identify requirements for doctoral thesis

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Guide to writing your thesis/dissertation, definition of dissertation and thesis.

The dissertation or thesis is a scholarly treatise that substantiates a specific point of view as a result of original research that is conducted by students during their graduate study. At Cornell, the thesis is a requirement for the receipt of the M.A. and M.S. degrees and some professional master’s degrees. The dissertation is a requirement of the Ph.D. degree.

Formatting Requirement and Standards

The Graduate School sets the minimum format for your thesis or dissertation, while you, your special committee, and your advisor/chair decide upon the content and length. Grammar, punctuation, spelling, and other mechanical issues are your sole responsibility. Generally, the thesis and dissertation should conform to the standards of leading academic journals in your field. The Graduate School does not monitor the thesis or dissertation for mechanics, content, or style.

“Papers Option” Dissertation or Thesis

A “papers option” is available only to students in certain fields, which are listed on the Fields Permitting the Use of Papers Option page , or by approved petition. If you choose the papers option, your dissertation or thesis is organized as a series of relatively independent chapters or papers that you have submitted or will be submitting to journals in the field. You must be the only author or the first author of the papers to be used in the dissertation. The papers-option dissertation or thesis must meet all format and submission requirements, and a singular referencing convention must be used throughout.

ProQuest Electronic Submissions

The dissertation and thesis become permanent records of your original research, and in the case of doctoral research, the Graduate School requires publication of the dissertation and abstract in its original form. All Cornell master’s theses and doctoral dissertations require an electronic submission through ProQuest, which fills orders for paper or digital copies of the thesis and dissertation and makes a digital version available online via their subscription database, ProQuest Dissertations & Theses . For master’s theses, only the abstract is available. ProQuest provides worldwide distribution of your work from the master copy. You retain control over your dissertation and are free to grant publishing rights as you see fit. The formatting requirements contained in this guide meet all ProQuest specifications.

Copies of Dissertation and Thesis

Copies of Ph.D. dissertations and master’s theses are also uploaded in PDF format to the Cornell Library Repository, eCommons . A print copy of each master’s thesis and doctoral dissertation is submitted to Cornell University Library by ProQuest.

The Quintessence of Basic and Clinical Research and Scientific Publishing pp 769–781 Cite as

Writing a Postgraduate or Doctoral Thesis: A Step-by-Step Approach

• Usha Y. Nayak 4 ,
• Praveen Hoogar 5 ,
• Srinivas Mutalik 4 &
• N. Udupa 6  
• First Online: 01 October 2023

632 Accesses

1 Citations

A key characteristic looked after by postgraduate or doctoral students is how they communicate and defend their knowledge. Many candidates believe that there is insufficient instruction on constructing strong arguments. The thesis writing procedure must be meticulously followed to achieve outstanding results. It should be well organized, simple to read, and provide detailed explanations of the core research concepts. Each section in a thesis should be carefully written to make sure that it transitions logically from one to the next in a smooth way and is free of any unclear, cluttered, or redundant elements that make it difficult for the reader to understand what is being tried to convey. In this regard, students must acquire the information and skills to successfully create a strong and effective thesis. A step-by-step description of the thesis/dissertation writing process is provided in this chapter.

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Usha Y. Nayak & Srinivas Mutalik

Centre for Bio Cultural Studies, Directorate of Research, Manipal Academy of Higher Education, Manipal, Karnataka, India

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Nayak, U.Y., Hoogar, P., Mutalik, S., Udupa, N. (2023). Writing a Postgraduate or Doctoral Thesis: A Step-by-Step Approach. In: Jagadeesh, G., Balakumar, P., Senatore, F. (eds) The Quintessence of Basic and Clinical Research and Scientific Publishing. Springer, Singapore. https://doi.org/10.1007/978-981-99-1284-1_48

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Know How to Structure Your PhD Thesis

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Table of Contents

In your academic career, few projects are more important than your PhD thesis. Unfortunately, many university professors and advisors assume that their students know how to structure a PhD. Books have literally been written on the subject, but there’s no need to read a book in order to know about PhD thesis paper format and structure. With that said, however, it’s important to understand that your PhD thesis format requirement may not be the same as another student’s. The bottom line is that how to structure a PhD thesis often depends on your university and department guidelines.

But, let’s take a look at a general PhD thesis format. We’ll look at the main sections, and how to connect them to each other. We’ll also examine different hints and tips for each of the sections. As you read through this toolkit, compare it to published PhD theses in your area of study to see how a real-life example looks.

Main Sections of a PhD Thesis

In almost every PhD thesis or dissertation, there are standard sections. Of course, some of these may differ, depending on your university or department requirements, as well as your topic of study, but this will give you a good idea of the basic components of a PhD thesis format.

• Abstract : The abstract is a brief summary that quickly outlines your research, touches on each of the main sections of your thesis, and clearly outlines your contribution to the field by way of your PhD thesis. Even though the abstract is very short, similar to what you’ve seen in published research articles, its impact shouldn’t be underestimated. The abstract is there to answer the most important question to the reviewer. “Why is this important?”
• Introduction : In this section, you help the reviewer understand your entire dissertation, including what your paper is about, why it’s important to the field, a brief description of your methodology, and how your research and the thesis are laid out. Think of your introduction as an expansion of your abstract.
• Literature Review : Within the literature review, you are making a case for your new research by telling the story of the work that’s already been done. You’ll cover a bit about the history of the topic at hand, and how your study fits into the present and future.
• Theory Framework : Here, you explain assumptions related to your study. Here you’re explaining to the review what theoretical concepts you might have used in your research, how it relates to existing knowledge and ideas.
• Methods : This section of a PhD thesis is typically the most detailed and descriptive, depending of course on your research design. Here you’ll discuss the specific techniques you used to get the information you were looking for, in addition to how those methods are relevant and appropriate, as well as how you specifically used each method described.
• Results : Here you present your empirical findings. This section is sometimes also called the “empiracles” chapter. This section is usually pretty straightforward and technical, and full of details. Don’t shortcut this chapter.
• Discussion : This can be a tricky chapter, because it’s where you want to show the reviewer that you know what you’re talking about. You need to speak as a PhD versus a student. The discussion chapter is similar to the empirical/results chapter, but you’re building on those results to push the new information that you learned, prior to making your conclusion.
• Conclusion : Here, you take a step back and reflect on what your original goals and intentions for the research were. You’ll outline them in context of your new findings and expertise.

Tips for your PhD Thesis Format

As you put together your PhD thesis, it’s easy to get a little overwhelmed. Here are some tips that might keep you on track.

• Don’t try to write your PhD as a first-draft. Every great masterwork has typically been edited, and edited, and…edited.
• Work with your thesis supervisor to plan the structure and format of your PhD thesis. Be prepared to rewrite each section, as you work out rough drafts. Don’t get discouraged by this process. It’s typical.
• Make your writing interesting. Academic writing has a reputation of being very dry.
• You don’t have to necessarily work on the chapters and sections outlined above in chronological order. Work on each section as things come up, and while your work on that section is relevant to what you’re doing.
• Don’t rush things. Write a first draft, and leave it for a few days, so you can come back to it with a more critical take. Look at it objectively and carefully grammatical errors, clarity, logic and flow.
• Know what style your references need to be in, and utilize tools out there to organize them in the required format.
• It’s easier to accidentally plagiarize than you think. Make sure you’re referencing appropriately, and check your document for inadvertent plagiarism throughout your writing process.

PhD Thesis Editing Plus

Want some support during your PhD writing process? Our PhD Thesis Editing Plus service includes extensive and detailed editing of your thesis to improve the flow and quality of your writing. Unlimited editing support for guaranteed results. Learn more here , and get started today!

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School of Graduate Studies

Student guidelines for the doctoral thesis, doctoral thesis.

Your doctoral thesis is the culmination of your investment in advanced studies and rigorous research in your field of study. It is the pinnacle of your doctoral program, and the most far-reaching undertaking in your studies. Although the thesis is indisputably significant, it is also important to remember that the doctoral thesis is just one of many steps along your career path and should therefore be well-defined and manageable. 

At the University of Toronto, the term ‘thesis’ is generally used to refer to the culminating project for either a Master’s or a doctoral degree. At other institutions and in other countries, the term ‘dissertation’ is more commonly used at the doctoral level. This document uses the term ‘thesis’ to refer to a doctoral thesis, but your supervisor or department may prefer the term ‘dissertation’. 

Doctoral thesis writers have often written a Master’s thesis (or a Major Research Paper) earlier in their careers. A doctoral thesis will have elements in common with those projects while also needing to offer a higher degree of originality and a broader scope. 

The doctoral thesis has been historically written as a unified work, similar in form to a scholarly monograph; this traditional format remains the norm in some disciplines. In other disciplines, the traditional thesis has been replaced by a publication-based thesis in which a series of scholarly publications on the same research problem are combined into a coherent whole. Today, there is a growing acceptance of more flexible formats and structures that aim to enhance professional practice or that include creative scholarly artefacts such as film, audio, visual, and graphic representations. There is also growing recognition of the need to welcome Indigenous forms of knowledge building and dissemination. Regardless of format or structure, all doctoral theses must meet the fundamental requirements of demonstrating academic rigour and making a distinct contribution to the knowledge in your field.

The decision about the structure and format of the student’s doctoral thesis should be made by the supervisor and the supervisory committee members and be informed by the practices in the specific discipline and the student’s academic and professional goals. In some fields, the decision about structure and format is relatively easy to make while in others the decision requires careful consideration from all involved parties.

The following guidelines have been designed to help you and your supervisory committee by identifying the required academic criteria of the doctoral thesis and by describing the various available formats and structures.

Key Criteria of the Doctoral Thesis 

Regardless of the format of the doctoral thesis, certain criteria must be met. For your thesis to be acceptable, you must do the following:

• Demonstrate how your research makes an original contribution by advancing knowledge in your field
• Show a thorough familiarity with the field and an ability to critically analyze the relevant literature
• Display a mastery of research methods and their application
• Offer a complete and systematic account of your scholarly work
• Present the results and analysis of your original research
• Document your sources and support your claims 
• Locate your work within the broader field or discipline
• Write in a style that respects the norms of academic and scholarly communication 

Most doctoral writers understand that their thesis will need to meet these criteria without necessarily understanding  how  they will do so. A central element of writing a thesis is coming to understand how to write an extended text that meets these criteria. With guidance—from your committee, from your peers, from institutional writing support—and with your own growing expertise as a writer, these criteria will ultimately help you to understand when you have met your thesis writing goals.

Formats of the Doctoral Thesis 

Traditional thesis.

The traditional, or monograph-style, thesis format reflects the original conception of a thesis as a “book” presenting the candidate’s research project. The traditional format is organized as a single narrative describing the research problem, the context of the research, the methods used, the findings, and the conclusions. The organization of a traditional thesis is generally organic. If the thesis deals with experimental research, it may be structured with an introductory chapter, a literature review chapter, a method chapter, some number of findings chapters, and a discussion/concluding chapter. If the thesis is based on non-experimental research, the form is likely to be determined by the exigencies of the particular topic. After doctoral studies are complete, a traditional thesis will often be revised into a scholarly monograph or a number of research articles, but the form in which it is presented for the final oral exam is not itself intended for publication. This style of thesis remains the norm in the Humanities and in many Social Science disciplines.

Publication-Based Thesis

The publication-based thesis (PBT), also referred to as the manuscript or article-based thesis, is a coherent work consisting of a number of scholarly publications focusing on the same research problem. The PBT, which takes many forms, generally includes an introductory section, the publishable manuscripts, and a cumulative discussion or conclusion chapter. To promote coherence, the introduction and cumulative concluding chapters clearly explain how these separate manuscripts fit together into a unified body of research. The opening and closing chapters—which act as bookends to the publishable articles—are integral to the purpose of these theses. In these sections, the writer will set out the broad contours of the problem and its significance, review the relevant literature and contextualizing material, and draw the ultimate conclusions about the implications of the whole research project.  As the PBT is a relatively new type of thesis structure designed to meet different professional demands, its form is necessarily different in different contexts. For instance, in some fields, the articles may appear in the thesis in their precise published form; in others, the articles may need to be adapted to better serve the needs of the full thesis. You and your committee will need to establish a clear understanding from the outset about the internal structuring of the PBT. 

Although departmental requirements and norms may vary, below are some general guidelines that may be helpful for those writing PBTs.  

• The number of articles required for inclusion is usually three, although the number depends on the articles’ scope, scientific quality and significance, and publishing forum, as well as the author’s independent contribution to any co-authored articles included in the thesis. 
• Publication of manuscripts, or acceptance for publication by a peer-reviewed journal, does not guarantee that the thesis will be found acceptable for the degree sought. 
• Published-based theses may include published, in press or in review manuscripts or articles that have not yet been submitted for publication. Normally, the thesis and examination committees must deem the articles as publishable if the articles are not published at the time of defence.  
• In some departments, the publication-based thesis includes each individual manuscript in a form that is identical to the published/submitted version, including the reference list.  In other departments, students are permitted or required to adapt the articles into a form more suitable for inclusion in the thesis. Please check with your department about the expectations. 
• Publication-based theses can include co-authored publications and, in such cases, a detailed statement on individual student contributions to each article must be clearly articulated. Students are strongly recommended (and, in some units, required) to have their contributions approved by the authors of the articles in question.
• No two student theses will be allowed to be identical.
• In the case of multiple-authored articles, the expectation is that the thesis writer will be the first or co-first author. In rare cases, a supervisor may decide that a paper can be included when the thesis writer is not a first author, provided that their contribution to the paper is substantial. In all cases, the parts of the PBT that are not written for publication (the Introduction, Discussion, Conclusions and Future Recommendations chapters) must be entirely the work of the thesis writer.

Multimodal Thesis 

All doctoral theses must contain a written component; however, other elements may be included in addition to the written text. Some examples of other elements that may be included with the written text are films or videos, electronically interactive word/image-based texts, poems, novels or sections of a novel, play scripts, short stories, documentation of performances, or pieces of art. In multimodal theses, the creative element should be integrated into the theoretical context in order to show explicitly how the thesis, as a whole, leads to new insights and contributions. In all other respects, the thesis must conform to the same standards required for all doctoral theses. It should make an original contribution to knowledge, demonstrate appropriate research methods and training, and be worthy of publication in whole or in part.

Portfolio Thesis

The portfolio thesis is a form of thesis in which a certain amount of publishing will “equal” a thesis, without requiring a separate text to be written. This type of thesis is also known as a stapler thesis or a Ph.D. by publication, a name that highlights the absence of an actual thesis. This form of thesis is currently rare at the University of Toronto.

Professional Doctoral Thesis in Practice  

At the University of Toronto, the professional doctoral thesis in practice includes the identification and investigation of a problem in practice, the application of theory, research and policy analysis to the problem of practice, translating research into practice, and a proposed plan for action to address the problem of practice. The professional doctoral thesis in practice is expected to have meaningful generative impact on practice and policy.

Ontario Council of Academic Vice-Presidents’ (OCAV) Doctoral Degree Expectations for Doctoral Students in Ontario

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Formatting Guidelines For Theses, Dissertations, and DMA Documents

Guidelines for Formatting Theses, Dissertations, and DMA Documents is intended to help graduate students present the results of their research in the form of a scholarly document.

Before beginning to write a master’s thesis, PhD dissertation, or DMA document, students should read the relevant sections of the  Graduate School Handbook, section 7.8  for dissertations and/ or  section 6.4  for master’s theses.

Candidates for advanced degrees should also confer with their advisors and members of their graduate studies committees to learn about any special departmental requirements for preparing graduate degree documents.

Members of the graduation services staff at the Graduate School are available to provide information and to review document drafts at any stage of the planning or writing process. While graduation services is responsible for certifying that theses and/or dissertations have been prepared in accordance with Graduate School guidelines, the student bears the ultimate responsibility for meeting these requirements and resolving any related technical and/or software issues . Graduation services will not accept documents if required items are missing or extend deadlines because of miscommunication between the student and the advisor.

Accessibility Features

As of Spring, 2023, all theses and dissertations will need to incorporate the following accessibility features to align with the university’s accessibility policy.  When you submit your final document to OhioLINK you will be verifying that accessibility features have been applied.

• PDF file includes full text
• PDF accessibility permission flag is checked
• Text language of the PDF is specified
• PDF includes a title

Features and Other Notes

Some features are required, and some are optional. Each component is identified with a major heading unless otherwise noted. The major heading must be centered with a one-inch top margin. 

Sample Pages and Templates

Templates are available for use in formatting dissertations, theses, and DMA documents. Please read all instructions before beginning. 

• Graduate Dissertations and Theses Templates - OSU Login Required

FRONTISPIECE (OPTIONAL)

If used, no heading is included on this page.

TITLE PAGE (REQUIRED)

The title page should include:

• the use of title case is recommended
• dissertation, DMA. document, or thesis
• Presented in Partial Fulfillment of the Requirements for the Degree [insert the applicable degree such as Doctor of Philosophy, Doctor of Musical Arts, Master of Science, etc.] in the Graduate School of The Ohio State University
• Name of the candidate 
• Initials of previous earned degrees
• insert correct name from program directory
• Year of graduation
•  Dissertation, document, or thesis [select applicable title] committee and committee member names

COPYRIGHT PAGE (REQUIRED)

Notice of copyright is centered in the following format on the page immediately after the title page. This page is not identified with a page number.

Copyright by John James Doe 2017

ABSTRACT (REQUIRED)

The heading Abstract is centered without punctuation at least one inch from the top of the page. The actual abstract begins four spaces below the heading. See sample pages.

DEDICATION (OPTIONAL)

If used, the dedication must be brief and centered on the page.

ACKNOWLEDGMENTS

(OPTIONAL, BUT STRONGLY RECOMMENDED)

Either spelling of the word, acknowledgments or acknowledgments, is acceptable. The acknowledgment is a record of the author’s indebtedness and includes notice of permission to use previously copyrighted materials that appear extensively in the text. The heading Acknowledgments is centered without punctuation at least one inch from the top of the page.

VITA (REQUIRED)

Begin the page with the heading Vita, centered, without punctuation, and at least one inch from the top of the page. There are three sections to the vita: biographical information (required), publications (if applicable), and fields of study (required).

There is no subheading used for the biographical information section. In this section, include education and work related to the degree being received.

Use leader dots between the information and dates. The publication section follows. The subheading Publications should be centered and in title case. List only those items published in a book or journal. If there are none, omit the Publication subheading. The final section of the vita is Fields of Study, which is required. Center the subheading and use title case. Two lines below the Fields of Study subheading, place the following statement: Major Field: [insert only the name of your Graduate Program as it reads on the title page] flush left. Any specialization you would like to include is optional and is placed flush left on the lines below Major Field.

TABLE OF CONTENTS (REQUIRED)

The heading Table of Contents (title case preferred) appears without punctuation centered at least one inch from the top of the page. The listing of contents begins at the left margin four spaces below the heading. The titles of all parts, sections, chapter numbers, and chapters are listed and must

be worded exactly as they appear in the body of the document. The table of contents must include any appendices and their titles, if applicable. Use leader dots between the listed items and their page numbers.

LISTS OF ILLUSTRATIONS (REQUIRED IF APPLICABLE)

Lists of illustrations are required if the document contains illustrations. The headings List of Tables , List of Figures , or other appropriate illustration designations (title case preferred) appear centered without punctuation at least one inch from the top of the page. The listing begins at the left margin four spaces below the heading. Illustrations should be identified by the same numbers and captions in their respective lists as they have been assigned in the document itself. Use leader dots between the listed items and their page numbers. See sample pages .

BIBLIOGRAPHY/REFERENCES (REQUIRED)

Include a complete bibliography or reference section at the end of the document, before the appendix, even if you have included references at the end of each chapter. You may decide how this section should be titled. The terms References or Bibliography are the most commonly chosen titles. The heading must be centered and at least one inch from the top of the page.

Include this heading in the table of contents.

APPENDICES (REQUIRED IF APPLICABLE)

An appendix, or appendices, must be placed after the bibliography. The heading Appendix (title case preferred) centered at least one inch from the top of the page. Appendices are identified with letters and titles. For example: Appendix A: Data. Include all appendix headers and titles in the table of contents.

Other Notes

Candidates are free to select a style suitable to their discipline as long as it complies with the format and content guidelines given in this publication. Where a style manual conflicts with Graduate School guidelines, the Graduate School guidelines take precedence. Once chosen, the style must remain consistent throughout the document.

Top, bottom, left, and right page margins should all be set at one inch. (Keep in mind that the left margin is the binding edge, so if you want to have a bound copy produced for your personal use, it is recommended that the left margin be 1.5 inches.)

It is recommended that any pages with a major header, such as document title, chapter/major section titles, preliminary page divisions, abstract, appendices, and references at the end of the document be set with a 2-inch top margin for aesthetic purposes and to help the reader identify that a new major section is beginning.

The selected font should be 10 to 12 point and be readable. The font should be consistent throughout the document. Captions, endnotes, footnotes, and long quotations may be slightly smaller than text font, as long as the font is readable.

Double spacing is preferred, but 1.5 spacing (1.5 × the type size) is acceptable for long documents. Single spacing is recommended for bibliography entries, long quotations, long endnotes or footnotes, and long captions. Double spacing between each bibliography entry is recommended.

Each major division of the document, including appendices, must have a title. Titles must be centered and have at least a one inch top margin. The use of title case is recommended. If chapters are being used, they should be numbered and titled. For example: Chapter 1: Introduction. Appendices are identified with letters and titles. For example: Appendix A: Data.

PAGE NUMBERS

Every page must have a page number except the title page and the copyright page. If a frontispiece is included before the title page, it is neither counted nor numbered. The page numbers are centered at the bottom center of the page above the one inch margin. Note: You may need to set the footer margin to 1-inch and the body bottom margin to 1.3 or 1.5- inches to place the page number accurately.

Preliminary pages (abstract, dedication, acknowledgments, vita, table of contents, and the lists of illustrations, figures, etc.) are numbered with small Roman numerals (i, ii, iii, iv, etc.). Page numbering begins with the first page of the abstract, and this can be either page i or ii (The title page is technically page i, but the number is not shown on the page).

Arabic numerals are used for the remainder of the document, including the text and the reference material. These pages are numbered consecutively beginning with 1 and continue through the end of the document.

Notation practices differ widely among publications in the sciences, the humanities, and the social sciences. Candidates should confer with their advisors regarding accepted practice in their individual disciplines. That advice should be coupled with careful reference to appropriate general style manuals.

• Arabic numerals should be used to indicate a note in the text. 
• Notes may be numbered in one of two ways: either consecutively throughout the entire manuscript or consecutively within each chapter.
• Notes can be placed at the bottom of the page (footnotes) or at the end of a chapter or document (endnotes). Once chosen, the notation style must be consistent throughout the document.
• Notes about information within tables should be placed directly below the table to which they apply, not at the bottom of the page along with notes to the text.

ILLUSTRATIONS

Tables, figures, charts, graphs, photos, etc..

Some documents include several types of illustrations. In such cases, it is necessary that each type of illustration (table, figure, chart, etc.) be identified with a different numbering series (Table 1, Table 2, and so on, or Chart 1, Chart 2, and so on). For each series, include a list with captions and page numbers in the preliminary pages (for example, List of Tables, List of Charts, etc.). These lists must be identified with major headings that are centered and placed at the two-inch margin.

Each illustration must be identified with a caption that includes the type of illustration, the number, and a descriptive title (for example, Map 1: Ohio). Numbering may be sequential throughout the document (including the appendix, if applicable) or based on the decimal system (corresponding to the chapter number, such as Map 2.3: Columbus). When using decimal numbering in an appendix, the illustration is given a letter that corresponds with the appendix letter (for example, Figure A.1: Voter Data). Captions can be placed either above or below the illustration, but be consistent with the format throughout the document. If a landscape orientation of the illustration is used, make sure to also orient the illustration number and caption accordingly. The top of the illustration should be placed on the left (binding) edge of the page.

If an illustration is too large to ft on one page it is recommended that you identify the respective pages as being part of one illustration. Using a “continued” notation is one method. For example, the phrase continued is placed under the illustration on the bottom right hand side of the first page. On the following pages, include the illustration type, number, and the word continued at the top left margin; for example, Map 2: Continued. Whatever method you choose just make sure to be consistent. The caption for the illustration should be on the first page, but this does not need repeated on subsequent pages.

If an illustration is placed on a page with text, between the text and the top and/or bottom of the illustration, there must be three single spaced lines or two double spaced lines of blank space. The same spacing rule applies if there are multiple illustrations on the same page. The top/bottom of the illustration includes the caption.

All final Ph.D. dissertations, DMA. documents, and master’s theses are submitted to the Graduate School through OhioLINK at https://etdadmin. ohiolink.edu. The document must be saved in PDF embedded font format (PDF/A) before beginning the upload at OhioLINK. During the submission process, OhioLINK will require an abstract separate from your document. This abstract has a 500-word limit. You will get a confirmation from OhioLINK that the submission is complete. The submission then goes to the Graduate School for review. After it is reviewed by staff of the Graduate School, you will receive an email that it has been accepted or that changes need to be made. If changes are required, you will need to re-submit the revised document via an amended OhioLINK submission. You will receive an “accepted” email from the Graduate School once the document has been approved.

THESIS OR DISSERTATION IN A FOREIGN LANGUAGE

The Graduate School has no policy specifically permitting graduate degree documents to be written in a foreign language. The practice is allowed as long as it is approved by the student’s advisor and Graduate Studies Committee. Documents in a foreign language must comply with the following requirements:

• The title page must be in English, but the title itself may be in the same language as the document.
• If the title is in a language using other than Roman characters, it must be transliterated into Roman character equivalents.
• The abstract must be in English.
• The academic unit must notify the Graduate School of dissertations in a foreign language so that an appropriate graduate faculty representative can be found to participate in the final oral examination

Dissertation and Theses

The dissertation is the hallmark of the research expertise demonstrated by a doctoral student. It is a scholarly contribution to knowledge in the student’s area of specialization. 

A thesis is a hallmark of some master’s programs. It is a piece of original research, generally less comprehensive than a dissertation and is meant to show the student’s knowledge of an area of specialization.

Still Have Questions?

Dissertations & Theses 614-292-6031 [email protected]

Doctoral Exams, Master's Examination, Graduation Requirements 614-292-6031 [email protected]

How To Find A High-Quality Research Topic

6 steps to find & evaluate high-quality dissertation/thesis topics.

By: Caroline Osella (PhD, BA)  and Derek Jansen (MBA) | July 2019

So, you’re finally nearing the end of your degree and it’s now time to find a suitable topic for your dissertation or thesis. Or perhaps you’re just starting out on your PhD research proposal and need to find a suitable area of research for your application proposal.

In this post, we’ll provide a straightforward 6-step process that you can follow to ensure you arrive at a high-quality research topic . Follow these steps and you will formulate a well-suited, well-defined core research question .

There’s a helpful clue already: your research ‘topic’ is best understood as a research question or a problem . Your aim is not to create an encyclopedia entry into your field, but rather to shed light on an acknowledged issue that’s being debated (or needs to be). Think research  questions , not research  topics  (we’ll come back to this later).

Overview: How To Find & Choose A Research Topic

• Get an understanding of the research process
• Review previous dissertations from your university
• Review the academic literature to start the ideation process
• Identify your potential research questions (topics) and shortlist
• Narrow down, then evaluate your research topic shortlist
• Make the decision (and stick with it!)

Step 1: Understand the research process

It may sound horribly obvious, but it’s an extremely common mistake – students skip past the fundamentals straight to the ideation phase (and then pay dearly for it).

Start by looking at whatever handouts and instructions you’ve been given regarding what your university/department expects of a dissertation. For example, the course handbook, online information and verbal in-class instructions. I know it’s tempting to just dive into the ideation process, but it’s essential to start with the prescribed material first.

There are two important reasons for this:

First , you need to have a basic understanding of the research process , research methodologies , fieldwork options and analysis methods before you start the ideation process, or you will simply not be equipped to think about your own research adequately. If you don’t understand the basics of  quantitative , qualitative and mixed methods BEFORE you start ideating, you’re wasting your time.

Second , your university/department will have specific requirements for your research – for example, requirements in terms of topic originality, word count, data requirements, ethical adherence, methodology, etc. If you are not aware of these from the outset, you will again end up wasting a lot of time on irrelevant ideas/topics.

So, the most important first step is to get your head around both the basics of research (especially methodologies), as well as your institution’s specific requirements . Don’t give in to the temptation to jump ahead before you do this. As a starting point, be sure to check out our free dissertation course.

Step 2: Review past dissertations/theses

Unless you’re undertaking a completely new course, there will be many, many students who have gone through the research process before and have produced successful dissertations, which you can use to orient yourself. This is hugely beneficial – imagine being able to see previous students’ assignments and essays when you were doing your coursework!

Take a look at some well-graded (65% and above) past dissertations from your course (ideally more recent ones, as university requirements may change over time). These are usually available in the university’s online library. Past dissertations will act as a helpful model for all kinds of things, from how long a bibliography needs to be, to what a good literature review looks like, through to what kinds of methods you can use – and how to leverage them to support your argument.

As you peruse past dissertations, ask yourself the following questions:

• What kinds of topics did these dissertations cover and how did they turn the topic into questions?
• How broad or narrow were the topics?
• How original were the topics? Were they truly groundbreaking or just a localised twist on well-established theory?
• How well justified were the topics? Did they seem important or just nice to know?
• How much literature did they draw on as a theoretical base? Was the literature more academic or applied in nature?
• What kinds of research methods did they use and what data did they draw on?
• How did they analyse that data and bring it into the discussion of the academic literature?
• Which of the dissertations are most readable to you – why? How were they presented?
• Can you see why these dissertations were successful? Can you relate what they’ve done back to the university’s instructions/brief?

Seeing a variety of dissertations (at least 5, ideally in your area of interest) will also help you understand whether your university has very rigid expectations in terms of structure and format , or whether they expect and allow variety in the number of chapters, chapter headings, order of content, style of presentation and so on.

Some departments accept graphic novels; some are willing to grade free-flow continental-philosophy style arguments; some want a highly rigid, standardised structure.  Many offer a dissertation template , with information on how marks are split between sections. Check right away whether you have been given one of those templates – and if you do, then use it and don’t try to deviate or reinvent the wheel.

Step 3: Review the academic literature

Now that you (1) understand the research process, (2) understand your university’s specific requirements for your dissertation or thesis, and (3) have a feel for what a good dissertation looks like, you can start the ideation process. This is done by reviewing the current literature and looking for opportunities to add something original to the academic conversation.

Kick start the ideation process

So, where should you start your literature hunt? The best starting point is to get back to your modules. Look at your coursework and the assignments you did. Using your coursework is the best theoretical base, as you are assured that (1) the literature is of a high enough calibre for your university and (2) the topics are relevant to your specific course.

Start by identifying the modules that interested you the most and that you understood well (i.e. earned good marks for). What were your strongest assignments, essays or reports? Which areas within these were particularly interesting to you? For example, within a marketing module, you may have found consumer decision making or organisation trust to be interesting. Create a shortlist of those areas that you were both interested in and academically strong at. It’s no use picking an area that does not genuinely interest you – you’ll run out of motivation if you’re not excited by a topic.

Understand the current state of knowledge

Once you’ve done that, you need to get an understanding of the current state of the literature for your chosen interest areas. What you’re aiming to understand is this: what is the academic conversation here and what critical questions are yet unanswered? These unanswered questions are prime opportunities for a unique, meaningful research topic . A quick review of the literature on your favourite topics will help you understand this.

Grab your reading list from the relevant section of the modules, or simply enter the topics into Google Scholar . Skim-read 3-5 journal articles from the past 5 years which have at least 5 citations each (Google Scholar or a citations index will show you how many citations any given article has – i.e., how many other people have referred to it in their own bibliography). Also, check to see if your discipline has an ‘annual review’ type of journal, which gathers together surveys of the state of knowledge on a chosen topic. This can be a great tool for fast-tracking your understanding of the current state of the knowledge in any given area.

Start from your course’s reading list and work outwards. At the end of every journal article, you’ll find a reference list. Scan this reference list for more relevant articles and read those. Then repeat the process (known as snowballing) until you’ve built up a base of 20-30 quality articles per area of interest.

Absorb, don’t hunt

At this stage, your objective is to read and understand the current state of the theory for your area(s) of interest – you don’t need to be in topic-hunting mode yet. Don’t jump the gun and try to identify research topics before you are well familiarised with the literature.

As you read, try to understand what kinds of questions people are asking and how they are trying to answer them. What matters do the researchers agree on, and more importantly, what are they in disagreement about? Disagreements are prime research territory. Can you identify different ‘schools of thought’ or different ‘approaches’? Do you know what your own approach or slant is? What kinds of articles appeal to you and which ones bore you or leave you feeling like you’ve not really grasped them? Which ones interest you and point towards directions you’d like to research and know more about?

Once you understand the fundamental fact that academic knowledge is a conversation, things get easier.

Think of it like a party. There are groups of people in the room, enjoying conversations about various things. Which group do you want to join?  You don’t want to be that person in the corner, talking to themself. And you don’t want to be the hanger-on, laughing at the big-shot’s jokes and repeating everything they say.

Do you want to join a large group and try to make a small contribution to what’s going on, or are you drawn to a smaller group that’s having a more niche conversation, but where you feel you might more easily find something original to contribute? How many conversations can you identify? Which ones feel closer to you and more attractive? Which ones repel you or leave you cold? Are there some that, frankly, you just don’t understand?

Now, choose a couple of groups who are discussing something you feel interested in and where you feel like you might want to contribute. You want to make your entry into this group by asking a question – a question that will make the other people in the group turn around and look at you, listen to you, and think, “That’s interesting”.

Your dissertation will be the process of setting that question and then trying to find at least a partial answer to that question – but don’t worry about that now.  Right now, you need to work out what conversations are going on, whether any of them are related or overlapping, and which ones you might be able to walk into. I’ll explain how you find that question in the next step.

Need a helping hand?

Step 4: Identify potential research questions

Now that you have a decent understanding of the state of the literature in your area(s) of interest, it’s time to start developing your list of possible research topics. There are (at least) three approaches you can follow here, and they are not mutually exclusive:

Approach 1: Leverage the FRIN

Towards the end of most quality journal articles, you will find a section labelled “ further research ” or something similar. Generally, researchers will clearly outline where they feel further research is needed (FRIN), following on from their own research. So, essentially, every journal article presents you with a list of potential research opportunities.

Of course, only a handful of these will be both practical and of interest to you, so it’s not a quick-fix solution to finding a research topic. However, the benefit of going this route is that you will be able to find a genuinely original and meaningful research topic (which is particularly important for PhD-level research).

The upside to this approach is originality, but the downside is that you might not find something that really interests you , or that you have the means to execute. If you do go this route, make sure that you pay attention to the journal article dates, as the FRIN may already have been “solved” by other researchers if the article is old.

Approach 2: Put a context-based spin on an existing topic

The second option is to consider whether a theory which is already well established is relevant within a local or industry-specific context. For example, a theory about the antecedents (drivers) of trust is very well established, but there may be unique or uniquely important drivers within a specific national context or industry (for example, within the financial services industry in an emerging market).

If that industry or national context has not yet been covered by researchers and there is a good reason to believe there may be meaningful differences within that context, then you have an opportunity to take a unique angle on well-established theory, which can make for a great piece of research. It is however imperative that you have a good reason to believe that the existing theory may not be wholly relevant within your chosen context, or your research will not be justified.

The upside to this approach is that you can potentially find a topic that is “closer to home” and more relevant and interesting to you , while still being able to draw on a well-established body of theory. However, the downside is that this approach will likely not produce the level of originality as approach #1.

Approach 3: Uncensored brainstorming

The third option is to skip the FRIN, as well as the local/industry-specific angle and simply engage in a freeform brainstorming or mind-mapping session, using your newfound knowledge of the theory to formulate potential research ideas. What’s important here is that you do not censor yourself . However crazy, unfeasible, or plain stupid your topic appears – write it down. All that matters right now is that you are interested in this thing.

Next, try to turn the topic(s) into a question or problem. For example:

• What is the relationship between X, Y & Z?
• What are the drivers/antecedents of X?
• What are the outcomes of Y?
• What are the key success factors for Z?

Re-word your list of topics or issues into a list of questions .  You might find at this stage that one research topic throws up three questions (which then become sub-topics and even new separate topics in their own right) and in so doing, the list grows. Let it. Don’t hold back or try to start evaluating your ideas yet – just let them flow onto paper.

Once you’ve got a few topics and questions on paper, check the literature again to see whether any of these have been covered by the existing research. Since you came up with these from scratch, there is a possibility that your original literature search did not cover them, so it’s important to revisit that phase to ensure that you’re familiar with the relevant literature for each idea. You may also then find that approach #1 and #2 can be used to build on these ideas.

Try use all three approaches

As mentioned earlier, the three approaches discussed here are not mutually exclusive. In fact, the more, the merrier. Hopefully, you manage to utilise all three, as this will give you the best odds of producing a rich list of ideas, which you can then narrow down and evaluate, which is the next step.

Step 5: Narrow down, then evaluate

By this stage, you should have a healthy list of research topics. Step away from the ideation and thinking for a few days, clear your mind. The key is to get some distance from your ideas, so that you can sit down with your list and review it with a more objective view. The unbridled ideation phase is over and now it’s time to take a reality check .

Look at your list and see if any options can be crossed off right away .  Maybe you don’t want to do that topic anymore. Maybe the topic turned out to be too broad and threw up 20 hard to answer questions. Maybe all the literature you found about it was 30 years old and you suspect it might not be a very engaging contemporary issue . Maybe this topic is so over-researched that you’ll struggle to find anything fresh to say. Also, after stepping back, it’s quite common to notice that 2 or 3 of your topics are really the same one, the same question, which you’ve written down in slightly different ways. You can try to amalgamate these into one succinct topic.

Narrow down to the top 5, then evaluate

Now, take your streamlined list and narrow it down to the ‘top 5’ that interest you the most. Personal interest is your key evaluation criterion at this stage. Got your ‘top 5’?  Great!  Now, with a cool head and your best analytical mind engaged, go systematically through each option and evaluate them against the following criteria:

Research questions – what is the main research question, and what are the supporting sub-questions? It’s critically important that you can define these questions clearly and concisely. If you cannot do this, it means you haven’t thought the topic through sufficiently.

Originality – is the topic sufficiently original, as per your university’s originality requirements? Are you able to add something unique to the existing conversation? As mentioned earlier, originality can come in many forms, and it doesn’t mean that you need to find a completely new, cutting-edge topic. However, your university’s requirements should guide your decision-making here.

Importance – is the topic of real significance, or is it just a “nice to know”? If it’s significant, why? Who will benefit from finding the answer to your desired questions and how will they benefit? Justifying your research will be a key requirement for your research proposal , so it’s really important to develop a convincing argument here.

Literature – is there a contemporary (current) body of academic literature around this issue? Is there enough literature for you to base your investigation on, but not too much that the topic is “overdone”? Will you be able to navigate this literature or is it overwhelming?

Data requirements – What kind of data would you need access to in order to answer your key questions?  Would you need to adopt a qualitative, quantitative or mixed-methods approach to answer your questions? At this stage, you don’t need to be able to map out your exact research design, but you should be able to articulate how you would approach it in high-level terms. Will you use qual, quant or mixed methods? Why?

Feasibility – How feasible would it be to gather the data that would be needed in the time-frame that you have – and do you have the will power and the skills to do it? If you’re not confident with the theory, you don’t want something that’s going to draw you into a debate about the relative importance of epistemology and ontology. If you are shy, you won’t want to be doing ethnographic interviews. If you feel this question calls for a 100-person survey, do you have the time to plan, organise and conduct it and then analyse it? What will you do if you don’t get the response rate you expect? Be very realistic here and also ask advice from your supervisor and other experts – poor response rates are extremely common and can derail even the best research projects.

Personal attraction – On a scale of 1-10, how excited are you about this topic? Will addressing it add value to your life and/or career? Will undertaking the project help you build a skill you’ve previously wanted to work on (for example, interview skills, statistical analysis skills, software skills, etc.)?

The last point is particularly important. You will have to engage with your dissertation in a very sustained and deep way, face challenges and difficulties, and get it to completion. If you don’t start out enthusiastic about it, you’re setting yourself up for problems like ‘writer’s block’ or ‘burnout’ down the line. This is the reason personal interest was the sole evaluation criterion when we chose the top 5. So, don’t underestimate the importance of personal attraction to a topic – at the same time, don’t let personal attraction lead you to choose a topic that is not relevant to your course or feasible given your resources. 

Narrow down to 3, then get human feedback

We’re almost at the finishing line. The next step is to narrow down to 2 or 3 shortlisted topics. No more!  Write a short paragraph about each topic, addressing the following:

Firstly,  WHAT will this study be about? Frame the topic as a question or a problem. Write it as a dissertation title. No more than two clauses and no more than 15 words. Less than 15 is better (go back to good journal articles for inspiration on appropriate title styles).

Secondly, WHY this is interesting (original) and important – as proven by existing academic literature? Are people talking about this and is there an acknowledged problem, debate or gap in the literature?

Lastly,  HOW do you plan to answer the question? What sub-questions will you use? What methods does this call for and how competent and confident are you in those methods? Do you have the time to gather the data this calls for?

Show the shortlist and accompanying paragraphs to a couple of your peers from your course and also to an expert or two if at all possible (you’re welcome to reach out to us ), explaining what you will investigate, why this is original and important and how you will go about investigating it. 

Once you’ve pitched your ideas, ask for the following thoughts :

• Which is most interesting and appealing to them?
• Why do they feel this way?
• What problems do they foresee with the execution of the research?

Take advice and feedback and sit on it for another day. Let it simmer in your mind overnight before you make the final decision.  

Step 6: Make the decision (and stick with it!)

Then, make the commitment. Choose the one that you feel most confident about, having now considered both your opinion and the feedback from others.

Once you’ve made a decision, don’t doubt your judgement, don’t shift.  Don’t be tempted by the ones you left behind. You’ve planned and thought things through, checked feasibility and now you can start.  You have your research topic. Trust your own decision-making process and stick with it now. It’s time to get started on your research proposal!

Let’s recap…

In this post, I’ve proposed a straightforward 6-step plan to finding relevant research topic ideas and then narrowing them down to finally choose one winner. To recap:

• Understand the basics of academic research, as well as your university’s specific requirements for a dissertation, thesis or research project.
• Review previous dissertations for your course to get an idea of both topics and structure.
• Start the ideation process by familiarising yourself with the literature.
• Identify your potential research questions (topics).
• Narrow down your options, then evaluate systematically.
• Make your decision (and don’t look back!)

If you follow these steps, you’ll find that they also set you up for what’s coming next – both the proposal and the first three chapters of your dissertation. But that’s for future posts!

Psst… there’s more (for free)

This post is part of our dissertation mini-course, which covers everything you need to get started with your dissertation, thesis or research project. 

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22 Comments

I would love to get a topic under teachers performance. I am a student of MSC Monitoring and Evaluations and I need a topic in the line of monitoring and evaluations

I just we put for some full notes that are payable

Thank you very much Dr Caroline

I need a project topics on transfer of learning

m a PhD Student I would like to be assisted inn formulating a title around: Internet of Things for online education in higher education – STEM (Science, technology, engineering and Mathematics, digital divide ) Thank you, would appreciate your guidance

Well structured guide on the topic… Good materials for beginners in research writing…

Hello Iam kindly seeking for help in formulating a researchable topic for masters degree program in line with teaching GRAPHIC ART

I read a thesis about a problem in a particular. Can I use the same topic just referring to my own country? Is that being original? The interview questions will mostly be the same as the other thesis.

Hi, thanks I managed to listen to the video so helpful indeed. I am currently an MBA student looking for a specific topic and I have different ideas that not sure they can be turned to be a study.

I am doing a Master of Theology in Pastoral Care and Counselling and I felt like doing research on Spiritual problem cause by substance abuse among Youth. Can I get help to formulate the Thesis Title in line with it…please

Hello, I am kindly seeking help in formulating a researchable topic for a National diploma program

As a beginner in research, I am very grateful for this well-structured material on research writing.

Hello, I watched the video and its very helpful. I’m a student in Nursing (degree). May you please help me with any research problems (in Namibian society or Nursing) that need to be evaluate or solved?

I have been greatly impacted. Thank you.

more than useful… there will be no justification if someone fails to get a topic for his thesis

I watched the video and its really helpful.

How can i started discovery

Analysing the significance of Integrated reporting in Zimbabwe. A case of institutional investors. this is my topic for PHD Accounting sciences need help with research questions

Excellent session that cleared lots of doubts.

Excellent session that cleared lots of doubts

Wow, This helped a lot not only with how to find a research topic but inspired me to kick it off from now, I am a final year student of environmental science. And have to complete my project in the coming six months.

I was really stressed and thinking about different topics that I don’t know nothing about and having more than a hundred topics in the baggage, couldn’t make the tradeoff among them, however, reading this scrubbed the fuzzy layer off my head and now it seems like really easy.

Thanks GRADCOACH, you saved me from getting into the rabbit hole.

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• Graduate programs
• Doctor of Philosophy program

Thesis and dissertation information

College guidelines for written dissertation .

Selection of thesis topic and advisor

All incoming students will be classified into two groups before the start of the semester, preplaced and unplaced. If both the student and the advisor agree to work together more than one week before the semester starts and they notify the department head of this decision, then the student is preplaced. As a result, that project will not be advertised to the other students, and the student will not be eligible to select projects available to the unplaced students. Those not preplaced automatically join the unplaced group. The unplaced students are given seven weeks from the start of the semester to mid-semester break to meet faculty and learn about available projects. During this period, faculty may not promise placement to any of the students in the unplaced group. Before the mid-semester break, all unplaced students specify their project preferences and are then placed by agreement of the faculty.

Selection of dissertation committee

The candidate, in consultation with the advisor, should arrange a doctoral thesis committee before the beginning of the fifth semester. The doctoral thesis committee will be chaired by the advisor, and will have at least three additional members. The requirements for the committee are that at least two of the members have a primary affiliation with the MSE department* and at least one of the members is not primarily affiliated** with the MSE department. The candidate should carefully choose committee members who can provide supplemental resources, stimulate critical thinking, and assist in the candidate’s development. As such, the candidate is strongly encouraged to interact regularly with his/her committee members.

The candidates should continue to further develop their proposal presented at the RPE detailing the research plan and updating the timeline, results, and analysis sections. These developments should be discussed with doctoral thesis committee members, either individually or as a group, by the beginning of the fifth semester.

Thesis overview

Before the beginning of the seventh semester, the candidate must convene their thesis committee for an overview of her/his dissertation.

The candidate should prepare a written document and an oral presentation that convey and justify her/his plan for completing her/his dissertation. The written document and the 20-30 minute presentation should be prepared in accordance with the standards for a final dissertation but are expected to be briefer; the document must be distributed to committee members at least 10 days prior to the oral presentation; if the deadline is not met, then the committee shall cancel the scheduled event, and a new date shall be set. A plan and a projected timeline to carry out the necessary work to complete their dissertation should be given in the presentation. It is the candidate’s responsibility to post a public announcement in the department at least two weeks prior to the date of the exam that includes the following information: the date, time, place, candidate name, title, and dissertation committee.

• The student must attach as a separate appendix or a clearly labeled chapter within the main body of the document, a copy of each manuscript for which that student is an author. The candidate must attach a detailed plan for how the research results will be disseminated in peer-reviewed journals. The committee will provide feedback on the publication plan.

It is important to emphasize that, at the time of the overview, there may be considerable work remaining before the thesis is completed and conclusive findings may not yet have been reached. However, the overview presentation and document should demonstrate the following five items:

• The candidate is able to place their research in the context of the background literature and defend how their research represents (will represent) an advancement of the state of knowledge in the field.
• A clear hypothesis (or clear hypotheses) has guided the production and analysis of publishable research results.
• The path to reach the stated goals of the thesis is clear and the candidate has mastered the skills required to complete the research; questions of feasibility should be largely absent.
• The scope of the research, analysis, and integration are deemed appropriate by the committee to form an acceptable Ph.D. dissertation.

At the conclusion of the overview, the committee shall meet in private to prepare written comments for the candidate that include feedback on the four points above, as well as suggestions for enhancing the quality of the thesis. Each committee member will fill out a Thesis Overview Feedback Form ( see Appendix D of Ph.D. Student Handbook ); after the overview, the advisor fills out a Thesis Overview Feedback Summary Form ( see Appendix E of Ph.D. Student Handbook ) that is afterwards provided to the student. This form, with a written response, must accompany the final thesis hard copy when submitted to the committee. If the committee is not satisfied that the overview demonstrates a feasible plan for the thesis, the candidate may be asked to repeat the overview between four and six months after the initial examination. Approval of the committee is a requirement for continuation in the doctoral program.

The final dissertation

The doctoral dissertation must embody the results of extended research, be an original contribution to knowledge, and include material worthy of publication. It should demonstrate the candidate’s ability to conduct an independent investigation, to abstract principles upon which predictions can be made, and to interpret in a logical manner facts and phenomena revealed by the research.

The written dissertation must be prepared according to the college guidelines . The thesis document (hard copy + soft copy) along with a response to the Thesis Overview Feedback Summary Form must be submitted to the committee at least three (3) weeks (i.e., 21 days) before the tentative defense date; if the deadline is not met, then the committee shall cancel the scheduled event, and a new date shall be set. The committee members have one week to verify that the overview comments were properly incorporated in the thesis document. If the dissertation is accepted by the Committee, the candidate is eligible for a final public examination. If not, then the committee informs the student in writing of deficiencies that need to be resolved before a new thesis defense date can be scheduled. The committee decides by majority vote, with a tied vote resolved by the Department Head. It is the candidate’s responsibility to post a public announcement in the department at least two weeks prior to the date of the defense that includes the following information: the date, time, place, candidate name, title, and dissertation committee.

Upon satisfactorily passing this examination, the candidate will be recommended for the doctoral degree.

Publication-based doctorate: is it for me?

Potential research higher degree candidates from academia or industry will need to decide between a doctorate by thesis or by publication. Here are key questions to ask before embarking on the doctoral journey

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Prospective doctoral candidates have much less understanding of the process and requirements for a publication-based doctorate than they do for the more popular thesis-based route. Completing a doctorate, thesis- or publication-based, takes time and effort. Selecting the right mode is important before starting a research higher degree (RHD), so that the prospective doctoral candidate can be confident of completing it.

Here, I discuss the questions that future doctoral candidates should ask if they are considering a publication-based doctorate.

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What is my goal in completing a doctorate?

A thesis-based doctorate helps the candidate to explore a subtopic of a research field as deeply as possible, based on few theoretical variables and within a limited practical context (for example, a limited dataset from a single socio-economic setting). A publication-based doctorate could explore a topic with more variables and contexts (for example, different publications on same topic would have different variables and datasets). It gives a publication-based doctorate a little more flexibility to explore a topic more widely. Therefore, the goal of exploring a subtopic area as widely as possible could fit better for a publication-based doctorate.

What is my thesis?

Yes, even for a publication-based doctorate, candidates need to produce a thesis, a theory or a proposition on a single topic, in combination with the overall contributions of published papers. As a result, the candidates need to think about how they can draw together the relevant findings from published papers to produce new knowledge on a single topic.

Are my publications cohesive?

For a publication-based doctorate, the publications you may already have and the outputs you plan to produce within an agreed time frame should focus on and contribute to a single subtopic. So ask yourself: how unified are my existing and planned publications? Designing the research aim, research question, methodology and contribution of your intended publications in relation to these sections among your existing publications is instrumental to ensuring that your publications are cohesive.

Where am I publishing?

Understanding where you publish should be a key consideration, as not all publications will be eligible for inclusion in your submission. All fields of studies have their own benchmark publications. For example, in business, the journal lists of the Association of Business Schools in the UK and the Australian Business Deans’ Council are often used to indicate a publication’s quality. In general, a publication-based doctorate could consist of journal papers, book chapters or published conference proceedings. Industry-based publications could be considered as well in some instances (for example, if you have an article published by a reputable chamber of commerce). Articles in predatory journals and publications such as brief op-ed articles or blogs might not be considered for a doctorate by publication.

Will the findings and contributions of my publications stand the test of time?

Doctoral candidates may already have publications, perhaps even in good academic journals, but they may be 10 years old. The knowledge produced perhaps made a contribution to your field of study, but the subsequent progress of the field may have surpassed your work or made it obsolete over time. So considering the potential significance of publications during the projected time of a doctoral submission is important. Comparing your work with existing publications in your field is a good way to understand the significance of the work you produce.

What is the extent of my theoretical and practical contribution?  

All doctorates should make significant contribution of theoretical knowledge and practical implication. But we know that the extent of theoretical and practical contribution of a RHD can differ based on the type of doctorate someone would undertake. For example, a doctor of philosophy needs to produce significant theoretical knowledge, whereas a professional doctorate would need more practical implications. Therefore, the candidate needs to consider the extent of theoretical and practical implications of their publications, in order to decide whether a doctor of philosophy or a professional doctorate would be more relevant.

Am I publishing as a sole author or a co-author?

Often, we work in a team and publish with our co-authors. Therefore, if you are planning to include one or several co-authored publications in a publication-based doctorate, securing permission from co-authors to include the relevant sections (that you have contributed to those co-authored publications) into a publication-based doctoral thesis will be helpful in avoiding any future conflict of interest among co-authors.

What is my career stage?

Career stage would have an influence on whether to opt for a doctorate by publication. For example, a candidate may already have five or 10 years of academic teaching or industry experience but has perhaps produced few academic or industry-based publications. In general, working to publish more papers in next two years, and combining them with existing publications to produce a new knowledge, would be useful to submit a thesis by publication. Mid-career candidates from either academia or industry might be considering a publication-based doctorate alongside other commitments but find that their work-life balance is unsustainable. In this case, a doctor of philosophy would be more appropriate for academic candidates, while a professional doctorate would be more relevant for candidates from industry.

How do I find a PhD supervisor?

Irrespective of whether the doctorate is by thesis or publication, RHD supervisors play a significant role in training their candidates to become independent researchers. So looking at the prospective supervisors’ profile, comparing your topic with their research area, emailing them to share your draft proposal, and requesting an appointment to talk about it further will be valuable for prospective candidates. It will help them to develop their topic of research, understand research procedures and requirements, and secure a supervisor.

These questions will help an academic or an industry professional considering a doctorate by publication to weigh their options carefully.

Riad Shams is assistant professor and head of the PhD programme at the Newcastle Business School at Northumbria University, UK. He is a board member of the Northern Advanced Research Training Initiative, a fellow of the Higher Education Academy and the EuroMed Academy of Business, and associate editor of the Journal of Social Entrepreneurship .

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