertation/thesis, in the format preferred by the discipline.

Title Page Components

Include the following components on the title page, in the following order. Begin each item on a new line.

• At least 2 inch top margin on Title Page. 
• Complete dissertation  or master’s thesis title, centered, and capitalized in title case. 
• Your author name should match your legal name or preferred name in Wolverine Access
• You may use initial(s) for middle name(s).
• The following text, including line breaks, centered and single line-spaced. 

A dissertation (thesis) submitted in partial fulfillment of the requirements for the degree of Name of Degree (Name of Program) in The University of Michigan-Dearborn YEAR

• The text, “Doctoral Committee  or Master’s Thesis Committee:” left justified. 
• List chair or co-chairs first (in alphabetical order by surname if more than one) with “Chair” or “Co-Chair” after their titles and names.
• List other committee members in alphabetical order, by last name.
• Professor rank (e.g., Professor, Associate Professor, Assistant Professor, Emeritus Professor) or title (e.g., Dr.)
• Complete full name
• Affiliation, if not affiliated with University of Michigan (e.g., name of university, college, corporation, or organization)

Identifier/Copyright Page Components

Include the following components on the identifier/copyright page, in the following order. Begin each item on a new line, centered.

• Your full legal name (Required)
• Your @umich.edu email address (Required)
• Your ORCID iD (required only for PhD candidates)

ORCID iD is a unique digital identifier that you control and that distinguishes you from other researchers.

• ORCID iD profile URL (Recommended)
• Copyright notice. (Recommended)

Copyright notice notifies readers that you hold the copyright to this work and when it was established.

Use the following format: © Full Name YEAR

Final Formatting Checks

Before submission, double-check the following:

• All numbered series (pages, chapters, tables, figures, etc.) are consistently formatted and consecutive throughout the document.
• All entries in the table of contents and lists match contents as titled/ordered in the dissertation text.
• References/Bibliography entries are complete and match the formatting preference of your discipline.

Thesis or Dissertation Embargo

The thesis or dissertation is submitted as public evidence of your scholarly research and accomplishment. A thesis or dissertation and abstract is normally made publicly available upon degree conferral when it is deposited electronically in Deep Blue. If a student wishes to postpone public release of the final product, also called an embargo, the student should discuss this option with his or her faculty advisor. It has always been the university's expectation that every dissertation and abstract will be released upon conferral of the degree. Only in specific circumstances may release of a thesis or dissertation be deferred, and then only for a limited period of time. The student is responsible for requesting an embargo.

Embargo forms can be found at:  "Thesis and Dissertation Release and Embargo Options”

Deep Blue Archiving 

Required for doctoral dissertations and highly recommended for Master’s Thesis. The final pdf document of your dissertation or thesis must be submitted electronically to the Mardigian Library. This digital PDF will be the copy of record and will be archived in  Deep Blue . Deep Blue is a digital repository that is part of the University of Michigan Library. 

To submit your document, you need to provide:

• Your ORCID iD  
• Keywords that describe the subject, concepts, theories, and methods used in your document, to help others find and retrieve your document
• A copy of your thesis or dissertation in PDF format
• Optional – up to two supplementary files (no larger than 50 MB each), such as an audio file, spreadsheet, or a software program

To maintain the usability and appearance of your document, please review the  Best Practices for Producing High Quality PDF Files , available on Deep Blue.

If you have supplemental materials (such as data) that should also be made publicly available and associated with your dissertation or thesis, consider reaching out to  [email protected]  for help determining whether these should be deposited into one of the Deep Blue repositories.

Once your document is submitted to Deep Blue by the library, you will receive an email containing the DOI and a URL to access the document. It will also be added to the Mardigian Library catalog and made available on Google Scholar. If no embargo is requested, it may take three to four weeks for your document to become available.

Submit Final Thesis/Dissertation to Deep Blue

More support.

• Library Guide to  Formatting Your Thesis or Dissertation with Microsoft Word  and Video Tutorials.
• UM IT accessibility guide for  creating accessible documents .
• Guide for  embedding all fonts in PDFs generated with LaTeX or PDFLaTeX .

Contact your  subject librarian  for assistance on a wide range of topics including literature searching, citation management, and much more.

Download the Formatting Checklist

Office of graduate studies.

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