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How to write dissertation chapter 1, published by steve tippins on july 19, 2022 july 19, 2022.
Last Updated on: 2nd February 2024, 04:48 am
Congratulations, you’ve made it to the dissertation stage! You should be incredibly happy. However, beginning to write chapter one might be a little daunting. We’re going to cover a broad overview on chapter one here in this article so that you know the territory before you set out.
Purpose of Chapter One
The purpose of chapter one is to introduce the reader to what’s coming. Chapter one usually runs around 15 pages, and it gives the reader the highlights of what’s coming. Typically, you start with an introduction.
#1. Introduction
The introduction includes a few citations and says, “Hey, we’re going to talk about ___.” Fill in the blank with your topic (educational policy, or management handling of turnover, etc.). Also, don’t say “hey” like we did (that wouldn’t be very good academic writing).
#2. Background of the Problem
The next section is the background of the problem. I like to think of this as a very short literature review , showing the reader that there’s a foundation of scholarly research about this topic.
#3. Theoretical/Conceptual Framework
Follow that up by the theoretical or conceptual framework . Think of this as the seminal research upon which your study is based. Maslow’s hierarchy of needs, for example, is an incredibly popular conceptual framework. Erickson’s theories are popular in education, and systems theory is being used in many disciplines now.
#4. Problem Statement
Next comes what many consider to be the guts or the foundation of the dissertation: your problem statement . Your problem statement is typically one line. Now it might be surrounded by a paragraph or two, but the actual problem statement is one sentence. It should begin, “The problem to be studied is…” and finish with something that directly aligns with your purpose and research questions. For example, “…we don’t know the impact of extra after school education on student grades in math,” or “…we are not aware of the perceptions of employees regarding management, changing retirement plans.”
Over 50% of doctoral candidates don’t finish their dissertations.
#5. Purpose Statement
Next comes your purpose statement . The purpose is directly related to the problem. If the problem is that the impact of management decisions on employee turnover is unknown, then our purpose would be to determine the impact of management decisions on employee turnover.
#6. Research Questions
Follow this by the research questions. Your research questions should be highly aligned with your problem and your purpose. For example, your research question could be: “what is the relationship between management decisions and employee turnover?” Or for another topic, “what are the perceptions of parents regarding teacher pay raises?”
Quick aside: You’re going to say things over and over and over again in your dissertation. Say them the exact same way. You get in trouble when you try to get interesting and use different terms, because doing so actually introduces new meanings. Be okay with sounding boring.
#7. Methodology
Next is a brief Methodology section. Am I going to use a quantitative approach? Am I going to use a qualitative approach? What sources am I going to use? Is this going to be secondary data? Am I going to interview parents? Quickly tell the reader that you’re going to have a whole chapter (chapter three) to really go further on this.
#8. Definition of Key Terms
Many chapter ones include a definition of key terms. If I’m talking about phenomenology, I’d better tell the reader what phenomenology is. If I’m talking about special ed teachers, I’m going to say what a special ed teacher is.
#9. Validity
You also may have a section in chapter one on validity. This is going to be somewhere in your dissertation, and it’s going to assure the reader that you’re following all the ethical steps and that results can be transferable.
#10. Conclusion and Segway to Chapter Two
Finally, you’re going to have a conclusion wrapping everything up, summarizing for the reader what they heard, and a segue into chapter two.
Steve Tippins
Steve Tippins, PhD, has thrived in academia for over thirty years. He continues to love teaching in addition to coaching recent PhD graduates as well as students writing their dissertations. Learn more about his dissertation coaching and career coaching services. Book a Free Consultation with Steve Tippins
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How To Write A Dissertation Introduction
I f 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!
Need a helping hand?
#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!
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47 Comments
Thanks very much for such an insight. I feel confident enough in undertaking my thesis on the survey;The future of facial recognition and learning non verbal interaction
Glad to hear that. Good luck with your thesis!
Hi Derek, your article has been really helpful. Samuel. Student, Masters in Communication and Development Studies. Papua New Guinea University of Technology. 2024.
Thanks very much for such an insight. I feel confident now undertaking my thesis; The future of facial recognition and learning non verbal interaction.
Thanks so much for this article. I found myself struggling and wasting a lot of time in my thesis writing but after reading this article and watching some of your youtube videos, I now have a clear understanding of what is required for a thesis.
Thank you Derek, i find your each post so useful. Keep it up.
Thank you so much Derek ,for shedding the light and making it easier for me to handle the daunting task of academic writing .
Thanks do much Dereck for the comprehensive guide. It will assist me queit a lot in my thesis.
thanks a lot for helping
i LOVE the gifs, such a fun way to engage readers. thanks for the advice, much appreciated
Thanks a lot Derek! It will be really useful to the beginner in research!
You’re welcome
This is a well written, easily comprehensible, simple introduction to the basics of a Research Dissertation../the need to keep the reader in mind while writing the dissertation is an important point that is covered../ I appreciate the efforts of the author../
The instruction given are perfect and clear. I was supposed to take the course , unfortunately in Nepal the service is not avaialble.However, I am much more hopeful that you will provide require documents whatever you have produced so far.
Thank you very much
Thanks so much ❤️😘 I feel am ready to start writing my research methodology
This is genuinely the most effective advice I have ever been given regarding academia. Thank you so much!
This is one of the best write up I have seen in my road to PhD thesis. regards, this write up update my knowledge of research
I was looking for some good blogs related to Education hopefully your article will help. Thanks for sharing.
This is an awesome masterpiece. It is one of the most comprehensive guides to writing a Dissertation/Thesis I have seen and read.
You just saved me from going astray in writing a Dissertation for my undergraduate studies. I could not be more grateful for such a relevant guide like this. Thank you so much.
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!
Phew! You have genuinely rescued me. I was stuck how to go about my thesis. Now l have started. Thank you.
This is the very best guide in anything that has to do with thesis or dissertation writing. The numerous blends of examples and detailed insights make it worth a read and in fact, a treasure that is worthy to be bookmarked.
Thanks a lot for this masterpiece!
Powerful insight. I can now take a step
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
Hi Derrick and Team, thank you so much for the comprehensive guide on how to write a dissertation or a thesis introduction section. For some of us first-timers, it is a daunting task. However, the instruction with relevant examples makes it clear and easy to follow through. Much appreciated.
It was so helpful. God Bless you. Thanks very much
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?
You explain what moment in life caused you to have a peaked interest in the thesis topic. Personal experiences? Or something that had an impact on your life, or others. Something would have caused your drive of topic. Dig deep inside, the answer is within you!
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.
Excellent piece!
I feel like just settling for a good topic is usually the hardest part.
Thank you so much. My confidence has been completely destroyed during my first year of PhD and you have helped me pull myself together again
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.
Gratitude to Derrick and the team I was looking for a solid article that would aid me in drafting the thesis’ introduction. I felt quite happy when I came across the piece you wrote because it was so well-written and insightful. I wish you success in the future.
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’.
This is great!
Thank you for all this information. I feel very confident to complete my dissertation with all the help given. This is awesome and very helpful; I was studying alone with very little supervision and feedback of my thoughts. feelings. aspirations and experiences, with my topic or Kaupapa. It is a topic that very little or few researchers have written a thesis about (from personal experiences). As John Burke said ” unless you are sitting in the front seat and row, up close and personal, you will not understand the difficulties of growing up and living with hearing loss (caused by swimmer’s ears infection, resulting in burst eardrums, unless one denies having a hearing loss. This is from a Māori woman’s cultural perspective. Nga mihi nui kia koutou.
Thanks a lot for this information. The concepts are explained in a simple yet powerful way. They are easy to understand and adopt. Your team played an important role in writing my thesis. A big thank you !!!
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How To Write Chapter 1 Of A PhD Thesis Proposal (A Practical Guide)
After submitting a concept paper and your supervisor gives you the go-ahead, then it is time to start writing the proposal for your PhD thesis or dissertation.
The format of a thesis proposal varies from one institution to another but generally has three main chapters: chapter 1 (introduction), chapter 2 (literature review), and chapter 3 (research methodology).
Related post: How To Choose a Research Topic For Your PhD Thesis (7 Key Factors to Consider)
While in some institutions PhD students may be required to write more chapters, these three chapters are the meat of any thesis proposal. This article focuses on how to write chapter 1 of a PhD thesis proposal.
Chapter 1 of a thesis proposal has about 10 sections discussed below:
Introduction to the chapter
Background to the study, statement of the problem, justification of the study, significance of the study, objectives of the study and/or research questions, scope of the study, limitations and delimitations of the study, definition of terms, chapter summary, final thoughts on how to write chapter 1 of a phd thesis proposal, related posts.
This is the first section of chapter 1 of a thesis proposal. It is normally short about a paragraph in length. Its purpose is to inform the readers what the chapter is all about.
This section is the longest in chapter 1 of a thesis proposal.
It provides the context within which the study will be undertaken.
It gives a historical explanation of the issue under investigation.
It is important to use existing data and statistics to show the magnitude of the issue. Grey literature (for instance, reports from the government, non-governmental organisations, local institutions and international organisations among others) play an important role when providing the background to the study.
The background is often given starting from a general perspective and narrows down to a specific perspective.
For example, if the proposal is on maternal health in South Africa, then the background of the study will discuss maternal health from the global perspective, then maternal health in Africa, and then it will narrow down to maternal health in South Africa. It will provide data and statistics provided by reports from the Millennium Development Goals (MDGs), Sustainable Development Goals (SDGs), and demographic and health surveys (DHS) of various countries and specifically South Africa, among other reports. Such information paints a clear picture of the problem under investigation and sets the stage for the discussion of the problem statement.
The background to the study should be clear and comprehensive enough such that your readers will be on the same page after reading the section, irrespective of their prior knowledge in your research topic.
While reviewing literature for this section, a good practice is to build mind maps that highlight the important concepts for the study topic and how those concepts relate to each other.
It is also referred to as problem statement or issue under investigation.
The statement of the problem is the elephant in the “chapter 1” room. It is what most students struggle with and the area that can make or break a proposal defense.
It is very common to hear supervisors or defense panelists make comments such as:
“I don’t see any problem here.”
“This problem is not a problem.”
“This problem does not warrant a PhD-level study.”
When writing the statement of the problem, start the section with the problem, as in… The problem (or issue) under investigation is ….
After stating the problem then follow it up with an explanation of why it is a problem.
For PhD students, the problem under investigation should be complex enough to warrant a doctoral-level study and at the same time it should add to the body of knowledge in your chosen field of study. The latter – addition to knowledge – is what distinguishes a PhD-level thesis from a Masters-level thesis.
While crafting the problem statement it is also important to remember that the problem will influence the research objectives and the research methodology as well. The student should therefore think through these aspects carefully.
The justification is used to address the need for conducting the study and addressing the problem. It therefore follows the problem statement.
It is also referred to as the rationale for the study and addresses the “why” of the study: Why does this problem warrant an investigation? What is the purpose for carrying out the study?
In the example of maternal health in South Africa, the rationale or justification for the study would be the high maternal mortality ratios in South Africa and their undesirable effects on children and family. Therefore the study would help bring to light the major causes of maternal mortality in the country and how they can best be mitigated.
Whereas the justification of the study addresses the need for the study, the significance of the study highlights the benefits that would accrue after the study is completed.
The significance can be looked at from two perspectives:
- Academic perspective
- Practical perspective
For the academic perspective , the significance entails how the study would contribute to the existing body of knowledge in the chosen topic. Will it add to the methodology? Theory? New data? Will it study a population or phenomenon that has been neglected?
For PhD students, the addition to the body of knowledge is key, and should always be at the back of the student’s mind.
For the practical perspective , the significance of the study would be the impact and benefits that different stakeholders would derive from the findings of the study.
Depending on the study, the stakeholders may include: the Government, policymakers, different ministries and their agencies, different institutions, individuals, a community etc. This will vary from one study to another.
The significance of the study is best presented from a general to specific manner, like an inverted pyramid.
Each beneficiary is discussed separately.
Research questions are the question form of the research objectives. Depending on your institution and/or department where you are doing your PhD you may have both objectives and research questions or either.
There are two types of objectives: the general objective and the specific objectives. The general objective is a reflection of the study topic while the specific objectives are a breakdown of the general objective.
Coming up with good research objectives is an important step of any PhD thesis proposal. This is because the research objectives will determine whether the research problem will be adequately addressed and at the same time it will influence the research methodology that the study will adopt.
Research objectives should therefore emanate from the research problem.
While crafting the objectives, think about all those things that you would like to accomplish for your study and if by doing them they will address the research problem in totality.
Once you’ve noted all those activities that you would like to undertake, group the like ones together so as to narrow them down to 4 or 5 strong objectives.
The number of research objectives that PhD students should come up with will be determined by the requirements of their institution. However, the objectives should be adequate enough such that a single paper can be produced from each objective. This is important in ensuring that the PhD student publishes as many papers as is required by their institution.
Objectives are usually stated using action verbs. For instance: to examine, to analyse, to understand, to review, to investigate… etc.
It is important to understand the meaning of the action verbs used in the research objectives because different action verbs imply different methodology approaches. For instance: to analyse implies a quantitative approach, whereas to explore implies a qualitative approach.
Therefore, if a study will use purely quantitative research methodology, then the action verbs for the research objectives should strictly reflect that. Same case applies to qualitative studies. Studies that use a mixed-methods approach can have a mix of the action verbs.
Have a variety of the action verbs in your research objectives. Don’t just use the same action verb throughout.
Useful tip: To have a good idea of the action verbs that scholars use, create an Excel file with three columns: 1) action verb, 2) example of research objective, and 3) research methodology used. Then every time you read a journal paper, note down the objectives stated in that paper and fill in the three columns respectively. Besides journal papers, past PhD theses and dissertations are a good source of how research objectives are stated.
Another important point to remember is that the research objectives will form the basis of the discussion chapter. Each research objective will be discussed separately and will form its own sub-chapter under the discussion chapter. This is why the complexity of the research objectives is important especially for PhD students.
The scope of the study simply means the boundaries or the space within which the study will be undertaken.
Most studies have the potential of covering a wider scope than stated but because of time and budget constraints the scope gets narrowed down.
When defining the scope for a PhD study, it should not be too narrow or too wide but rather it should be adequate enough to meet the requirements of the program.
The scope chosen by the student should always be justified.
Limitations refer to factors that may affect a study which are not under the control of the student.
Delimitations on the other hand are factors that may affect the study for which the student has control.
Limitations are therefore caused by circumstances while delimitations are a matter of choice of the student.
It is therefore important for the student to justify their delimitations and mitigate their study’s limitations.
Examples of study limitations:
– political unrest in a region of interest: this can be mitigated by choosing another region for the study.
– covid-19 restrictions may limit physical collection of data: this can be mitigated by collecting data via telephone interviews or emailing questionnaires to the respondents.
Examples of study delimitations:
– choice of a particular community as the unit of the study: in this case the student should justify why that particular community was chosen over others.
– use of quantitative research methodology only: in this case the student should justify why they chose the research methodology over mixed-methods research.
The definition of key terms used in the study is important because it helps the readers understand the main concepts of the study. Not all readers have the background information or knowledge about the focus of the study.
However, the definitions used should be the denotative definitions, rather than the connotative (dictionary) definitions. Therefore the context within which the terms have been used should be provided.
This is the last section of the introduction chapter and it basically informs the reader what the chapter covered.
Like the introduction to the chapter, the chapter summary should be short: about one paragraph in length.
Chapter 1 of a PhD thesis proposal is an important chapter because it lays the foundation for the rest of the proposal and the thesis itself. Its role is to inspire and motivate the readers to read on. The most challenging task with chapter 1 is learning how to state the problem in a manner that is clear and to the point. For PhD students, the research problem should be complex enough to warrant a doctoral-level study.
Whereas the format of the chapter may vary from one institution to another, the sections presented in this article provide a guide to most of what is required for the chapter to be complete. Learning how to write chapter 1 of a PhD thesis proposal requires constant writing practice as well as reading of many past PhD theses and dissertations.
How To Write Chapter 2 Of A PhD Thesis Proposal (A Beginner’s Guide)
How To Write Chapter 3 Of A PhD Thesis Proposal (A Detailed Guide)
Grace Njeri-Otieno
Grace Njeri-Otieno is a Kenyan, a wife, a mom, and currently a PhD student, among many other balls she juggles. She holds a Bachelors' and Masters' degrees in Economics and has more than 7 years' experience with an INGO. She was inspired to start this site so as to share the lessons learned throughout her PhD journey with other PhD students. Her vision for this site is "to become a go-to resource center for PhD students in all their spheres of learning."
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