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Manuscript-Based (Article-Based) Theses

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FAQ on manuscript-based theses

As an alternative to the traditional format, a thesis may be presented as a collection of scholarly papers of which the student is the first author or co-first author. A manuscript-based doctoral thesis must include the text of a minimum of two manuscripts published, submitted or to be submitted for publication. A manuscript-based Master’s thesis must include the text of one or more manuscripts. Articles must be formatted according to the requirements described below. Note that a manuscript-based thesis must follow the general structure of a thesis as explained here . An FAQ explaining the difference between a standard and a manuscript-based thesis is available here .

Manuscripts for publication in journals are frequently very concise documents. A thesis, however, is expected to consist of more detailed, scholarly work. A manuscript-based thesis will be evaluated by the examiners as a unified, logically coherent document in the same way a traditional thesis is evaluated. Publication of manuscripts, or acceptance for publication by a peer-reviewed journal, does not guarantee that the thesis will be found acceptable for the degree sought.

A manuscript-based thesis must:

• be presented with uniform font size, line spacing, and margin sizes (see Thesis Format under Preparation of a Thesis );
• conform to all other requirements listed under Thesis Components on the Preparation of a Thesis page;
• contain additional text that connects the manuscript(s) in a logical progression from one chapter to the next, producing a cohesive, unitary focus, and documenting a single program of research - the manuscript(s) alone do not constitute the thesis;
• stand as an integrated whole.

Any manuscripts that are under review, accepted or published in a journal must be included in your manuscript-based thesis without changes (i.e. identical to the published or submitted versions). The only change is with respect to the font/size which should be the same as the one used for the rest of the thesis for consistency and homogeneity reasons. So each chapter represents a full manuscript and has its own reference list. Then at the end of the thesis, you have a master reference list which includes all the other references cited throughout the other sections of the thesis, mostly within the general introduction but also from the general discussion.

Depending on the feedback of your examiners and/or the oral defence committee, you may be required to make revisions to your thesis before final submission. The committee’s comments must be addressed in the connecting text between chapters and/or the discussion section. You must not make any changes to the manuscripts themselves in your final thesis.

In the case of multiple-authored articles, the student must be the first author . Multiple-authored articles cannot be used in more than one thesis. In the case of students who have worked collaboratively on projects, it may be preferable for both students to write a traditional format thesis, identifying individual contributions. Consult this page for information on intellectual property and required permissions/waivers.

In the case of co-first authored articles , only one student can use the article in a manuscript-based thesis and must have a written agreement from the other co-first author student(s).

This work is licensed under a Creative Commons Attribution Non-Commercial 4.0 International License . Graduate and Postdoctoral Studies, McGill University .

Department and University Information

Graduate and postdoctoral studies.

Think of yourself as a member of a jury, listening to a lawyer who is presenting an opening argument. You'll want to know very soon whether the lawyer believes the accused to be guilty or not guilty, and how the lawyer plans to convince you. Readers of academic essays are like jury members: before they have read too far, they want to know what the essay argues as well as how the writer plans to make the argument. After reading your thesis statement, the reader should think, "This essay is going to try to convince me of something. I'm not convinced yet, but I'm interested to see how I might be."

An effective thesis cannot be answered with a simple "yes" or "no." A thesis is not a topic; nor is it a fact; nor is it an opinion. "Reasons for the fall of communism" is a topic. "Communism collapsed in Eastern Europe" is a fact known by educated people. "The fall of communism is the best thing that ever happened in Europe" is an opinion. (Superlatives like "the best" almost always lead to trouble. It's impossible to weigh every "thing" that ever happened in Europe. And what about the fall of Hitler? Couldn't that be "the best thing"?)

A good thesis has two parts. It should tell what you plan to argue, and it should "telegraph" how you plan to argue—that is, what particular support for your claim is going where in your essay.

Steps in Constructing a Thesis

First, analyze your primary sources.  Look for tension, interest, ambiguity, controversy, and/or complication. Does the author contradict himself or herself? Is a point made and later reversed? What are the deeper implications of the author's argument? Figuring out the why to one or more of these questions, or to related questions, will put you on the path to developing a working thesis. (Without the why, you probably have only come up with an observation—that there are, for instance, many different metaphors in such-and-such a poem—which is not a thesis.)

Once you have a working thesis, write it down.  There is nothing as frustrating as hitting on a great idea for a thesis, then forgetting it when you lose concentration. And by writing down your thesis you will be forced to think of it clearly, logically, and concisely. You probably will not be able to write out a final-draft version of your thesis the first time you try, but you'll get yourself on the right track by writing down what you have.

Keep your thesis prominent in your introduction.  A good, standard place for your thesis statement is at the end of an introductory paragraph, especially in shorter (5-15 page) essays. Readers are used to finding theses there, so they automatically pay more attention when they read the last sentence of your introduction. Although this is not required in all academic essays, it is a good rule of thumb.

Anticipate the counterarguments.  Once you have a working thesis, you should think about what might be said against it. This will help you to refine your thesis, and it will also make you think of the arguments that you'll need to refute later on in your essay. (Every argument has a counterargument. If yours doesn't, then it's not an argument—it may be a fact, or an opinion, but it is not an argument.)

This statement is on its way to being a thesis. However, it is too easy to imagine possible counterarguments. For example, a political observer might believe that Dukakis lost because he suffered from a "soft-on-crime" image. If you complicate your thesis by anticipating the counterargument, you'll strengthen your argument, as shown in the sentence below.

Some Caveats and Some Examples

A thesis is never a question.  Readers of academic essays expect to have questions discussed, explored, or even answered. A question ("Why did communism collapse in Eastern Europe?") is not an argument, and without an argument, a thesis is dead in the water.

A thesis is never a list.  "For political, economic, social and cultural reasons, communism collapsed in Eastern Europe" does a good job of "telegraphing" the reader what to expect in the essay—a section about political reasons, a section about economic reasons, a section about social reasons, and a section about cultural reasons. However, political, economic, social and cultural reasons are pretty much the only possible reasons why communism could collapse. This sentence lacks tension and doesn't advance an argument. Everyone knows that politics, economics, and culture are important.

A thesis should never be vague, combative or confrontational.  An ineffective thesis would be, "Communism collapsed in Eastern Europe because communism is evil." This is hard to argue (evil from whose perspective? what does evil mean?) and it is likely to mark you as moralistic and judgmental rather than rational and thorough. It also may spark a defensive reaction from readers sympathetic to communism. If readers strongly disagree with you right off the bat, they may stop reading.

An effective thesis has a definable, arguable claim.  "While cultural forces contributed to the collapse of communism in Eastern Europe, the disintegration of economies played the key role in driving its decline" is an effective thesis sentence that "telegraphs," so that the reader expects the essay to have a section about cultural forces and another about the disintegration of economies. This thesis makes a definite, arguable claim: that the disintegration of economies played a more important role than cultural forces in defeating communism in Eastern Europe. The reader would react to this statement by thinking, "Perhaps what the author says is true, but I am not convinced. I want to read further to see how the author argues this claim."

A thesis should be as clear and specific as possible.  Avoid overused, general terms and abstractions. For example, "Communism collapsed in Eastern Europe because of the ruling elite's inability to address the economic concerns of the people" is more powerful than "Communism collapsed due to societal discontent."

Copyright 1999, Maxine Rodburg and The Tutors of the Writing Center at Harvard University

PhD thesis types: Monograph and collection of articles

Starting PhD students often face a difficult choice. They have to decide whether they want to write their dissertation in the form of a monograph, or as a collection of journal articles. Some universities have strict requirements, not leaving a choice. But most offer both options. The decision is left to students and their supervisors and requires careful consideration.

Advantages of writing a monograph

Disadvantages of writing a monograph, advantages of a cumulative dissertation, disadvantages of a cumulative dissertation, checklist before deciding on a monograph or an article-based phd, writing a thesis as a monograph.

A monograph is a detailed study in one piece. Think of a book.

A monograph resembles an academic book. It typically has an introductory chapter, a methodology chapter, and a literature review chapter. Then, the empirical results of the PhD study are presented in several chapters of analysis. The final discussion and conclusion chapter wraps up the study.

A monograph is generally the first thing that comes to mind when thinking about a PhD thesis.

In some countries, monographs are still the norm. In others, theses based on academic articles are becoming increasingly popular.

• Writing a coherent thesis is easier: You can edit all chapters of your thesis until your submission deadline.
• You can write very detailed empirical analyses. In contrast, many journals have word limits for their articles.
• You gain valuable skills in writing and editing long (academic) texts. When you finish your PhD, you can even try to publish your monograph as a book.
• You are never done. If you change something in Chapter 5, you might have to adjust Chapter 2 as well.
• A PhD as a monograph does not automatically lead to journal publications. Journal publications are key indicators for academic careers.
• Writing good, publishable articles for high-ranking academic journals is a skill. You are not developing these skills as part of your thesis writing process.

Writing a thesis as a collection of articles (cumulative dissertation)

A thesis based on a collection of articles is based on individual journal publications. Universities tend to require 3-5 academic articles, published or submitted to academic journals.

The specific regulations differ from university to university, so make sure that you check what applies to you!

Combined, the individual articles form the body of the thesis. Nonetheless, a PhD thesis in the form of articles begins with an introduction. Some also have an extra chapter here and there, which is not published as a journal article.

Then, the journal articles are packed together, and followed by a general conclusion that rounds up the thesis.

• The overwhelming task of writing a PhD is divided into concrete parts. Many PhD students write one article every 9 to 12 months.
• Once an article is published, you cannot edit it anymore. This saves you from obsessive perfectionism, editing your work over and over again.
• You will have a head start in terms of publications. Publishing is a lengthy process. 3-5 completed articles at the end of your PhD is a big advantage.
• Cumulative PhD theses are often less coherent than monographs. It is difficult to integrate independent journal articles into a coherent whole.
• For each journal article, you need to develop a distinct theoretical framework. If the theory is not your forte, you might struggle with this.
• In some countries, PhD theses based on articles are considered worth less than monographs, and are looked down upon.

There is no right or wrong. Both monographs and theses based on a collection of articles have advantages and disadvantages.

One is also not easier than the other. But one might be more suited to your specific situation.

When making a decision, ask yourself the following questions:

• What are your university’s regulations when it comes to thesis types?
• What is the reputation of both thesis types in your (national) context? And in the context in which you aspire to work in?
• What is your strength? (conducting detailed empirical analyses vs abstract theoretical thinking)
• What is your end goal? (a non-academic career vs. an academic career requiring high numbers of journal publications)
• Which thesis type fits best with your research topic?

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Ten reasons to pursue an academic career

How to write a good research proposal (in 9 steps), related articles.

Sample emails to your thesis supervisor

Minimalist writing for a better thesis

Why you cannot write a PhD thesis in 3-6 months

The top 10 thesis defense questions (+ how to prepare strong answers)

Writing your thesis

Follow these steps, thesis proposal arrow_drop_down.

Most doctoral programs and some master’s programs require students to submit a formal thesis proposal. The thesis proposal is an excellent planning tool. It helps bring the thesis topic into sharper focus. A thesis proposal may start out being vague, but as the student works on the proposal and discusses it with his or her supervisor, the proposal should outline: 

• the topic or the central research question
• the resources from which the topic or research question is drawn, and
• where relevant, the strategies and instruments used for data collection and analysis.

The research conducted for the proposal will be a useful foundation in preparing the thesis. With this in mind, during this proposal writing stage, the student should start “building” what will eventually become footnotes or endnotes, and a full bibliography or list of references. This means taking meticulous notes and keeping track of the author, title, place and date of publication, and any relevant page numbers in works consulted.

Where appropriate, it is helpful to outline in the proposal the actual papers that will be submitted should the work proceed as planned, including authorships in the case of collaborative projects. This will give the student and the supervisor a clear idea of responsibilities and expectations.

The student may have to present the proposal formally as part of the approval process. This is an opportunity to sharpen the student's focus and to set out exactly how he or she intends to proceed.

Some research projects require other approvals such as ethical clearances. The thesis supervisor should know what approvals are required and how they can be obtained, but the student is ultimately responsible for obtaining these approvals.

Topic registration arrow_drop_down

The topic of the thesis is to be determined in consultation with the student's research supervisor.  

From the  uoZone  Application tab, click Candidate Center to create a service request and register your thesis topic.

Work plan arrow_drop_down

The work plan should include realistic target dates for all the major milestones. Students should show their thesis supervisor a work plan as soon as possible. This will help ensure that the student has not forgotten anything, and give the student a sense of whether his or her expectations about turnaround time and feedback are feasible for the supervisor. Once the student and supervisor have discussed and agreed on the work plan, the student should give the supervisor a copy. Information supplements are at the student's disposal to help them prepare their work plan.

Components of a work plan

The work plan, at a minimum should include at least ballpark dates for these:

• narrowing down the thesis topic
• beginning the research
• completing the field work, the mining of sources, or the experimental part or the data collection
• coming up with at least a rough thesis outline at a point appropriate to the topic and discipline
• completing most of your research
• where relevant, drafting and submitting each chapter to the thesis supervisor
• where relevant, receiving feedback on each chapter submitted
• submitting a completed first draft to the supervisor
• hearing back from the supervisor after the student submits the completed first draft
• doing changes that the student and supervisor have agreed on
• providing the last version of the thesis to the supervisor for approval before submission of the thesis
• submitting articles to journals
• presenting research at conferences
• submitting the completed thesis
• defending the thesis (some master's programs do not require an oral defence)

Research arrow_drop_down

By the time the candidate becomes a graduate student, he or she should know quite a bit about writing papers even though the sheer size of the thesis project makes a difference. The supervisor will help, but any student embarking on a thesis should also read up independently on how to research and write a thesis.  The style guide appropriate to the student's discipline will include tips on research, the mechanics of writing, and citing sources properly.

Improving skills

The students will need to use their research, writing and oral presentation skills to complete their thesis. They will improve in all these areas with practice. If a candidate lacks confidence in any of the skills necessary for success, he or she should speak to the thesis supervisor about training courses that may be offered at the University to address what they perceive as shortcomings in the required abilities. Avail of the  Academic Writing Help Centre’s (AWHC)  resources about the mechanics of writing.

Literature review

The purpose of a literature review is to demonstrate the student’s knowledge of, and ability to synthesize, major aspects of the scholarly literature of the field in which the student’s thesis is situated. The review also helps the reader to place the student’s work in its context. As a finished product, the literature review shows that the student is familiar with the literature pertinent to his topic; shows the importance of his decision to conduct research and write on the topic with the approach chosen; explores what has been written on the topic and by whom; and, explores what the literature tells, what it does not tell, and why both of these are important for his topic.

The scope of the literature review must be broader than the topic of the student’s thesis. It must cover the major scholarly contributions to the field of study in which the student’s thesis is situated.

Narrow down your topic

The students should discuss potential topics with the supervisor and colleagues, and think carefully about the feasibility of the topic in relation to the number and complexity of the experiments required, the lab equipment required, their knowledge of the different related fields, the extent of the reading required, and the accessibility of the books or items to be studied. 

Get approvals

As already discussed, the students have to obtain all the necessary approvals for your thesis topic. In addition to ethics and other approvals, a student who plans to travel abroad to do research must investigate possible international travel restrictions. Depending on the country in which the research will be conducted, students should check with the  Office of Risk Management and uOInternational before making plans to do research abroad.

Research: collect and analyze data

When researching the topic, or collecting and analyzing data, the student should read as widely as possible and take meticulous notes identifying each source. They should also sharpen their focus as they go, if necessary, and keep developing and refining their thesis outlines.

Hints on note-taking and proper referencing

Writing arrow_drop_down

Depending on the discipline and topic, the student may finish all their research and then begin writing, or they may move back and forth between research and writing.

It is important to know when it is time to stop researching and start writing. The students should give themselves time to develop ideas, but recognize real procrastination and try to avoid it.

When the students start writing, they shouldn't get stuck on the introduction. The thesis will have a linear structure in the end, but that doesn’t mean it starts out that way. The student should get as much written as they can. Then they can really start to work with it. Since writing is a way of thinking, in some disciplines the students may have to write all the way to the end of a section before they arrive at what they really want to say—at that point they may move the end to the beginning and start again.

A cademic Writing Help Centre (AWHC)

Revision arrow_drop_down

The students should expect to have to make revisions to what they have already written, either as a result of their own analyses of the ideas, structure and organization of the paper or as a result of feedback from others. Revision as a result of feedback is an important part of writing a thesis and good practice—in many workplaces, revision as a result of feedback is part of the job.

Editing arrow_drop_down

There are many kinds of editing the student might have to do to their thesis. These range from relatively superficial proofreading and copy editing for spelling and typographical errors to more substantive edits that get at the heart of the paper and border on revision—reorganizing sections, for example.

It is possible to seek professional proofreading assistance by hiring an editor. Students should always consult their thesis supervisor before seeking services of professional proofreaders /editors . In such case s , the student is entirely responsible for the cost of services rendered by the editor. It is the student ’s responsibility to accept, decline or challenge the advice and corrections suggested by a proofreader.  Students must formally acknowledge the use of a proofreader in the final submitted version of the thesis.

Beyond the basic steps outlined above, how the student proceeds with the research and writing will depend a lot on the chosen discipline, the topic and the student's personal style.

Academic Writing Help Center (AWHC)

Thesis seminar arrow_drop_down

Some academic units require a student to lead a seminar on the thesis topic towards the end of the thesis preparation period usually a couple of months before the thesis defence. Fellow students, supervisors, members of the thesis committee and other members of the academic unit often attend.

In some cases, students present their research within a seminar course, usually referred to as a research seminar. This seminar provides an ideal forum for a student to discuss the thesis and to practice for the upcoming defence.

The student should check with his or her thesis supervisor and academic unit to see whether this is possible or required in the chosen program.

Also, the students should attend seminars given by other students in the chosen program or in other programs. This way, they can get a realistic idea of what will be expected. They should also attend or present at the annual interdisciplinary conference organized by the Graduate Student’s Association (GSAÉD) at the University of Ottawa.

Learn about thesis types

Master thesis arrow_drop_down.

A master’s thesis must show that the student is able to work in a scholarly manner and is acquainted with the principal works published on the subject of the thesis. As much as possible, it should be an original contribution. Some disciplines require that the thesis be of publishable quality. There is an oral examination for a master’s thesis, in the presence of examiners, if that is a program requirement.  Some master’s programs do not require an oral examination for the thesis.

Doctoral thesis arrow_drop_down

A doctoral thesis must make a significant contribution to knowledge in a field of study, embody the results of original investigation and analysis, and be of such quality as to merit publication.

A doctoral thesis may build upon and continue the work done by a student in his or her master’s thesis, but must go significantly beyond the master’s thesis and be substantially different from that thesis. There is an oral examination for a doctoral thesis, in presence of examiners.

Thesis formats

Monograph thesis arrow_drop_down.

The monograph thesis is the most usual form in the humanities and social sciences and it resembles a non-fiction book in that it deals in depth with a particular topic.

Monograph components

Thesis as a series of articles arrow_drop_down

A significant number of thesis, especially in the sciences, engineering and medicine, consist of a series of articles or, very rarely, a single article. Each individual academic unit decides which format is suitable for its discipline, so before the student embarks on the thesis, he or she should check with the academic unit to see what format is accepted.

Components of a thesis in a series of articles (see C-7.3)

Non-traditional thesis arrow_drop_down

It is the responsibility of each program to determine what non-traditional thesis forms are acceptable.

Components of a non-traditional thesis (see C-7.3)

Additional information

Ethics and collaboration arrow_drop_down.

If the research embodied in the article or articles required approval of an ethics board or was part of a collaboration, this must be spelled out in a preface. In this preface or statement, the student must indicate what ethics approvals were secured and give a detailed account of the contributions of collaborators and/or co-authors which clearly distinguishes the contributions of this student from those of all other collaborators or co-authors, and identifies in detail all other contributions.

Copyright arrow_drop_down

The student must get permission to use copyrighted material from any co-authors as well as from publishers.

Thesis toolbox

• Directories

Thesis by compilation

A thesis by compilation (otherwise known as a thesis by publication) is a thesis which includes some of your journal article manuscripts which have been or are in the process of being published. If you are writing a thesis by compilation, its structure may be slightly different to that of a traditional thesis. However, a thesis by compilation still requires you to have a central argument. Even though you may present multiple manuscripts, they each need to develop your argument in response to your main research question(s). 

There are several ways to structure a thesis by compilation. Since manuscripts typically only convey a part of your research, and are published as standalone pieces, you will need to explain throughout the thesis how each manuscript develops your main argument. It is also very likely that you will need to include chapters in addition to the manuscripts, so that your argument is fully developed. There are a range of options for how to do this.

One popular option is to provide linking sections between the manuscripts. Linking sections introduce your manuscripts and explain how they contribute to your thesis' research question(s) and argument. These sections are usually a few pages long, but can be longer. You can also provide linking sections at the end of a manuscript. Typically, this format includes: 

• A thesis introduction
• A literature review (which may be part of the thesis introduction or a separate chapter)
• Manuscripts, each preceded by a linking section introducing the manuscript. A summary section further linking the manuscript to the central argument may also follow each manuscript. 
• Non-published chapters 
• A general discussion chapter and/or conclusion.

In addition to providing linking sections, you might consider expanding on the material in your manuscripts. Since manuscripts fit concise word limits, they can usually only represent part of your research. You might wish to include further data, analysis and discussion relevant to the manuscripts and your argument. Such expanded material could be presented following the relevant manuscripts, or presented as additional body chapters. Another approach is to present revised and extended versions of manuscripts as if they were traditional thesis chapters. This approach enables authors to add material and show the full extent of their data and analysis. In these cases, the manuscript is usually placed either directly before or after its extended version.

Note, however, that if you wish to include any supplementary material that is secondary to your central research question, then it should be placed in appendices rather than in the main thesis. 

Whichever options you consider, discuss your approach with your supervisor. Your supervisor will be able to provide guidance about whether you are meeting the requirements for a thesis by compilation. Further, the ANU has policies and procedures  which provide important information about the amount of of published work to include in the thesis and arrangements about co-authoring.

Thesis structures

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Review of Strategies for Writing a Thesis by Publication in the Social Sciences and Humanities . By Lynn P. Nygaard and Kristin Solli (2021)

Routledge, Abingdon, UK, 178 pp., ISBN: 978-0-367-20469-3. NZ$44.99 (softcover) or $38.99 (eBook)

• Book Review
• Published: 08 April 2022
• Volume 57 , pages 611–614, ( 2022 )

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There is much variation in the terminology used for such theses internationally. This review uses “by publication” for consistency with the book being reviewed; however, it should be noted that many NZ universities use the PhD with publication model, which typically has a lower expectation for the publication component of the thesis (fewer publications and/or ‘publications’ may not have actually been published yet).

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Nygaard, L. P., & Solli, K. (2021). Strategies for writing a thesis by publication in the social sciences and humanities . Routledge.

Skov, S. (2021). PhD by publication or monograph thesis? Supervisors and candidates negotiating the purpose of the thesis when choosing between formats. In C. Badenhorst, B. Amell, & J. Burford (Eds.), Re-imagining doctoral writing (pp. 71–86). WAC Clearinghouse. https://doi.org/10.37514/INT-B.2021.1343.2.03

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McChesney, K. Review of Strategies for Writing a Thesis by Publication in the Social Sciences and Humanities . By Lynn P. Nygaard and Kristin Solli (2021). NZ J Educ Stud 57 , 611–614 (2022). https://doi.org/10.1007/s40841-022-00248-1

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Thesis Statements

What this handout is about.

This handout describes what a thesis statement is, how thesis statements work in your writing, and how you can craft or refine one for your draft.

Introduction

Writing in college often takes the form of persuasion—convincing others that you have an interesting, logical point of view on the subject you are studying. Persuasion is a skill you practice regularly in your daily life. You persuade your roommate to clean up, your parents to let you borrow the car, your friend to vote for your favorite candidate or policy. In college, course assignments often ask you to make a persuasive case in writing. You are asked to convince your reader of your point of view. This form of persuasion, often called academic argument, follows a predictable pattern in writing. After a brief introduction of your topic, you state your point of view on the topic directly and often in one sentence. This sentence is the thesis statement, and it serves as a summary of the argument you’ll make in the rest of your paper.

What is a thesis statement?

A thesis statement:

• tells the reader how you will interpret the significance of the subject matter under discussion.
• is a road map for the paper; in other words, it tells the reader what to expect from the rest of the paper.
• directly answers the question asked of you. A thesis is an interpretation of a question or subject, not the subject itself. The subject, or topic, of an essay might be World War II or Moby Dick; a thesis must then offer a way to understand the war or the novel.
• makes a claim that others might dispute.
• is usually a single sentence near the beginning of your paper (most often, at the end of the first paragraph) that presents your argument to the reader. The rest of the paper, the body of the essay, gathers and organizes evidence that will persuade the reader of the logic of your interpretation.

If your assignment asks you to take a position or develop a claim about a subject, you may need to convey that position or claim in a thesis statement near the beginning of your draft. The assignment may not explicitly state that you need a thesis statement because your instructor may assume you will include one. When in doubt, ask your instructor if the assignment requires a thesis statement. When an assignment asks you to analyze, to interpret, to compare and contrast, to demonstrate cause and effect, or to take a stand on an issue, it is likely that you are being asked to develop a thesis and to support it persuasively. (Check out our handout on understanding assignments for more information.)

How do I create a thesis?

A thesis is the result of a lengthy thinking process. Formulating a thesis is not the first thing you do after reading an essay assignment. Before you develop an argument on any topic, you have to collect and organize evidence, look for possible relationships between known facts (such as surprising contrasts or similarities), and think about the significance of these relationships. Once you do this thinking, you will probably have a “working thesis” that presents a basic or main idea and an argument that you think you can support with evidence. Both the argument and your thesis are likely to need adjustment along the way.

Writers use all kinds of techniques to stimulate their thinking and to help them clarify relationships or comprehend the broader significance of a topic and arrive at a thesis statement. For more ideas on how to get started, see our handout on brainstorming .

How do I know if my thesis is strong?

If there’s time, run it by your instructor or make an appointment at the Writing Center to get some feedback. Even if you do not have time to get advice elsewhere, you can do some thesis evaluation of your own. When reviewing your first draft and its working thesis, ask yourself the following :

• Do I answer the question? Re-reading the question prompt after constructing a working thesis can help you fix an argument that misses the focus of the question. If the prompt isn’t phrased as a question, try to rephrase it. For example, “Discuss the effect of X on Y” can be rephrased as “What is the effect of X on Y?”
• Have I taken a position that others might challenge or oppose? If your thesis simply states facts that no one would, or even could, disagree with, it’s possible that you are simply providing a summary, rather than making an argument.
• Is my thesis statement specific enough? Thesis statements that are too vague often do not have a strong argument. If your thesis contains words like “good” or “successful,” see if you could be more specific: why is something “good”; what specifically makes something “successful”?
• Does my thesis pass the “So what?” test? If a reader’s first response is likely to  be “So what?” then you need to clarify, to forge a relationship, or to connect to a larger issue.
• Does my essay support my thesis specifically and without wandering? If your thesis and the body of your essay do not seem to go together, one of them has to change. It’s okay to change your working thesis to reflect things you have figured out in the course of writing your paper. Remember, always reassess and revise your writing as necessary.
• Does my thesis pass the “how and why?” test? If a reader’s first response is “how?” or “why?” your thesis may be too open-ended and lack guidance for the reader. See what you can add to give the reader a better take on your position right from the beginning.

Suppose you are taking a course on contemporary communication, and the instructor hands out the following essay assignment: “Discuss the impact of social media on public awareness.” Looking back at your notes, you might start with this working thesis:

Social media impacts public awareness in both positive and negative ways.

You can use the questions above to help you revise this general statement into a stronger thesis.

• Do I answer the question? You can analyze this if you rephrase “discuss the impact” as “what is the impact?” This way, you can see that you’ve answered the question only very generally with the vague “positive and negative ways.”
• Have I taken a position that others might challenge or oppose? Not likely. Only people who maintain that social media has a solely positive or solely negative impact could disagree.
• Is my thesis statement specific enough? No. What are the positive effects? What are the negative effects?
• Does my thesis pass the “how and why?” test? No. Why are they positive? How are they positive? What are their causes? Why are they negative? How are they negative? What are their causes?
• Does my thesis pass the “So what?” test? No. Why should anyone care about the positive and/or negative impact of social media?

After thinking about your answers to these questions, you decide to focus on the one impact you feel strongly about and have strong evidence for:

Because not every voice on social media is reliable, people have become much more critical consumers of information, and thus, more informed voters.

This version is a much stronger thesis! It answers the question, takes a specific position that others can challenge, and it gives a sense of why it matters.

Let’s try another. Suppose your literature professor hands out the following assignment in a class on the American novel: Write an analysis of some aspect of Mark Twain’s novel Huckleberry Finn. “This will be easy,” you think. “I loved Huckleberry Finn!” You grab a pad of paper and write:

Mark Twain’s Huckleberry Finn is a great American novel.

You begin to analyze your thesis:

• Do I answer the question? No. The prompt asks you to analyze some aspect of the novel. Your working thesis is a statement of general appreciation for the entire novel.

Think about aspects of the novel that are important to its structure or meaning—for example, the role of storytelling, the contrasting scenes between the shore and the river, or the relationships between adults and children. Now you write:

In Huckleberry Finn, Mark Twain develops a contrast between life on the river and life on the shore.

• Do I answer the question? Yes!
• Have I taken a position that others might challenge or oppose? Not really. This contrast is well-known and accepted.
• Is my thesis statement specific enough? It’s getting there–you have highlighted an important aspect of the novel for investigation. However, it’s still not clear what your analysis will reveal.
• Does my thesis pass the “how and why?” test? Not yet. Compare scenes from the book and see what you discover. Free write, make lists, jot down Huck’s actions and reactions and anything else that seems interesting.
• Does my thesis pass the “So what?” test? What’s the point of this contrast? What does it signify?”

After examining the evidence and considering your own insights, you write:

Through its contrasting river and shore scenes, Twain’s Huckleberry Finn suggests that to find the true expression of American democratic ideals, one must leave “civilized” society and go back to nature.

This final thesis statement presents an interpretation of a literary work based on an analysis of its content. Of course, for the essay itself to be successful, you must now present evidence from the novel that will convince the reader of your interpretation.

Works consulted

We consulted these works while writing this handout. This is not a comprehensive list of resources on the handout’s topic, and we encourage you to do your own research to find additional publications. Please do not use this list as a model for the format of your own reference list, as it may not match the citation style you are using. For guidance on formatting citations, please see the UNC Libraries citation tutorial . We revise these tips periodically and welcome feedback.

Anson, Chris M., and Robert A. Schwegler. 2010. The Longman Handbook for Writers and Readers , 6th ed. New York: Longman.

Lunsford, Andrea A. 2015. The St. Martin’s Handbook , 8th ed. Boston: Bedford/St Martin’s.

Ramage, John D., John C. Bean, and June Johnson. 2018. The Allyn & Bacon Guide to Writing , 8th ed. New York: Pearson.

Ruszkiewicz, John J., Christy Friend, Daniel Seward, and Maxine Hairston. 2010. The Scott, Foresman Handbook for Writers , 9th ed. Boston: Pearson Education.

You may reproduce it for non-commercial use if you use the entire handout and attribute the source: The Writing Center, University of North Carolina at Chapel Hill

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Thesis and Dissertation: Getting Started

Welcome to the Purdue OWL

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The resources in this section are designed to provide guidance for the first steps of the thesis or dissertation writing process. They offer tools to support the planning and managing of your project, including writing out your weekly schedule, outlining your goals, and organzing the various working elements of your project.

Weekly Goals Sheet (a.k.a. Life Map) [Word Doc]

This editable handout provides a place for you to fill in available time blocks on a weekly chart that will help you visualize the amount of time you have available to write. By using this chart, you will be able to work your writing goals into your schedule and put these goals into perspective with your day-to-day plans and responsibilities each week. This handout also contains a formula to help you determine the minimum number of pages you would need to write per day in order to complete your writing on time.

Setting a Production Schedule (Word Doc)

This editable handout can help you make sense of the various steps involved in the production of your thesis or dissertation and determine how long each step might take. A large part of this process involves (1) seeking out the most accurate and up-to-date information regarding specific document formatting requirements, (2) understanding research protocol limitations, (3) making note of deadlines, and (4) understanding your personal writing habits.

Creating a Roadmap (PDF)

Part of organizing your writing involves having a clear sense of how the different working parts relate to one another. Creating a roadmap for your dissertation early on can help you determine what the final document will include and how all the pieces are connected. This resource offers guidance on several approaches to creating a roadmap, including creating lists, maps, nut-shells, visuals, and different methods for outlining. It is important to remember that you can create more than one roadmap (or more than one type of roadmap) depending on how the different approaches discussed here meet your needs.

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Writing a compelling integrated discussion: a guide for integrated discussions in article-based theses and dissertations

• Krystina B. Lewis , Ian D. Graham , Laura Boland and Dawn Stacey

Article-based theses and dissertations are increasingly being used in nursing and the health sciences as an alternate format to the traditional five-chapter monograph. A unique chapter in the article-based thesis is the integrated discussion, which differs in breadth and depth as compared to the discussion for a traditional thesis monograph or journal article. For many students and faculty, the integrated discussion is a challenging chapter to write, with minimal or no published guidance available. In this article, we offer a four-step approach with templates for planning and writing an integrated discussion. We also share several lessons learned with examples from published theses and dissertations. Writing an integrated discussion can be facilitated and written more efficiently by developing a clear and detailed outline of the chapter and broad discussion points prior to drafting the text, to achieve a higher-level synthesis, analysis, and interpretation of the overall significance of the thesis findings.

Introduction

An increasing number of university graduate programs in nursing and the health sciences offer the option of writing an article-based thesis or dissertation as an alternate format to the traditional five-chapter monograph ( De Jong, Moser, & Hall, 2005 ; Graves et al., 2018 ; Robinson & Dracup, 2008 ; Smaldone, Heitkemper, Jackman, Joanne Woo, & Kelson, 2019 ). This format has gained traction internationally to facilitate the earlier and more frequent publication of graduate student research for the timelier advancement of knowledge and impact on clinical practice ( Evans, Amaro, Herbert, Blossom, & Roberts, 2018 ; Maynard, Vaughn, Sarteschi, & Berglund, 2012 ; Smaldone et al., 2019 ). An article-based thesis, also known as the manuscript option, thesis-by manuscript, integrated thesis, or PhD by published works, typically includes one or more articles suitable for publication in peer-reviewed journals and bounded together with an introduction chapter and integrated discussion chapter ( Baggs, 2011 ). The integrated discussion is a unique chapter in an article-based thesis. Integrated (2020) is defined as “ many different parts [that] are closely connected and work successfully together ” (“Integrated,” 2020). The general purpose of the integrated discussion chapter is to provide an overall synthesis and demonstrate high level abstraction, analysis, and interpretation of the thesis findings. It is an opportunity to showcase the thesis’ findings, the student’s reflections about the findings, and its implications ( Smith, 2015 ).

Requirements and expectations for the integrated discussion chapter vary by institution and department. Supervising faculty within individual institutions may also have differing approaches and expectations. We found no general rules or expectations in the literature for writing an integrated discussion. An inquiry of select institutional guidance documents in various international jurisdictions revealed that academic institutions provide few details about this chapter. Descriptions focus more on the overall contribution of the integrated discussion chapter to the thesis, rather than guidance on how to write it ( Table 1 ).

Examples of institutional guidelines for the integrated discussion chapter in an article-based thesis.

Writing a compelling integrated discussion can be challenging, and there is a scarcity of resources, instructions, or published guidance for students and supervising faculty on this subject. Existing guidance is focused primarily on writing discussions for a single journal article or a traditional thesis monograph. Yet, the integrated discussion chapter differs in breadth and depth. In journal articles, a discussion usually consists of a statement of the main findings, interpretation of the results in the context of the broader literature, strengths and limitations of the study, and implications for potential users of the findings (clinicians, administrators, policy makers, and others), the discipline, and future research ( Makar, Foltz, Lendner, & Vaccaro, 2018 ). The discussion section of the traditional monograph thesis has a similar format to that of a journal article as it discusses a single study but is often more detailed. In comparison, the integrated discussion chapter of the article-based thesis provides students with a space in which to weave the results and discussion points from the individual articles comprising the thesis, elaborate on the logic and linkages between them, and convincingly argue for the unified, coherent, and original nature of their findings and contributions to the field-at-large. Smith (2015) refers to this as the golden thread. Grant (2011) refers to it as the logic of connectivity . Ultimately, it is about how the student links the key ideas from the individual papers and articulates the connectedness between them, so as to make readers understand the thesis’ broader meaning which make it accessible to a larger audience ( Smith, 2015 ).

The educational value of conceptualizing and writing an integrated discussion can be best classified at the highest level of Bloom’s revised taxonomy of educational objectives, to Create  — formerly known as Synthesis in Bloom’s original taxonomy — whereby parts are combined in novel ways to produce a coherent whole and to formulate new points of view ( Anderson & Krathwohl, 2001 ; Bloom, 1956 ). According to the taxonomy, the integrated discussion represents the pinnacle of cognitive tasks and processes by requiring higher-order thinking and critical reflections expected of graduate level students. Hence, the integrated discussion chapter provides the graduate student an opportunity to synthesize, integrate, and raise the discussion to a higher level of abstraction; allowing them to demonstrate the coherence between all articles reported in the thesis. It is often in the integrated discussion where thesis advisory committee members and examiners can assess the student’s depth of theoretical and applied knowledge of the subject matter, capacity for critical inquiry, and judge the overall value of the student’s conclusions and contributions to the substantive area of study ( Gould, 2016 ). Specifically in nursing, this higher-level thinking can be articulated by discussing how the knowledge generated advances nursing practice, education and research, and how it contributes to the delivery of high quality health care, and improved health and health system outcomes ( Institute of Medicine [US] Committee on the Robert Wood Johnson Foundation Initiative on the Future of Nursing, 2011 ). Yet, with little guidance available on how to think about and write an integrated discussion, graduate students may miss the opportunity to engage in this higher-order thinking and critical reflections.

In this paper, we offer a practical four-step approach with templates for writing an integrated discussion for article-based theses. KBL initially developed the steps and templates as she conceptualized and wrote her integrated discussion for her PhD dissertation. The steps and templates were refined as a result of (a) her own integrated discussion writing process; (b) discussion with her thesis supervisor and thesis advisory committee members; and, (c) feedback from several graduate students who have used it successfully. As recent doctoral graduates and faculty supervisors, we are sharing this approach and our lessons learned with examples from published theses and dissertations.

Writing an integrated discussion chapter

Step 1: outlining the integrated discussion chapter.

To begin, we propose drafting an outline for the integrated discussion chapter with six major sections ( Table 2 ). First, provide an opening paragraph introducing the information to be presented in the chapter. Second, present a summary of the overall purpose of the thesis as a unified piece of work and a brief summary of each individual article prepared for publication. Each article summary should include the study aim, study design, and key results. Keep in mind that by the time supervisors, thesis advisory committee members, and examiners read the integrated discussion chapter, they have probably just finished reading the previous chapters and articles, so there is no need to repeat information in detail. Rather, the purpose of this section is to refresh the readers’ focus and to begin demonstrating how the articles logically link to each other. Third, outline the main points of the integrated discussion as clearly and concisely as possible (see Step 2 and 3 for more details). Fourth, discuss the strengths and limitations of the thesis, as a whole, if applicable. Typically, strengths and limitations are only presented at the individual article level, but if there are broader strengths or limitations that apply to the thesis, they can be discussed in this chapter. Fifth, discuss the implications of the thesis for the specific discipline (e.g., nursing, medicine, population health, epidemiology, rehabilitation) in terms of the findings’ applicability to practice, education, leadership, and/or policy. Sixth, describe implications for future research. Finally, this chapter should end with a strong, clear, and logical conclusion summarizing the entire work across all elements of the thesis. The conclusions should clearly state the original contribution(s) to the advancement of knowledge and overall significance for the field at-large.

Suggested structure for an integrated discussion.

a Approximate length based on 12-point type font, double spacing, left-justified, 1-inch margins, and format for 8 ½ × 11 paper.

Step 2. Mapping individual articles’ findings to inform the integrated discussion

The next step is to draft the main integrated discussion points. Using Template I, capture the main discussion points from each individual article ( Table 3 ). If there is only one article in the thesis, these can be generated from the literature review, guiding theoretical framework, and/or chosen methodology. This exercise is intended to facilitate the student’s thinking about how to build convincing overarching discussion points and explore the key messages they want readers to come away with after reading the thesis.

Template I to summarize individual article discussion points to identify overarching discussion points.

a If there is only one article in the thesis, additional discussion points/contributions/implications can come from the literature review, guiding theoretical framework, and/or chosen methodology. b Whether these implications are included in the individual article or not, this explicitly offers a starting point to think of the implications arising from individual articles.

The last row in this template is reserved for listing the actual and potential disciplinary implications arising from each article, which may address any of the following domains: practice, education, leadership, policy and/or research. Depending on journal requirements, these implications may be directly discussed in the individual articles. If not, this section offers the student a starting point for thinking about the disciplinary implications arising from their thesis as a whole.

Completing Template I as individual articles are finalized, and sharing it with a faculty supervisor or thesis advisory committee can facilitate discussion about the evolving integrated discussion points. It can also facilitate requisite critical thinking and reflection necessary for linking findings across the individual articles.

Step 3. Drafting the main integrated discussion points

Consider the discussion points and disciplinary implications across all individual articles of the thesis to identify commonalities or differences;

Draft main integrated discussion points, logically connecting the individual articles;

Identify findings from, ideally, two individual articles that support (or refute) the proposed main integrated discussion points (aiming for evidence from two articles helps achieve a higher level integrated discussion); and

Identify and classify theoretical and empirical literature relevant to the main integrated discussion points. Select regional, national, and international empirical studies, theoretical works, clinical practice guidelines, technical reports, and/or policy documents; highlight what the thesis adds to the field (of knowledge) and how it will enhance understanding of the subject.

Template II to build the main integrated discussion points from the individual articles and summarize implications.

a If there is only one article in the thesis, the supporting contributions/arguments can come from the literature review, guiding theoretical framework, and/or chosen methodology. b Broader literature can include empirical studies, theoretical works, practice guidelines, technical reports, and/or policy documents. c List the disciplinary implications identified across all articles. This explicitly offers a starting point to think of the disciplinary implications arising across the individual articles’ findings and discussion points.

This exercise is intended to help organize the content of the integrated discussion early in the writing process. We recommend sharing the evolving Templates I and II with the faculty supervisor or thesis advisory committee and use it as a tool for discussion before writing the integrated discussion chapter. As supervisors (DS, IDG), we also initiate Template I in discussion with our graduate students – often using a blank piece of paper. This reflective exercise may save time in the long run, as it facilitates staying focused on the key points and avoids repeating elements of the discussions within the individual papers. The more detailed the completed templates, the more content is available to transform into text.

Step 4. Writing the integrated discussion chapter

The final step is to turn the planned outline (Step 1) and the drafted main integrated discussion points (Step 3) into narrative prose. To remain focused, start by adding subheadings from the outline and lower level subheadings for each of the main integrated discussion points. A compelling integrated discussion is often preceded by multiple revisions. It should not be written when rushing to meet the thesis submission deadline as writing this chapter requires considerable reflection and introspection. For these reasons, we remind students that the integrated discussion is the last chapter their examiners will read, and it will leave a lasting impression. Getting this chapter right allows the student to demonstrate their mastery of the totality of their thesis work and sets the stage for the examination. In our experience, when an integrated discussion is well-written, the examiners’ comments indicate that the integrated discussion chapter tied all elements of the thesis together and helped them understand the thesis in its entirety.

Lessons learned

When applying this approach for writing our own integrated discussions, or when guiding graduate students through the process, we have learned several lessons. To exemplify these lessons, we offer examples of published theses and dissertations in nursing and other health professions.

Lesson 1. Use stepwise approach with templates to plan and structure the chapter

Using the attached templates and proposed stepwise approach to structure the writing process reduces the inclination to simply repeat the discussion points found in the individual articles. The templates may also help graduate students overcome procrastination resulting from not knowing where to start with the integrated discussion. Further, Templates I and II may be used to guide discussions between graduate student and faculty supervisor, allowing for progress to be monitored prior to writing. Another advantage to doing this early is that some supervisors are less familiar with the article-based thesis format and may have little experience guiding their students in writing the integrated discussion. As such, using the template to walk through this process may be helpful for both parties.

Lesson 2. Think ahead

Avoid delaying until all the individual thesis articles are written before thinking about the integrated discussion. We recommend filling out the templates as individual articles are completed. When analyzing the results for individual articles and thinking about the discussion sections for these, we often identified relevant discussion points that were too broad for the articles. Keeping a log of discussions with faculty supervisors and thesis advisory committee members throughout the thesis writing process, and keeping record of personal reflections that were beyond the scope of individual articles, may help gather ideas early. For example, when first considering her integrated discussion, Hoefel (2019) chose the Walker and Avant (2011) theory testing approach to validate the decisional needs concept and test the main hypothesis of the Ottawa Decision Support Framework ( O’Connor et al., 1998 ). For her thesis, Hoefel (2019) wrote two articles based upon this framework. Her first was a systematic review article on decisional needs of people making health decisions and the second was a sub-analysis of a systematic review on patient decision aids. Hence, evidence from these articles contributed to the higher level discussion about validating the concepts and testing the hypotheses in the framework.

Lesson 3. Dedicate sufficient time

Dedicating sufficient time to writing the integrated discussion is important. For many students, the integrated discussion is a challenging chapter to write. It calls for a different style of writing than that which is required for individual research study articles. It requires conveying abstract and conceptual ideas to generate broader insights. Prior to developing and using these templates, our experience with many students has been that it can take many months of re-writing the integrated discussion chapter for it to adequately reflect the breadth and depth of the student’s thesis work and its vital contribution to the field. We have found that our stepwise approach involves more careful planning and conceptualizing of the integrated discussion prior to drafting the chapter, and therefore results in a more efficient writing and editing process.

Lesson 4. Consider theoretical and methodological implications

Theoretical and methodological implications may be considered as integrated discussion points. A student may choose to closely examine their selected theoretical perspective in light of their thesis findings. For example, in Lewis’ (2018) integrated discussion, she provided a discourse on the use of complementary theoretical frameworks across individual studies: the Ottawa Decision Support Framework ( O’Connor et al., 1998 ) and Normalization Process Theory ( May et al., 2009 ). This provided a link between intervention development and implementation planning, proposing a novel theory-informed approach for the development of decision support interventions ( Lewis, 2018 ). Likewise, methodological implications may be discussed in cases where a student’s thesis advances methods, or to discuss the influence of chosen methodology on key findings where similar research questions are answered using distinct study designs. Wu’s (2014) integrated discussion focused on the methods used for conducting a survey for data collection. He used a set of reminders, with the last reminder being a courier package and return envelope. He then discussed how testing this reminder strategy in his thesis study contributed to survey design methods.

Lesson 5. An integrated discussion is feasible with one article

In cases where there is only one article comprising an article-based thesis, key findings from a more detailed literature review, a theoretical framework guiding the entire research project, or chosen methodology can provide the additional linkages to build the main integrated discussion points. For instance, in her Master of Nursing thesis integrated discussion, Demery Varin (2018) compared and contrasted her secondary analysis findings on the predictors of nurses’ research use in long-term care settings (as reported in one published article) with her review of the literature on the individual and contextual factors to nurses’ research use in all settings.

Lesson 6. Integrated discussions are publishable

The integrated discussion (or elements of it) may be publishable in its own right. When written well, the integrated discussion often results in an important academic contribution to the body of knowledge. Some graduate students have used the integrated discussion as the basis for a commentary paper or an updated theoretical framework paper. In her integrated discussion chapter of her doctoral thesis, Jull (2014) described the development of a collaborative framework for community-research partnerships co-produced by First Nations, Inuit, and Metis women’s community members and researchers. This framework was based on her findings and experience conducting the studies comprising her thesis. Jull et al. (2018) subsequently published a paper based on her integrated discussion.

Lesson 7. Integrated discussions can lay the foundation for subsequent research

Many students who are completing a Master’s or PhD thesis also intend to pursue further research. A well thought out and articulated integrated discussion can inform subsequent research projects, grant proposals, or programs of research. For example, Boland (2018) drew from her PhD integrated discussion to identify evidence-practice gaps and potential solutions in pediatric shared decision-making, which she used to underpin a successful Canadian Institutes of Health Research post-doctoral fellowship and guide the establishment of her research program.

In this paper, we propose an approach to writing an integrated discussion chapter for an article-based thesis. Our advice provided in this paper is intended to position graduate students to adequately plan and produce a unified, coherent, and higher-level synthesis of the articles comprising their thesis. Challenges in writing an integrated discussion include avoiding repetition of discussion points already included within the individual articles comprising the thesis and achieving a higher-level discussion to integrate findings across the individual articles. Writing an integrated discussion can be facilitated by developing a clear and detailed outline of the chapter and, in particular, by identifying broader, more overarching points of discussion, than those presented within the individual articles. We encourage graduate students, faculty supervisors and thesis advisory committees to use the templates provided and share their experiences.

Acknowledgments

The authors wish to thank the graduate students who have used this approach, reported that it was useful, and offered feedback to improve it. The authors also wish to thank the reviewers. Their critical read and constructive comments strengthened this manuscript.

Research funding: The authors received no financial support for the authorship and publication of this manuscript. IDG is a recipient of a CIHR Foundation Grant (FDN# 143237). DS holds a University Research Chair in Knowledge Translation to Patients at the University of Ottawa.

Author contributions: All authors have accepted responsibility for the entire content of this manuscript and approved its submission.

Competing interest: Authors state no conflict of interest.

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High Energy Physics - Theory

Title: quantum field theory in curved spacetime approach to the backreaction of dynamical casimir effect.

Abstract: In this thesis, we investigate the dynamical Casimir effect, the creation of particles from vacuum by dynamical boundary conditions or dynamical background, and its backreaction to the motion of the boundary. The backreaction of particle creation to the boundary motion is studied using quantum field theory in curved spacetime technique, in 1+1 dimension and 3+1 dimension. The relevant quantities in these quantum field processes are carefully analyzed, including regularization of the UV and IR divergent of vacuum energy, and estimation of classical backreaction effects like radiation pressure. We recovered the qualitative result of backreaction in 1+1 dimensions. In the 3+1 dimension, we find that the backreaction tends to slow down the system to suppress the further particle creation, similar to the case of cosmological particle creation.

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Both individuals and organizations that work with arXivLabs have embraced and accepted our values of openness, community, excellence, and user data privacy. arXiv is committed to these values and only works with partners that adhere to them.

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Comparison of Soil Carbon Dynamics Between Restored Prairie and Agricultural Soils in the U.S. Midwest

Globally, soils hold more carbon than both the atmosphere and aboveground terrestrial biosphere combined. Changes in land use and land cover have the potential to alter soil carbon cycling throughout the soil profile, from the surface to meters deep, yet most studies focus only on the near surface impact ( 3 and C 4 photosynthetic pathway plant community composition. Comparative analysis of edaphic properties and soil carbon suggests that deep loess deposits in Nebraska permit enhanced water infiltration and SOC deposition to depths of ~100 cm in 60 years of prairie restoration. In Illinois, poorly drained, clay/lime rich soils on glacial till and a younger restored prairie age (15 years) restricted the influence of prairie restoration to the upper 30 cm. Comparing the δ 13 C values of SOC and SIC in each system demonstrated that SIC at each site is likely of lithogenic origin. This work indicates that the magnitude of influence of restoration management is dependent on edaphic properties inherited from geological and geomorphological controls. Future work should quantify root structures and redox properties to better understand the influence of rooting depth on soil carbon concentrations. Fast-cycling C dynamics can be assessed using continuous, in-situ CO 2 and O 2 soil gas concentration changes. The secondary objective of my thesis was to determine if manual, low temporal resolution gas sampling and analysis are a low cost and effective means of measuring soil O 2 and CO 2 , by comparing it with data from in-situ continuous (hourly) sensors. Manual analysis of soil CO 2 and O 2 from field replicates of buried gas collection cups resulted in measurement differences from the continuous sensors. Measuring CO2 concentration with manual methods often resulted in higher concentrations than hourly, continuous measurements across all sites. Additionally, O 2 concentrations measured by manual methods were higher than hourly values in the restored prairie and less in agricultural sites. A variety of spatial variability, pressure perturbations, calibration offsets, and system leakage influences on both analysis methods could cause the discrepancy.

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• Master of Science
• Earth, Atmospheric and Planetary Sciences

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• West Lafayette

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Additional committee member 2, additional committee member 3, additional committee member 4, additional committee member 5, usage metrics.

• Environmental biogeochemistry
• Soil chemistry and soil carbon sequestration (excl. carbon sequestration science)

longform articles & essays 101

A comprehensive guide on longform journalism: favorite sites, newsletters, and a starter pack of my favorite articles.

what is longform journalism and why should you read it?

Longform journalism is essentially an article that is a long read, typically ranging between 2,000 to over 10,000 words. The lengthy word count allows for more detailed, developed pieces of writing that have room to expand and truly breathe. The content can vary, from investigative reporting to personal essays, from interviews to short fiction published in magazines and newspapers.

In the last year or so, I’ve begun reaching for longform essays often. It’s long enough to feel as satisfactory as a good nonfiction book, but it is also short enough that I can read it on my commute to work or other places. They are also just massively underrated outlets for reading—they are incredibly diverse in content and style and very informative. Articles pack the same depth of analysis and research as nonfiction books while being more accessible due to their short length.

I constantly strive to keep myself educated and knowledgeable even if I’m not in a classroom setting. Longform articles fill that education void for me, so I always try to make it a habit of reading at least one article daily, even when I don't have time to read actual books. It also increases my attention span (something I direly need to do because social media doomscrolling has been killing it). I treat these essays and articles like brain food, so it's always fun to learn something new.

where do you find articles & essays?

My go-to sites for articles are: The New Yorker, Aeon, The Paris Review, and The Atlantic. On these sites, will always be able to find a fantastic article on so many different topics.

Here is a big list of around 30 newspapers, magazines, and sites that have excellent long-form articles and never let me down. I tried to put them in order of the ones I read from the most, with descriptions of what you can expect to find on each magazine/newspaper.

The New Yorker : An American magazine that covers everything from politics to culture to art to fiction. Most articles are gems, and many of my favorite writers also write longform content on here every now and then. Here are some of the journalists I consistently follow and read from: Patrick Radden Keefe (true crime), Kathryn Schulz (anything from science to geography to memoirs), Peter Schjeldahl (art), Rachel Syme (profiles), and Jia Tolentino (feminism and culture).

Aeon : The best free magazine out there. Aeon covers essays about philosophy , psychology , science , society and culture . Every article is so well researched and written. So many of my favorite articles of all time are from this site, and everything feels like brain food. Here is an article about sulking , one about nostalgia , and one about female friendships .

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What I’ve Learned From My Students’ College Essays

The genre is often maligned for being formulaic and melodramatic, but it’s more important than you think.

By Nell Freudenberger

Most high school seniors approach the college essay with dread. Either their upbringing hasn’t supplied them with several hundred words of adversity, or worse, they’re afraid that packaging the genuine trauma they’ve experienced is the only way to secure their future. The college counselor at the Brooklyn high school where I’m a writing tutor advises against trauma porn. “Keep it brief , ” she says, “and show how you rose above it.”

I started volunteering in New York City schools in my 20s, before I had kids of my own. At the time, I liked hanging out with teenagers, whom I sometimes had more interesting conversations with than I did my peers. Often I worked with students who spoke English as a second language or who used slang in their writing, and at first I was hung up on grammar. Should I correct any deviation from “standard English” to appeal to some Wizard of Oz behind the curtains of a college admissions office? Or should I encourage students to write the way they speak, in pursuit of an authentic voice, that most elusive of literary qualities?

In fact, I was missing the point. One of many lessons the students have taught me is to let the story dictate the voice of the essay. A few years ago, I worked with a boy who claimed to have nothing to write about. His life had been ordinary, he said; nothing had happened to him. I asked if he wanted to try writing about a family member, his favorite school subject, a summer job? He glanced at his phone, his posture and expression suggesting that he’d rather be anywhere but in front of a computer with me. “Hobbies?” I suggested, without much hope. He gave me a shy glance. “I like to box,” he said.

I’ve had this experience with reluctant writers again and again — when a topic clicks with a student, an essay can unfurl spontaneously. Of course the primary goal of a college essay is to help its author get an education that leads to a career. Changes in testing policies and financial aid have made applying to college more confusing than ever, but essays have remained basically the same. I would argue that they’re much more than an onerous task or rote exercise, and that unlike standardized tests they are infinitely variable and sometimes beautiful. College essays also provide an opportunity to learn precision, clarity and the process of working toward the truth through multiple revisions.

When a topic clicks with a student, an essay can unfurl spontaneously.

Even if writing doesn’t end up being fundamental to their future professions, students learn to choose language carefully and to be suspicious of the first words that come to mind. Especially now, as college students shoulder so much of the country’s ethical responsibility for war with their protest movement, essay writing teaches prospective students an increasingly urgent lesson: that choosing their own words over ready-made phrases is the only reliable way to ensure they’re thinking for themselves.

Teenagers are ideal writers for several reasons. They’re usually free of preconceptions about writing, and they tend not to use self-consciously ‘‘literary’’ language. They’re allergic to hypocrisy and are generally unfiltered: They overshare, ask personal questions and call you out for microaggressions as well as less egregious (but still mortifying) verbal errors, such as referring to weed as ‘‘pot.’’ Most important, they have yet to put down their best stories in a finished form.

I can imagine an essay taking a risk and distinguishing itself formally — a poem or a one-act play — but most kids use a more straightforward model: a hook followed by a narrative built around “small moments” that lead to a concluding lesson or aspiration for the future. I never get tired of working with students on these essays because each one is different, and the short, rigid form sometimes makes an emotional story even more powerful. Before I read Javier Zamora’s wrenching “Solito,” I worked with a student who had been transported by a coyote into the U.S. and was reunited with his mother in the parking lot of a big-box store. I don’t remember whether this essay focused on specific skills or coping mechanisms that he gained from his ordeal. I remember only the bliss of the parent-and-child reunion in that uninspiring setting. If I were making a case to an admissions officer, I would suggest that simply being able to convey that experience demonstrates the kind of resilience that any college should admire.

The essays that have stayed with me over the years don’t follow a pattern. There are some narratives on very predictable topics — living up to the expectations of immigrant parents, or suffering from depression in 2020 — that are moving because of the attention with which the student describes the experience. One girl determined to become an engineer while watching her father build furniture from scraps after work; a boy, grieving for his mother during lockdown, began taking pictures of the sky.

If, as Lorrie Moore said, “a short story is a love affair; a novel is a marriage,” what is a college essay? Every once in a while I sit down next to a student and start reading, and I have to suppress my excitement, because there on the Google Doc in front of me is a real writer’s voice. One of the first students I ever worked with wrote about falling in love with another girl in dance class, the absolute magic of watching her move and the terror in the conflict between her feelings and the instruction of her religious middle school. She made me think that college essays are less like love than limerence: one-sided, obsessive, idiosyncratic but profound, the first draft of the most personal story their writers will ever tell.

Nell Freudenberger’s novel “The Limits” was published by Knopf last month. She volunteers through the PEN America Writers in the Schools program.

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Students and Faculty Mentors Celebrated at Student Research Day

Student research day scientific poster session, student research day, shelli farhadian, md, phd, and john k. forrest, md, peter aronson, md, c.n.h. long professor of medicine (nephrology) and professor of cellular and molecular physiology.

On May 7, 2024, students and faculty mentors were celebrated at Yale School of Medicine’s (YSM) Student Research Day (SRD), an annual tradition at YSM since 1988. Five medical students (Chinye Ijile, Amanda Lieberman, Kingson Lin, Victoria Marks, and Jamieson O’Marr) made thesis presentations, and over 75 students, from across Yale’s health profession schools, displayed scientific posters and engaged with attendees during the poster session.

“Today we’re showcasing a diverse range of mentored research—spanning from fundamental basic science, to implementation science—performed by student investigators from across the health professions schools,” Associate Dean for Student Research Sarwat Chaudhry, MD, professor of medicine (general medicine), said in opening remarks. Associate Dean for Student Research Erica Herzog, MD, PhD, John Slade Ely Professor of Medicine (pulmonary) and professor of pathology, added, “We take immense pride in Yale’s deep-rooted tradition of embedding research within medical education. For our students, experience in scientific investigation isn't merely a stepping stone towards a successful residency match or a career in academic research; it's foundational training for their lifelong commitment to medicine.”

Farr Lecture

The Lee E. Farr MD Endowed Lectureship and the presentation of the Dr. John N. Forrest, Jr., Mentorship Award, which bookended the student thesis presentations, honored YSM faculty for their outstanding mentorship. In introducing Peter Aronson, MD, C.N.H. Long Professor of Medicine (Nephrology) and professor of cellular and molecular physiology, as the Farr lecturer, Nancy J. Brown, MD, Jean and David W. Wallace Dean and C.N.H. Long Professor of Internal Medicine, explained that the lecture aims to stimulate thinking and to inspire students to strive to achieve more effective leadership and educational roles in society. Brown said that Aronson, who has been at YSM for 50 years since joining as a nephrology fellow in 1974, “epitomizes these qualities as a physician-scientist, educator, mentor, and colleague. As such, there is no one more fitting to speak at today’s event.”

As chief of the Section of Nephrology from 1987-2002, Brown said, Aronson nurtured the development of numerous physician-scientists, both as faculty and fellows, many of whom became recognized leaders—and many of whom remain at Yale and were present on SRD. “It goes without saying” Brown concluded, “that Dr. Aronson’s stewardship is one reason for the enduring strength of Yale’s 200-year tradition of medical student research,” noting he had been part of the tradition for one quarter of the 200 years. (In comments after Aronson spoke, Herzog noted several of his student evaluations simply said GOAT: “Greatest Of All Time.”)

Using his own experiences as examples in his lecture titled From Sugar to Salt to Stones: Serendipitous Journey as Mentee and Mentor, Aronson noted the importance of chance events and serendipitous research findings in determining the course of his academic development and research career. ( This article describes his remarks in detail .) In closing, Aronson honored the late John N. Forrest, Jr., professor emeritus of medicine and the founding director of YSM’s Office of Student Research (OSR). Forrest, he said, “exemplified extraordinary commitment to the process of education and mentorship,” adding “we should all be inspired by his example of what is most gratifying in academic medicine.”

Dr. John N. Forrest, Jr., Mentorship Award

Chaudhry similarly honored John N. Forrest, Jr. in introducing the mentorship award established to recognize his legacy. “As many of you know, Dr. Forrest died earlier this year, and so this year’s Forrest Prize holds special meaning.” OSR “was his pride and joy,” Chaudhry said, adding that since starting their roles as associate deans of student research in 2020, “Dr. Herzog and I have continually been impressed by Dr. Forrest’s care and foresight in establishing the Office of Student Research. Dr. Forrest’s legacy lives on in the enduring strength of YSM’s medical student research program.”

Before Forrest’s son, John K. Forrest, MD, associate professor of medicine (cardiovascular medicine), announced the award recipient— Shelli Farhadian, MD, PhD, assistant professor of medicine (infectious diseases); assistant professor, epidemiology of microbial diseases —he shared, “My family and I are grateful to the numerous people who reached out after our father’s passing. Some of the most touching correspondence we received were from medical students, residents, and fellows whom he had mentored while at Yale. There is no greater evidence of the lasting impact that mentorship plays in the lives of young physicians that the words contained in those letters.”

Turning to the awardee, Forrest said, “Dr. Farhadian is an exemplary mentor,” and pointed to her role “in shaping the careers of her mentees, many of whom have garnered multiple awards and recognition, and published first author manuscripts under her tutelage.”

He then shared what a student wrote about Farhadian: “Dr. Farhadian is such a fantastic mentor and person. As my mentor she encouraged me to apply for grants and submit to conferences and journals and has always made herself available to answer any questions that I have. She also facilitates an environment in which her mentees feel comfortable coming to her with questions and offers help in connecting me with doctors in my fields of interest. Beyond my research with Dr. Farhadian, she has also proved to be an invaluable resource in terms of developing as a student and a future doctor. She is an inspiring woman in medicine, and I hope to become as caring and capable as a doctor and mentor as she models.”

Upon receiving the award, Farhadian said, “It means a great deal for me to receive this award in Dr. Forrest’s name. I was lucky to cross paths with Dr. Forrest when I was an intern, and I will always remember how kind he was to everyone in the hospital, no matter how small their role.” Farhadian added, “I feel very lucky to have had my own exceptional research mentors along the way, and I have tried to emulate them when mentoring my own trainees.”

Student Thesis Presentations

Chinye Ijile

Medicaid Coverage for Undocumented Children in Connecticut: A Political History

Faculty mentor: Naomi Rogers, PhD, professor in the history of medicine and of history; acting chair, Spring 2024, History of Medicine

Amanda Lieberman

Multilevel Barriers to Methadone for HIV Prevention Among People Who Inject Drugs in Kazakhstan

Faculty mentor: Frederick Altice, MD, MA, professor of medicine (infectious diseases) and of epidemiology (microbial diseases)

Kingson Lin, MD-PhD

Design, Synthesis, and Characterization of Novel MGMT-Dependent, MMR-Independent Agents for the Treatment of Glioblastoma Multiforme (GBM)

Faculty mentors: Ranjit Bindra, MD, PhD, Harvey and Kate Cushing Professor of Therapeutic Radiology and professor of pathology; and Seth Herzon, PhD, Milton Harris ’29 Ph.D. Professor of Chemistry

• Victoria Marks

Association between Medical Insurance, Access to Care, and Clinical Outcomes for Patients with Uveal Melanoma in the United States

Faculty mentor: Michael Leapman, MD, MHS, associate professor of urology; assistant professor, chronic disease epidemiology

Jamieson O’Marr

Ballistic and Explosive Orthopaedic Trauma Epidemiology and Outcomes in a Global Population

Faculty mentor: Brianna Fram, MD, assistant professor of orthopaedics & rehabilitation

Featured in this article

• Frederick Lewis Altice, MD, MA
• Peter S. Aronson, MD
• Ranjit S. Bindra, MD, PhD
• Nancy J. Brown, MD
• Sarwat Chaudhry, MD
• Shelli Farhadian, MD, PhD
• John K Forrest, MD, FACC, FSCAI
• Brianna R. Fram, MD
• Erica Herzog, MD, PhD
• Seth Herzon, PhD
• Chinye Ijeli
• Michael S. Leapman, MD, MHS
• Amanda Liberman
• Kingson Lin
• Jamieson O'Marr, MS
• Naomi Rogers, PhD

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News from The Mahurin Honors College

Celebrating academic excellence: recognizing our honors thesis graduates.

• Nina Marijanovic
• Thursday, May 16th, 2024

As the 2023-2024 academic year has come to a close, we proudly recognize the outstanding achievements of our 2024 Mahurin Honors College capstone experience/ thesis graduates. These exceptional students have demonstrated unparalleled dedication, intellectual rigor, and innovative thinking through their thesis projects. Each thesis represents not only a significant academic milestone but also a valuable contribution to their respective fields of study. Join us in celebrating these scholars who have exemplified the highest standards of academic excellence and are poised to become the leaders and innovators of tomorrow. To explore these theses, please visit  TopSCHOLAR (wku.edu) .

  Back to News

May 16th, 2024

We celebrate the exceptional achievements of our 2024 honors thesis completers. These students have shown outstanding dedication, intellectual rigor, and innovation, contributing valuable insights to their fields.

May 13th, 2024

Jenna Smith, WKU alumna, transitioned from healthcare to sustainable agriculture, founding a thriving small business. Her journey highlights the transformative power of education, mentorship, and community support.

May 3rd, 2024

MHC has recognized outstanding seniors with prestigious awards, celebrating their academic excellence, global contributions, and community engagement. These awards highlight the exceptional achievements of these students, marking a significant milestone.

Elijah Hopkins graduates with double majors in journalism & political science from WKU despite the challenges of the COVID era. Diverse experiences, from investigative journalism to fraternity philanthropy, shape his path toward law school & public policy

May 1st, 2024

Ella Schleuning, a WKU senior, reflects on her journey, from campus involvement to impactful research. Her passion for psychology and community shines as she prepares for graduation and future adventures.

Apr 19th, 2024

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Bridging private equity’s value creation gap

For the past 40 years or so, private equity (PE) buyout managers largely invested capital in an environment of declining interest rates and escalating asset prices. During that period, they were able to rely on financial leverage, enhanced tax and debt structures, and increasing valuations on high-quality assets to generate outsize returns for investors and create value.

Times have changed , however. Since 2020, the cost of debt has increased and liquidity in debt markets is harder to access given current interest rates, asset valuations, and typical bank borrowing standards. Fund performance has suffered as a result: PE buyout entry multiples declined from 11.9 to 11.0 times EBITDA through the first nine months of 2023. 1 2024 Global Private Markets Review , McKinsey, March 2024.

Even as debt markets begin to bounce back, a new macroeconomic reality is setting in—one that requires more than just financial acumen to drive returns. Buyout managers now need to focus on operational value creation strategies for revenue growth, as well as margin expansion to offset compression of multiples and to deliver desired returns to investors.

Based on our years of research and experience working with a range of private-capital firms across the globe, we have identified two key principles to maximize operational value creation.

First, buyout managers should invest with operational value creation at the forefront . This means that in addition to strategic diligence, they should conduct operational diligence for new assets. Their focus should be on developing a rigorous, bespoke, and integrated approach to assessing top-line and operational efficiency. During the underwriting process, managers can also identify actions that could expand and improve EBITDA margins and growth rates during the holding period, identify the costs involved in this transformation, and create rough timelines to track the assets’ performance. And if they acquire the asset, the manager should: 1) clearly establish the value creation objectives before deal signing, 2) emphasize operational and top-line improvements after closing, and 3) pursue continual improvements in ways of working with portfolio companies. Meanwhile, for existing assets, the manager should ensure that the level of oversight and monitoring is closely aligned with the health of each asset.

Second, everyone should understand and have a hand in improving operations . Within the PE firm, the operating group and deal teams should work together to enable and hold portfolio companies accountable for the execution of the value creation plan. This begins with an explicit focus on “linking talent to value”—ensuring leaders with the right combination of skills and experience are in place and empowered to deliver the plan, improve internal processes, and build organizational capabilities.

In our experience, getting these two principles right can significantly improve PE fund performance. Our initial analysis of more than 100 PE funds with vintages after 2020 indicates that general partners that focus on creating value through asset operations achieve a higher internal rate of return—up to two to three percentage points higher, on average—compared with peers.

The case for operational efficiency

The ongoing macroeconomic uncertainty has made it difficult for buyout managers to achieve historical levels of returns in the PE buyout industry using old ways of value creation. 2 Overall, roughly two-thirds of the total return for buyout deals that were entered in 2010 or later, and exited 2021 or before, can be attributed to market multiple expansion and leverage. See 2024 Global Private Markets Review .   And it’s not going to get any easier anytime soon, for two reasons.

Higher-for-longer rates will trigger financing issues

The US Federal Reserve projects that the federal funds rate will remain around 4.5 percent through 2024, then potentially drop to about 3.0 percent by the end of 2026. 3 “Summary of economic projections,” Federal Reserve Board, December 13, 2023.   Yet, even if rates decline by 200 basis points over the next two years, they will still be higher than they were over the past four years when PE buyout deals were underwritten.

This could create issues with recapitalization or floating interest rate resets for a portfolio company’s standing debt. Consider that the average borrower takes a leveraged loan at an interest coverage ratio of about three times EBIDTA (or 3x). 4 The interest coverage ratio is an indicator of a borrower’s ability to service debt, or potential default risk.   With rising interest expenses and additional profitability headwinds, these coverage ratios could quickly fall below 2x and get close to or trip covenant triggers around 1x. In 2023, for example, the average leveraged loan in the healthcare and software industries was already at less than a 2x interest coverage ratio. 5 James Gelfer and Stephanie Rader, “What’s the worst that could happen? Default and recovery rates in private credit,” Goldman Sachs, April 20, 2023.   To avoid a covenant breach, or (if needed) increasing recapitalization capital available without equity paydown, managers will need to rely on operational efficiency to increase EBITDA.

Valuations are mismatched

If interest rates remain high, the most recent vintage of PE assets is likely to face valuation mismatches at exit, or extended hold periods until value can be realized. Moreover, valuation of PE assets has remained high relative to their public-market equivalents, partly a result of the natural lag in how these assets are marked to market. As the CEO of Harvard University’s endowment explained in Harvard’s 2023 annual report, it will likely take more time for private valuations to fully reflect market conditions due to the continued slowdown in exits and financing rounds. 6 Message from the CEO of Harvard Management Company, September 2023.

Adapting PE’s value creation approach

Operational efficiency isn’t a new concept in the PE world. We’ve previously written  about the strategic shift among firms, increasingly notable since 2018, moving from the historical “buy smart and hold” approach to one of “acquire, align on strategy, and improve operating performance.”

However, the role of operations in creating more value is no longer just a source of competitive advantage but a competitive necessity for managers. Let’s take a closer look at the two principles that can create operational efficiency.

Invest with operational value creation at the forefront

PE fund managers can improve the profitability and exit valuations of assets by having operations-related conversations up front.

Assessing new assets. Prior to acquiring an asset, PE managers typically conduct financial and strategic diligence to refine their understanding of a given market and the asset’s position in that market. They should also undertake operational diligence—if they are not already doing so—to develop a holistic view of the asset to inform their value creation agenda.

Operational diligence involves the detailed assessment of an asset’s operations, including identification of opportunities to improve margins or accelerate organic growth. A well-executed operational-diligence process can reveal or confirm which types of initiatives could generate top-line and efficiency-driven value, the estimated cash flow improvements these initiatives could generate, the approximate timing of any cash flow improvements, and the potential costs of such initiatives.

The results of an operational-diligence process can be advantageous in other ways, too. Managers can use the findings to create a compelling value creation plan, or a detailed memo summarizing the near-term improvement opportunities available in the current profit-and-loss statement, as well as potential opportunities for expansion into adjacencies or new markets. After this step is done, they should determine, in collaboration with their operating-group colleagues, whether they have the appropriate leaders in place to successfully implement the value creation plan.

These results can also help managers resolve any potential issues up front, prior to deal signing, which in turn could increase the likelihood of receiving investment committee approval for the acquisition. Managers also can share the diligence findings with co-investors and financiers to help boost their confidence in the investment and the associated value creation thesis.

It is crucial that managers have in-depth familiarity with company operations, since operational diligence is not just an analytical-sizing exercise. If they perform operational diligence well, they can ensure that the full value creation strategy and performance improvement opportunities are embedded in the annual operating plan and the longer-term three- to five-year plan of the portfolio company’s management team.

Assessing existing assets. When it comes to existing assets, a fundamental question for PE managers is how to continue to improve performance throughout the deal life cycle. Particularly in the current macroeconomic and geopolitical environment, where uncertainty reigns, managers should focus more—and more often—on directly monitoring assets and intervening when required. They can complement this monitoring with routine touchpoints with the CEO, CFO, and chief transformation officer (CTO) of individual assets to get updates on critical initiatives driving the value creation plan, along with ensuring their operating group has full access to each portfolio company’s financials. Few PE managers currently provide this level of transparency into their assets’ performance.

To effectively monitor existing assets, managers can use key performance indicators (KPIs) directly linked to the fund’s investment thesis. For instance, if the fund’s investment thesis is centered on the availability of inventory, they may rigorously track forecasts of supply and demand and order volumes. This way, they can identify and address issues with inventory early on. Some managers pull information directly from the enterprise resource planning systems in their portfolio companies to get full visibility into operations. Others have set up specific “transformation management offices” to support performance improvements in key assets and improve transparency on key initiatives.

We’ve seen managers adopt various approaches with assets that are on track to meet return hurdles. They have frequent discussions with the portfolio company’s management team, perform quarterly credit checks on key suppliers and customers to ensure stability of their extended operations, and do a detailed review of the portfolio company’s operations and financial performance two to three years into the hold period. Managers can therefore confirm whether the management team is delivering on their value creation plans and also identify any new opportunities associated with the well-performing assets.

If existing assets are underperforming or distressed, managers’ prompt interventions to improve operations in the near term, and improve revenue over the medium term, can determine whether they should continue to own the asset or reduce their equity position through a bankruptcy proceeding. One manager implemented a cash management program to monitor and improve the cash flow for an underperforming retail asset of a portfolio company. The approach helped the portfolio company overcome a peak cash flow crisis period, avoid tripping liquidity covenants in an asset-backed loan, and get the time needed for the asset’s long-term performance to improve.

Reassess internal operations and governance

In addition to operational improvements, managers should also assess their own operations and consider shifting to an operating model that encourages increased engagement between their team and the portfolio companies. They should cultivate a stable of trusted, experienced executives within the operating group. They should empower these executives to be equal collaborators with the deal team in determining the value available in the asset to be underwritten, developing an appropriate value creation strategy, and overseeing performance of the portfolio company’s management.

Shift to a ‘just right’ operating model for operating partners. The operating model through which buyout managers engage with portfolio companies should be “just right”—that is, aligned with the fund’s overall strategy, how the fund is structured, and who sets the strategic vision for each individual portfolio company.

There are two types of engagement operating models—consultative and directive. When choosing an operating model, firms should align their hiring and internal capabilities to support their operating norms, how they add value to their portfolio companies, and the desired relationship with the management team (exhibit).

Take the example of a traditional buyout manager that acquires good companies with good management teams. In such a case, the portfolio company’s management team is likely to already have a strategic vision for the asset. These managers may therefore choose a more consultative engagement approach (for instance, providing advice and support to the portfolio company for any board-related issues or other challenges).

For value- or operations-focused funds, the manager may have higher ownership in the strategic vision for the asset, so their initial goal should be to develop a management team that can deliver on a specific investment thesis. In this case, the support required by the portfolio company could be less specialized (for example, the manager helps in hiring the right talent for key functional areas), and more integrative, to ensure a successful end-to-end transformation for the asset. As such, a more directive or oversight-focused engagement operating model may be preferred.

Successful execution of these engagement models requires the operating group to have the right talent mix and experience levels. If the manager implements a “generalist” coverage model, for example, where the focus is on monitoring and overseeing portfolio companies, the operating group will need people with the ability (and experience) to support the management in end-to-end transformations. However, a different type of skill set is required if the manager chooses a “specialist” coverage model, where the focus is on providing functional guidance and expertise (leaving transformations to the portfolio company’s management teams). Larger and more mature operating groups frequently use a mix of both talent pools.

Empower the operating group. In the past, many buyout managers did not have operating teams, so they relied on the management teams in the portfolio companies to fully identify and implement the value creation plan while running the asset’s day-to-day operations. Over time, many top PE funds began to establish internal operating groups  to provide strategic direction, coaching, and support to their portfolio companies. The operating groups, however, tended to take a back seat to deal teams, largely because legacy mindsets and governance structures placed responsibility for the performance of an asset on the deal team. In our view, while the deal team needs to remain responsible and accountable for the deal, certain tasks can be delegated to the operating group.

Some managers give their operating group members seats on portfolio company boards, hiring authority for key executives, and even decision-making rights on certain value creation strategies within the portfolio. For optimal performance, these operating groups should have leaders with prior C-suite responsibility or commensurate accountability within the PE fund and experience executing cross-functional mandates and company transformations. Certain funds with a core commitment to portfolio value creation include the leader of the operating group on the investment committee. Less-experienced members of the operating group can have consultative arrangements or peer-to-peer relationships with key portfolio company leaders.

Since the main KPIs for operating teams are financial, it is critical that their leaders understand a buyout asset’s business model, financing, and general market dynamics. The operating group should also be involved in the deal during the diligence phase, and participate in the development of the value creation thesis as well as the underwriting process. Upon deal close, the operating team should be as empowered as the deal team to serve as stewards of the asset and resolve issues concerning company operations.

Some funds also are hiring CTOs  for their portfolio companies to steer them through large transformations. Similar to the CTO in any organization , they help the organization align on a common vision, translate strategy into concrete initiatives for better performance, and create a system of continuous improvement and growth for the employees. However, when deployed by the PE fund, the CTO also often serves as a bridge between the PE fund and the portfolio company and can serve as a plug-and-play executive to fill short-term gaps in the portfolio company management team. In many instances, the CTO is given signatory, and occasionally broader, functional responsibilities. In addition, their personal incentives can be aligned with the fund’s desired outcomes. For example, funds may tie an element of the CTO’s overall compensation to EBITDA improvement or the success of the transformation.

Bring best-of-breed capabilities to portfolio companies. Buyout managers can bring a range of compelling capabilities to their portfolio companies, especially to smaller and midmarket companies and their internal operating teams. Our conversations with industry stakeholders revealed that buyout managers’ skills can be particularly useful in the following three areas:

• Procurement. Portfolio companies can draw on a buyout manager’s long-established procurement processes, team, and negotiating support. For instance, managers often have prenegotiated rates with suppliers or group purchasing arrangements that portfolio companies can leverage to minimize their own procurement costs and reduce third-party spending.
• Executive talent. They can also capitalize on the diverse and robust network of top talent that buyout managers have likely cultivated over time, including homegrown leaders and ones found through executive search firms (both within and outside the PE industry).
• Partners. Similarly, they can work with the buyout manager’s roster of external experts, business partners, suppliers, and advisers to find the best solutions to their emerging business challenges (for instance, gaining access to offshore resources during a carve-out transaction).

Ongoing macroeconomic uncertainty is creating unprecedented times in the PE buyout industry. Managers should use this as an opportunity to redouble their efforts on creating operational improvements in their existing portfolio, as well as new assets. It won’t be easy to adapt and evolve value creation processes and practices, but managers that succeed have an opportunity to close the gap between the current state of value creation and historical returns and outperform their peers.

Jose Luis Blanco is a senior partner in McKinsey’s New York office, where Matthew Maloney is a partner; William Bundy is a partner in the Washington, DC, office; and Jason Phillips is a senior partner in the London office.

The authors wish to thank Louis Dufau and Bill Leigh for their contributions to this article.

This article was edited by Arshiya Khullar, an editor in McKinsey’s Gurugram office.

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