phd dissertation chapter 1

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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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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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Dissertation Structure & Layout 101: How to structure your dissertation, thesis or research project.

By: Derek Jansen (MBA) Reviewed By: David Phair (PhD) | July 2019

So, you’ve got a decent understanding of what a dissertation is , you’ve chosen your topic and hopefully you’ve received approval for your research proposal . Awesome! Now its time to start the actual dissertation or thesis writing journey.

To craft a high-quality document, the very first thing you need to understand is dissertation structure . In this post, we’ll walk you through the generic dissertation structure and layout, step by step. We’ll start with the big picture, and then zoom into each chapter to briefly discuss the core contents. If you’re just starting out on your research journey, you should start with this post, which covers the big-picture process of how to write a dissertation or thesis .

*The Caveat *

In this post, we’ll be discussing a traditional dissertation/thesis structure and layout, which is generally used for social science research across universities, whether in the US, UK, Europe or Australia. However, some universities may have small variations on this structure (extra chapters, merged chapters, slightly different ordering, etc).

So, always check with your university if they have a prescribed structure or layout that they expect you to work with. If not, it’s safe to assume the structure we’ll discuss here is suitable. And even if they do have a prescribed structure, you’ll still get value from this post as we’ll explain the core contents of each section.  

Overview: S tructuring a dissertation or thesis

• Acknowledgements page
• Abstract (or executive summary)
• Table of contents , list of figures and tables
• Chapter 1: Introduction
• Chapter 2: Literature review
• Chapter 3: Methodology
• Chapter 4: Results
• Chapter 5: Discussion
• Chapter 6: Conclusion
• Reference list

As I mentioned, some universities will have slight variations on this structure. For example, they want an additional “personal reflection chapter”, or they might prefer the results and discussion chapter to be merged into one. Regardless, the overarching flow will always be the same, as this flow reflects the research process , which we discussed here – i.e.:

• The introduction chapter presents the core research question and aims .
• The literature review chapter assesses what the current research says about this question.
• The methodology, results and discussion chapters go about undertaking new research about this question.
• The conclusion chapter (attempts to) answer the core research question .

In other words, the dissertation structure and layout reflect the research process of asking a well-defined question(s), investigating, and then answering the question – see below.

To restate that – the structure and layout of a dissertation reflect the flow of the overall research process . This is essential to understand, as each chapter will make a lot more sense if you “get” this concept. If you’re not familiar with the research process, read this post before going further.

Right. Now that we’ve covered the big picture, let’s dive a little deeper into the details of each section and chapter. Oh and by the way, you can also grab our free dissertation/thesis template here to help speed things up.

The title page of your dissertation is the very first impression the marker will get of your work, so it pays to invest some time thinking about your title. But what makes for a good title? A strong title needs to be 3 things:

• Succinct (not overly lengthy or verbose)
• Specific (not vague or ambiguous)
• Representative of the research you’re undertaking (clearly linked to your research questions)

Typically, a good title includes mention of the following:

• The broader area of the research (i.e. the overarching topic)
• The specific focus of your research (i.e. your specific context)
• Indication of research design (e.g. quantitative , qualitative , or  mixed methods ).

For example:

A quantitative investigation [research design] into the antecedents of organisational trust [broader area] in the UK retail forex trading market [specific context/area of focus].

Again, some universities may have specific requirements regarding the format and structure of the title, so it’s worth double-checking expectations with your institution (if there’s no mention in the brief or study material).

Acknowledgements

This page provides you with an opportunity to say thank you to those who helped you along your research journey. Generally, it’s optional (and won’t count towards your marks), but it is academic best practice to include this.

So, who do you say thanks to? Well, there’s no prescribed requirements, but it’s common to mention the following people:

• Your dissertation supervisor or committee.
• Any professors, lecturers or academics that helped you understand the topic or methodologies.
• Any tutors, mentors or advisors.
• Your family and friends, especially spouse (for adult learners studying part-time).

There’s no need for lengthy rambling. Just state who you’re thankful to and for what (e.g. thank you to my supervisor, John Doe, for his endless patience and attentiveness) – be sincere. In terms of length, you should keep this to a page or less.

Abstract or executive summary

The dissertation abstract (or executive summary for some degrees) serves to provide the first-time reader (and marker or moderator) with a big-picture view of your research project. It should give them an understanding of the key insights and findings from the research, without them needing to read the rest of the report – in other words, it should be able to stand alone .

For it to stand alone, your abstract should cover the following key points (at a minimum):

• Your research questions and aims – what key question(s) did your research aim to answer?
• Your methodology – how did you go about investigating the topic and finding answers to your research question(s)?
• Your findings – following your own research, what did do you discover?
• Your conclusions – based on your findings, what conclusions did you draw? What answers did you find to your research question(s)?

So, in much the same way the dissertation structure mimics the research process, your abstract or executive summary should reflect the research process, from the initial stage of asking the original question to the final stage of answering that question.

In practical terms, it’s a good idea to write this section up last , once all your core chapters are complete. Otherwise, you’ll end up writing and rewriting this section multiple times (just wasting time). For a step by step guide on how to write a strong executive summary, check out this post .

Need a helping hand?

Table of contents

This section is straightforward. You’ll typically present your table of contents (TOC) first, followed by the two lists – figures and tables. I recommend that you use Microsoft Word’s automatic table of contents generator to generate your TOC. If you’re not familiar with this functionality, the video below explains it simply:

If you find that your table of contents is overly lengthy, consider removing one level of depth. Oftentimes, this can be done without detracting from the usefulness of the TOC.

Right, now that the “admin” sections are out of the way, its time to move on to your core chapters. These chapters are the heart of your dissertation and are where you’ll earn the marks. The first chapter is the introduction chapter – as you would expect, this is the time to introduce your research…

It’s important to understand that even though you’ve provided an overview of your research in your abstract, your introduction needs to be written as if the reader has not read that (remember, the abstract is essentially a standalone document). So, your introduction chapter needs to start from the very beginning, and should address the following questions:

• What will you be investigating (in plain-language, big picture-level)?
• Why is that worth investigating? How is it important to academia or business? How is it sufficiently original?
• What are your research aims and research question(s)? Note that the research questions can sometimes be presented at the end of the literature review (next chapter).
• What is the scope of your study? In other words, what will and won’t you cover ?
• How will you approach your research? In other words, what methodology will you adopt?
• How will you structure your dissertation? What are the core chapters and what will you do in each of them?

These are just the bare basic requirements for your intro chapter. Some universities will want additional bells and whistles in the intro chapter, so be sure to carefully read your brief or consult your research supervisor.

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.

Now that you’ve set a clear direction with your introduction chapter, the next step is the literature review . In this section, you will analyse the existing research (typically academic journal articles and high-quality industry publications), with a view to understanding the following questions:

• What does the literature currently say about the topic you’re investigating?
• Is the literature lacking or well established? Is it divided or in disagreement?
• How does your research fit into the bigger picture?
• How does your research contribute something original?
• How does the methodology of previous studies help you develop your own?

Depending on the nature of your study, you may also present a conceptual framework towards the end of your literature review, which you will then test in your actual research.

Again, some universities will want you to focus on some of these areas more than others, some will have additional or fewer requirements, and so on. Therefore, as always, its important to review your brief and/or discuss with your supervisor, so that you know exactly what’s expected of your literature review chapter.

Now that you’ve investigated the current state of knowledge in your literature review chapter and are familiar with the existing key theories, models and frameworks, its time to design your own research. Enter the methodology chapter – the most “science-ey” of the chapters…

In this chapter, you need to address two critical questions:

• Exactly HOW will you carry out your research (i.e. what is your intended research design)?
• Exactly WHY have you chosen to do things this way (i.e. how do you justify your design)?

Remember, the dissertation part of your degree is first and foremost about developing and demonstrating research skills . Therefore, the markers want to see that you know which methods to use, can clearly articulate why you’ve chosen then, and know how to deploy them effectively.

Importantly, this chapter requires detail – don’t hold back on the specifics. State exactly what you’ll be doing, with who, when, for how long, etc. Moreover, for every design choice you make, make sure you justify it.

In practice, you will likely end up coming back to this chapter once you’ve undertaken all your data collection and analysis, and revise it based on changes you made during the analysis phase. This is perfectly fine. Its natural for you to add an additional analysis technique, scrap an old one, etc based on where your data lead you. Of course, I’m talking about small changes here – not a fundamental switch from qualitative to quantitative, which will likely send your supervisor in a spin!

You’ve now collected your data and undertaken your analysis, whether qualitative, quantitative or mixed methods. In this chapter, you’ll present the raw results of your analysis . For example, in the case of a quant study, you’ll present the demographic data, descriptive statistics, inferential statistics , etc.

Typically, Chapter 4 is simply a presentation and description of the data, not a discussion of the meaning of the data. In other words, it’s descriptive, rather than analytical – the meaning is discussed in Chapter 5. However, some universities will want you to combine chapters 4 and 5, so that you both present and interpret the meaning of the data at the same time. Check with your institution what their preference is.

Now that you’ve presented the data analysis results, its time to interpret and analyse them. In other words, its time to discuss what they mean, especially in relation to your research question(s).

What you discuss here will depend largely on your chosen methodology. For example, if you’ve gone the quantitative route, you might discuss the relationships between variables . If you’ve gone the qualitative route, you might discuss key themes and the meanings thereof. It all depends on what your research design choices were.

Most importantly, you need to discuss your results in relation to your research questions and aims, as well as the existing literature. What do the results tell you about your research questions? Are they aligned with the existing research or at odds? If so, why might this be? Dig deep into your findings and explain what the findings suggest, in plain English.

The final chapter – you’ve made it! Now that you’ve discussed your interpretation of the results, its time to bring it back to the beginning with the conclusion chapter . In other words, its time to (attempt to) answer your original research question s (from way back in chapter 1). Clearly state what your conclusions are in terms of your research questions. This might feel a bit repetitive, as you would have touched on this in the previous chapter, but its important to bring the discussion full circle and explicitly state your answer(s) to the research question(s).

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?

Lastly, you should discuss the limitations of your research, as well as what this means for future research in the area. No study is perfect, especially not a Masters-level. Discuss the shortcomings of your research. Perhaps your methodology was limited, perhaps your sample size was small or not representative, etc, etc. Don’t be afraid to critique your work – the markers want to see that you can identify the limitations of your work. This is a strength, not a weakness. Be brutal!

This marks the end of your core chapters – woohoo! From here on out, it’s pretty smooth sailing.

The reference list is straightforward. It should contain a list of all resources cited in your dissertation, in the required format, e.g. APA , Harvard, etc.

It’s essential that you use reference management software for your dissertation. Do NOT try handle your referencing manually – its far too error prone. On a reference list of multiple pages, you’re going to make mistake. To this end, I suggest considering either Mendeley or Zotero. Both are free and provide a very straightforward interface to ensure that your referencing is 100% on point. I’ve included a simple how-to video for the Mendeley software (my personal favourite) below:

Some universities may ask you to include a bibliography, as opposed to a reference list. These two things are not the same . A bibliography is similar to a reference list, except that it also includes resources which informed your thinking but were not directly cited in your dissertation. So, double-check your brief and make sure you use the right one.

The very last piece of the puzzle is the appendix or set of appendices. This is where you’ll include any supporting data and evidence. Importantly, supporting is the keyword here.

Your appendices should provide additional “nice to know”, depth-adding information, which is not critical to the core analysis. Appendices should not be used as a way to cut down word count (see this post which covers how to reduce word count ). In other words, don’t place content that is critical to the core analysis here, just to save word count. You will not earn marks on any content in the appendices, so don’t try to play the system!

Time to recap…

And there you have it – the traditional dissertation structure and layout, from A-Z. To recap, the core structure for a dissertation or thesis is (typically) as follows:

• Acknowledgments page

Most importantly, the core chapters should reflect the research process (asking, investigating and answering your research question). Moreover, the research question(s) should form the golden thread throughout your dissertation structure. Everything should revolve around the research questions, and as you’ve seen, they should form both the start point (i.e. introduction chapter) and the endpoint (i.e. conclusion chapter).

I hope this post has provided you with clarity about the traditional dissertation/thesis structure and layout. If you have any questions or comments, please leave a comment below, or feel free to get in touch with us. Also, be sure to check out the rest of the  Grad Coach Blog .

Psst... there’s more!

This post was based on one of our popular Research Bootcamps . If you're working on a research project, you'll definitely want to check this out ...

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36 Comments

many thanks i found it very useful

Glad to hear that, Arun. Good luck writing your dissertation.

Such clear practical logical advice. I very much needed to read this to keep me focused in stead of fretting.. Perfect now ready to start my research!

what about scientific fields like computer or engineering thesis what is the difference in the structure? thank you very much

Thanks so much this helped me a lot!

Very helpful and accessible. What I like most is how practical the advice is along with helpful tools/ links.

Thanks Ade!

Thank you so much sir.. It was really helpful..

You’re welcome!

Hi! How many words maximum should contain the abstract?

Thank you so much 😊 Find this at the right moment

You’re most welcome. Good luck with your dissertation.

best ever benefit i got on right time thank you

Many times Clarity and vision of destination of dissertation is what makes the difference between good ,average and great researchers the same way a great automobile driver is fast with clarity of address and Clear weather conditions .

I guess Great researcher = great ideas + knowledge + great and fast data collection and modeling + great writing + high clarity on all these

You have given immense clarity from start to end.

Morning. Where will I write the definitions of what I’m referring to in my report?

Thank you so much Derek, I was almost lost! Thanks a tonnnn! Have a great day!

Thanks ! so concise and valuable

This was very helpful. Clear and concise. I know exactly what to do now.

Thank you for allowing me to go through briefly. I hope to find time to continue.

Really useful to me. Thanks a thousand times

Very interesting! It will definitely set me and many more for success. highly recommended.

Thank you soo much sir, for the opportunity to express my skills

Usefull, thanks a lot. Really clear

Very nice and easy to understand. Thank you .

That was incredibly useful. Thanks Grad Coach Crew!

My stress level just dropped at least 15 points after watching this. Just starting my thesis for my grad program and I feel a lot more capable now! Thanks for such a clear and helpful video, Emma and the GradCoach team!

Do we need to mention the number of words the dissertation contains in the main document?

It depends on your university’s requirements, so it would be best to check with them 🙂

Such a helpful post to help me get started with structuring my masters dissertation, thank you!

Great video; I appreciate that helpful information

It is so necessary or avital course

This blog is very informative for my research. Thank you

Doctoral students are required to fill out the National Research Council’s Survey of Earned Doctorates

wow this is an amazing gain in my life

This is so good

How can i arrange my specific objectives in my dissertation?

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Dissertation Essentials

• Welcome to Dissertation Essentials

DSE Guides & Templates

Dissertation rubrics, preparing for your cmp course, academic success center services, library dissertation toolbox series, other resources, dissertation essentials webinars.

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• Doctoral Record
• Working Ahead Guidelines
• Applied vs Theoretical Doctorates
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• Scholarly Writing This link opens in a new window
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The Dissertation Essentials area houses guides, manuals, and templates to assist you in your doctoral journey.  There is also a section specifically for rubrics for each of the chapters as well as the proposal and manuscript.  Along with these items, there are additional resources provided for the ASC, Library, technology, accessing published dissertations, and even some school specific resources.

• DSE Manual (Previously Handbook) Use this guide throughout the dissertation process to support you in understanding the courses, deliverables, and expectations of students and the dissertation committee.
• Dissertation Proposal/Manuscript Template You will use this templates to write all chapters of the dissertation.
• PhD-DS Dissertation Proposal/Manuscript Template Students in the PhD Data Science program will use this template to write all chapters of the dissertation.
• DSE Dissertation Revision Timeline Use this template to create a timeline for deliverable revisions in the dissertation.
• SOBE Best Practice Guide for Qualitative Research and Design Methods
• SOBE Best Practice Guide in Quantitative Research and Design Methods

If you are working on your CMP course, your course will provide information on how to format your prospectus/portfolio.

• DSE Chapter 1 Rubric Use this rubric to guide you when writing Chapter 1 of your dissertation.
• DSE Chapter 2 Rubric Use this rubric to guide you when writing Chapter 2 of your dissertation.
• DSE Chapter 3 Rubric Use this rubric to guide you when writing Chapter 3 of your dissertation.
• DSE Dissertation Proposal Rubric Use this rubric to guide you when combining Chapters 1-3 into the Dissertation Proposal.
• DSE Chapter 4 Rubric Use this rubric to guide you when writing Chapter 4 of your dissertation.
• DSE Chapter 5 Rubric Use this rubric to guide you when writing Chapter 5 of your dissertation.
• DSE Dissertation Manuscript Rubric Use this rubric to guide you when combing all five of your dissertation chapters to produce your Dissertation Manuscript.

Not yet at the Dissertation phase?  Getting ready for your CMP course?  Check out the CMP Course Frequently Asked Questions document below:

• CMP Course Frequently Asked Questions

Library Dissertation Toolbox Workshop Series

The  Library Dissertation Toolbox Workshop Series  consists of engaging, skill-building workshops designed specifically for doctoral students. Students will learn how to effectively locate, evaluate, and use information relating to their dissertation research topics. Each toolbox session features a new research focus- sign up for the entire series, or just those that most appeal to you:

• Research Process Guide by NU Library Outlines important steps in the research process and covers topics such as evaluating information.
• Managing and Writing the Doctoral Thesis or Dissertation Dr. Linda Bloomberg's newest edition Completing Your Qualitative Dissertation: A Road Map From Beginning to End is out now. This resource includes an interview between Methodspace and Dr. Bloomberg.

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Tips for writing a PhD dissertation: FAQs answered

From how to choose a topic to writing the abstract and managing work-life balance through the years it takes to complete a doctorate, here we collect expert advice to get you through the PhD writing process

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Embarking on a PhD is “probably the most challenging task that a young scholar attempts to do”, write Mark Stephan Felix and Ian Smith in their practical guide to dissertation and thesis writing. After years of reading and research to answer a specific question or proposition, the candidate will submit about 80,000 words that explain their methods and results and demonstrate their unique contribution to knowledge. Here are the answers to frequently asked questions about writing a doctoral thesis or dissertation.

What’s the difference between a dissertation and a thesis?

Whatever the genre of the doctorate, a PhD must offer an original contribution to knowledge. The terms “dissertation” and “thesis” both refer to the long-form piece of work produced at the end of a research project and are often used interchangeably. Which one is used might depend on the country, discipline or university. In the UK, “thesis” is generally used for the work done for a PhD, while a “dissertation” is written for a master’s degree. The US did the same until the 1960s, says Oxbridge Essays, when the convention switched, and references appeared to a “master’s thesis” and “doctoral dissertation”. To complicate matters further, undergraduate long essays are also sometimes referred to as a thesis or dissertation.

The Oxford English Dictionary defines “thesis” as “a dissertation, especially by a candidate for a degree” and “dissertation” as “a detailed discourse on a subject, especially one submitted in partial fulfilment of the requirements of a degree or diploma”.

• Ten platinum rules for PhD supervisors
• Fostering freedom in PhD students: how supervisors can shape accessible paths for doctoral research
• Lessons from students on effective research supervision

The title “doctor of philosophy”, incidentally, comes from the degree’s origins, write Dr Felix, an associate professor at Mahidol University in Thailand, and Dr Smith, retired associate professor of education at the University of Sydney , whose co-authored guide focuses on the social sciences. The PhD was first awarded in the 19th century by the philosophy departments of German universities, which at that time taught science, social science and liberal arts.

How long should a PhD thesis be?

A PhD thesis (or dissertation) is typically 60,000 to 120,000 words ( 100 to 300 pages in length ) organised into chapters, divisions and subdivisions (with roughly 10,000 words per chapter) – from introduction (with clear aims and objectives) to conclusion.

The structure of a dissertation will vary depending on discipline (humanities, social sciences and STEM all have their own conventions), location and institution. Examples and guides to structure proliferate online. The University of Salford , for example, lists: title page, declaration, acknowledgements, abstract, table of contents, lists of figures, tables and abbreviations (where needed), chapters, appendices and references.

A scientific-style thesis will likely need: introduction, literature review, materials and methods, results, discussion, bibliography and references.

As well as checking the overall criteria and expectations of your institution for your research, consult your school handbook for the required length and format (font, layout conventions and so on) for your dissertation.

A PhD takes three to four years to complete; this might extend to six to eight years for a part-time doctorate.

What are the steps for completing a PhD?

Before you get started in earnest , you’ll likely have found a potential supervisor, who will guide your PhD journey, and done a research proposal (which outlines what you plan to research and how) as part of your application, as well as a literature review of existing scholarship in the field, which may form part of your final submission.

In the UK, PhD candidates undertake original research and write the results in a thesis or dissertation, says author and vlogger Simon Clark , who posted videos to YouTube throughout his own PhD journey . Then they submit the thesis in hard copy and attend the viva voce (which is Latin for “living voice” and is also called an oral defence or doctoral defence) to convince the examiners that their work is original, understood and all their own. Afterwards, if necessary, they make changes and resubmit. If the changes are approved, the degree is awarded.

The steps are similar in Australia , although candidates are mostly assessed on their thesis only; some universities may include taught courses, and some use a viva voce. A PhD in Australia usually takes three years full time.

In the US, the PhD process begins with taught classes (similar to a taught master’s) and a comprehensive exam (called a “field exam” or “dissertation qualifying exam”) before the candidate embarks on their original research. The whole journey takes four to six years.

A PhD candidate will need three skills and attitudes to get through their doctoral studies, says Tara Brabazon , professor of cultural studies at Flinders University in Australia who has written extensively about the PhD journey :

• master the academic foundational skills (research, writing, ability to navigate different modalities)
• time-management skills and the ability to focus on reading and writing
• determined motivation to do a PhD.

How do I choose the topic for my PhD dissertation or thesis?

It’s important to find a topic that will sustain your interest for the years it will take to complete a PhD. “Finding a sustainable topic is the most important thing you [as a PhD student] would do,” says Dr Brabazon in a video for Times Higher Education . “Write down on a big piece of paper all the topics, all the ideas, all the questions that really interest you, and start to cross out all the ones that might just be a passing interest.” Also, she says, impose the “Who cares? Who gives a damn?” question to decide if the topic will be useful in a future academic career.

The availability of funding and scholarships is also often an important factor in this decision, says veteran PhD supervisor Richard Godwin, from Harper Adams University .

Define a gap in knowledge – and one that can be questioned, explored, researched and written about in the time available to you, says Gina Wisker, head of the Centre for Learning and Teaching at the University of Brighton. “Set some boundaries,” she advises. “Don’t try to ask everything related to your topic in every way.”

James Hartley, research professor in psychology at Keele University, says it can also be useful to think about topics that spark general interest. If you do pick something that taps into the zeitgeist, your findings are more likely to be noticed.

You also need to find someone else who is interested in it, too. For STEM candidates , this will probably be a case of joining a team of people working in a similar area where, ideally, scholarship funding is available. A centre for doctoral training (CDT) or doctoral training partnership (DTP) will advertise research projects. For those in the liberal arts and social sciences, it will be a matter of identifying a suitable supervisor .

Avoid topics that are too broad (hunger across a whole country, for example) or too narrow (hunger in a single street) to yield useful solutions of academic significance, write Mark Stephan Felix and Ian Smith. And ensure that you’re not repeating previous research or trying to solve a problem that has already been answered. A PhD thesis must be original.

What is a thesis proposal?

After you have read widely to refine your topic and ensure that it and your research methods are original, and discussed your project with a (potential) supervisor, you’re ready to write a thesis proposal , a document of 1,500 to 3,000 words that sets out the proposed direction of your research. In the UK, a research proposal is usually part of the application process for admission to a research degree. As with the final dissertation itself, format varies among disciplines, institutions and countries but will usually contain title page, aims, literature review, methodology, timetable and bibliography. Examples of research proposals are available online.

How to write an abstract for a dissertation or thesis

The abstract presents your thesis to the wider world – and as such may be its most important element , says the NUI Galway writing guide. It outlines the why, how, what and so what of the thesis . Unlike the introduction, which provides background but not research findings, the abstract summarises all sections of the dissertation in a concise, thorough, focused way and demonstrates how well the writer understands their material. Check word-length limits with your university – and stick to them. About 300 to 500 words is a rough guide ­– but it can be up to 1,000 words.

The abstract is also important for selection and indexing of your thesis, according to the University of Melbourne guide , so be sure to include searchable keywords.

It is the first thing to be read but the last element you should write. However, Pat Thomson , professor of education at the University of Nottingham , advises that it is not something to be tackled at the last minute.

How to write a stellar conclusion

As well as chapter conclusions, a thesis often has an overall conclusion to draw together the key points covered and to reflect on the unique contribution to knowledge. It can comment on future implications of the research and open up new ideas emanating from the work. It is shorter and more general than the discussion chapter , says online editing site Scribbr, and reiterates how the work answers the main question posed at the beginning of the thesis. The conclusion chapter also often discusses the limitations of the research (time, scope, word limit, access) in a constructive manner.

It can be useful to keep a collection of ideas as you go – in the online forum DoctoralWriting SIG , academic developer Claire Aitchison, of the University of South Australia , suggests using a “conclusions bank” for themes and inspirations, and using free-writing to keep this final section fresh. (Just when you feel you’ve run out of steam.) Avoid aggrandising or exaggerating the impact of your work. It should remind the reader what has been done, and why it matters.

How to format a bibliography (or where to find a reliable model)

Most universities use a preferred style of references , writes THE associate editor Ingrid Curl. Make sure you know what this is and follow it. “One of the most common errors in academic writing is to cite papers in the text that do not then appear in the bibliography. All references in your thesis need to be cross-checked with the bibliography before submission. Using a database during your research can save a great deal of time in the writing-up process.”

A bibliography contains not only works cited explicitly but also those that have informed or contributed to the research – and as such illustrates its scope; works are not limited to written publications but include sources such as film or visual art.

Examiners can start marking from the back of the script, writes Dr Brabazon. “Just as cooks are judged by their ingredients and implements, we judge doctoral students by the calibre of their sources,” she advises. She also says that candidates should be prepared to speak in an oral examination of the PhD about any texts included in their bibliography, especially if there is a disconnect between the thesis and the texts listed.

Can I use informal language in my PhD?

Don’t write like a stereotypical academic , say Kevin Haggerty, professor of sociology at the University of Alberta , and Aaron Doyle, associate professor in sociology at Carleton University , in their tongue-in-cheek guide to the PhD journey. “If you cannot write clearly and persuasively, everything about PhD study becomes harder.” Avoid jargon, exotic words, passive voice and long, convoluted sentences – and work on it consistently. “Writing is like playing guitar; it can improve only through consistent, concerted effort.”

Be deliberate and take care with your writing . “Write your first draft, leave it and then come back to it with a critical eye. Look objectively at the writing and read it closely for style and sense,” advises THE ’s Ms Curl. “Look out for common errors such as dangling modifiers, subject-verb disagreement and inconsistency. If you are too involved with the text to be able to take a step back and do this, then ask a friend or colleague to read it with a critical eye. Remember Hemingway’s advice: ‘Prose is architecture, not interior decoration.’ Clarity is key.”

How often should a PhD candidate meet with their supervisor?

Since the PhD supervisor provides a range of support and advice – including on research techniques, planning and submission – regular formal supervisions are essential, as is establishing a line of contact such as email if the candidate needs help or advice outside arranged times. The frequency varies according to university, discipline and individual scholars.

Once a week is ideal, says Dr Brabazon. She also advocates a two-hour initial meeting to establish the foundations of the candidate-supervisor relationship .

The University of Edinburgh guide to writing a thesis suggests that creating a timetable of supervisor meetings right at the beginning of the research process will allow candidates to ensure that their work stays on track throughout. The meetings are also the place to get regular feedback on draft chapters.

“A clear structure and a solid framework are vital for research,” writes Dr Godwin on THE Campus . Use your supervisor to establish this and provide a realistic view of what can be achieved. “It is vital to help students identify the true scientific merit, the practical significance of their work and its value to society.”

How to proofread your dissertation (what to look for)

Proofreading is the final step before printing and submission. Give yourself time to ensure that your work is the best it can be . Don’t leave proofreading to the last minute; ideally, break it up into a few close-reading sessions. Find a quiet place without distractions. A checklist can help ensure that all aspects are covered.

Proofing is often helped by a change of format – so it can be easier to read a printout rather than working off the screen – or by reading sections out of order. Fresh eyes are better at spotting typographical errors and inconsistencies, so leave time between writing and proofreading. Check with your university’s policies before asking another person to proofread your thesis for you.

As well as close details such as spelling and grammar, check that all sections are complete, all required elements are included , and nothing is repeated or redundant. Don’t forget to check headings and subheadings. Does the text flow from one section to another? Is the structure clear? Is the work a coherent whole with a clear line throughout?

Ensure consistency in, for example, UK v US spellings, capitalisation, format, numbers (digits or words, commas, units of measurement), contractions, italics and hyphenation. Spellchecks and online plagiarism checkers are also your friend.

How do you manage your time to complete a PhD dissertation?

Treat your PhD like a full-time job, that is, with an eight-hour working day. Within that, you’ll need to plan your time in a way that gives a sense of progress . Setbacks and periods where it feels as if you are treading water are all but inevitable, so keeping track of small wins is important, writes A Happy PhD blogger Luis P. Prieto.

Be specific with your goals – use the SMART acronym (specific, measurable, attainable, relevant and timely).

And it’s never too soon to start writing – even if early drafts are overwritten and discarded.

“ Write little and write often . Many of us make the mistake of taking to writing as one would take to a sprint, in other words, with relatively short bursts of intense activity. Whilst this can prove productive, generally speaking it is not sustainable…In addition to sustaining your activity, writing little bits on a frequent basis ensures that you progress with your thinking. The comfort of remaining in abstract thought is common; writing forces us to concretise our thinking,” says Christian Gilliam, AHSS researcher developer at the University of Cambridge ’s Centre for Teaching and Learning.

Make time to write. “If you are more alert early in the day, find times that suit you in the morning; if you are a ‘night person’, block out some writing sessions in the evenings,” advises NUI Galway’s Dermot Burns, a lecturer in English and creative arts. Set targets, keep daily notes of experiment details that you will need in your thesis, don’t confuse writing with editing or revising – and always back up your work.

What work-life balance tips should I follow to complete my dissertation?

During your PhD programme, you may have opportunities to take part in professional development activities, such as teaching, attending academic conferences and publishing your work. Your research may include residencies, field trips or archive visits. This will require time-management skills as well as prioritising where you devote your energy and factoring in rest and relaxation. Organise your routine to suit your needs , and plan for steady and regular progress.

How to deal with setbacks while writing a thesis or dissertation

Have a contingency plan for delays or roadblocks such as unexpected results.

Accept that writing is messy, first drafts are imperfect, and writer’s block is inevitable, says Dr Burns. His tips for breaking it include relaxation to free your mind from clutter, writing a plan and drawing a mind map of key points for clarity. He also advises feedback, reflection and revision: “Progressing from a rough version of your thoughts to a superior and workable text takes time, effort, different perspectives and some expertise.”

“Academia can be a relentlessly brutal merry-go-round of rejection, rebuttal and failure,” writes Lorraine Hope , professor of applied cognitive psychology at the University of Portsmouth, on THE Campus. Resilience is important. Ensure that you and your supervisor have a relationship that supports open, frank, judgement-free communication.

If you would like advice and insight from academics and university staff delivered direct to your inbox each week, sign up for the Campus newsletter .

Authoring a PhD Thesis: How to Plan, Draft, Write and Finish a Doctoral Dissertation (2003), by Patrick Dunleavy

Writing Your Dissertation in Fifteen Minutes a Day: A Guide to Starting, Revising, and Finishing Your Doctoral Thesis (1998), by Joan Balker

Challenges in Writing Your Dissertation: Coping with the Emotional, Interpersonal, and Spiritual Struggles (2015), by Noelle Sterne

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How to plan, structure and write every chapter in your PhD

In this collection, we’ll walk you through each chapter of your thesis. You’ll learn what goes where and how it fits together. 

The PhD Discussion Chapter: What It Is & How To Write It

  Your PhD discussion chapter is your thesis's intellectual epicenter. Think of it as the scholarly equivalent of a courtroom closing argument, where you summarise the evidence and make your case. Perhaps that’s why it’s so tricky - the skills you need in your...

Everything you wanted to know about structuring your PhD but were too afraid to ask

Understanding how to structure your PhD is tough. It helps to break it down into four distinct sections. In this guide, we explain how.

How to find the thread that runs through your PhD thesis

You probably worry about finding the thread that runs through the PhD thesis. In this guide we walk you through what’s required.

How to edit a PhD thesis (without going mad)

Your thesis takes a lot of time to research, ideate, and write. Here’s how to properly edit a PhD thesis such that you impress your examiners and achieve even greater success.

The 9 most effective ways to achieve PhD success

  Writing a PhD is physically, intellectually and emotionally daunting. You may spend each day doubting yourself, not sure if you’re making the right choices and unsure whether you’ve got what it takes. During my life, I’ve helped thousands of PhD students like...

How To Structure A PhD Thesis

Struggling to understand what goes where? Let us walk you through a non-nonsense guide that’ll teach you how to structure a PhD thesis.

The difference between empirical and discussion chapters (and how to write them)

There is a very important distinction that needs to be made between the empirical and discussion sections/chapters. It is a common misconception that the empirical chapters are the place for your analysis. Often this confuses the reader.

Five tips to improve your PhD thesis

Regardless of what stage of the writing process you are at, there are five overarching tips you need to keep in mind if you want to improve your PhD thesis.

What are you doing and how are you doing it? Articulating your aims and objectives.

How long does it take the person reading your thesis to understand what you’re doing and how you’re doing it? If the answer is anything other than ’in the the opening lines of the thesis’, keep reading.

Learn how to write a PhD proposal that will stand out from the rest

When stripped down to its basic components, the PhD proposal explains the what and the why of your research. What it will be about and why it will be important.

Easily understand how to write a PhD thesis introduction

Get the introduction right and the rest of your dissertation will follow. Mess it up and you’ll be struggling to catch up. The introduction is the place to factually recount what it is you will be discussing in the thesis. Learn more in this detailed guide.

Last impressions count – writing your PhD thesis conclusion

The conclusion is the last thing your examiner will read before they write their viva report. You need to make sure it stands out.

What is a dissertation abstract and how do I write one for my PhD?

Don’t underestimate how hard it is to write a PhD thesis abstract. When I wrote mine I though it’d be straightforward. Far from it. It’s tricky. You have to condense hundred of pages and years of work into a few hundred words.

Russian (dolls) to the rescue – how to structure an argument in your PhD

At the core of the PhD are arguments. Lots of them. Some more important and some very specific. When you understand how to structure an argument, your thesis reads clearly and logically. If you don’t the reader ends up confused and your thesis suffers.

Drowning in a sea of authors – How to be critical in a PhD literature review.

Don’t get lost in a sea of authors when you write your PhD literature review. Instead be critical. In this guide we explain how.

Wrestling an elephant into a cupboard: how to write a PhD literature review in nine easy steps

When I was writing my PhD I hated the literature review. I was scared of it. I thought it would be impossible to grapple. So much so that it used to keep me up at night. Now I know how easy it can be and I’m sharing my top tips with you today.

A Template To Help You Structure Your PhD’s Theoretical Framework Chapter

In this guide, I explain how to use the theory framework template. The focus is on the practical things to consider when you’re working with the template and how you can give your theory framework the rockstar treatment.

How To Structure A PhD With Our PhD Writing Template

Our PhD Writing Template allows you to visualise your PhD on one page. Here we explain how to fill it in and how it can help you structure each chapter.

Eureka! When I learnt how to write a theoretical framework

The theoretical framework is so important, but so misunderstood. Here we explain it is in simple terms: as a toolbox.

Explore Other PhD Knowledge Base Collections

Eight collections of free resources to help you along the phd journey.

Mastering your theory and literature review chapters

How to structure and write every chapter of the PhD

How to stay motivated and productive

Techniques to improve your writing and fluency

Advice on maintaining good mental health

Resources designed for non-native English speakers

Explore our back-catalogue of motivational advice

Each week we send out a short, motivational email to over 4,000 students. Here you can sign up and access the archive.

A free one-page PhD structure template

Capstone Form and Style

Programs: phd dissertation, phd dissertation resources.

• PhD Premise Template

The qualitative, quantitative, and mixed methods PhD dissertation templates contain subheadings that align with the required content in the PhD Dissertation Checklists for these methodologies. The generic PhD dissertation template is not methodology-specific and lacks many of these subheadings.

• PhD Dissertation Template (Qualitative)
• PhD Dissertation Template (Quantitative)
• PhD Dissertation Template (Mixed Methods)
• PhD Dissertation Template (Generic)

Beginning June 1, 2020, all prospectus starts should use the new PhD Prospectus Form found on the  Doctoral Prospectus Form  page.

For more information on the prospectus for your program, check the resources for PhD programs on the Office of Research and Doctoral Services'  Doctoral Capstone and Project Resources page .

PhD Management Dissertation Templates

• PhD Management Annotated Dissertation Template (Qualitative)
• PhD Management Annotated Dissertation Template (Quantitative)
• Instructions for Using the PhD Management Annotated Dissertation Templates

To prepare for the form and style review, use the following checklist, which is the same checklist we use when we review capstone manuscripts and the checklist we return to the student and committee along with their completed review.

• Form and Style Review Checklist

Doctoral Capstone Template Guidance

To accompany the doctoral capstone template document, here is some information to note when first beginning to use the template.

• The document may contain various front matter elements (i.e., two title pages, the abstract, a Dedication page, and an Acknowledgements page), a Table of Contents (TOC), Lists of Tables and Figures, the document body text, a References list, and Appendices.
• Students should ensure that the text in brackets [ ] on the two title pages is changed to reflect their own information and then remove the brackets. This includes the title, name, degrees earned, degree program, and date of anticipated completion.
• Begin using the template by copying and pasting the text from a working document into the appropriate headings of the template and references to the reference list.

How to tag headings (so that headings show up in the TOC):

• Most headings are already placed into the document. Headings students add (i.e., primarily for the literature review and results chapters and sections) should be added by creating a new heading and tagging it so that it appears in the TOC when updated.
• Add a heading by first ensuring that the pilcrow [ ¶ ] is turned on—this allows the writer to see hidden formatting in the document that should not be deleted (e.g., page breaks and section breaks).
• Add the heading by placing the cursor where the heading should be inserted and creating a hard return.
• Then type the text for the heading and highlight it with the cursor, ensuring that you do NOT highlight the pilcrow.
• Once the text is highlighted, choose the appropriate APA Style heading from the Styles box on the Home tab. This is called tagging a heading. HINT: The Styles tab may need to be expanded by clicking on the small box with the arrow at the bottom of the Styles section. 

How to update the TOC (to bring in new headings and update page numbers):

• Once new headings have been added or text created or inserted such that the page numbers have shifted, the TOC should be updated.
• Update the TOC by clicking on it with the cursor so that the section becomes grey.
• Then, right click (or control click on a Mac) and choose “Update field.”
• Depending on whether headings or just text has been added, choose “Update entire table” or “Update page numbers only.”

Template and Formatting Resources:

• Form and Style Document Formatting Expectations , including information on APA, margins, pagination, etc.
• SMRTguide on Fixing Errors in the TOC
• Academic Skills Center (ASC) Capstone Template Formatting Videos
• For questions regarding layout formatting in the doctoral capstone, contact [email protected]  

About the PhD Dissertation

Students start the dissertation by documenting their initial investigation into a research topic, which is used to make decisions about the capstone and is provided to prospective faculty members of the supervisory committee. In all PhD programs, this document is called the Premise, which is followed by a Prospectus The Prospectus is a second document used to confirm the topic for the proposal and the structure of the dissertation committee.

Guides for completing these documents can be found on the Office of Research and Doctoral Services website . The Publication Manual of the American Psychological Association, Seventh Edition style should be used for both the Premise and the Prospectus, as well as for the proposal and final study.

The Dissertation Guidebook , available at the Office of Research and Doctoral Services's website, is a complete resource for information on form and style, steps in the dissertation process, and procedures. We also offer a series of capstone webinars on a variety of capstone-related topics.

For questions about writing the proposal, dissertation, thesis, or doctoral study, contact [email protected] .

Confused about assumptions, limitations, and delimitations? See Jen's blog post .

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• Formatting Your Dissertation
• Introduction

Harvard Griffin GSAS strives to provide students with timely, accurate, and clear information. If you need help understanding a specific policy, please contact the office that administers that policy.

• Application for Degree
• Credit for Completed Graduate Work
• Ad Hoc Degree Programs
• Acknowledging the Work of Others
• Advanced Planning
• Dissertation Advisory Committee
• Dissertation Submission Checklist
• Publishing Options
• Submitting Your Dissertation
• English Language Proficiency
• PhD Program Requirements
• Secondary Fields
• Year of Graduate Study (G-Year)
• Master's Degrees
• Grade and Examination Requirements
• Conduct and Safety
• Financial Aid
• Non-Resident Students
• Registration

On this page:

Language of the Dissertation

Page and text requirements, body of text, tables, figures, and captions, dissertation acceptance certificate, copyright statement.

• Table of Contents

Front and Back Matter

Supplemental material, dissertations comprising previously published works, top ten formatting errors, further questions.

• Related Contacts and Forms

When preparing the dissertation for submission, students must follow strict formatting requirements. Any deviation from these requirements may lead to rejection of the dissertation and delay in the conferral of the degree.

The language of the dissertation is ordinarily English, although some departments whose subject matter involves foreign languages may accept a dissertation written in a language other than English.

Most dissertations are 100 to 300 pages in length. All dissertations should be divided into appropriate sections, and long dissertations may need chapters, main divisions, and subdivisions.

• 8½ x 11 inches, unless a musical score is included
• At least 1 inch for all margins
• Body of text: double spacing
• Block quotations, footnotes, and bibliographies: single spacing within each entry but double spacing between each entry
• Table of contents, list of tables, list of figures or illustrations, and lengthy tables: single spacing may be used

Fonts and Point Size

Use 10-12 point size. Fonts must be embedded in the PDF file to ensure all characters display correctly. 

Recommended Fonts

If you are unsure whether your chosen font will display correctly, use one of the following fonts: 

If fonts are not embedded, non-English characters may not appear as intended. Fonts embedded improperly will be published to DASH as-is. It is the student’s responsibility to make sure that fonts are embedded properly prior to submission. 

Instructions for Embedding Fonts

To embed your fonts in recent versions of Word, follow these instructions from Microsoft:

• Click the File tab and then click Options .
• In the left column, select the Save tab.
• Clear the Do not embed common system fonts check box.

For reference, below are some instructions from ProQuest UMI for embedding fonts in older file formats:

To embed your fonts in Microsoft Word 2010:

• In the File pull-down menu click on Options .
• Choose Save on the left sidebar.
• Check the box next to Embed fonts in the file.
• Click the OK button.
• Save the document.

Note that when saving as a PDF, make sure to go to “more options” and save as “PDF/A compliant”

To embed your fonts in Microsoft Word 2007:

• Click the circular Office button in the upper left corner of Microsoft Word.
• A new window will display. In the bottom right corner select Word Options . 
• Choose Save from the left sidebar.

Using Microsoft Word on a Mac:

Microsoft Word 2008 on a Mac OS X computer will automatically embed your fonts while converting your document to a PDF file.

If you are converting to PDF using Acrobat Professional (instructions courtesy of the Graduate Thesis Office at Iowa State University):  

• Open your document in Microsoft Word. 
• Click on the Adobe PDF tab at the top. Select "Change Conversion Settings." 
• Click on Advanced Settings. 
• Click on the Fonts folder on the left side of the new window. In the lower box on the right, delete any fonts that appear in the "Never Embed" box. Then click "OK." 
• If prompted to save these new settings, save them as "Embed all fonts." 
• Now the Change Conversion Settings window should show "embed all fonts" in the Conversion Settings drop-down list and it should be selected. Click "OK" again. 
• Click on the Adobe PDF link at the top again. This time select Convert to Adobe PDF. Depending on the size of your document and the speed of your computer, this process can take 1-15 minutes. 
• After your document is converted, select the "File" tab at the top of the page. Then select "Document Properties." 
• Click on the "Fonts" tab. Carefully check all of your fonts. They should all show "(Embedded Subset)" after the font name. 
•  If you see "(Embedded Subset)" after all fonts, you have succeeded.

The font used in the body of the text must also be used in headers, page numbers, and footnotes. Exceptions are made only for tables and figures created with different software and inserted into the document.

Tables and figures must be placed as close as possible to their first mention in the text. They may be placed on a page with no text above or below, or they may be placed directly into the text. If a table or a figure is alone on a page (with no narrative), it should be centered within the margins on the page. Tables may take up more than one page as long as they obey all rules about margins. Tables and figures referred to in the text may not be placed at the end of the chapter or at the end of the dissertation.

• Given the standards of the discipline, dissertations in the Department of History of Art and Architecture and the Department of Architecture, Landscape Architecture, and Urban Planning often place illustrations at the end of the dissertation.

Figure and table numbering must be continuous throughout the dissertation or by chapter (e.g., 1.1, 1.2, 2.1, 2.2, etc.). Two figures or tables cannot be designated with the same number. If you have repeating images that you need to cite more than once, label them with their number and A, B, etc. 

Headings should be placed at the top of tables. While no specific rules for the format of table headings and figure captions are required, a consistent format must be used throughout the dissertation (contact your department for style manuals appropriate to the field).

Captions should appear at the bottom of any figures. If the figure takes up the entire page, the caption should be placed alone on the preceding page, centered vertically and horizontally within the margins.

Each page receives a separate page number. When a figure or table title is on a preceding page, the second and subsequent pages of the figure or table should say, for example, “Figure 5 (Continued).” In such an instance, the list of figures or tables will list the page number containing the title. The word “figure” should be written in full (not abbreviated), and the “F” should be capitalized (e.g., Figure 5). In instances where the caption continues on a second page, the “(Continued)” notation should appear on the second and any subsequent page. The figure/table and the caption are viewed as one entity and the numbering should show correlation between all pages. Each page must include a header.

Landscape orientation figures and tables must be positioned correctly and bound at the top so that the top of the figure or table will be at the left margin. Figure and table headings/captions are placed with the same orientation as the figure or table when on the same page. When on a separate page, headings/captions are always placed in portrait orientation, regardless of the orientation of the figure or table. Page numbers are always placed as if the figure were vertical on the page.

If a graphic artist does the figures, Harvard Griffin GSAS will accept lettering done by the artist only within the figure. Figures done with software are acceptable if the figures are clear and legible. Legends and titles done by the same process as the figures will be accepted if they too are clear, legible, and run at least 10 or 12 characters per inch. Otherwise, legends and captions should be printed with the same font used in the text.

Original illustrations, photographs, and fine arts prints may be scanned and included, centered between the margins on a page with no text above or below.

Use of Third-Party Content

In addition to the student's own writing, dissertations often contain third-party content or in-copyright content owned by parties other than you, the student who authored the dissertation. The Office for Scholarly Communication recommends consulting the information below about fair use, which allows individuals to use in-copyright content, on a limited basis and for specific purposes, without seeking permission from copyright holders.

Because your dissertation will be made available for online distribution through DASH , Harvard's open-access repository, it is important that any third-party content in it may be made available in this way.

Fair Use and Copyright 

What is fair use?

Fair use is a provision in copyright law that allows the use of a certain amount of copyrighted material without seeking permission. Fair use is format- and media-agnostic. This means fair use may apply to images (including photographs, illustrations, and paintings), quoting at length from literature, videos, and music regardless of the format. 

How do I determine whether my use of an image or other third-party content in my dissertation is fair use?  

There are four factors you will need to consider when making a fair use claim.

1) For what purpose is your work going to be used?

• Nonprofit, educational, scholarly, or research use favors fair use. Commercial, non-educational uses, often do not favor fair use.
• A transformative use (repurposing or recontextualizing the in-copyright material) favors fair use. Examining, analyzing, and explicating the material in a meaningful way, so as to enhance a reader's understanding, strengthens your fair use argument. In other words, can you make the point in the thesis without using, for instance, an in-copyright image? Is that image necessary to your dissertation? If not, perhaps, for copyright reasons, you should not include the image.  

2) What is the nature of the work to be used?

• Published, fact-based content favors fair use and includes scholarly analysis in published academic venues. 
• Creative works, including artistic images, are afforded more protection under copyright, and depending on your use in light of the other factors, may be less likely to favor fair use; however, this does not preclude considerations of fair use for creative content altogether.

3) How much of the work is going to be used?  

• Small, or less significant, amounts favor fair use. A good rule of thumb is to use only as much of the in-copyright content as necessary to serve your purpose. Can you use a thumbnail rather than a full-resolution image? Can you use a black-and-white photo instead of color? Can you quote select passages instead of including several pages of the content? These simple changes bolster your fair use of the material.

4) What potential effect on the market for that work may your use have?

• If there is a market for licensing this exact use or type of educational material, then this weighs against fair use. If however, there would likely be no effect on the potential commercial market, or if it is not possible to obtain permission to use the work, then this favors fair use. 

For further assistance with fair use, consult the Office for Scholarly Communication's guide, Fair Use: Made for the Harvard Community and the Office of the General Counsel's Copyright and Fair Use: A Guide for the Harvard Community .

What are my options if I don’t have a strong fair use claim? 

Consider the following options if you find you cannot reasonably make a fair use claim for the content you wish to incorporate:

• Seek permission from the copyright holder. 
• Use openly licensed content as an alternative to the original third-party content you intended to use. Openly-licensed content grants permission up-front for reuse of in-copyright content, provided your use meets the terms of the open license.
• Use content in the public domain, as this content is not in-copyright and is therefore free of all copyright restrictions. Whereas third-party content is owned by parties other than you, no one owns content in the public domain; everyone, therefore, has the right to use it.

For use of images in your dissertation, please consult this guide to Finding Public Domain & Creative Commons Media , which is a great resource for finding images without copyright restrictions. 

Who can help me with questions about copyright and fair use?

Contact your Copyright First Responder . Please note, Copyright First Responders assist with questions concerning copyright and fair use, but do not assist with the process of obtaining permission from copyright holders.

Pages should be assigned a number except for the Dissertation Acceptance Certificate . Preliminary pages (abstract, table of contents, list of tables, graphs, illustrations, and preface) should use small Roman numerals (i, ii, iii, iv, v, etc.). All pages must contain text or images.  

Count the title page as page i and the copyright page as page ii, but do not print page numbers on either page .

For the body of text, use Arabic numbers (1, 2, 3, 4, 5, etc.) starting with page 1 on the first page of text. Page numbers must be centered throughout the manuscript at the top or bottom. Every numbered page must be consecutively ordered, including tables, graphs, illustrations, and bibliography/index (if included); letter suffixes (such as 10a, 10b, etc.) are not allowed. It is customary not to have a page number on the page containing a chapter heading.

• Check pagination carefully. Account for all pages.

A copy of the Dissertation Acceptance Certificate (DAC) should appear as the first page. This page should not be counted or numbered. The DAC will appear in the online version of the published dissertation. The author name and date on the DAC and title page should be the same. 

The dissertation begins with the title page; the title should be as concise as possible and should provide an accurate description of the dissertation. The author name and date on the DAC and title page should be the same. 

• Do not print a page number on the title page. It is understood to be page  i  for counting purposes only.

A copyright notice should appear on a separate page immediately following the title page and include the copyright symbol ©, the year of first publication of the work, and the name of the author:

© [ year ] [ Author’s Name ] All rights reserved.

Alternatively, students may choose to license their work openly under a  Creative Commons  license. The author remains the copyright holder while at the same time granting up-front permission to others to read, share, and (depending on the license) adapt the work, so long as proper attribution is given. (By default, under copyright law, the author reserves all rights; under a Creative Commons license, the author reserves some rights.)

• Do  not  print a page number on the copyright page. It is understood to be page  ii  for counting purposes only.

An abstract, numbered as page  iii , should immediately follow the copyright page and should state the problem, describe the methods and procedures used, and give the main results or conclusions of the research. The abstract will appear in the online and bound versions of the dissertation and will be published by ProQuest. There is no maximum word count for the abstract. 

• double-spaced
• left-justified
• indented on the first line of each paragraph
• The author’s name, right justified
• The words “Dissertation Advisor:” followed by the advisor’s name, left-justified (a maximum of two advisors is allowed)
• Title of the dissertation, centered, several lines below author and advisor

Dissertations divided into sections must contain a table of contents that lists, at minimum, the major headings in the following order:

• Front Matter
• Body of Text
• Back Matter

Front matter includes (if applicable):

• acknowledgements of help or encouragement from individuals or institutions
• a dedication
• a list of illustrations or tables
• a glossary of terms
• one or more epigraphs.

Back matter includes (if applicable):

• bibliography
• supplemental materials, including figures and tables
• an index (in rare instances).

Supplemental figures and tables must be placed at the end of the dissertation in an appendix, not within or at the end of a chapter. If additional digital information (including audio, video, image, or datasets) will accompany the main body of the dissertation, it should be uploaded as a supplemental file through ProQuest ETD . Supplemental material will be available in DASH and ProQuest and preserved digitally in the Harvard University Archives.

As a matter of copyright, dissertations comprising the student's previously published works must be authorized for distribution from DASH. The guidelines in this section pertain to any previously published material that requires permission from publishers or other rightsholders before it may be distributed from DASH. Please note:

• Authors whose publishing agreements grant the publisher exclusive rights to display, distribute, and create derivative works will need to seek the publisher's permission for nonexclusive use of the underlying works before the dissertation may be distributed from DASH.
• Authors whose publishing agreements indicate the authors have retained the relevant nonexclusive rights to the original materials for display, distribution, and the creation of derivative works may distribute the dissertation as a whole from DASH without need for further permissions.

It is recommended that authors consult their publishing agreements directly to determine whether and to what extent they may have transferred exclusive rights under copyright. The Office for Scholarly Communication (OSC) is available to help the author determine whether she has retained the necessary rights or requires permission. Please note, however, the Office of Scholarly Communication is not able to assist with the permissions process itself.

• Missing Dissertation Acceptance Certificate.  The first page of the PDF dissertation file should be a scanned copy of the Dissertation Acceptance Certificate (DAC). This page should not be counted or numbered as a part of the dissertation pagination.
• Conflicts Between the DAC and the Title Page.  The DAC and the dissertation title page must match exactly, meaning that the author name and the title on the title page must match that on the DAC. If you use your full middle name or just an initial on one document, it must be the same on the other document.  
• Abstract Formatting Errors. The advisor name should be left-justified, and the author's name should be right-justified. Up to two advisor names are allowed. The Abstract should be double spaced and include the page title “Abstract,” as well as the page number “iii.” There is no maximum word count for the abstract. 
•  The front matter should be numbered using Roman numerals (iii, iv, v, …). The title page and the copyright page should be counted but not numbered. The first printed page number should appear on the Abstract page (iii). 
• The body of the dissertation should be numbered using Arabic numbers (1, 2, 3, …). The first page of the body of the text should begin with page 1. Pagination may not continue from the front matter. 
• All page numbers should be centered either at the top or the bottom of the page.
• Figures and tables Figures and tables must be placed within the text, as close to their first mention as possible. Figures and tables that span more than one page must be labeled on each page. Any second and subsequent page of the figure/table must include the “(Continued)” notation. This applies to figure captions as well as images. Each page of a figure/table must be accounted for and appropriately labeled. All figures/tables must have a unique number. They may not repeat within the dissertation.
• Any figures/tables placed in a horizontal orientation must be placed with the top of the figure/ table on the left-hand side. The top of the figure/table should be aligned with the spine of the dissertation when it is bound. 
• Page numbers must be placed in the same location on all pages of the dissertation, centered, at the bottom or top of the page. Page numbers may not appear under the table/ figure.
• Supplemental Figures and Tables. Supplemental figures and tables must be placed at the back of the dissertation in an appendix. They should not be placed at the back of the chapter. 
• Permission Letters Copyright. permission letters must be uploaded as a supplemental file, titled ‘do_not_publish_permission_letters,” within the dissertation submission tool.
•  DAC Attachment. The signed Dissertation Acceptance Certificate must additionally be uploaded as a document in the "Administrative Documents" section when submitting in Proquest ETD . Dissertation submission is not complete until all documents have been received and accepted.
• Overall Formatting. The entire document should be checked after all revisions, and before submitting online, to spot any inconsistencies or PDF conversion glitches.
• You can view dissertations successfully published from your department in DASH . This is a great place to check for specific formatting and area-specific conventions.
• Contact the  Office of Student Affairs  with further questions.

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