The first chapter of your dissertation can be challenging to complete, and as many of our dissertation assistance clients have shared, it can even be difficult to start! This is because the introduction to the dissertation provides a blueprint for the rest of the study, laying out key aspects of your proposed research that will be covered in more depth in subsequent chapters. 

This means that in addition to mastering the fine art of APA editing and formatting, you need to have a fairly solid understanding of the applications of quantitative or qualitative research methods, an in-depth appraisal of the current literature on your topic, and a firm grasp of the concept of alignment to write your first chapter. Understandably, this might seem a bit intimidating for first-time researchers! We hope that the following section-by-section overview helps to ease you into this first major chapter in your dissertation.

Background: What Is the Overall Aim of This Section?

All studies, dissertations included, contribute to the larger body of research on a particular topic, and your aim with this section is to help the reader understand the specific literature context for your dissertation. As you may already know, you will complete an in-depth discussion of the research literature related to your topic in your literature review chapter; however, a brief background section in your first chapter helps to orient the reader to the current research related to your dissertation topic. 

When writing the background section, include at least one paragraph on each key element of your topic (Sampson, 2012). For example, if you plan to conduct statistical analysis to determine the relationship between exposure to trauma, substance misuse, and homelessness in men with schizophrenia, your background will need to cover the four key elements of: (a) trauma exposure, (b) substance misuse, (c) homelessness, and (d) men who experience schizophrenia.

What Are the Essential Elements of the Background Section?

• Brief summary of relevant research on key elements of your topic
• Description of gap in research that your study will help to address
• Explanation of the reason the study is needed

Problem Statement: What Is the Overall Aim of This Section?

Although the problem statement is fairly short, usually running 250 to 350 words, many of our dissertation consulting clients have expressed that they found it to be the most challenging section of Chapter 1 to write. This short section is the centerpiece of the topic development process, as it helps to illustrate the need for your study by explaining the problem that you will address with your dissertation, including whom the problem affects and how. Because your dissertation must contribute to an existing gap in the research, it is important that you draw only from very recent sources (i.e., those published within the last 3 to 5 years) when developing the problem statement.

A common mistake we encourage our dissertation assistance clients to avoid is equating a lack of research with the research gap; these are not the same thing. Instead, the research gap actually consists of at least three other recent studies that express a need for additional quantitative or qualitative research in a particular area. Another common error is to use this section to describe what you intend to investigate through your study or to explain what type of statistical analysis or qualitative analysis you have planned; but, save that information for later in the chapter and just focus on the problem for now.

What Are the Essential Elements of the Problem Statement Section?

• Description of problem of interest, including whom it affects and how
• Prevalence statistic (i.e., how widespread is the problem?)
• Citations of 12-15 recent (i.e., published within last 3-5 years) sources that document the existence of the problem
• Citations of at least three current studies that note a need for additional research on the topic

Purpose: What Is the Overall Aim of This Section?

In this very short section of the chapter, your goal is to help the reader understand the aims of your dissertation. The first sentence—or purpose statement—should contain all key information on how you intend to address the problem you articulated in the previous section (Bloomberg & Volpe, 2008). As the purpose statement is presented verbatim throughout the dissertation, it helps to be thorough and yet concise, stating the method, design, variables or phenomena of interest, population, and often, location of the study. Our dissertation assistance clients often find that they need to go through a few rounds of committee review and editing in order to get the phrasing of the purpose statement just right.

An important note is that the verbs you choose for the purpose statement must align with the research method and design. For example, you might say that the purpose of a qualitative research study is to explore the lived experiences of your participants with regard to some specific phenomenon. On the other hand, you would not use the verb “explore” if you’re planning a study that involves statistical analysis of relationships between variables. For quantitative studies, use verbs such as “examine” or “investigate.” As an example, you might say that the purpose of a quantitative correlational study is to examine the relationship between two or more variables of interest.

What Are the Essential Elements of the Purpose Section?

• Specify the method and design
• Use a verb that aligns with method and design
• Specify variables when using quantitative method, or phenomenon of interest for qualitative research

Research Questions: What Is the Overall Aim of This Section?

In this section, your aim is to help readers understand the specific questions that you will answer through your dissertation. These are your research questions, which must convey “all methodological aspects of the research” (Sampson, 2012, p. 28). Because of this, they need to align with your purpose statement, using the same terminology for population and variables/phenomena of interest. 

Research questions must also be carefully worded so that they reflect the research approach and intended analysis. For example, statistical analysis terminology such as “relationship” and “difference” should not be used in qualitative research questions, as qualitative analysis cannot determine relationships or differences between variables. As with your dissertation’s purpose statement, perfecting the research questions may require a few rounds of committee review and editing because every word matters.

If you are planning to conduct qualitative research, it may help to understand that the research questions are not the same as the interview questions that you will later ask your participants. This is a common misunderstanding among our dissertation consulting clients who are conducting qualitative research for the first time. For example, imagine that you are planning a qualitative analysis of African American executives’ experiences of ascent to leadership positions. Although you might be interested in asking your participants questions about their early experiences, education, mentorship, training, and networking, you wouldn’t write research questions for each of these topics. Instead, you would create one or two very broad research questions that refer to the phenomenon of interest (i.e., experiences of ascent to leadership positions for African American executives), which create an “umbrella” for the more specific interview questions that will guide data collection for your dissertation.

What Are the Essential Elements of the Research Questions Section?

• Align the research questions with the purpose statement
• Align the research questions with research method and design
• Present the research questions with hypotheses if using a quantitative method

Theoretical Framework: What Is the Overall Aim of This Section?

In this section, your aim is to help the reader understand the explanatory structure that will hold your dissertation together logically. With a theoretical framework, you base this structure on established theories that help to explain how specific variables or dimensions relate to each other; with a conceptual framework, you base the structure on your own literature-based analysis of how key variables or phenomena relate to one another. To provide an appropriate explanatory structure, the theoretical or conceptual framework needs to align with your problem, purpose, and research questions (Grant & Osanloo, 2014). Whether you are conducting qualitative analysis or statistical analysis, you will also need to interpret your dissertation’s findings through the lens of your framework in your discussion chapter.

What Are the Essential Elements of the Theoretical Framework Section?

• Cite the originators of the theory
• Explain the key tenets of the theory
• Explain how the framework makes sense for your study, given its topic

Nature of the Study: What Is the Overall Aim of This Section?

When developing this section, your aim is to help the reader to understand the proposed methodological plan for your dissertation. In addition to specifying the research method and research design, you must also present your rationale for choosing this approach (Bloomberg & Volpe, 2008). For example, if you have selected a qualitative research method, you will need to explain not only why this method aligns with your purpose but also why statistical analysis (i.e., a quantitative method) would not be suitable for answering your research questions. Although you will cover this in greater depth in your methods chapter, this section should also briefly discuss your sample and data collection, along with the specific type of statistical analysis or qualitative analysis you will use to analyze your data.

What Are the Essential Elements of the Nature of the Study Section?

• Provide rationale for choice of method
• Provide rationale for choice of research design
• Briefly describe sample, data collection, data analysis

Assumptions: What Is the Overall Aim of This Section?

Your objective in this section is to help readers understand the assumptions that it was necessary for you to make to conduct your study; these are aspects of your dissertation that you believe—but cannot prove—to be true. One common assumption is that participants will respond to questions honestly and accurately. Note that for quantitative studies, there will also be assumptions that are related to the statistical analysis regarding properties of the data, such as independence of observations, normality of the distribution, and homogeneity of variances. Our statisticians often help with developing appropriate assumptions for our dissertation assistance clients who are completing quantitative studies.

What Are the Essential Elements of the Assumptions Section?

• Only include those assumptions that are essential to the particular study
• Explain why it is necessary to make those assumptions

Scope and Delimitations: What Is the Overall Aim of This Section?

In writing this section, your aim is to help the reader to understand the specific aspects of the problem you will investigate through your dissertation (i.e., its scope) and also aspects of the problem that you will not examine (i.e., its delimitations). For example, imagine that you are conducting qualitative research to explore perspectives on cognitive-behavior therapy among persons who experience depression. You would explain this focus and why you selected it, additionally specifying populations (e.g., persons with co-occurring mental health diagnoses) and treatments (e.g., mindfulness-based therapies) that you have chosen not to focus on in your dissertation.

What Are the Essential Elements of the Scope and Delimitations Section?

• Specific focus of study and why you chose this
• Aspects of topic, populations, or frameworks that you will not investigate

Limitations: What Is the Overall Aim of This Section?

Your aim in this section is to help readers understand the potential shortcomings of your study. Limitations may arise from your dissertation’s methodology or procedures, and they typically relate to either internal validity or external validity (Price & Murnan, 2004). For example, internal validity may be threatened if you are using an instrument with incomplete or inadequate psychometric properties, and procedures such as convenience sampling may limit the external validity (i.e., generalizability) of your results. The small, purposive samples typically used in qualitative research also limit generalizability, and even though this is normal and expected, it is still important to acknowledge this limitation formally.

What Are the Essential Elements of the Limitations Section?

• Aspects of the study that could limit generalizability
• Potential sources of bias
• Steps you will take to minimize these limitations

Significance: What Is the Overall Aim of This Section?

When preparing the significance section, your aim is to help readers understand how your dissertation’s findings might benefit specific individuals or the general public by reducing or eliminating the issue you described in your problem statement. By demonstrating the social significance of your proposed study in this section, you justify the investment in time and resources that you, your committee, and your university will make over the course of the study (Sampson, 2012).

As an example, imagine that your plan is to use your dissertation to help address the general problem of teacher attrition in rural school districts, and your specific problem is lack of effective mentorship in such settings. An outcome that you would hope for, given this general and specific problem, is that your dissertation’s findings would help to increase the quality of mentorship for new teachers in rural areas, thereby increasing retention. Note that it is important to keep your significance statements reasonable, considering the scope and boundaries of your dissertation. Although you might hope that increasing teacher retention would help to increase high school students’ graduation rates and college readiness, these student-specific implications would be outside of the bounds of your specific study.

What Are the Essential Elements of the Significance Section?

• Explain potential contributions to knowledge and practice
• Align implications for positive social change with the field of study
• Keep implications reasonable, given the scope of the study

Final Thoughts

The potential contributions you can make to the world around you through your research are undoubtedly considerable, and our dissertation consultants would be thrilled to support you to bring your study to its full potential. We definitely recommend that you take the time to develop a top-notch Chapter 1, as this sets the tone for the remainder of your dissertation research. Best of luck with your research, and if we can help in any way, please let us know!

References

Bloomberg, L. D., & Volpe, M. (2008). Completing your qualitative dissertation: A roadmap from beginning to end. Sage. https://doi.org/10.4135/9781452226613.n1

Grant, C., & Osanloo, A. (2014). Understanding, selecting, and integrating a theoretical framework in dissertation research: Creating the blueprint for your “house”. Administrative Issues Journal, 4(2), 12-26. https://doi.org/10.5929/2014.4.2.9

Price, J. H., & Murnan, J. (2004). Research limitations and the necessity of reporting them. American Journal of Health Education, 35(2), 66-67. https://doi.org/10.1080/19325037.2004.10603611

Sampson, J. P. (2012). Guide to quantitative and qualitative dissertation research. Florida State University Libraries. https://diginole.lib.fsu.edu/islandora/object/fsu:405471/datastream/PDF/view