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A doctoral dissertation makes an original contribution to knowledge, as defined in a discipline or an interdisciplinary domain and addresses a significant researchable problem. Not all problems are researchable and not all are significant. Problems that can be solved by a mere descriptive exercise are not appropriate for the PhD dissertation. Acceptable problems are those that:

• pose a puzzle to the field at a theoretical, methodological, or policy level;
• make analytical demands for solution, rather than mere cataloging or descriptive demands; and
• can yield to a reasonable research methodology.

The doctoral dissertation advisor, reading committee, and oral exam committee provide further guidance and details with regard to dissertation content and format. General formatting and submission guidelines are published by the University Registrar. The American Psychological Association (APA) publication guidelines normally apply to GSE doctoral dissertations, but is not required if the advisor and relevant committees determine that an alternative, and academically acceptable, protocol is more appropriate.

Published Papers and Multiple Authorship

The inclusion of published papers in a dissertation is the prerogative of the major department.  Where published papers or ready-for-publication papers are included, the following criteria must be met:

1. There must be an introductory chapter that integrates the general theme of the research and the relationship between the chapters.  The introduction may also include a review of the literature relevant to the dissertation topic that does not appear in the chapters.

2. Multiple authorship of a published paper should be addressed by clearly designating, in an introduction, the role that the dissertation author had in the research and production of the published paper.  The student must have a major contribution to the research and writing of papers included in the dissertation.

3. There must be adequate referencing of where individual papers have been published.

4. Written permission must be obtained for all copyrighted materials; letters of permission must be uploaded electronically in PDF form when submitting the dissertation.  Please see the following website for more information on the use of copyrighted materials: http://library.stanford.edu/using/copyright-reminder .

5. The submitted material must be in a form that is legible and reproducible as required by these specifications.  The Office of the University Registrar will approve a dissertation if there are no deviations from the normal specifications that would prevent proper dissemination and utilization of the dissertation.  If the published material does not correspond to these standards, it will be necessary for the student to reformat that portion of the dissertation.

6. Multiple authorship has implications with respect to copyright and public release of the material.  Be sure to discuss copyright clearance and embargo options with your co-authors and your advisor well in advance of preparing your thesis for submission.

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Handbook Contents

• Timetable for the Doctoral Degree
• Degree Requirements
• Registration or Enrollment for Milestone Completion
• The Graduate Study Program
• Student Virtual and Teleconference Participation in Hearings
• First Year (3rd Quarter) Review
• Second Year (6th Quarter) Review
• Committee Composition for First- and Second-Year Reviews
• Advancement to Candidacy
• Academic Program Revision
• Dissertation Proposal
• Dissertation Reading Committee
• University Oral Examination
• Submitting the Dissertation
• Registration and Student Statuses
• Graduate Financial Support
• GSE Courses
• Curriculum Studies and Teacher Education (CTE)
• Developmental and Psychological Sciences (DAPS)
• Learning Sciences and Technology Design (LSTD)
• Race, Inequality, and Language in Education (RILE)
• Social Sciences, Humanities, and Interdisciplinary Policy Studies in Education (SHIPS)
• Contact Information
• Stanford University Honor Code
• Stanford University Fundamental Standard
• Doctoral Programs Degree Progress Checklist
• GSE Open Access Policies

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Dissertation Strategies

What this handout is about.

This handout suggests strategies for developing healthy writing habits during your dissertation journey. These habits can help you maintain your writing momentum, overcome anxiety and procrastination, and foster wellbeing during one of the most challenging times in graduate school.

Tackling a giant project

Because dissertations are, of course, big projects, it’s no surprise that planning, writing, and revising one can pose some challenges! It can help to think of your dissertation as an expanded version of a long essay: at the end of the day, it is simply another piece of writing. You’ve written your way this far into your degree, so you’ve got the skills! You’ll develop a great deal of expertise on your topic, but you may still be a novice with this genre and writing at this length. Remember to give yourself some grace throughout the project. As you begin, it’s helpful to consider two overarching strategies throughout the process.

First, take stock of how you learn and your own writing processes. What strategies have worked and have not worked for you? Why? What kind of learner and writer are you? Capitalize on what’s working and experiment with new strategies when something’s not working. Keep in mind that trying out new strategies can take some trial-and-error, and it’s okay if a new strategy that you try doesn’t work for you. Consider why it may not have been the best for you, and use that reflection to consider other strategies that might be helpful to you.

Second, break the project into manageable chunks. At every stage of the process, try to identify specific tasks, set small, feasible goals, and have clear, concrete strategies for achieving each goal. Small victories can help you establish and maintain the momentum you need to keep yourself going.

Below, we discuss some possible strategies to keep you moving forward in the dissertation process.

Pre-dissertation planning strategies

Get familiar with the Graduate School’s Thesis and Dissertation Resources .

Create a template that’s properly formatted. The Grad School offers workshops on formatting in Word for PC and formatting in Word for Mac . There are online templates for LaTeX users, but if you use a template, save your work where you can recover it if the template has corrruption issues.

Learn how to use a citation-manager and a synthesis matrix to keep track of all of your source information.

Skim other dissertations from your department, program, and advisor. Enlist the help of a librarian or ask your advisor for a list of recent graduates whose work you can look up. Seeing what other people have done to earn their PhD can make the project much less abstract and daunting. A concrete sense of expectations will help you envision and plan. When you know what you’ll be doing, try to find a dissertation from your department that is similar enough that you can use it as a reference model when you run into concerns about formatting, structure, level of detail, etc.

Think carefully about your committee . Ideally, you’ll be able to select a group of people who work well with you and with each other. Consult with your advisor about who might be good collaborators for your project and who might not be the best fit. Consider what classes you’ve taken and how you “vibe” with those professors or those you’ve met outside of class. Try to learn what you can about how they’ve worked with other students. Ask about feedback style, turnaround time, level of involvement, etc., and imagine how that would work for you.

Sketch out a sensible drafting order for your project. Be open to writing chapters in “the wrong order” if it makes sense to start somewhere other than the beginning. You could begin with the section that seems easiest for you to write to gain momentum.

Design a productivity alliance with your advisor . Talk with them about potential projects and a reasonable timeline. Discuss how you’ll work together to keep your work moving forward. You might discuss having a standing meeting to discuss ideas or drafts or issues (bi-weekly? monthly?), your advisor’s preferences for drafts (rough? polished?), your preferences for what you’d like feedback on (early or late drafts?), reasonable turnaround time for feedback (a week? two?), and anything else you can think of to enter the collaboration mindfully.

Design a productivity alliance with your colleagues . Dissertation writing can be lonely, but writing with friends, meeting for updates over your beverage of choice, and scheduling non-working social times can help you maintain healthy energy. See our tips on accountability strategies for ideas to support each other.

Productivity strategies

Write when you’re most productive. When do you have the most energy? Focus? Creativity? When are you most able to concentrate, either because of your body rhythms or because there are fewer demands on your time? Once you determine the hours that are most productive for you (you may need to experiment at first), try to schedule those hours for dissertation work. See the collection of time management tools and planning calendars on the Learning Center’s Tips & Tools page to help you think through the possibilities. If at all possible, plan your work schedule, errands and chores so that you reserve your productive hours for the dissertation.

Put your writing time firmly on your calendar . Guard your writing time diligently. You’ll probably be invited to do other things during your productive writing times, but do your absolute best to say no and to offer alternatives. No one would hold it against you if you said no because you’re teaching a class at that time—and you wouldn’t feel guilty about saying no. Cultivating the same hard, guilt-free boundaries around your writing time will allow you preserve the time you need to get this thing done!

Develop habits that foster balance . You’ll have to work very hard to get this dissertation finished, but you can do that without sacrificing your physical, mental, and emotional wellbeing. Think about how you can structure your work hours most efficiently so that you have time for a healthy non-work life. It can be something as small as limiting the time you spend chatting with fellow students to a few minutes instead of treating the office or lab as a space for extensive socializing. Also see above for protecting your time.

Write in spaces where you can be productive. Figure out where you work well and plan to be there during your dissertation work hours. Do you get more done on campus or at home? Do you prefer quiet and solitude, like in a library carrel? Do you prefer the buzz of background noise, like in a coffee shop? Are you aware of the UNC Libraries’ list of places to study ? If you get “stuck,” don’t be afraid to try a change of scenery. The variety may be just enough to get your brain going again.

Work where you feel comfortable . Wherever you work, make sure you have whatever lighting, furniture, and accessories you need to keep your posture and health in good order. The University Health and Safety office offers guidelines for healthy computer work . You’re more likely to spend time working in a space that doesn’t physically hurt you. Also consider how you could make your work space as inviting as possible. Some people find that it helps to have pictures of family and friends on their desk—sort of a silent “cheering section.” Some people work well with neutral colors around them, and others prefer bright colors that perk up the space. Some people like to put inspirational quotations in their workspace or encouraging notes from friends and family. You might try reconfiguring your work space to find a décor that helps you be productive.

Elicit helpful feedback from various people at various stages . You might be tempted to keep your writing to yourself until you think it’s brilliant, but you can lower the stakes tremendously if you make eliciting feedback a regular part of your writing process. Your friends can feel like a safer audience for ideas or drafts in their early stages. Someone outside your department may provide interesting perspectives from their discipline that spark your own thinking. See this handout on getting feedback for productive moments for feedback, the value of different kinds of feedback providers, and strategies for eliciting what’s most helpful to you. Make this a recurring part of your writing process. Schedule it to help you hit deadlines.

Change the writing task . When you don’t feel like writing, you can do something different or you can do something differently. Make a list of all the little things you need to do for a given section of the dissertation, no matter how small. Choose a task based on your energy level. Work on Grad School requirements: reformat margins, work on bibliography, and all that. Work on your acknowledgements. Remember all the people who have helped you and the great ideas they’ve helped you develop. You may feel more like working afterward. Write a part of your dissertation as a letter or email to a good friend who would care. Sometimes setting aside the academic prose and just writing it to a buddy can be liberating and help you get the ideas out there. You can make it sound smart later. Free-write about why you’re stuck, and perhaps even about how sick and tired you are of your dissertation/advisor/committee/etc. Venting can sometimes get you past the emotions of writer’s block and move you toward creative solutions. Open a separate document and write your thoughts on various things you’ve read. These may or may note be coherent, connected ideas, and they may or may not make it into your dissertation. They’re just notes that allow you to think things through and/or note what you want to revisit later, so it’s perfectly fine to have mistakes, weird organization, etc. Just let your mind wander on paper.

Develop habits that foster productivity and may help you develop a productive writing model for post-dissertation writing . Since dissertations are very long projects, cultivating habits that will help support your work is important. You might check out Helen Sword’s work on behavioral, artisanal, social, and emotional habits to help you get a sense of where you are in your current habits. You might try developing “rituals” of work that could help you get more done. Lighting incense, brewing a pot of a particular kind of tea, pulling out a favorite pen, and other ritualistic behaviors can signal your brain that “it is time to get down to business.” You can critically think about your work methods—not only about what you like to do, but also what actually helps you be productive. You may LOVE to listen to your favorite band while you write, for example, but if you wind up playing air guitar half the time instead of writing, it isn’t a habit worth keeping.

The point is, figure out what works for you and try to do it consistently. Your productive habits will reinforce themselves over time. If you find yourself in a situation, however, that doesn’t match your preferences, don’t let it stop you from working on your dissertation. Try to be flexible and open to experimenting. You might find some new favorites!

Motivational strategies

Schedule a regular activity with other people that involves your dissertation. Set up a coworking date with your accountability buddies so you can sit and write together. Organize a chapter swap. Make regular appointments with your advisor. Whatever you do, make sure it’s something that you’ll feel good about showing up for–and will make you feel good about showing up for others.

Try writing in sprints . Many writers have discovered that the “Pomodoro technique” (writing for 25 minutes and taking a 5 minute break) boosts their productivity by helping them set small writing goals, focus intently for short periods, and give their brains frequent rests. See how one dissertation writer describes it in this blog post on the Pomodoro technique .

Quit while you’re ahead . Sometimes it helps to stop for the day when you’re on a roll. If you’ve got a great idea that you’re developing and you know where you want to go next, write “Next, I want to introduce x, y, and z and explain how they’re related—they all have the same characteristics of 1 and 2, and that clinches my theory of Q.” Then save the file and turn off the computer, or put down the notepad. When you come back tomorrow, you will already know what to say next–and all that will be left is to say it. Hopefully, the momentum will carry you forward.

Write your dissertation in single-space . When you need a boost, double space it and be impressed with how many pages you’ve written.

Set feasible goals–and celebrate the achievements! Setting and achieving smaller, more reasonable goals ( SMART goals ) gives you success, and that success can motivate you to focus on the next small step…and the next one.

Give yourself rewards along the way . When you meet a writing goal, reward yourself with something you normally wouldn’t have or do–this can be anything that will make you feel good about your accomplishment.

Make the act of writing be its own reward . For example, if you love a particular coffee drink from your favorite shop, save it as a special drink to enjoy during your writing time.

Try giving yourself “pre-wards” —positive experiences that help you feel refreshed and recharged for the next time you write. You don’t have to “earn” these with prior work, but you do have to commit to doing the work afterward.

Commit to doing something you don’t want to do if you don’t achieve your goal. Some people find themselves motivated to work harder when there’s a negative incentive. What would you most like to avoid? Watching a movie you hate? Donating to a cause you don’t support? Whatever it is, how can you ensure enforcement? Who can help you stay accountable?

Affective strategies

Build your confidence . It is not uncommon to feel “imposter phenomenon” during the course of writing your dissertation. If you start to feel this way, it can help to take a few minutes to remember every success you’ve had along the way. You’ve earned your place, and people have confidence in you for good reasons. It’s also helpful to remember that every one of the brilliant people around you is experiencing the same lack of confidence because you’re all in a new context with new tasks and new expectations. You’re not supposed to have it all figured out. You’re supposed to have uncertainties and questions and things to learn. Remember that they wouldn’t have accepted you to the program if they weren’t confident that you’d succeed. See our self-scripting handout for strategies to turn these affirmations into a self-script that you repeat whenever you’re experiencing doubts or other negative thoughts. You can do it!

Appreciate your successes . Not meeting a goal isn’t a failure–and it certainly doesn’t make you a failure. It’s an opportunity to figure out why you didn’t meet the goal. It might simply be that the goal wasn’t achievable in the first place. See the SMART goal handout and think through what you can adjust. Even if you meant to write 1500 words, focus on the success of writing 250 or 500 words that you didn’t have before.

Remember your “why.” There are a whole host of reasons why someone might decide to pursue a PhD, both personally and professionally. Reflecting on what is motivating to you can rekindle your sense of purpose and direction.

Get outside support . Sometimes it can be really helpful to get an outside perspective on your work and anxieties as a way of grounding yourself. Participating in groups like the Dissertation Support group through CAPS and the Dissertation Boot Camp can help you see that you’re not alone in the challenges. You might also choose to form your own writing support group with colleagues inside or outside your department.

Understand and manage your procrastination . When you’re writing a long dissertation, it can be easy to procrastinate! For instance, you might put off writing because the house “isn’t clean enough” or because you’re not in the right “space” (mentally or physically) to write, so you put off writing until the house is cleaned and everything is in its right place. You may have other ways of procrastinating. It can be helpful to be self-aware of when you’re procrastinating and to consider why you are procrastinating. It may be that you’re anxious about writing the perfect draft, for example, in which case you might consider: how can I focus on writing something that just makes progress as opposed to being “perfect”? There are lots of different ways of managing procrastination; one way is to make a schedule of all the things you already have to do (when you absolutely can’t write) to help you visualize those chunks of time when you can. See this handout on procrastination for more strategies and tools for managing procrastination.

Your topic, your advisor, and your committee: Making them work for you

By the time you’ve reached this stage, you have probably already defended a dissertation proposal, chosen an advisor, and begun working with a committee. Sometimes, however, those three elements can prove to be major external sources of frustration. So how can you manage them to help yourself be as productive as possible?

Managing your topic

Remember that your topic is not carved in stone . The research and writing plan suggested in your dissertation proposal was your best vision of the project at that time, but topics evolve as the research and writing progress. You might need to tweak your research question a bit to reduce or adjust the scope, you might pare down certain parts of the project or add others. You can discuss your thoughts on these adjustments with your advisor at your check ins.

Think about variables that could be cut down and how changes would affect the length, depth, breadth, and scholarly value of your study. Could you cut one or two experiments, case studies, regions, years, theorists, or chapters and still make a valuable contribution or, even more simply, just finish?

Talk to your advisor about any changes you might make . They may be quite sympathetic to your desire to shorten an unwieldy project and may offer suggestions.

Look at other dissertations from your department to get a sense of what the chapters should look like. Reverse-outline a few chapters so you can see if there’s a pattern of typical components and how information is sequenced. These can serve as models for your own dissertation. See this video on reverse outlining to see the technique.

Managing your advisor

Embrace your evolving status . At this stage in your graduate career, you should expect to assume some independence. By the time you finish your project, you will know more about your subject than your committee does. The student/teacher relationship you have with your advisor will necessarily change as you take this big step toward becoming their colleague.

Revisit the alliance . If the interaction with your advisor isn’t matching the original agreement or the original plan isn’t working as well as it could, schedule a conversation to revisit and redesign your working relationship in a way that could work for both of you.

Be specific in your feedback requests . Tell your advisor what kind of feedback would be most helpful to you. Sometimes an advisor can be giving unhelpful or discouraging feedback without realizing it. They might make extensive sentence-level edits when you really need conceptual feedback, or vice-versa, if you only ask generally for feedback. Letting your advisor know, very specifically, what kinds of responses will be helpful to you at different stages of the writing process can help your advisor know how to help you.

Don’t hide . Advisors can be most helpful if they know what you are working on, what problems you are experiencing, and what progress you have made. If you haven’t made the progress you were hoping for, it only makes it worse if you avoid talking to them. You rob yourself of their expertise and support, and you might start a spiral of guilt, shame, and avoidance. Even if it’s difficult, it may be better to be candid about your struggles.

Talk to other students who have the same advisor . You may find that they have developed strategies for working with your advisor that could help you communicate more effectively with them.

If you have recurring problems communicating with your advisor , you can make a change. You could change advisors completely, but a less dramatic option might be to find another committee member who might be willing to serve as a “secondary advisor” and give you the kinds of feedback and support that you may need.

Managing your committee

Design the alliance . Talk with your committee members about how much they’d like to be involved in your writing process, whether they’d like to see chapter drafts or the complete draft, how frequently they’d like to meet (or not), etc. Your advisor can guide you on how committees usually work, but think carefully about how you’d like the relationship to function too.

Keep in regular contact with your committee , even if they don’t want to see your work until it has been approved by your advisor. Let them know about fellowships you receive, fruitful research excursions, the directions your thinking is taking, and the plans you have for completion. In short, keep them aware that you are working hard and making progress. Also, look for other ways to get facetime with your committee even if it’s not a one-on-one meeting. Things like speaking with them at department events, going to colloquiums or other events they organize and/or attend regularly can help you develop a relationship that could lead to other introductions and collaborations as your career progresses.

Share your struggles . Too often, we only talk to our professors when we’re making progress and hide from them the rest of the time. If you share your frustrations or setbacks with a knowledgeable committee member, they might offer some very helpful suggestions for overcoming the obstacles you face—after all, your committee members have all written major research projects before, and they have probably solved similar problems in their own work.

Stay true to yourself . Sometimes, you just don’t entirely gel with your committee, but that’s okay. It’s important not to get too hung up on how your committee does (or doesn’t) relate to you. Keep your eye on the finish line and keep moving forward.

Helpful websites:

Graduate School Diversity Initiatives : Groups and events to support the success of students identifying with an affinity group.

Graduate School Career Well : Extensive professional development resources related to writing, research, networking, job search, etc.

CAPS Therapy Groups : CAPS offers a variety of support groups, including a dissertation support group.

Advice on Research and Writing : Lots of links on writing, public speaking, dissertation management, burnout, and more.

How to be a Good Graduate Student: Marie DesJardins’ essay talks about several phases of the graduate experience, including the dissertation. She discusses some helpful hints for staying motivated and doing consistent work.

Preparing Future Faculty : This page, a joint project of the American Association of Colleges and Universities, the Council of Graduate Schools, and the Pew Charitable Trusts, explains the Preparing Future Faculty Programs and includes links and suggestions that may help graduate students and their advisors think constructively about the process of graduate education as a step toward faculty responsibilities.

Dissertation Tips : Kjell Erik Rudestam, Ph.D. and Rae Newton, Ph.D., authors of Surviving Your Dissertation: A Comprehensive Guide to Content and Process.

The ABD Survival Guide Newsletter : Information about the ABD Survival Guide newsletter (which is free) and other services from E-Coach (many of which are not free).

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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Trapped in dissertation revisions?

How to create a table of contents for a dissertation (apa), published by steve tippins on june 20, 2022 june 20, 2022.

Last Updated on: 2nd February 2024, 05:06 am

APA Dissertation Table of Contents Format Guidelines

• The table of contents should be double spaced with one-inch margins on all sides. 
• It should be written in the same font and size as the rest of your dissertation.  
• At the top of the page, write Table of Contents , centered and in bold.
• Although in the body of the paper you can use up to five levels of headings, up to three levels are usually provided in the Table of Contents. Including lower-level headings is optional. 
• Indent each subheading five spaces. 
• Write all text in title case. In title case, the first letter of major words is capitalized.
• Provide the page number where the main headings and subheadings begin, and provide dotted lines between the heading and the page number.
• Page numbers for the Dedication, Acknowledgements, and Preface should be in lower case Roman Numbers (i, v, x, l, c, d and m.). The page numbers for the rest of the text should be in Arabic numerals (1,2, 3, 4, etc.).

How to Create an APA Table of Contents Using Microsoft Word

Step 1. Instead of manually trying to write and format the table of contents, you can create a generated one using Microsoft Word. To do this, first go to the Home tab. This is where you will choose the styles for the table of contents. 

Step 2. The top-level headings will be your chapter titles, so on the right side of the tab, apply the Heading 1 style. 

Step 3. The second-level headings will be your subheadings, so apply the Heading 2 style. This will place your subheadings underneath your main headings.

Step 4. You will now produce page links to your document. In the top ribbon, click on the References tab and select Table of Contents . 

Step 5. If the style does not indicate APA, such as the one below, use the drop down arrow to select APA. 

Step 6. Next, choose the number of levels that you want. In this case, you want to be able to have up to three levels, so choose Automatic Table 2 , which has the appropriate heading for a dissertation. 

Step 7. Click ok , and you are all set. Microsoft word will automatically generate your dissertation’s table of contents as you write it.

List of Tables and Figures

Your list of tables and figures will be written at the end of the list of information in the body of your paper. You will create these lists the same way that you created the main table of contents. 

However, the headings will be different. 

Instead of the heading “Table of Contents,” the headings will be “List of Tables” and “List of Figures.” (An example is provided in the table of contents example below.)

Example of Table of Contents

In the example below, there are three level headings. The list of tables and figures are provided at the bottom of the other contents. The sections in your table of contents may be different depending on your college’s requirements. 

Updating the Table of Contents

As you continue working on your dissertation, you will need to update the page numbers because they may change. 

To update the page numbers, right-click on the table of contents in your document and select the Update field . Then, the Update Table of Contents box will appear. 

You can choose to Update page numbers only or all the information in the table of contents by clicking on Update entire table . 

Note: For more information, refer to the APA Manual 7 th edition , sections 2.2-2.27.

Steve Tippins

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

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How To Write A Dissertation Introduction

A Simple Explainer With Examples + Free Template

By: Derek Jansen (MBA) | Reviewed By Dr Eunice Rautenbach (D. Tech) | March 2020

If you’re reading this, you’re probably at the daunting early phases of writing up the introduction chapter of your dissertation or thesis. It can be intimidating, I know. 

In this post, we’ll look at the 7 essential ingredients of a strong dissertation or thesis introduction chapter, as well as the essential things you need to keep in mind as you craft each section. We’ll also share some useful tips to help you optimize your approach.

Overview: Writing An Introduction Chapter

• The purpose and function of the intro chapter
• Craft an enticing and engaging opening section
• Provide a background and context to the study
• Clearly define the research problem
• State your research aims, objectives and questions
• Explain the significance of your study
• Identify the limitations of your research
• Outline the structure of your dissertation or thesis

A quick sidenote:

You’ll notice that I’ve used the words dissertation and thesis interchangeably. While these terms reflect different levels of research – for example, Masters vs PhD-level research – the introduction chapter generally contains the same 7 essential ingredients regardless of level. So, in this post, dissertation introduction equals thesis introduction.

Start with why.

To craft a high-quality dissertation or thesis introduction chapter, you need to understand exactly what this chapter needs to achieve. In other words, what’s its purpose ? As the name suggests, the introduction chapter needs to introduce the reader to your research so that they understand what you’re trying to figure out, or what problem you’re trying to solve. More specifically, you need to answer four important questions in your introduction chapter.

These questions are:

• What will you be researching? (in other words, your research topic)
• Why is that worthwhile? (in other words, your justification)
• What will the scope of your research be? (in other words, what will you cover and what won’t you cover)
• What will the limitations of your research be? (in other words, what will the potential shortcomings of your research be?)

Simply put, your dissertation’s introduction chapter needs to provide an overview of your planned research , as well as a clear rationale for it. In other words, this chapter has to explain the “what” and the “why” of your research – what’s it all about and why’s that important.

Simple enough, right?

Well, the trick is finding the appropriate depth of information. As the researcher, you’ll be extremely close to your topic and this makes it easy to get caught up in the minor details. While these intricate details might be interesting, you need to write your introduction chapter on more of a “need-to-know” type basis, or it will end up way too lengthy and dense. You need to balance painting a clear picture with keeping things concise. Don’t worry though – you’ll be able to explore all the intricate details in later chapters.

Now that you understand what you need to achieve from your introduction chapter, we can get into the details. While the exact requirements for this chapter can vary from university to university, there are seven core components that most universities will require. We call these the seven essential ingredients . 

The 7 Essential Ingredients

• The opening section – where you’ll introduce the reader to your research in high-level terms
• The background to the study – where you’ll explain the context of your project
• The research problem – where you’ll explain the “gap” that exists in the current research
• The research aims , objectives and questions – where you’ll clearly state what your research will aim to achieve
• The significance (or justification) – where you’ll explain why your research is worth doing and the value it will provide to the world
• The limitations – where you’ll acknowledge the potential limitations of your project and approach
• The structure – where you’ll briefly outline the structure of your dissertation or thesis to help orient the reader

By incorporating these seven essential ingredients into your introduction chapter, you’ll comprehensively cover both the “ what ” and the “ why ” I mentioned earlier – in other words, you’ll achieve the purpose of the chapter.

Side note – you can also use these 7 ingredients in this order as the structure for your chapter to ensure a smooth, logical flow. This isn’t essential, but, generally speaking, it helps create an engaging narrative that’s easy for your reader to understand. If you’d like, you can also download our free introduction chapter template here.

Alright – let’s look at each of the ingredients now.

#1 – The Opening Section

The very first essential ingredient for your dissertation introduction is, well, an introduction or opening section. Just like every other chapter, your introduction chapter needs to start by providing a brief overview of what you’ll be covering in the chapter.

This section needs to engage the reader with clear, concise language that can be easily understood and digested. If the reader (your marker!) has to struggle through it, they’ll lose interest, which will make it harder for you to earn marks. Just because you’re writing an academic paper doesn’t mean you can ignore the basic principles of engaging writing used by marketers, bloggers, and journalists. At the end of the day, you’re all trying to sell an idea – yours is just a research idea.

So, what goes into this opening section?

Well, while there’s no set formula, it’s a good idea to include the following four foundational sentences in your opening section:

1 – A sentence or two introducing the overall field of your research.

For example:

“Organisational skills development involves identifying current or potential skills gaps within a business and developing programs to resolve these gaps. Management research, including X, Y and Z, has clearly established that organisational skills development is an essential contributor to business growth.”

2 – A sentence introducing your specific research problem.

“However, there are conflicting views and an overall lack of research regarding how best to manage skills development initiatives in highly dynamic environments where subject knowledge is rapidly and continuously evolving – for example, in the website development industry.”

3 – A sentence stating your research aims and objectives.

“This research aims to identify and evaluate skills development approaches and strategies for highly dynamic industries in which subject knowledge is continuously evolving.”.

4 – A sentence outlining the layout of the chapter.

“This chapter will provide an introduction to the study by first discussing the background and context, followed by the research problem, the research aims, objectives and questions, the significance and finally, the limitations.”

As I mentioned, this opening section of your introduction chapter shouldn’t be lengthy . Typically, these four sentences should fit neatly into one or two paragraphs, max. What you’re aiming for here is a clear, concise introduction to your research – not a detailed account.

PS – If some of this terminology sounds unfamiliar, don’t stress – I’ll explain each of the concepts later in this post.

#2 – Background to the study

Now that you’ve provided a high-level overview of your dissertation or thesis, it’s time to go a little deeper and lay a foundation for your research topic. This foundation is what the second ingredient is all about – the background to your study.

So, what is the background section all about?

Well, this section of your introduction chapter should provide a broad overview of the topic area that you’ll be researching, as well as the current contextual factors . This could include, for example, a brief history of the topic, recent developments in the area, key pieces of research in the area and so on. In other words, in this section, you need to provide the relevant background information to give the reader a decent foundational understanding of your research area.

Let’s look at an example to make this a little more concrete.

If we stick with the skills development topic I mentioned earlier, the background to the study section would start by providing an overview of the skills development area and outline the key existing research. Then, it would go on to discuss how the modern-day context has created a new challenge for traditional skills development strategies and approaches. Specifically, that in many industries, technical knowledge is constantly and rapidly evolving, and traditional education providers struggle to keep up with the pace of new technologies.

Importantly, you need to write this section with the assumption that the reader is not an expert in your topic area. So, if there are industry-specific jargon and complex terminology, you should briefly explain that here , so that the reader can understand the rest of your document.

Don’t make assumptions about the reader’s knowledge – in most cases, your markers will not be able to ask you questions if they don’t understand something. So, always err on the safe side and explain anything that’s not common knowledge.

#3 – The research problem

Now that you’ve given your reader an overview of your research area, it’s time to get specific about the research problem that you’ll address in your dissertation or thesis. While the background section would have alluded to a potential research problem (or even multiple research problems), the purpose of this section is to narrow the focus and highlight the specific research problem you’ll focus on.

But, what exactly is a research problem, you ask?

Well, a research problem can be any issue or question for which there isn’t already a well-established and agreed-upon answer in the existing research. In other words, a research problem exists when there’s a need to answer a question (or set of questions), but there’s a gap in the existing literature , or the existing research is conflicting and/or inconsistent.

So, to present your research problem, you need to make it clear what exactly is missing in the current literature and why this is a problem . It’s usually a good idea to structure this discussion into three sections – specifically:

• What’s already well-established in the literature (in other words, the current state of research)
• What’s missing in the literature (in other words, the literature gap)
• Why this is a problem (in other words, why it’s important to fill this gap)

Let’s look at an example of this structure using the skills development topic.

Organisational skills development is critically important for employee satisfaction and company performance (reference). Numerous studies have investigated strategies and approaches to manage skills development programs within organisations (reference).

(this paragraph explains what’s already well-established in the literature)

However, these studies have traditionally focused on relatively slow-paced industries where key skills and knowledge do not change particularly often. This body of theory presents a problem for industries that face a rapidly changing skills landscape – for example, the website development industry – where new platforms, languages and best practices emerge on an extremely frequent basis.

(this paragraph explains what’s missing from the literature)

As a result, the existing research is inadequate for industries in which essential knowledge and skills are constantly and rapidly evolving, as it assumes a slow pace of knowledge development. Industries in such environments, therefore, find themselves ill-equipped in terms of skills development strategies and approaches.

(this paragraph explains why the research gap is problematic)

As you can see in this example, in a few lines, we’ve explained (1) the current state of research, (2) the literature gap and (3) why that gap is problematic. By doing this, the research problem is made crystal clear, which lays the foundation for the next ingredient.

#4 – The research aims, objectives and questions

Now that you’ve clearly identified your research problem, it’s time to identify your research aims and objectives , as well as your research questions . In other words, it’s time to explain what you’re going to do about the research problem.

So, what do you need to do here?

Well, the starting point is to clearly state your research aim (or aims) . The research aim is the main goal or the overarching purpose of your dissertation or thesis. In other words, it’s a high-level statement of what you’re aiming to achieve.

Let’s look at an example, sticking with the skills development topic:

“Given the lack of research regarding organisational skills development in fast-moving industries, this study will aim to identify and evaluate the skills development approaches utilised by web development companies in the UK”.

As you can see in this example, the research aim is clearly outlined, as well as the specific context in which the research will be undertaken (in other words, web development companies in the UK).

Next up is the research objective (or objectives) . While the research aims cover the high-level “what”, the research objectives are a bit more practically oriented, looking at specific things you’ll be doing to achieve those research aims.

Let’s take a look at an example of some research objectives (ROs) to fit the research aim.

• RO1 – To identify common skills development strategies and approaches utilised by web development companies in the UK.
• RO2 – To evaluate the effectiveness of these strategies and approaches.
• RO3 – To compare and contrast these strategies and approaches in terms of their strengths and weaknesses.

As you can see from this example, these objectives describe the actions you’ll take and the specific things you’ll investigate in order to achieve your research aims. They break down the research aims into more specific, actionable objectives.

The final step is to state your research questions . Your research questions bring the aims and objectives another level “down to earth”. These are the specific questions that your dissertation or theses will seek to answer. They’re not fluffy, ambiguous or conceptual – they’re very specific and you’ll need to directly answer them in your conclusions chapter .

The research questions typically relate directly to the research objectives and sometimes can look a bit obvious, but they are still extremely important. Let’s take a look at an example of the research questions (RQs) that would flow from the research objectives I mentioned earlier.

• RQ1 – What skills development strategies and approaches are currently being used by web development companies in the UK?
• RQ2 – How effective are each of these strategies and approaches?
• RQ3 – What are the strengths and weaknesses of each of these strategies and approaches?

As you can see, the research questions mimic the research objectives , but they are presented in question format. These questions will act as the driving force throughout your dissertation or thesis – from the literature review to the methodology and onward – so they’re really important.

A final note about this section – it’s really important to be clear about the scope of your study (more technically, the delimitations ). In other words, what you WILL cover and what you WON’T cover. If your research aims, objectives and questions are too broad, you’ll risk losing focus or investigating a problem that is too big to solve within a single dissertation.

Simply put, you need to establish clear boundaries in your research. You can do this, for example, by limiting it to a specific industry, country or time period. That way, you’ll ringfence your research, which will allow you to investigate your topic deeply and thoroughly – which is what earns marks!

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#5 – Significance

Now that you’ve made it clear what you’ll be researching, it’s time to make a strong argument regarding your study’s importance and significance . In other words, now that you’ve covered the what, it’s time to cover the why – enter essential ingredient number 5 – significance.

Of course, by this stage, you’ve already briefly alluded to the importance of your study in your background and research problem sections, but you haven’t explicitly stated how your research findings will benefit the world . So, now’s your chance to clearly state how your study will benefit either industry , academia , or – ideally – both . In other words, you need to explain how your research will make a difference and what implications it will have .

Let’s take a look at an example.

“This study will contribute to the body of knowledge on skills development by incorporating skills development strategies and approaches for industries in which knowledge and skills are rapidly and constantly changing. This will help address the current shortage of research in this area and provide real-world value to organisations operating in such dynamic environments.”

As you can see in this example, the paragraph clearly explains how the research will help fill a gap in the literature and also provide practical real-world value to organisations.

This section doesn’t need to be particularly lengthy, but it does need to be convincing . You need to “sell” the value of your research here so that the reader understands why it’s worth committing an entire dissertation or thesis to it. This section needs to be the salesman of your research. So, spend some time thinking about the ways in which your research will make a unique contribution to the world and how the knowledge you create could benefit both academia and industry – and then “sell it” in this section.

#6 – The limitations

Now that you’ve “sold” your research to the reader and hopefully got them excited about what’s coming up in the rest of your dissertation, it’s time to briefly discuss the potential limitations of your research.

But you’re probably thinking, hold up – what limitations? My research is well thought out and carefully designed – why would there be limitations?

Well, no piece of research is perfect . This is especially true for a dissertation or thesis – which typically has a very low or zero budget, tight time constraints and limited researcher experience. Generally, your dissertation will be the first or second formal research project you’ve ever undertaken, so it’s unlikely to win any research awards…

Simply put, your research will invariably have limitations. Don’t stress yourself out though – this is completely acceptable (and expected). Even “professional” research has limitations – as I said, no piece of research is perfect. The key is to recognise the limitations upfront and be completely transparent about them, so that future researchers are aware of them and can improve the study’s design to minimise the limitations and strengthen the findings.

Generally, you’ll want to consider at least the following four common limitations. These are:

• Your scope – for example, perhaps your focus is very narrow and doesn’t consider how certain variables interact with each other.
• Your research methodology – for example, a qualitative methodology could be criticised for being overly subjective, or a quantitative methodology could be criticised for oversimplifying the situation (learn more about methodologies here ).
• Your resources – for example, a lack of time, money, equipment and your own research experience.
• The generalisability of your findings – for example, the findings from the study of a specific industry or country can’t necessarily be generalised to other industries or countries.

Don’t be shy here. There’s no use trying to hide the limitations or weaknesses of your research. In fact, the more critical you can be of your study, the better. The markers want to see that you are aware of the limitations as this demonstrates your understanding of research design – so be brutal.

#7 – The structural outline

Now that you’ve clearly communicated what your research is going to be about, why it’s important and what the limitations of your research will be, the final ingredient is the structural outline.The purpose of this section is simply to provide your reader with a roadmap of what to expect in terms of the structure of your dissertation or thesis.

In this section, you’ll need to provide a brief summary of each chapter’s purpose and contents (including the introduction chapter). A sentence or two explaining what you’ll do in each chapter is generally enough to orient the reader. You don’t want to get too detailed here – it’s purely an outline, not a summary of your research.

Let’s look at an example:

In Chapter One, the context of the study has been introduced. The research objectives and questions have been identified, and the value of such research argued. The limitations of the study have also been discussed.

In Chapter Two, the existing literature will be reviewed and a foundation of theory will be laid out to identify key skills development approaches and strategies within the context of fast-moving industries, especially technology-intensive industries.

In Chapter Three, the methodological choices will be explored. Specifically, the adoption of a qualitative, inductive research approach will be justified, and the broader research design will be discussed, including the limitations thereof.

So, as you can see from the example, this section is simply an outline of the chapter structure, allocating a short paragraph to each chapter. Done correctly, the outline will help your reader understand what to expect and reassure them that you’ll address the multiple facets of the study.

By the way – if you’re unsure of how to structure your dissertation or thesis, be sure to check out our video post which explains dissertation structure .

Keep calm and carry on.

Hopefully you feel a bit more prepared for this challenge of crafting your dissertation or thesis introduction chapter now. Take a deep breath and remember that Rome wasn’t built in a day – conquer one ingredient at a time and you’ll be firmly on the path to success.

Let’s quickly recap – the 7 ingredients are:

• The opening section – where you give a brief, high-level overview of what your research will be about.
• The study background – where you introduce the reader to key theory, concepts and terminology, as well as the context of your study.
• The research problem – where you explain what the problem with the current research is. In other words, the research gap.
• The research aims , objectives and questions – where you clearly state what your dissertation will investigate.
• The significance – where you explain what value your research will provide to the world.
• The limitations – where you explain what the potential shortcomings and limitations of your research may be.
• The structural outline – where you provide a high-level overview of the structure of your document

If you bake these ingredients into your dissertation introduction chapter, you’ll be well on your way to building an engaging introduction chapter that lays a rock-solid foundation for the rest of your document.

Remember, while we’ve covered the essential ingredients here, there may be some additional components that your university requires, so be sure to double-check your project brief!

Psst... there’s more!

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

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42 Comments

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Glad to hear that. Good luck with your thesis!

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You’re welcome

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Thank you so much Derek, this has been extremely helpful!!

I do have one question though, in the limitations part do you refer to the scope as the focus of the research on a specific industry/country/chronological period? I assume that in order to talk about whether or not the research could be generalized, the above would need to be already presented and described in the introduction.

Thank you again!

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Thank you very much for these valuable introductions to thesis chapters. I saw all your videos about writing the introduction, discussion, and conclusion chapter. Then, I am wondering if we need to explain our research limitations in all three chapters, introduction, discussion, and conclusion? Isn’t it a bit redundant? If not, could you please explain how can we write in different ways? Thank you.

Excellent!!! Thank you…

Thanks for this informative content. I have a question. The research gap is mentioned in both the introduction and literature section. I would like to know how can I demonstrate the research gap in both sections without repeating the contents?

I’m incredibly grateful for this invaluable content. I’ve been dreading compiling my postgrad thesis but breaking each chapter down into sections has made it so much easier for me to engage with the material without feeling overwhelmed. After relying on your guidance, I’m really happy with how I’ve laid out my introduction.

Thank you for the informative content you provided

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I thank you Grad coach for your priceless help. I have two questions I have learned from your video the limitations of the research presented in chapter one. but in another video also presented in chapter five. which chapter limitation should be included? If possible, I need your answer since I am doing my thesis. how can I explain If I am asked what is my motivation for this research?

Thank you guys for the great work you are doing. Honestly, you have made the research to be interesting and simplified. Even a novice will easily grasp the ideas you put forward, Thank you once again.

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I feel like just settling for a good topic is usually the hardest part.

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Happy to help 🙂

I am so glad I ran into your resources and did not waste time doing the wrong this. Research is now making so much sense now.

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thank you so much. God Bless you

Thank you so much Grad Coach for these helpful insights. Now I can get started, with a great deal of confidence.

It’s ‘alluded to’ not ‘eluded to’.

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• Dissertation Table of Contents in Word | Instructions & Examples

Dissertation Table of Contents in Word | Instructions & Examples

Published on 15 May 2022 by Tegan George .

The table of contents is where you list the chapters and major sections of your thesis, dissertation, or research paper, alongside their page numbers. A clear and well-formatted table of contents is essential, as it demonstrates to your reader that a quality paper will follow.

The table of contents (TOC) should be placed between the abstract and the introduction. The maximum length should be two pages. Depending on the nature of your thesis, dissertation, or paper, there are a few formatting options you can choose from.

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Table of contents

What to include in your table of contents, what not to include in your table of contents, creating a table of contents in microsoft word, table of contents examples, updating a table of contents in microsoft word, other lists in your thesis, dissertation, or research paper, frequently asked questions about the table of contents.

Depending on the length of your document, you can choose between a single-level, subdivided, or multi-level table of contents.

• A single-level table of contents only includes ‘level 1’ headings, or chapters. This is the simplest option, but it may be too broad for a long document like a dissertation.
• A subdivided table of contents includes chapters as well as ‘level 2’ headings, or sections. These show your reader what each chapter contains.
• A multi-level table of contents also further divides sections into ‘level 3’ headings. This option can get messy quickly, so proceed with caution. Remember your table of contents should not be longer than 2 pages. A multi-level table is often a good choice for a shorter document like a research paper.

Examples of level 1 headings are Introduction, Literature Review, Methodology, and Bibliography. Subsections of each of these would be level 2 headings, further describing the contents of each chapter or large section. Any further subsections would be level 3.

In these introductory sections, less is often more. As you decide which sections to include, narrow it down to only the most essential.

Including appendices and tables

You should include all appendices in your table of contents. Whether or not you include tables and figures depends largely on how many there are in your document.

If there are more than three figures and tables, you might consider listing them on a separate page. Otherwise, you can include each one in the table of contents.

• Theses and dissertations often have a separate list of figures and tables.
• Research papers generally don’t have a separate list of figures and tables.

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All level 1 and level 2 headings should be included in your table of contents, with level 3 headings used very sparingly.

The following things should never be included in a table of contents:

• Your acknowledgements page
• Your abstract
• The table of contents itself

The acknowledgements and abstract always precede the table of contents, so there’s no need to include them. This goes for any sections that precede the table of contents.

To automatically insert a table of contents in Microsoft Word, be sure to first apply the correct heading styles throughout the document, as shown below.

• Choose which headings are heading 1 and which are heading 2 (or 3!
• For example, if all level 1 headings should be Times New Roman, 12-point font, and bold, add this formatting to the first level 1 heading.
• Highlight the level 1 heading.
• Right-click the style that says ‘Heading 1’.
• Select ‘Update Heading 1 to Match Selection’.
• Allocate the formatting for each heading throughout your document by highlighting the heading in question and clicking the style you wish to apply.

Once that’s all set, follow these steps:

• Add a title to your table of contents. Be sure to check if your citation style or university has guidelines for this.
• Place your cursor where you would like your table of contents to go.
• In the ‘References’ section at the top, locate the Table of Contents group.
• Here, you can select which levels of headings you would like to include. You can also make manual adjustments to each level by clicking the Modify button.
• When you are ready to insert the table of contents, click ‘OK’ and it will be automatically generated, as shown below.

The key features of a table of contents are:

• Clear headings and subheadings
• Corresponding page numbers

Check with your educational institution to see if they have any specific formatting or design requirements.

Write yourself a reminder to update your table of contents as one of your final tasks before submitting your dissertation or paper. It’s normal for your text to shift a bit as you input your final edits, and it’s crucial that your page numbers correspond correctly.

It’s easy to update your page numbers automatically in Microsoft Word. Simply right-click the table of contents and select ‘Update Field’. You can choose either to update page numbers only or to update all information in your table of contents.

In addition to a table of contents, you might also want to include a list of figures and tables, a list of abbreviations and a glossary in your thesis or dissertation. You can use the following guides to do so:

• List of figures and tables
• List of abbreviations

It is less common to include these lists in a research paper.

All level 1 and 2 headings should be included in your table of contents . That means the titles of your chapters and the main sections within them.

The contents should also include all appendices and the lists of tables and figures, if applicable, as well as your reference list .

Do not include the acknowledgements or abstract   in the table of contents.

To automatically insert a table of contents in Microsoft Word, follow these steps:

• Apply heading styles throughout the document.
• In the references section in the ribbon, locate the Table of Contents group.
• Click the arrow next to the Table of Contents icon and select Custom Table of Contents.
• Select which levels of headings you would like to include in the table of contents.

Make sure to update your table of contents if you move text or change headings. To update, simply right click and select Update Field.

The table of contents in a thesis or dissertation always goes between your abstract and your introduction.

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• Formatting Your Dissertation
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Language of the Dissertation

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

• Table of Contents

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

• Related Contacts and Forms

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

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

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

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

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

Recommended Fonts

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

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

Instructions for Embedding Fonts

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

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

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

To embed your fonts in Microsoft Word 2010:

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

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

To embed your fonts in Microsoft Word 2007:

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

Using Microsoft Word on a Mac:

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

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

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

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

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

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

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

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

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

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

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

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

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

Use of Third-Party Content

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

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

Fair Use and Copyright 

What is fair use?

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

• Check pagination carefully. Account for all pages.

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

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

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

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

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

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

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

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

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

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

• Front Matter
• Body of Text
• Back Matter

Front matter includes (if applicable):

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

Back matter includes (if applicable):

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

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

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

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

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

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

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APA Style 7th Edition: Citing Your Sources

• Basics of APA Formatting
• In Text Quick View
• Block Quotes
• Books & eBooks
• Thesis/Dissertation

Standard Format

Formatting rules, various examples.

• Audiovisual
• Conference Presentations
• Social Media
• Legal References
• Reports and Gray Literature
• Academic Integrity and Plagiarism
• Additional Resources
• Reference Page

Adapted from American Psychological Association. (2020). Publication manual of the American Psychological Association (7th ed).  https://doi.org/10.1037/0000165-000

Formatting:

• Italicize the title
• Identify whether source is doctoral dissertation or master’s thesis in parentheses after the title

See Ch. 10 pp. 313-352 of APA Manual for more examples and formatting rules

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Three Umass Amherst Doctoral Students Earn 2024 Mellon/Acls Dissertation Innovation Fellowships

Three UMass Amherst doctoral students have been awarded  2024 Mellon/American Council of Learned Societies (ACLS) Dissertation Innovation Fellowships , which support doctoral students in the humanities and interpretive social sciences as they pursue bold and innovative approaches to dissertation research

Jose Mari Lanuza in the Department of Communication,  Mabrouka M'Barek in the Department of Sociology and  Marcus P. Smith in the W. E. B. Du Bois Department of Afro-American Studies are among 45 awardees selected nationally from a pool of more than 700 applicants. Each honoree receives an award of up to $50,000 to support external mentorship that offers new perspectives on the fellow’s project and expands their advising network. With fellows pursuing their research across the country and beyond, ACLS will also provide opportunities for virtual networking and scholarly programming throughout the award terms.

Lanuza’s research explores electoral disinformation in the Philippines by considering social factors, which have often been neglected in prior research. It examines the information-seeking and meaning-making behaviors and processes of people who engage with conspiracy theories about Philippine elections and view contemporary electoral contexts as deeply intertwined with conspiracy theories. This approach illuminates disinformation vulnerability and consumption at the community level as products of micro-level social interactions and macro-level political communication. Lanuza is also a graduate fellow in the newly launched Global Technology for Social Justice Lab and co-author of a study comparing  Brazil and Philippines elections .

M'Barek’s dissertation is a comparative historical sociological project that seeks to analyze how colonization affected North African and North American semi-nomadic communities in the long term, and how these communities are re-engaging in land-based relations while celebrating their nomadic past. Drawing on indigenous methods, her research contributes to the field of sociology by conceptualizing mobility as a web of social relationships and connections with land and natural environment — deepening the understanding of the articulation between colonialism and capital accumulation.

The research pursued by Smith employs an interdisciplinary methodology, drawing from history, ethnography and landscape studies to examine the development of grassroots museums in historically Black rural, agro-urban and coastal communities as sites of community empowerment and resistance. His project investigates and recounts the narratives of museum inception, community mobilization, resource acquisition, curatorial decision-making and establishing the museums as viable and sustainable institutions in different social, political and economic contexts.

The ACLS launched the fellowship program in 2023 with the support of the  Mellon Foundation to advance a vision for doctoral education that prioritizes openness to new methods and sources, underrepresented voices and perspectives and scholarly experimentation. The awards are designed to accelerate change in the norms of humanistic scholarship by recognizing those who take risks in the modes, methods and subjects of their research.

More information about these other fellowship programs offered by the ACLS can be found at https://www.acls.org/fellowship-grant-programs .

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Dissertation Writing Retreat

The Dissertation Writing Retreat is offered by the Graduate School and Writing Center to provide structured writing time and resources for graduate students who are completing dissertation writing.

Open to post-candidacy doctoral students. June 10-14

Registration is available to the first 20 students to register.

To register, participants must submit a letter of support from their major professor or dissertation chair on letterhead indicating they are in good standing and eligible for the retreat by confirming date of candidacy/proposal acceptance.

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Online Thesis and Dissertation Formatting Workshop: Regular Session

June 27, 2024 2:00 pm to 3:30 pm, about this event.

This online workshop covers the submission process for format review and demonstrates how to use the automated templates to format MSU theses and dissertations to the requirements set forth in the Standards for Preparing Theses and Dissertations: 8th edition. These templates were designed to help an author organize and format their document with minimal effort so that their focus can be on the content of their document. Those who have already started writing or have already defended are welcome to bring their current documents (either on flash drive or email attachment) to start the process of placing their content into the template.

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