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Qualitative Research Designs

Case study design, using case study design in the applied doctoral experience (ade), applicability of case study design to applied problem of practice, case study design references.

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The field of qualitative research there are a number of research designs (also referred to as “traditions” or “genres”), including case study, phenomenology, narrative inquiry, action research, ethnography, grounded theory, as well as a number of critical genres including Feminist theory, indigenous research, critical race theory and cultural studies. The choice of research design is directly tied to and must be aligned with your research problem and purpose. As Bloomberg & Volpe (2019) explain:

Choice of research design is directly tied to research problem and purpose. As the researcher, you actively create the link among problem, purpose, and design through a process of reflecting on problem and purpose, focusing on researchable questions, and considering how to best address these questions. Thinking along these lines affords a research study methodological congruence (p. 38).

Case study is an in-depth exploration from multiple perspectives of a bounded social phenomenon, be this a social system such as a program, event, institution, organization, or community (Stake, 1995, 2005; Yin, 2018). Case study is employed across disciplines, including education, health care, social work, sociology, and organizational studies. The purpose is to generate understanding and deep insights to inform professional practice, policy development, and community or social action (Bloomberg 2018).

Yin (2018) and Stake (1995, 2005), two of the key proponents of case study methodology, use different terms to describe case studies. Yin categorizes case studies as exploratory or descriptive . The former is used to explore those situations in which the intervention being evaluated has no clear single set of outcomes. The latter is used to describe an intervention or phenomenon and the real-life context in which it occurred. Stake identifies case studies as intrinsic or instrumental , and he proposes that a primary distinction in designing case studies is between single and multiple (or collective) case study designs. A single case study may be an instrumental case study (research focuses on an issue or concern in one bounded case) or an intrinsic case study (the focus is on the case itself because the case presents a unique situation). A longitudinal case study design is chosen when the researcher seeks to examine the same single case at two or more different points in time or to capture trends over time. A multiple case study design is used when a researcher seeks to determine the prevalence or frequency of a particular phenomenon. This approach is useful when cases are used for purposes of a cross-case analysis in order to compare, contrast, and synthesize perspectives regarding the same issue. The focus is on the analysis of diverse cases to determine how these confirm the findings within or between cases, or call the findings into question.

Case study affords significant interaction with research participants, providing an in-depth picture of the phenomenon (Bloomberg & Volpe, 2019). Research is extensive, drawing on multiple methods of data collection, and involves multiple data sources. Triangulation is critical in attempting to obtain an in-depth understanding of the phenomenon under study and adds rigor, breadth, and depth to the study and provides corroborative evidence of the data obtained. Analysis of data can be holistic or embedded—that is, dealing with the whole or parts of the case (Yin, 2018). With multiple cases the typical analytic strategy is to provide detailed description of themes within each case (within-case analysis), followed by thematic analysis across cases (cross-case analysis), providing insights regarding how individual cases are comparable along important dimensions. Research culminates in the production of a detailed description of a setting and its participants, accompanied by an analysis of the data for themes or patterns (Stake, 1995, 2005; Yin, 2018). In addition to thick, rich description, the researcher’s interpretations, conclusions, and recommendations contribute to the reader’s overall understanding of the case study.

Analysis of findings should show that the researcher has attended to all the data, should address the most significant aspects of the case, and should demonstrate familiarity with the prevailing thinking and discourse about the topic. The goal of case study design (as with all qualitative designs) is not generalizability but rather transferability —that is, how (if at all) and in what ways understanding and knowledge can be applied in similar contexts and settings. The qualitative researcher attempts to address the issue of transferability by way of thick, rich description that will provide the basis for a case or cases to have relevance and potential application across a broader context.

Qualitative research methods ask the questions of "what" and "how" a phenomenon is understood in a real-life context (Bloomberg & Volpe, 2019). In the education field, qualitative research methods uncover educational experiences and practices because qualitative research allows the researcher to reveal new knowledge and understanding. Moreover, qualitative descriptive case studies describe, analyze and interpret events that explain the reasoning behind specific phenomena (Bloomberg, 2018). As such, case study design can be the foundation for a rigorous study within the Applied Doctoral Experience (ADE).

Case study design is an appropriate research design to consider when conceptualizing and conducting a dissertation research study that is based on an applied problem of practice with inherent real-life educational implications. Case study researchers study current, real-life cases that are in progress so that they can gather accurate information that is current. This fits well with the ADE program, as students are typically exploring a problem of practice. Because of the flexibility of the methods used, a descriptive design provides the researcher with the opportunity to choose data collection methods that are best suited to a practice-based research purpose, and can include individual interviews, focus groups, observation, surveys, and critical incident questionnaires. Methods are triangulated to contribute to the study’s trustworthiness. In selecting the set of data collection methods, it is important that the researcher carefully consider the alignment between research questions and the type of data that is needed to address these. Each data source is one piece of the “puzzle,” that contributes to the researcher’s holistic understanding of a phenomenon. The various strands of data are woven together holistically to promote a deeper understanding of the case and its application to an educationally-based problem of practice.

Research studies within the Applied Doctoral Experience (ADE) will be practical in nature and focus on problems and issues that inform educational practice. Many of the types of studies that fall within the ADE framework are exploratory, and align with case study design. Case study design fits very well with applied problems related to educational practice, as the following set of examples illustrate:

Elementary Bilingual Education Teachers’ Self-Efficacy in Teaching English Language Learners: A Qualitative Case Study

The problem to be addressed in the proposed study is that some elementary bilingual education teachers’ beliefs about their lack of preparedness to teach the English language may negatively impact the language proficiency skills of Hispanic ELLs (Ernst-Slavit & Wenger, 2016; Fuchs et al., 2018; Hoque, 2016). The purpose of the proposed qualitative descriptive case study was to explore the perspectives and experiences of elementary bilingual education teachers regarding their perceived lack of preparedness to teach the English language and how this may impact the language proficiency of Hispanic ELLs.

Exploring Minority Teachers Experiences Pertaining to their Value in Education: A Single Case Study of Teachers in New York City

The problem is that minority K-12 teachers are underrepresented in the United States, with research indicating that school leaders and teachers in schools that are populated mainly by black students, staffed mostly by white teachers who may be unprepared to deal with biases and stereotypes that are ingrained in schools (Egalite, Kisida, & Winters, 2015; Milligan & Howley, 2015). The purpose of this qualitative exploratory single case study was to develop a clearer understanding of minority teachers’ experiences concerning the under-representation of minority K-12 teachers in urban school districts in the United States since there are so few of them.

Exploring the Impact of an Urban Teacher Residency Program on Teachers’ Cultural Intelligence: A Qualitative Case Study

The problem to be addressed by this case study is that teacher candidates often report being unprepared and ill-equipped to effectively educate culturally diverse students (Skepple, 2015; Beutel, 2018). The purpose of this study was to explore and gain an in-depth understanding of the perceived impact of an urban teacher residency program in urban Iowa on teachers’ cultural competence using the cultural intelligence (CQ) framework (Earley & Ang, 2003).

Qualitative Case Study that Explores Self-Efficacy and Mentorship on Women in Academic Administrative Leadership Roles

The problem was that female school-level administrators might be less likely to experience mentorship, thereby potentially decreasing their self-efficacy (Bing & Smith, 2019; Brown, 2020; Grant, 2021). The purpose of this case study was to determine to what extent female school-level administrators in the United States who had a mentor have a sense of self-efficacy and to examine the relationship between mentorship and self-efficacy.

Suburban Teacher and Administrator Perceptions of Culturally Responsive Teaching to Promote Connectedness in Students of Color: A Qualitative Case Study

The problem to be addressed in this study is the racial discrimination experienced by students of color in suburban schools and the resulting negative school experience (Jara & Bloomsbury, 2020; Jones, 2019; Kohli et al., 2017; Wandix-White, 2020). The purpose of this case study is to explore how culturally responsive practices can counteract systemic racism and discrimination in suburban schools thereby meeting the needs of students of color by creating positive learning experiences.

As you can see, all of these studies were well suited to qualitative case study design. In each of these studies, the applied research problem and research purpose were clearly grounded in educational practice as well as directly aligned with qualitative case study methodology. In the Applied Doctoral Experience (ADE), you will be focused on addressing or resolving an educationally relevant research problem of practice. As such, your case study, with clear boundaries, will be one that centers on a real-life authentic problem in your field of practice that you believe is in need of resolution or improvement, and that the outcome thereof will be educationally valuable.

Bloomberg, L. D. (2018). Case study method. In B. B. Frey (Ed.), The SAGE Encyclopedia of educational research, measurement, and evaluation (pp. 237–239). SAGE. https://go.openathens.net/redirector/nu.edu?url=https%3A%2F%2Fmethods.sagepub.com%2FReference%2Fthe-sage-encyclopedia-of-educational-research-measurement-and-evaluation%2Fi4294.xml

Bloomberg, L. D. & Volpe, M. (2019). Completing your qualitative dissertation: A road map from beginning to end . (4th Ed.). SAGE.

Stake, R. E. (1995). The art of case study research. SAGE.

Stake, R. E. (2005). Qualitative case studies. In N. K. Denzin and Y. S. Lincoln (Eds.), The SAGE handbook of qualitative research (3rd ed., pp. 443–466). SAGE.

Yin, R. (2018). Case study research and applications: Designs and methods. SAGE.

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Case Study Methods and Examples

By Janet Salmons, PhD Manager, Sage Research Methods Community

What is Case Study Methodology ?

Case studies in research are both unique and uniquely confusing. The term case study is confusing because the same term is used multiple ways. The term can refer to the methodology, that is, a system of frameworks used to design a study, or the methods used to conduct it. Or, case study can refer to a type of academic writing that typically delves into a problem, process, or situation.

Case study methodology can entail the study of one or more "cases," that could be described as instances, examples, or settings where the problem or phenomenon can be examined. The researcher is tasked with defining the parameters of the case, that is, what is included and excluded. This process is called bounding the case , or setting boundaries.

Case study can be combined with other methodologies, such as ethnography, grounded theory, or phenomenology. In such studies the research on the case uses another framework to further define the study and refine the approach.

Case study is also described as a method, given particular approaches used to collect and analyze data. Case study research is conducted by almost every social science discipline: business, education, sociology, psychology. Case study research, with its reliance on multiple sources, is also a natural choice for researchers interested in trans-, inter-, or cross-disciplinary studies.

The Encyclopedia of case study research provides an overview:

The purpose of case study research is twofold: (1) to provide descriptive information and (2) to suggest theoretical relevance. Rich description enables an in-depth or sharpened understanding of the case.

It is unique given one characteristic: case studies draw from more than one data source. Case studies are inherently multimodal or mixed methods because this they use either more than one form of data within a research paradigm, or more than one form of data from different paradigms.

A case study inquiry could include multiple types of data:

multiple forms of quantitative data sources, such as Big Data + a survey

multiple forms of qualitative data sources, such as interviews + observations + documents

multiple forms of quantitative and qualitative data sources, such as surveys + interviews

Case study methodology can be used to achieve different research purposes.

Robert Yin , methodologist most associated with case study research, differentiates between descriptive , exploratory and explanatory case studies:

Descriptive : A case study whose purpose is to describe a phenomenon. Explanatory : A case study whose purpose is to explain how or why some condition came to be, or why some sequence of events occurred or did not occur. Exploratory: A case study whose purpose is to identify the research questions or procedures to be used in a subsequent study.

Robert Yin’s book is a comprehensive guide for case study researchers!

You can read the preface and Chapter 1 of Yin's book here . See the open-access articles below for some published examples of qualitative, quantitative, and mixed methods case study research.

Mills, A. J., Durepos, G., & Wiebe, E. (2010). Encyclopedia of case study research (Vols. 1-0). Thousand Oaks, CA: SAGE Publications, Inc. doi: 10.4135/9781412957397

Yin, R. K. (2018). Case study research and applications (6th ed.). Thousand Oaks: SAGE Publications.

Open-Access Articles Using Case Study Methodology

As you can see from this collection, case study methods are used in qualitative, quantitative and mixed methods research.

Ang, C.-S., Lee, K.-F., & Dipolog-Ubanan, G. F. (2019). Determinants of First-Year Student Identity and Satisfaction in Higher Education: A Quantitative Case Study. SAGE Open. https://doi.org/10.1177/2158244019846689

Abstract. First-year undergraduates’ expectations and experience of university and student engagement variables were investigated to determine how these perceptions influence their student identity and overall course satisfaction. Data collected from 554 first-year undergraduates at a large private university were analyzed. Participants were given the adapted version of the Melbourne Centre for the Study of Higher Education Survey to self-report their learning experience and engagement in the university community. The results showed that, in general, the students’ reasons of pursuing tertiary education were to open the door to career opportunities and skill development. Moreover, students’ views on their learning and university engagement were at the moderate level. In relation to student identity and overall student satisfaction, it is encouraging to state that their perceptions of studentship and course satisfaction were rather positive. After controlling for demographics, student engagement appeared to explain more variance in student identity, whereas students’ expectations and experience explained greater variance in students’ overall course satisfaction. Implications for practice, limitations, and recommendation of this study are addressed.

Baker, A. J. (2017). Algorithms to Assess Music Cities: Case Study—Melbourne as a Music Capital. SAGE Open. https://doi.org/10.1177/2158244017691801

Abstract. The global Mastering of a Music City report in 2015 notes that the concept of music cities has penetrated the global political vernacular because it delivers “significant economic, employment, cultural and social benefits.” This article highlights that no empirical study has combined all these values and offers a relevant and comprehensive definition of a music city. Drawing on industry research,1 the article assesses how mathematical flowcharts, such as Algorithm A (Economics), Algorithm B (Four T’s creative index), and Algorithm C (Heritage), have contributed to the definition of a music city. Taking Melbourne as a case study, it illustrates how Algorithms A and B are used as disputed evidence about whether the city is touted as Australia’s music capital. The article connects the three algorithms to an academic framework from musicology, urban studies, cultural economics, and sociology, and proposes a benchmark Algorithm D (Music Cities definition), which offers a more holistic assessment of music activity in any urban context. The article concludes by arguing that Algorithm D offers a much-needed definition of what comprises a music city because it builds on the popular political economy focus and includes the social importance of space and cultural practices.

Brown, K., & Mondon, A. (2020). Populism, the media, and the mainstreaming of the far right: The Guardian’s coverage of populism as a case study. Politics. https://doi.org/10.1177/0263395720955036

Abstract. Populism seems to define our current political age. The term is splashed across the headlines, brandished in political speeches and commentaries, and applied extensively in numerous academic publications and conferences. This pervasive usage, or populist hype, has serious implications for our understanding of the meaning of populism itself and for our interpretation of the phenomena to which it is applied. In particular, we argue that its common conflation with far-right politics, as well as its breadth of application to other phenomena, has contributed to the mainstreaming of the far right in three main ways: (1) agenda-setting power and deflection, (2) euphemisation and trivialisation, and (3) amplification. Through a mixed-methods approach to discourse analysis, this article uses The Guardian newspaper as a case study to explore the development of the populist hype and the detrimental effects of the logics that it has pushed in public discourse.

Droy, L. T., Goodwin, J., & O’Connor, H. (2020). Methodological Uncertainty and Multi-Strategy Analysis: Case Study of the Long-Term Effects of Government Sponsored Youth Training on Occupational Mobility. Bulletin of Sociological Methodology/Bulletin de Méthodologie Sociologique, 147–148(1–2), 200–230. https://doi.org/10.1177/0759106320939893

Abstract. Sociological practitioners often face considerable methodological uncertainty when undertaking a quantitative analysis. This methodological uncertainty encompasses both data construction (e.g. defining variables) and analysis (e.g. selecting and specifying a modelling procedure). Methodological uncertainty can lead to results that are fragile and arbitrary. Yet, many practitioners may be unaware of the potential scale of methodological uncertainty in quantitative analysis, and the recent emergence of techniques for addressing it. Recent proposals for ‘multi-strategy’ approaches seek to identify and manage methodological uncertainty in quantitative analysis. We present a case-study of a multi-strategy analysis, applied to the problem of estimating the long-term impact of 1980s UK government-sponsored youth training. We use this case study to further highlight the problem of cumulative methodological fragilities in applied quantitative sociology and to discuss and help develop multi-strategy analysis as a tool to address them.

Ebneyamini, S., & Sadeghi Moghadam, M. R. (2018). Toward Developing a Framework for Conducting Case Study Research . International Journal of Qualitative Methods . https://doi.org/10.1177/1609406918817954

Abstract. This article reviews the use of case study research for both practical and theoretical issues especially in management field with the emphasis on management of technology and innovation. Many researchers commented on the methodological issues of the case study research from their point of view thus, presenting a comprehensive framework was missing. We try representing a general framework with methodological and analytical perspective to design, develop, and conduct case study research. To test the coverage of our framework, we have analyzed articles in three major journals related to the management of technology and innovation to approve our framework. This study represents a general structure to guide, design, and fulfill a case study research with levels and steps necessary for researchers to use in their research.

Lai, D., & Roccu, R. (2019). Case study research and critical IR: the case for the extended case methodology. International Relations , 33 (1), 67-87. https://doi.org/10.1177/0047117818818243

Abstract. Discussions on case study methodology in International Relations (IR) have historically been dominated by positivist and neopositivist approaches. However, these are problematic for critical IR research, pointing to the need for a non-positivist case study methodology. To address this issue, this article introduces and adapts the extended case methodology as a critical, reflexivist approach to case study research, whereby the case is constructed through a dynamic interaction with theory, rather than selected, and knowledge is produced through extensions rather than generalisation. Insofar as it seeks to study the world in complex and non-linear terms, take context and positionality seriously, and generate explicitly political and emancipatory knowledge, the extended case methodology is consistent with the ontological and epistemological commitments of several critical IR approaches. Its potential is illustrated in the final part of the article with reference to researching the socioeconomic dimension of transitional justice in Bosnia and Herzegovina.

Lynch, R., Young, J. C., Boakye-Achampong, S., Jowaisas, C., Sam, J., & Norlander, B. (2020). Benefits of crowdsourcing for libraries: A case study from Africa . IFLA Journal. https://doi.org/10.1177/0340035220944940

Abstract. Many libraries in the Global South do not collect comprehensive data about themselves, which creates challenges in terms of local and international visibility. Crowdsourcing is an effective tool that engages the public to collect missing data, and it has proven to be particularly valuable in countries where governments collect little public data. Whereas crowdsourcing is often used within fields that have high levels of development funding, such as health, the authors believe that this approach would have many benefits for the library field as well. They present qualitative and quantitative evidence from 23 African countries involved in a crowdsourcing project to map libraries. The authors find benefits in terms of increased connections between stakeholders, capacity-building, and increased local visibility. These findings demonstrate the potential of crowdsourced approaches for tasks such as mapping to benefit libraries and similarly positioned institutions in the Global South in multifaceted ways.

Mason, W., Morris, K., Webb, C., Daniels, B., Featherstone, B., Bywaters, P., Mirza, N., Hooper, J., Brady, G., Bunting, L., & Scourfield, J. (2020). Toward Full Integration of Quantitative and Qualitative Methods in Case Study Research: Insights From Investigating Child Welfare Inequalities. Journal of Mixed Methods Research, 14 (2), 164-183. https://doi.org/10.1177/1558689819857972

Abstract. Delineation of the full integration of quantitative and qualitative methods throughout all stages of multisite mixed methods case study projects remains a gap in the methodological literature. This article offers advances to the field of mixed methods by detailing the application and integration of mixed methods throughout all stages of one such project; a study of child welfare inequalities. By offering a critical discussion of site selection and the management of confirmatory, expansionary and discordant data, this article contributes to the limited body of mixed methods exemplars specific to this field. We propose that our mixed methods approach provided distinctive insights into a complex social problem, offering expanded understandings of the relationship between poverty, child abuse, and neglect.

Rashid, Y., Rashid, A., Warraich, M. A., Sabir, S. S., & Waseem, A. (2019). Case Study Method: A Step-by-Step Guide for Business Researchers . International Journal of Qualitative Methods . https://doi.org/10.1177/1609406919862424

Abstract. Qualitative case study methodology enables researchers to conduct an in-depth exploration of intricate phenomena within some specific context. By keeping in mind research students, this article presents a systematic step-by-step guide to conduct a case study in the business discipline. Research students belonging to said discipline face issues in terms of clarity, selection, and operationalization of qualitative case study while doing their final dissertation. These issues often lead to confusion, wastage of valuable time, and wrong decisions that affect the overall outcome of the research. This article presents a checklist comprised of four phases, that is, foundation phase, prefield phase, field phase, and reporting phase. The objective of this article is to provide novice researchers with practical application of this checklist by linking all its four phases with the authors’ experiences and learning from recently conducted in-depth multiple case studies in the organizations of New Zealand. Rather than discussing case study in general, a targeted step-by-step plan with real-time research examples to conduct a case study is given.

VanWynsberghe, R., & Khan, S. (2007). Redefining Case Study. International Journal of Qualitative Methods, 80–94. https://doi.org/10.1177/160940690700600208

Abstract. In this paper the authors propose a more precise and encompassing definition of case study than is usually found. They support their definition by clarifying that case study is neither a method nor a methodology nor a research design as suggested by others. They use a case study prototype of their own design to propose common properties of case study and demonstrate how these properties support their definition. Next, they present several living myths about case study and refute them in relation to their definition. Finally, they discuss the interplay between the terms case study and unit of analysis to further delineate their definition of case study. The target audiences for this paper include case study researchers, research design and methods instructors, and graduate students interested in case study research.

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What is a Case Study and Why should I Use It in My PhD Dissertation? Understanding the purpose of case studies in research.

A case study can provide appropriate research design in a qualitative or quantitative study to to gain concrete, contextual, in-depth knowledge and multi-faceted understanding of a complex issue in its real-life context. The case study can be a great tool for providing insight and developing theories in the avenue of present research.

What is a case study?

A case study is a structured, focused, in-depth look at a particular issue or topic that reports on the findings and conclusions of researchers who have studied the case. A case study is not intended to be an exploratory analysis or to make sweeping generalizations. Rather, it is an objective, focused, and structured approach to understand the specific circumstances of an issue or the people, places, and things that make up a society. Prepared to the best of the researchers knowledge, a case study is a unique research method. In fact, case studies are the most common type of qualitative research. A case study is often a combination of interviews, focus groups, documentation, and research documentation.

Why do researchers use case study?

Case studies often contain detailed, in-depth examination of a particular issue or topic that reports on the findings and conclusions of researchers who have studied the case. Case studies are excellent for gaining insight and understanding in the following ways: –

Focus on one aspect of the phenomena being studied
Give the researcher a window into the participants’ world
Explain the decision making process involved in data collection, analysis, and presentation
Allow for in-depth examination of the methodology

How to do a case study in PhD research

To conduct a case study, the students must first adhere to the university requirements and establish a strong subject knowledge in the domain of study. This is to help the researcher design the case study in a controlled environment. The case study must:

Be descriptive – Be specific – Be analytical – Be critical – Be narrative – Be written within required format

Key elements of a successful case study

The basic elements of a successful case study include: –

The phenomenon
The context
The methodology
The conclusions
The recommendations
The detail of resources used

Research design using cases

Research designs that incorporate the use of case studies are often qualitative or quantitative in nature. A quantitative approach to the study of a phenomenon could involve questionnaires to collect data about the respondents’ experiences. On the other hand, a qualitative approach could involve in-depth interviews to understand the thoughts, feelings, and experiences of people who are experiencing the same phenomenon as the research team. Case studies can also be used in the analysis of the validity of a plan. For example, a case study examining the feasibility of a new project could examine the cost, risks, and benefits of undertaking the study and the study’s design.

The case study can be used in various design settings:

Explanatory case studies aim to answer ‘how’ or ’why’ questions and involve an accurate description of the event or situation under study rather than the researcher’s thoughts.
A descriptive case study is one that is focused and detailed to illustrate an unfamiliar subject that the researcher wants the audience to understand and the phenomenon under study is carefully scrutinized.
Exploratory case studies aim to find answers to the questions of ‘what’ or ‘who’. This is often conducted on the premise of a larger research problem to narrow the focus of the study and reach a specific research objective.

Should I be using case studies in my research?

Eisenhardt (1989) says that case studies are:

“Particularly well suited to new research areas or research areas for

which existing theory seems inadequate. This type of work is highly

complementary to incremental theory building from normal science

research. The former is useful in early stages of research on a topic or

when a fresh perspective is needed, whilst the latter is useful in later

stages of knowledge” (pp.548-549).

There is a certain skepticism about the usefulness of case studies as an objective research method considering its many limitations like the reliability of the respondents and the behavioral differences that can contribute to the inadequacy of the information provided by the subjects of the case, the issue of possibility of generalization of the findings of a case study considering the narrow and focussed approach that case studied utilize and finally the researcher bias which forms the main disadvantage to an objective study. The researcher should also consider the efficiency of using case studies in his or her research because of the detailed nature of this method that is not only dependent on factors beyond control but also intensive in preparation and deduction of conclusions.

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Acknowledgments

A case study research paper examines a person, place, event, condition, phenomenon, or other type of subject of analysis in order to extrapolate key themes and results that help predict future trends, illuminate previously hidden issues that can be applied to practice, and/or provide a means for understanding an important research problem with greater clarity. A case study research paper usually examines a single subject of analysis, but case study papers can also be designed as a comparative investigation that shows relationships between two or more subjects. The methods used to study a case can rest within a quantitative, qualitative, or mixed-method investigative paradigm.

Case Studies. Writing@CSU. Colorado State University; Mills, Albert J. , Gabrielle Durepos, and Eiden Wiebe, editors. Encyclopedia of Case Study Research . Thousand Oaks, CA: SAGE Publications, 2010 ; “What is a Case Study?” In Swanborn, Peter G. Case Study Research: What, Why and How? London: SAGE, 2010.

How to Approach Writing a Case Study Research Paper

General information about how to choose a topic to investigate can be found under the " Choosing a Research Problem " tab in the Organizing Your Social Sciences Research Paper writing guide. Review this page because it may help you identify a subject of analysis that can be investigated using a case study design.

However, identifying a case to investigate involves more than choosing the research problem . A case study encompasses a problem contextualized around the application of in-depth analysis, interpretation, and discussion, often resulting in specific recommendations for action or for improving existing conditions. As Seawright and Gerring note, practical considerations such as time and access to information can influence case selection, but these issues should not be the sole factors used in describing the methodological justification for identifying a particular case to study. Given this, selecting a case includes considering the following:

The case represents an unusual or atypical example of a research problem that requires more in-depth analysis? Cases often represent a topic that rests on the fringes of prior investigations because the case may provide new ways of understanding the research problem. For example, if the research problem is to identify strategies to improve policies that support girl's access to secondary education in predominantly Muslim nations, you could consider using Azerbaijan as a case study rather than selecting a more obvious nation in the Middle East. Doing so may reveal important new insights into recommending how governments in other predominantly Muslim nations can formulate policies that support improved access to education for girls.
The case provides important insight or illuminate a previously hidden problem? In-depth analysis of a case can be based on the hypothesis that the case study will reveal trends or issues that have not been exposed in prior research or will reveal new and important implications for practice. For example, anecdotal evidence may suggest drug use among homeless veterans is related to their patterns of travel throughout the day. Assuming prior studies have not looked at individual travel choices as a way to study access to illicit drug use, a case study that observes a homeless veteran could reveal how issues of personal mobility choices facilitate regular access to illicit drugs. Note that it is important to conduct a thorough literature review to ensure that your assumption about the need to reveal new insights or previously hidden problems is valid and evidence-based.
The case challenges and offers a counter-point to prevailing assumptions? Over time, research on any given topic can fall into a trap of developing assumptions based on outdated studies that are still applied to new or changing conditions or the idea that something should simply be accepted as "common sense," even though the issue has not been thoroughly tested in current practice. A case study analysis may offer an opportunity to gather evidence that challenges prevailing assumptions about a research problem and provide a new set of recommendations applied to practice that have not been tested previously. For example, perhaps there has been a long practice among scholars to apply a particular theory in explaining the relationship between two subjects of analysis. Your case could challenge this assumption by applying an innovative theoretical framework [perhaps borrowed from another discipline] to explore whether this approach offers new ways of understanding the research problem. Taking a contrarian stance is one of the most important ways that new knowledge and understanding develops from existing literature.
The case provides an opportunity to pursue action leading to the resolution of a problem? Another way to think about choosing a case to study is to consider how the results from investigating a particular case may result in findings that reveal ways in which to resolve an existing or emerging problem. For example, studying the case of an unforeseen incident, such as a fatal accident at a railroad crossing, can reveal hidden issues that could be applied to preventative measures that contribute to reducing the chance of accidents in the future. In this example, a case study investigating the accident could lead to a better understanding of where to strategically locate additional signals at other railroad crossings so as to better warn drivers of an approaching train, particularly when visibility is hindered by heavy rain, fog, or at night.
The case offers a new direction in future research? A case study can be used as a tool for an exploratory investigation that highlights the need for further research about the problem. A case can be used when there are few studies that help predict an outcome or that establish a clear understanding about how best to proceed in addressing a problem. For example, after conducting a thorough literature review [very important!], you discover that little research exists showing the ways in which women contribute to promoting water conservation in rural communities of east central Africa. A case study of how women contribute to saving water in a rural village of Uganda can lay the foundation for understanding the need for more thorough research that documents how women in their roles as cooks and family caregivers think about water as a valuable resource within their community. This example of a case study could also point to the need for scholars to build new theoretical frameworks around the topic [e.g., applying feminist theories of work and family to the issue of water conservation].

Eisenhardt, Kathleen M. “Building Theories from Case Study Research.” Academy of Management Review 14 (October 1989): 532-550; Emmel, Nick. Sampling and Choosing Cases in Qualitative Research: A Realist Approach . Thousand Oaks, CA: SAGE Publications, 2013; Gerring, John. “What Is a Case Study and What Is It Good for?” American Political Science Review 98 (May 2004): 341-354; Mills, Albert J. , Gabrielle Durepos, and Eiden Wiebe, editors. Encyclopedia of Case Study Research . Thousand Oaks, CA: SAGE Publications, 2010; Seawright, Jason and John Gerring. "Case Selection Techniques in Case Study Research." Political Research Quarterly 61 (June 2008): 294-308.

Structure and Writing Style

The purpose of a paper in the social sciences designed around a case study is to thoroughly investigate a subject of analysis in order to reveal a new understanding about the research problem and, in so doing, contributing new knowledge to what is already known from previous studies. In applied social sciences disciplines [e.g., education, social work, public administration, etc.], case studies may also be used to reveal best practices, highlight key programs, or investigate interesting aspects of professional work.

In general, the structure of a case study research paper is not all that different from a standard college-level research paper. However, there are subtle differences you should be aware of. Here are the key elements to organizing and writing a case study research paper.

I. Introduction

As with any research paper, your introduction should serve as a roadmap for your readers to ascertain the scope and purpose of your study . The introduction to a case study research paper, however, should not only describe the research problem and its significance, but you should also succinctly describe why the case is being used and how it relates to addressing the problem. The two elements should be linked. With this in mind, a good introduction answers these four questions:

What is being studied? Describe the research problem and describe the subject of analysis [the case] you have chosen to address the problem. Explain how they are linked and what elements of the case will help to expand knowledge and understanding about the problem.
Why is this topic important to investigate? Describe the significance of the research problem and state why a case study design and the subject of analysis that the paper is designed around is appropriate in addressing the problem.
What did we know about this topic before I did this study? Provide background that helps lead the reader into the more in-depth literature review to follow. If applicable, summarize prior case study research applied to the research problem and why it fails to adequately address the problem. Describe why your case will be useful. If no prior case studies have been used to address the research problem, explain why you have selected this subject of analysis.
How will this study advance new knowledge or new ways of understanding? Explain why your case study will be suitable in helping to expand knowledge and understanding about the research problem.

Each of these questions should be addressed in no more than a few paragraphs. Exceptions to this can be when you are addressing a complex research problem or subject of analysis that requires more in-depth background information.

II. Literature Review

The literature review for a case study research paper is generally structured the same as it is for any college-level research paper. The difference, however, is that the literature review is focused on providing background information and enabling historical interpretation of the subject of analysis in relation to the research problem the case is intended to address . This includes synthesizing studies that help to:

Place relevant works in the context of their contribution to understanding the case study being investigated . This would involve summarizing studies that have used a similar subject of analysis to investigate the research problem. If there is literature using the same or a very similar case to study, you need to explain why duplicating past research is important [e.g., conditions have changed; prior studies were conducted long ago, etc.].
Describe the relationship each work has to the others under consideration that informs the reader why this case is applicable . Your literature review should include a description of any works that support using the case to investigate the research problem and the underlying research questions.
Identify new ways to interpret prior research using the case study . If applicable, review any research that has examined the research problem using a different research design. Explain how your use of a case study design may reveal new knowledge or a new perspective or that can redirect research in an important new direction.
Resolve conflicts amongst seemingly contradictory previous studies . This refers to synthesizing any literature that points to unresolved issues of concern about the research problem and describing how the subject of analysis that forms the case study can help resolve these existing contradictions.
Point the way in fulfilling a need for additional research . Your review should examine any literature that lays a foundation for understanding why your case study design and the subject of analysis around which you have designed your study may reveal a new way of approaching the research problem or offer a perspective that points to the need for additional research.
Expose any gaps that exist in the literature that the case study could help to fill . Summarize any literature that not only shows how your subject of analysis contributes to understanding the research problem, but how your case contributes to a new way of understanding the problem that prior research has failed to do.
Locate your own research within the context of existing literature [very important!] . Collectively, your literature review should always place your case study within the larger domain of prior research about the problem. The overarching purpose of reviewing pertinent literature in a case study paper is to demonstrate that you have thoroughly identified and synthesized prior studies in relation to explaining the relevance of the case in addressing the research problem.

III. Method

In this section, you explain why you selected a particular case [i.e., subject of analysis] and the strategy you used to identify and ultimately decide that your case was appropriate in addressing the research problem. The way you describe the methods used varies depending on the type of subject of analysis that constitutes your case study.

If your subject of analysis is an incident or event . In the social and behavioral sciences, the event or incident that represents the case to be studied is usually bounded by time and place, with a clear beginning and end and with an identifiable location or position relative to its surroundings. The subject of analysis can be a rare or critical event or it can focus on a typical or regular event. The purpose of studying a rare event is to illuminate new ways of thinking about the broader research problem or to test a hypothesis. Critical incident case studies must describe the method by which you identified the event and explain the process by which you determined the validity of this case to inform broader perspectives about the research problem or to reveal new findings. However, the event does not have to be a rare or uniquely significant to support new thinking about the research problem or to challenge an existing hypothesis. For example, Walo, Bull, and Breen conducted a case study to identify and evaluate the direct and indirect economic benefits and costs of a local sports event in the City of Lismore, New South Wales, Australia. The purpose of their study was to provide new insights from measuring the impact of a typical local sports event that prior studies could not measure well because they focused on large "mega-events." Whether the event is rare or not, the methods section should include an explanation of the following characteristics of the event: a) when did it take place; b) what were the underlying circumstances leading to the event; and, c) what were the consequences of the event in relation to the research problem.

If your subject of analysis is a person. Explain why you selected this particular individual to be studied and describe what experiences they have had that provide an opportunity to advance new understandings about the research problem. Mention any background about this person which might help the reader understand the significance of their experiences that make them worthy of study. This includes describing the relationships this person has had with other people, institutions, and/or events that support using them as the subject for a case study research paper. It is particularly important to differentiate the person as the subject of analysis from others and to succinctly explain how the person relates to examining the research problem [e.g., why is one politician in a particular local election used to show an increase in voter turnout from any other candidate running in the election]. Note that these issues apply to a specific group of people used as a case study unit of analysis [e.g., a classroom of students].

If your subject of analysis is a place. In general, a case study that investigates a place suggests a subject of analysis that is unique or special in some way and that this uniqueness can be used to build new understanding or knowledge about the research problem. A case study of a place must not only describe its various attributes relevant to the research problem [e.g., physical, social, historical, cultural, economic, political], but you must state the method by which you determined that this place will illuminate new understandings about the research problem. It is also important to articulate why a particular place as the case for study is being used if similar places also exist [i.e., if you are studying patterns of homeless encampments of veterans in open spaces, explain why you are studying Echo Park in Los Angeles rather than Griffith Park?]. If applicable, describe what type of human activity involving this place makes it a good choice to study [e.g., prior research suggests Echo Park has more homeless veterans].

If your subject of analysis is a phenomenon. A phenomenon refers to a fact, occurrence, or circumstance that can be studied or observed but with the cause or explanation to be in question. In this sense, a phenomenon that forms your subject of analysis can encompass anything that can be observed or presumed to exist but is not fully understood. In the social and behavioral sciences, the case usually focuses on human interaction within a complex physical, social, economic, cultural, or political system. For example, the phenomenon could be the observation that many vehicles used by ISIS fighters are small trucks with English language advertisements on them. The research problem could be that ISIS fighters are difficult to combat because they are highly mobile. The research questions could be how and by what means are these vehicles used by ISIS being supplied to the militants and how might supply lines to these vehicles be cut off? How might knowing the suppliers of these trucks reveal larger networks of collaborators and financial support? A case study of a phenomenon most often encompasses an in-depth analysis of a cause and effect that is grounded in an interactive relationship between people and their environment in some way.

NOTE: The choice of the case or set of cases to study cannot appear random. Evidence that supports the method by which you identified and chose your subject of analysis should clearly support investigation of the research problem and linked to key findings from your literature review. Be sure to cite any studies that helped you determine that the case you chose was appropriate for examining the problem.

IV. Discussion

The main elements of your discussion section are generally the same as any research paper, but centered around interpreting and drawing conclusions about the key findings from your analysis of the case study. Note that a general social sciences research paper may contain a separate section to report findings. However, in a paper designed around a case study, it is common to combine a description of the results with the discussion about their implications. The objectives of your discussion section should include the following:

Reiterate the Research Problem/State the Major Findings Briefly reiterate the research problem you are investigating and explain why the subject of analysis around which you designed the case study were used. You should then describe the findings revealed from your study of the case using direct, declarative, and succinct proclamation of the study results. Highlight any findings that were unexpected or especially profound.

Explain the Meaning of the Findings and Why They are Important Systematically explain the meaning of your case study findings and why you believe they are important. Begin this part of the section by repeating what you consider to be your most important or surprising finding first, then systematically review each finding. Be sure to thoroughly extrapolate what your analysis of the case can tell the reader about situations or conditions beyond the actual case that was studied while, at the same time, being careful not to misconstrue or conflate a finding that undermines the external validity of your conclusions.

Relate the Findings to Similar Studies No study in the social sciences is so novel or possesses such a restricted focus that it has absolutely no relation to previously published research. The discussion section should relate your case study results to those found in other studies, particularly if questions raised from prior studies served as the motivation for choosing your subject of analysis. This is important because comparing and contrasting the findings of other studies helps support the overall importance of your results and it highlights how and in what ways your case study design and the subject of analysis differs from prior research about the topic.

Consider Alternative Explanations of the Findings Remember that the purpose of social science research is to discover and not to prove. When writing the discussion section, you should carefully consider all possible explanations revealed by the case study results, rather than just those that fit your hypothesis or prior assumptions and biases. Be alert to what the in-depth analysis of the case may reveal about the research problem, including offering a contrarian perspective to what scholars have stated in prior research if that is how the findings can be interpreted from your case.

Acknowledge the Study's Limitations You can state the study's limitations in the conclusion section of your paper but describing the limitations of your subject of analysis in the discussion section provides an opportunity to identify the limitations and explain why they are not significant. This part of the discussion section should also note any unanswered questions or issues your case study could not address. More detailed information about how to document any limitations to your research can be found here .

Suggest Areas for Further Research Although your case study may offer important insights about the research problem, there are likely additional questions related to the problem that remain unanswered or findings that unexpectedly revealed themselves as a result of your in-depth analysis of the case. Be sure that the recommendations for further research are linked to the research problem and that you explain why your recommendations are valid in other contexts and based on the original assumptions of your study.

V. Conclusion

As with any research paper, you should summarize your conclusion in clear, simple language; emphasize how the findings from your case study differs from or supports prior research and why. Do not simply reiterate the discussion section. Provide a synthesis of key findings presented in the paper to show how these converge to address the research problem. If you haven't already done so in the discussion section, be sure to document the limitations of your case study and any need for further research.

The function of your paper's conclusion is to: 1) reiterate the main argument supported by the findings from your case study; 2) state clearly the context, background, and necessity of pursuing the research problem using a case study design in relation to an issue, controversy, or a gap found from reviewing the literature; and, 3) provide a place to persuasively and succinctly restate the significance of your research problem, given that the reader has now been presented with in-depth information about the topic.

Consider the following points to help ensure your conclusion is appropriate:

If the argument or purpose of your paper is complex, you may need to summarize these points for your reader.
If prior to your conclusion, you have not yet explained the significance of your findings or if you are proceeding inductively, use the conclusion of your paper to describe your main points and explain their significance.
Move from a detailed to a general level of consideration of the case study's findings that returns the topic to the context provided by the introduction or within a new context that emerges from your case study findings.

Note that, depending on the discipline you are writing in or the preferences of your professor, the concluding paragraph may contain your final reflections on the evidence presented as it applies to practice or on the essay's central research problem. However, the nature of being introspective about the subject of analysis you have investigated will depend on whether you are explicitly asked to express your observations in this way.

Problems to Avoid

Overgeneralization One of the goals of a case study is to lay a foundation for understanding broader trends and issues applied to similar circumstances. However, be careful when drawing conclusions from your case study. They must be evidence-based and grounded in the results of the study; otherwise, it is merely speculation. Looking at a prior example, it would be incorrect to state that a factor in improving girls access to education in Azerbaijan and the policy implications this may have for improving access in other Muslim nations is due to girls access to social media if there is no documentary evidence from your case study to indicate this. There may be anecdotal evidence that retention rates were better for girls who were engaged with social media, but this observation would only point to the need for further research and would not be a definitive finding if this was not a part of your original research agenda.

Failure to Document Limitations No case is going to reveal all that needs to be understood about a research problem. Therefore, just as you have to clearly state the limitations of a general research study , you must describe the specific limitations inherent in the subject of analysis. For example, the case of studying how women conceptualize the need for water conservation in a village in Uganda could have limited application in other cultural contexts or in areas where fresh water from rivers or lakes is plentiful and, therefore, conservation is understood more in terms of managing access rather than preserving access to a scarce resource.

Failure to Extrapolate All Possible Implications Just as you don't want to over-generalize from your case study findings, you also have to be thorough in the consideration of all possible outcomes or recommendations derived from your findings. If you do not, your reader may question the validity of your analysis, particularly if you failed to document an obvious outcome from your case study research. For example, in the case of studying the accident at the railroad crossing to evaluate where and what types of warning signals should be located, you failed to take into consideration speed limit signage as well as warning signals. When designing your case study, be sure you have thoroughly addressed all aspects of the problem and do not leave gaps in your analysis that leave the reader questioning the results.

Case Studies. Writing@CSU. Colorado State University; Gerring, John. Case Study Research: Principles and Practices . New York: Cambridge University Press, 2007; Merriam, Sharan B. Qualitative Research and Case Study Applications in Education . Rev. ed. San Francisco, CA: Jossey-Bass, 1998; Miller, Lisa L. “The Use of Case Studies in Law and Social Science Research.” Annual Review of Law and Social Science 14 (2018): TBD; Mills, Albert J., Gabrielle Durepos, and Eiden Wiebe, editors. Encyclopedia of Case Study Research . Thousand Oaks, CA: SAGE Publications, 2010; Putney, LeAnn Grogan. "Case Study." In Encyclopedia of Research Design , Neil J. Salkind, editor. (Thousand Oaks, CA: SAGE Publications, 2010), pp. 116-120; Simons, Helen. Case Study Research in Practice . London: SAGE Publications, 2009; Kratochwill, Thomas R. and Joel R. Levin, editors. Single-Case Research Design and Analysis: New Development for Psychology and Education . Hilldsale, NJ: Lawrence Erlbaum Associates, 1992; Swanborn, Peter G. Case Study Research: What, Why and How? London : SAGE, 2010; Yin, Robert K. Case Study Research: Design and Methods . 6th edition. Los Angeles, CA, SAGE Publications, 2014; Walo, Maree, Adrian Bull, and Helen Breen. “Achieving Economic Benefits at Local Events: A Case Study of a Local Sports Event.” Festival Management and Event Tourism 4 (1996): 95-106.

Writing Tip

At Least Five Misconceptions about Case Study Research

Social science case studies are often perceived as limited in their ability to create new knowledge because they are not randomly selected and findings cannot be generalized to larger populations. Flyvbjerg examines five misunderstandings about case study research and systematically "corrects" each one. To quote, these are:

Misunderstanding 1 : General, theoretical [context-independent] knowledge is more valuable than concrete, practical [context-dependent] knowledge. Misunderstanding 2 : One cannot generalize on the basis of an individual case; therefore, the case study cannot contribute to scientific development. Misunderstanding 3 : The case study is most useful for generating hypotheses; that is, in the first stage of a total research process, whereas other methods are more suitable for hypotheses testing and theory building. Misunderstanding 4 : The case study contains a bias toward verification, that is, a tendency to confirm the researcher’s preconceived notions. Misunderstanding 5 : It is often difficult to summarize and develop general propositions and theories on the basis of specific case studies [p. 221].

While writing your paper, think introspectively about how you addressed these misconceptions because to do so can help you strengthen the validity and reliability of your research by clarifying issues of case selection, the testing and challenging of existing assumptions, the interpretation of key findings, and the summation of case outcomes. Think of a case study research paper as a complete, in-depth narrative about the specific properties and key characteristics of your subject of analysis applied to the research problem.

Flyvbjerg, Bent. “Five Misunderstandings About Case-Study Research.” Qualitative Inquiry 12 (April 2006): 219-245.

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Last Updated: Jun 3, 2024 9:44 AM
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Frequently asked questions.

Yes, in fact a case study is a very good option in your dissertation. There are multiple ways to implement a case study in your thesis. For instance, one main study which is in depth and complex or you could feature multiple case studies.

Case studies are a way to research a particular field, group, people and situation. The topic of research is studied deeply and thoroughly in order to solve a problem or uncover information. Case studies are a type of qualitative research.

If you are ready to find a masters course check out Masters Compare.

Prof Martyn Denscombe, author of “ The Good Research Guide, 6th edition ”, gives expert advice on how to use a case study in your masters dissertation.

There are two main examples for how to use a case study in your masters dissertation, namely quantitative and qualitative case studies.

First, a case study provides a platform that allows you to study a situation in depth and produce the level of academic inquiry that is expected in a master’s degree. In the context of any master’s programme the dissertation operates as something of a showcase for a student’s abilities.

It can easily make the difference between getting a merit and a distinction in the final award of degree. It is important, therefore, to base the work on an approach that allows things to be explored in sufficient depth and detail to warrant a good grade.

Second, case studies can be useful in a practical sense. It is possible to complete a case study in a relatively short period of intense study and so it is the kind of research that is feasible in terms of the kind of time constraints that face master’s students as they enter the final stages of their programme of study.

Added to which a case study can also be a rather convenient form of research, avoiding the time and costs of travel to multiple research sites. The use of case studies, then, would appear to be an attractive proposition. But it is not an approach that should be used naively without consideration of its limitations or potential pitfalls.

To be a good case study the research needs to consider certain key issues. If they are not addressed it will considerably lower the value of the master’s degree. For instance, a good case study needs to:

Be crystal clear about the purpose for which the research is being conducted
Justify the selection of the particular case being studied
Describe how the chosen case compares with others of its type
Explain the basis on which any generalizations can be made from the findings

This is where The Good Research Guide, 6th edition becomes so valuable. It not only identifies the key points that need to be addressed in order to conduct a competent questionnaire survey.

It gets right to the heart of the matter with plenty of practical guidance on how to deal with issues. Using plain language, this bestselling book covers a range of alternative strategies and methods for conducting small-scale social research projects. It outlines some of the main ways in which the data can be analysed.

Read Prof Martyn Denscombe’s advice on using a questionnaire survey for your postgraduate dissertation

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Home » Dissertation – Format, Example and Template

Dissertation – Format, Example and Template

Table of Contents

Dissertation

Definition:

Dissertation is a lengthy and detailed academic document that presents the results of original research on a specific topic or question. It is usually required as a final project for a doctoral degree or a master’s degree.

Dissertation Meaning in Research

In Research , a dissertation refers to a substantial research project that students undertake in order to obtain an advanced degree such as a Ph.D. or a Master’s degree.

Dissertation typically involves the exploration of a particular research question or topic in-depth, and it requires students to conduct original research, analyze data, and present their findings in a scholarly manner. It is often the culmination of years of study and represents a significant contribution to the academic field.

Types of Dissertation

Types of Dissertation are as follows:

Empirical Dissertation

An empirical dissertation is a research study that uses primary data collected through surveys, experiments, or observations. It typically follows a quantitative research approach and uses statistical methods to analyze the data.

Non-Empirical Dissertation

A non-empirical dissertation is based on secondary sources, such as books, articles, and online resources. It typically follows a qualitative research approach and uses methods such as content analysis or discourse analysis.

Narrative Dissertation

A narrative dissertation is a personal account of the researcher’s experience or journey. It typically follows a qualitative research approach and uses methods such as interviews, focus groups, or ethnography.

Systematic Literature Review

A systematic literature review is a comprehensive analysis of existing research on a specific topic. It typically follows a qualitative research approach and uses methods such as meta-analysis or thematic analysis.

Case Study Dissertation

A case study dissertation is an in-depth analysis of a specific individual, group, or organization. It typically follows a qualitative research approach and uses methods such as interviews, observations, or document analysis.

Mixed-Methods Dissertation

A mixed-methods dissertation combines both quantitative and qualitative research approaches to gather and analyze data. It typically uses methods such as surveys, interviews, and focus groups, as well as statistical analysis.

How to Write a Dissertation

Here are some general steps to help guide you through the process of writing a dissertation:

Choose a topic : Select a topic that you are passionate about and that is relevant to your field of study. It should be specific enough to allow for in-depth research but broad enough to be interesting and engaging.
Conduct research : Conduct thorough research on your chosen topic, utilizing a variety of sources, including books, academic journals, and online databases. Take detailed notes and organize your information in a way that makes sense to you.
Create an outline : Develop an outline that will serve as a roadmap for your dissertation. The outline should include the introduction, literature review, methodology, results, discussion, and conclusion.
Write the introduction: The introduction should provide a brief overview of your topic, the research questions, and the significance of the study. It should also include a clear thesis statement that states your main argument.
Write the literature review: The literature review should provide a comprehensive analysis of existing research on your topic. It should identify gaps in the research and explain how your study will fill those gaps.
Write the methodology: The methodology section should explain the research methods you used to collect and analyze data. It should also include a discussion of any limitations or weaknesses in your approach.
Write the results: The results section should present the findings of your research in a clear and organized manner. Use charts, graphs, and tables to help illustrate your data.
Write the discussion: The discussion section should interpret your results and explain their significance. It should also address any limitations of the study and suggest areas for future research.
Write the conclusion: The conclusion should summarize your main findings and restate your thesis statement. It should also provide recommendations for future research.
Edit and revise: Once you have completed a draft of your dissertation, review it carefully to ensure that it is well-organized, clear, and free of errors. Make any necessary revisions and edits before submitting it to your advisor for review.

Dissertation Format

The format of a dissertation may vary depending on the institution and field of study, but generally, it follows a similar structure:

Title Page: This includes the title of the dissertation, the author’s name, and the date of submission.
Abstract : A brief summary of the dissertation’s purpose, methods, and findings.
Table of Contents: A list of the main sections and subsections of the dissertation, along with their page numbers.
Introduction : A statement of the problem or research question, a brief overview of the literature, and an explanation of the significance of the study.
Literature Review : A comprehensive review of the literature relevant to the research question or problem.
Methodology : A description of the methods used to conduct the research, including data collection and analysis procedures.
Results : A presentation of the findings of the research, including tables, charts, and graphs.
Discussion : A discussion of the implications of the findings, their significance in the context of the literature, and limitations of the study.
Conclusion : A summary of the main points of the study and their implications for future research.
References : A list of all sources cited in the dissertation.
Appendices : Additional materials that support the research, such as data tables, charts, or transcripts.

Dissertation Outline

Dissertation Outline is as follows:

Title Page:

Title of dissertation
Author name
Institutional affiliation
Date of submission
Brief summary of the dissertation’s research problem, objectives, methods, findings, and implications
Usually around 250-300 words

Table of Contents:

List of chapters and sections in the dissertation, with page numbers for each

I. Introduction

Background and context of the research
Research problem and objectives
Significance of the research

II. Literature Review

Overview of existing literature on the research topic
Identification of gaps in the literature
Theoretical framework and concepts

III. Methodology

Research design and methods used
Data collection and analysis techniques
Ethical considerations

IV. Results

Presentation and analysis of data collected
Findings and outcomes of the research
Interpretation of the results

V. Discussion

Discussion of the results in relation to the research problem and objectives
Evaluation of the research outcomes and implications
Suggestions for future research

VI. Conclusion

Summary of the research findings and outcomes
Implications for the research topic and field
Limitations and recommendations for future research

VII. References

List of sources cited in the dissertation

VIII. Appendices

Additional materials that support the research, such as tables, figures, or questionnaires.

Example of Dissertation

Here is an example Dissertation for students:

Title : Exploring the Effects of Mindfulness Meditation on Academic Achievement and Well-being among College Students

This dissertation aims to investigate the impact of mindfulness meditation on the academic achievement and well-being of college students. Mindfulness meditation has gained popularity as a technique for reducing stress and enhancing mental health, but its effects on academic performance have not been extensively studied. Using a randomized controlled trial design, the study will compare the academic performance and well-being of college students who practice mindfulness meditation with those who do not. The study will also examine the moderating role of personality traits and demographic factors on the effects of mindfulness meditation.

Chapter Outline:

Chapter 1: Introduction

Background and rationale for the study
Research questions and objectives
Significance of the study
Overview of the dissertation structure

Chapter 2: Literature Review

Definition and conceptualization of mindfulness meditation
Theoretical framework of mindfulness meditation
Empirical research on mindfulness meditation and academic achievement
Empirical research on mindfulness meditation and well-being
The role of personality and demographic factors in the effects of mindfulness meditation

Chapter 3: Methodology

Research design and hypothesis
Participants and sampling method
Intervention and procedure
Measures and instruments
Data analysis method

Chapter 4: Results

Descriptive statistics and data screening
Analysis of main effects
Analysis of moderating effects
Post-hoc analyses and sensitivity tests

Chapter 5: Discussion

Summary of findings
Implications for theory and practice
Limitations and directions for future research
Conclusion and contribution to the literature

Chapter 6: Conclusion

Recap of the research questions and objectives
Summary of the key findings
Contribution to the literature and practice
Implications for policy and practice
Final thoughts and recommendations.

References :

List of all the sources cited in the dissertation

Appendices :

Additional materials such as the survey questionnaire, interview guide, and consent forms.

Note : This is just an example and the structure of a dissertation may vary depending on the specific requirements and guidelines provided by the institution or the supervisor.

How Long is a Dissertation

The length of a dissertation can vary depending on the field of study, the level of degree being pursued, and the specific requirements of the institution. Generally, a dissertation for a doctoral degree can range from 80,000 to 100,000 words, while a dissertation for a master’s degree may be shorter, typically ranging from 20,000 to 50,000 words. However, it is important to note that these are general guidelines and the actual length of a dissertation can vary widely depending on the specific requirements of the program and the research topic being studied. It is always best to consult with your academic advisor or the guidelines provided by your institution for more specific information on dissertation length.

Applications of Dissertation

Here are some applications of a dissertation:

Advancing the Field: Dissertations often include new research or a new perspective on existing research, which can help to advance the field. The results of a dissertation can be used by other researchers to build upon or challenge existing knowledge, leading to further advancements in the field.
Career Advancement: Completing a dissertation demonstrates a high level of expertise in a particular field, which can lead to career advancement opportunities. For example, having a PhD can open doors to higher-paying jobs in academia, research institutions, or the private sector.
Publishing Opportunities: Dissertations can be published as books or journal articles, which can help to increase the visibility and credibility of the author’s research.
Personal Growth: The process of writing a dissertation involves a significant amount of research, analysis, and critical thinking. This can help students to develop important skills, such as time management, problem-solving, and communication, which can be valuable in both their personal and professional lives.
Policy Implications: The findings of a dissertation can have policy implications, particularly in fields such as public health, education, and social sciences. Policymakers can use the research to inform decision-making and improve outcomes for the population.

When to Write a Dissertation

Here are some situations where writing a dissertation may be necessary:

Pursuing a Doctoral Degree: Writing a dissertation is usually a requirement for earning a doctoral degree, so if you are interested in pursuing a doctorate, you will likely need to write a dissertation.
Conducting Original Research : Dissertations require students to conduct original research on a specific topic. If you are interested in conducting original research on a topic, writing a dissertation may be the best way to do so.
Advancing Your Career: Some professions, such as academia and research, may require individuals to have a doctoral degree. Writing a dissertation can help you advance your career by demonstrating your expertise in a particular area.
Contributing to Knowledge: Dissertations are often based on original research that can contribute to the knowledge base of a field. If you are passionate about advancing knowledge in a particular area, writing a dissertation can help you achieve that goal.
Meeting Academic Requirements : If you are a graduate student, writing a dissertation may be a requirement for completing your program. Be sure to check with your academic advisor to determine if this is the case for you.

Purpose of Dissertation

some common purposes of a dissertation include:

To contribute to the knowledge in a particular field : A dissertation is often the culmination of years of research and study, and it should make a significant contribution to the existing body of knowledge in a particular field.
To demonstrate mastery of a subject: A dissertation requires extensive research, analysis, and writing, and completing one demonstrates a student’s mastery of their subject area.
To develop critical thinking and research skills : A dissertation requires students to think critically about their research question, analyze data, and draw conclusions based on evidence. These skills are valuable not only in academia but also in many professional fields.
To demonstrate academic integrity: A dissertation must be conducted and written in accordance with rigorous academic standards, including ethical considerations such as obtaining informed consent, protecting the privacy of participants, and avoiding plagiarism.
To prepare for an academic career: Completing a dissertation is often a requirement for obtaining a PhD and pursuing a career in academia. It can demonstrate to potential employers that the student has the necessary skills and experience to conduct original research and make meaningful contributions to their field.
To develop writing and communication skills: A dissertation requires a significant amount of writing and communication skills to convey complex ideas and research findings in a clear and concise manner. This skill set can be valuable in various professional fields.
To demonstrate independence and initiative: A dissertation requires students to work independently and take initiative in developing their research question, designing their study, collecting and analyzing data, and drawing conclusions. This demonstrates to potential employers or academic institutions that the student is capable of independent research and taking initiative in their work.
To contribute to policy or practice: Some dissertations may have a practical application, such as informing policy decisions or improving practices in a particular field. These dissertations can have a significant impact on society, and their findings may be used to improve the lives of individuals or communities.
To pursue personal interests: Some students may choose to pursue a dissertation topic that aligns with their personal interests or passions, providing them with the opportunity to delve deeper into a topic that they find personally meaningful.

Advantage of Dissertation

Some advantages of writing a dissertation include:

Developing research and analytical skills: The process of writing a dissertation involves conducting extensive research, analyzing data, and presenting findings in a clear and coherent manner. This process can help students develop important research and analytical skills that can be useful in their future careers.
Demonstrating expertise in a subject: Writing a dissertation allows students to demonstrate their expertise in a particular subject area. It can help establish their credibility as a knowledgeable and competent professional in their field.
Contributing to the academic community: A well-written dissertation can contribute new knowledge to the academic community and potentially inform future research in the field.
Improving writing and communication skills : Writing a dissertation requires students to write and present their research in a clear and concise manner. This can help improve their writing and communication skills, which are essential for success in many professions.
Increasing job opportunities: Completing a dissertation can increase job opportunities in certain fields, particularly in academia and research-based positions.

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Case Study | Definition, Examples & Methods

Case Study | Definition, Examples & Methods

Published on 5 May 2022 by Shona McCombes . Revised on 30 January 2023.

A case study is a detailed study of a specific subject, such as a person, group, place, event, organisation, or phenomenon. Case studies are commonly used in social, educational, clinical, and business research.

A case study research design usually involves qualitative methods , but quantitative methods are sometimes also used. Case studies are good for describing , comparing, evaluating, and understanding different aspects of a research problem .

When to do a case study, step 1: select a case, step 2: build a theoretical framework, step 3: collect your data, step 4: describe and analyse the case.

A case study is an appropriate research design when you want to gain concrete, contextual, in-depth knowledge about a specific real-world subject. It allows you to explore the key characteristics, meanings, and implications of the case.

Case studies are often a good choice in a thesis or dissertation . They keep your project focused and manageable when you don’t have the time or resources to do large-scale research.

You might use just one complex case study where you explore a single subject in depth, or conduct multiple case studies to compare and illuminate different aspects of your research problem.

Case study examples
Research question	Case study
What are the ecological effects of wolf reintroduction?	Case study of wolf reintroduction in Yellowstone National Park in the US
How do populist politicians use narratives about history to gain support?	Case studies of Hungarian prime minister Viktor Orbán and US president Donald Trump
How can teachers implement active learning strategies in mixed-level classrooms?	Case study of a local school that promotes active learning
What are the main advantages and disadvantages of wind farms for rural communities?	Case studies of three rural wind farm development projects in different parts of the country
How are viral marketing strategies changing the relationship between companies and consumers?	Case study of the iPhone X marketing campaign
How do experiences of work in the gig economy differ by gender, race, and age?	Case studies of Deliveroo and Uber drivers in London

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Once you have developed your problem statement and research questions , you should be ready to choose the specific case that you want to focus on. A good case study should have the potential to:

Provide new or unexpected insights into the subject
Challenge or complicate existing assumptions and theories
Propose practical courses of action to resolve a problem
Open up new directions for future research

Unlike quantitative or experimental research, a strong case study does not require a random or representative sample. In fact, case studies often deliberately focus on unusual, neglected, or outlying cases which may shed new light on the research problem.

If you find yourself aiming to simultaneously investigate and solve an issue, consider conducting action research . As its name suggests, action research conducts research and takes action at the same time, and is highly iterative and flexible.

However, you can also choose a more common or representative case to exemplify a particular category, experience, or phenomenon.

While case studies focus more on concrete details than general theories, they should usually have some connection with theory in the field. This way the case study is not just an isolated description, but is integrated into existing knowledge about the topic. It might aim to:

Exemplify a theory by showing how it explains the case under investigation
Expand on a theory by uncovering new concepts and ideas that need to be incorporated
Challenge a theory by exploring an outlier case that doesn’t fit with established assumptions

To ensure that your analysis of the case has a solid academic grounding, you should conduct a literature review of sources related to the topic and develop a theoretical framework . This means identifying key concepts and theories to guide your analysis and interpretation.

There are many different research methods you can use to collect data on your subject. Case studies tend to focus on qualitative data using methods such as interviews, observations, and analysis of primary and secondary sources (e.g., newspaper articles, photographs, official records). Sometimes a case study will also collect quantitative data .

The aim is to gain as thorough an understanding as possible of the case and its context.

In writing up the case study, you need to bring together all the relevant aspects to give as complete a picture as possible of the subject.

How you report your findings depends on the type of research you are doing. Some case studies are structured like a standard scientific paper or thesis, with separate sections or chapters for the methods , results , and discussion .

Others are written in a more narrative style, aiming to explore the case from various angles and analyse its meanings and implications (for example, by using textual analysis or discourse analysis ).

In all cases, though, make sure to give contextual details about the case, connect it back to the literature and theory, and discuss how it fits into wider patterns or debates.

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If you want to cite this source, you can copy and paste the citation or click the ‘Cite this Scribbr article’ button to automatically add the citation to our free Reference Generator.

McCombes, S. (2023, January 30). Case Study | Definition, Examples & Methods. Scribbr. Retrieved 9 September 2024, from https://www.scribbr.co.uk/research-methods/case-studies/

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Home > PMGT > Dissertations and Theses

Dissertations and Theses

Theses/dissertations from 2024 2024.

Empowering Women in Informal Cross-Border Trade: Challenges and Opportunities in Developing Countries , Marie Claire Abayisenga

Impact of Emotional Intelligence on Client Satisfaction In Project Management , Mousami Berawala

A Comparative Analysis of Agile Vs. Traditional Project Management Methodologies in Healthcare App Development , Kruti Calcuttawala

Adopting Information System Technologies In Construction Project Management , Hadi Haikal

Understanding Community Engagement as a Tool for Equitable Project Outcomes: Lessons from Domino Park and Hudson Yards Public Square , Sanjukta Hazarika

Analyzing Stakeholder Feedback Using AI , Nancy Susan Manoj

Impact of EHR on Security Check and Patient Outcomes , Arun Kumar Marumudi

The Impact Of Using Standard Quality Measures Such As Iso 9001:2015 On Emerging Software Companies Created With Agile Methodologies. , Elisa Orillac

Best Practices to Increase Stakeholder Engagement in Agile Project Management for Urban Real Estate Affordable Housing Projects , Tran Pham

Theses/Dissertations from 2020 2020

Challenges to Adopting Hybrid Methodology: Addressing Organizational Culture and Change Control Problems in Enterprise IT Infrastructure Projects , Harishankar Krishnakumar

The Difficulty With Introducing Project Management Techniques in Digital Startups , Isabela Mantilla

Theses/Dissertations from 2018 2018

Reasons for Success and Failure of Projects , Tamunogbenye Dago

Impediments in Transitioning to Agile Time-boxing Testing Efforts , Taniya Dasgupta

Implementing Agile Methodology Techniques in Automobile Industry , Nikhil Kranthi Datrika

The Role of Project Management in Fostering Creativity: Towards Successful Architectural Design Projects , Angeliki Giannoulatou Destouni

Implementing Project Management Principles in Digital Advertising Age , Yuanqing Jiang

BIM and Project Management in AEC Industry , Nazanin Kamyab

IMPACT OF MOTIVATION ON PROJECT TEAMS’ PERFORMANCE IN INFORMATION TECHNOLOGY , RAMU KARANAM

Adopt Agile Methodology for Building Wealth Management Platform Building , Mandar Shripad Kulkarn

STUDY ON RECOVERY OF BAD SOCIAL MEDIA REVIEWS IN THE HOSPITALITY INDUSTRY USING PROJECT MANAGEMENT PRINCIPLES , FRANCK LEGRAND

AGILE ADOPTION IN INVESTMENT BANKS , JIAYIN LIANG and Suman Shekhar

SCRUM IN CONSTRUCTION INDUSTRY TO IMPROVE PROJECT PERFORMANCE IN DESIGN PHASE , YINGCHEN LIU

IMPROVING SOFTWARE PROJECTS WITH CLOUD COMPUTING , SUNIL MADDIPATLA

BUSINESS PERSPECTIVE E-BANKING SYSTEMS IN INDIA , DIVYA NALLURI

Applying the Agile Mechanism in the Clinical Trails Domain for Drug Development , Jitendrakumar Narola

IMPLEMENTING AGILE LEAN IN TELECOM INDUSTRY , SWAPNIL NARVEKAR

Internet of Things (IoT) and Changing Face of Project Management , Vikram Singh Prasher

Risk Management in Telemedicine Projects in Healthcare , Shalini Sakinala

Study of the impact of team morale on construction project performance , Adrian Gerard Saldanha

Key Competencies for Project Managers: An Empirical Study , Sahil Sandhu

IDENTIFICATION OF RIGHT LEADERSHIP STYLE FOR AGILE TEAMS , AASHIK SEKHARAN

ROLE OF EFFECTIVE QUALITY RISK MANAGEMENT IN DRUG SAFETY PROJECT , Bhawna Sharma

SOFT SKILLS INFLUENCE IN PROJECT MANAGERS IN THE CLOUD SPACE , KATHERINE SILVA

Managing Business Process Transformation Projects Using Contextual Hybrid Agile Methodology , John Tu

Using IOP as a mechanism for project team management , Maryam Selah Varzi

RELATIONSHIP BETWEEN LEADERSHIP STYLES AND JOB SATISFACTION IN LUXURY RETAIL PROJECT , CUIPING ZHANG

Theses/Dissertations from 2017 2017

Applying Agile Lean to Global Software Development , Piyansh Gupta

Agile in Construction Projects , Chen Jin

Role of Agile Methods in Global Software Development , Dinesh Chandra Kalluri

Innovation through Agile Project Management , Raju Kona

The Use of Effective Risk Management in Cloud Computing Projects , Usha Kiran Marichetty

Feasibility in Applying Agile Project Management Methodologies To Building Design and Construction Industry , Roy S. Moriel

Pharmacovigilance: The Role Of Pharmaceutical Companies To Protect Patients From Adverse Drug Reactions , Srikanth Nukala

Team Performance and Project Success , Ijeoma Okoronkwo

Key to Success of Offshore Outsourcing , Deep Patel

Implementation of Agile Methodology in Public Sector , Kajal Patel

Project Manager’s Perception of Agile Methods Success , Ankit Sachdeva

Adapting Agile in Regulated (Pharmaceutical) Environment , Prachiben K. Shah

The Implication of Agile & Traditional Method as a Practice in Pharmaceutical Industry , Vishant Shah

Project Management for E-Commerce Businesses , Jui Tamhane

Critical Risk Assessment and Management in Pharmaceutical Industry , Abida Zameer

Theses/Dissertations from 2016 2016

Improved Sprint Results with Offshore Indian Teams , Fnu Abdul Hasheem

A Different Approach to Project Management: The Use of Soft Skills , Hannah Adams

ERP Critical Success Factors: Importance of ERP Consultants in ERP Implementation , Adekunle S. Balogun

Scrum Sim - A Simulation Game to Learn the Scrum Agile Framework , Anshuman Bassi

Hybrid Project Management Approach for Software Modernization , Chintan Bhavsar

Adopting Agile Scrum , Anirudh Chaganti

Supply Chain Risks: Causes & Mitigation Strategy for the Medical Device Companies , Dipak Patil

Research Paper on Content Management Systems (CMS): Problems in the Traditional Model and Advantages of CMS in Managing Corporate Websites , Elanchezhian Ramalingam

Challenges When Using Scrum in Globally Distributed Teams , Sweta Shah

A Case Study on PPL's Journey to Agile Transition , Jayalakshmi Tenali

To Overcome Communication Challenges in Distributed/Virtual Scrum Teams , Priyamvada Walimbe

Hybrid Agile Approach: Efficiently Blending Traditional and Agile Methodologies , Rashmi Wankhede

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Dissertation Structure & Layout 101: How to structure your dissertation, thesis or research project.

By: Derek Jansen (MBA) Reviewed By: David Phair (PhD) | July 2019

So, you’ve got a decent understanding of what a dissertation is , you’ve chosen your topic and hopefully you’ve received approval for your research proposal . Awesome! Now its time to start the actual dissertation or thesis writing journey.

To craft a high-quality document, the very first thing you need to understand is dissertation structure . In this post, we’ll walk you through the generic dissertation structure and layout, step by step. We’ll start with the big picture, and then zoom into each chapter to briefly discuss the core contents. If you’re just starting out on your research journey, you should start with this post, which covers the big-picture process of how to write a dissertation or thesis .

Dissertation structure and layout - the basics

The Caveat

In this post, we’ll be discussing a traditional dissertation/thesis structure and layout, which is generally used for social science research across universities, whether in the US, UK, Europe or Australia. However, some universities may have small variations on this structure (extra chapters, merged chapters, slightly different ordering, etc).

So, always check with your university if they have a prescribed structure or layout that they expect you to work with. If not, it’s safe to assume the structure we’ll discuss here is suitable. And even if they do have a prescribed structure, you’ll still get value from this post as we’ll explain the core contents of each section.

Overview: S tructuring a dissertation or thesis

Acknowledgements page
Abstract (or executive summary)
Table of contents , list of figures and tables
Chapter 1: Introduction
Chapter 2: Literature review
Chapter 3: Methodology
Chapter 4: Results
Chapter 5: Discussion
Chapter 6: Conclusion
Reference list

As I mentioned, some universities will have slight variations on this structure. For example, they want an additional “personal reflection chapter”, or they might prefer the results and discussion chapter to be merged into one. Regardless, the overarching flow will always be the same, as this flow reflects the research process , which we discussed here – i.e.:

The introduction chapter presents the core research question and aims .
The literature review chapter assesses what the current research says about this question.
The methodology, results and discussion chapters go about undertaking new research about this question.
The conclusion chapter (attempts to) answer the core research question .

In other words, the dissertation structure and layout reflect the research process of asking a well-defined question(s), investigating, and then answering the question – see below.

A dissertation's structure reflect the research process

To restate that – the structure and layout of a dissertation reflect the flow of the overall research process . This is essential to understand, as each chapter will make a lot more sense if you “get” this concept. If you’re not familiar with the research process, read this post before going further.

Right. Now that we’ve covered the big picture, let’s dive a little deeper into the details of each section and chapter. Oh and by the way, you can also grab our free dissertation/thesis template here to help speed things up.

The title page of your dissertation is the very first impression the marker will get of your work, so it pays to invest some time thinking about your title. But what makes for a good title? A strong title needs to be 3 things:

Succinct (not overly lengthy or verbose)
Specific (not vague or ambiguous)
Representative of the research you’re undertaking (clearly linked to your research questions)

Typically, a good title includes mention of the following:

The broader area of the research (i.e. the overarching topic)
The specific focus of your research (i.e. your specific context)
Indication of research design (e.g. quantitative , qualitative , or mixed methods ).

For example:

A quantitative investigation [research design] into the antecedents of organisational trust [broader area] in the UK retail forex trading market [specific context/area of focus].

Again, some universities may have specific requirements regarding the format and structure of the title, so it’s worth double-checking expectations with your institution (if there’s no mention in the brief or study material).

Acknowledgements

This page provides you with an opportunity to say thank you to those who helped you along your research journey. Generally, it’s optional (and won’t count towards your marks), but it is academic best practice to include this.

So, who do you say thanks to? Well, there’s no prescribed requirements, but it’s common to mention the following people:

Your dissertation supervisor or committee.
Any professors, lecturers or academics that helped you understand the topic or methodologies.
Any tutors, mentors or advisors.
Your family and friends, especially spouse (for adult learners studying part-time).

There’s no need for lengthy rambling. Just state who you’re thankful to and for what (e.g. thank you to my supervisor, John Doe, for his endless patience and attentiveness) – be sincere. In terms of length, you should keep this to a page or less.

Abstract or executive summary

The dissertation abstract (or executive summary for some degrees) serves to provide the first-time reader (and marker or moderator) with a big-picture view of your research project. It should give them an understanding of the key insights and findings from the research, without them needing to read the rest of the report – in other words, it should be able to stand alone .

For it to stand alone, your abstract should cover the following key points (at a minimum):

Your research questions and aims – what key question(s) did your research aim to answer?
Your methodology – how did you go about investigating the topic and finding answers to your research question(s)?
Your findings – following your own research, what did do you discover?
Your conclusions – based on your findings, what conclusions did you draw? What answers did you find to your research question(s)?

So, in much the same way the dissertation structure mimics the research process, your abstract or executive summary should reflect the research process, from the initial stage of asking the original question to the final stage of answering that question.

In practical terms, it’s a good idea to write this section up last , once all your core chapters are complete. Otherwise, you’ll end up writing and rewriting this section multiple times (just wasting time). For a step by step guide on how to write a strong executive summary, check out this post .

Need a helping hand?

This section is straightforward. You’ll typically present your table of contents (TOC) first, followed by the two lists – figures and tables. I recommend that you use Microsoft Word’s automatic table of contents generator to generate your TOC. If you’re not familiar with this functionality, the video below explains it simply:

If you find that your table of contents is overly lengthy, consider removing one level of depth. Oftentimes, this can be done without detracting from the usefulness of the TOC.

Right, now that the “admin” sections are out of the way, its time to move on to your core chapters. These chapters are the heart of your dissertation and are where you’ll earn the marks. The first chapter is the introduction chapter – as you would expect, this is the time to introduce your research…

It’s important to understand that even though you’ve provided an overview of your research in your abstract, your introduction needs to be written as if the reader has not read that (remember, the abstract is essentially a standalone document). So, your introduction chapter needs to start from the very beginning, and should address the following questions:

What will you be investigating (in plain-language, big picture-level)?
Why is that worth investigating? How is it important to academia or business? How is it sufficiently original?
What are your research aims and research question(s)? Note that the research questions can sometimes be presented at the end of the literature review (next chapter).
What is the scope of your study? In other words, what will and won’t you cover ?
How will you approach your research? In other words, what methodology will you adopt?
How will you structure your dissertation? What are the core chapters and what will you do in each of them?

These are just the bare basic requirements for your intro chapter. Some universities will want additional bells and whistles in the intro chapter, so be sure to carefully read your brief or consult your research supervisor.

If done right, your introduction chapter will set a clear direction for the rest of your dissertation. Specifically, it will make it clear to the reader (and marker) exactly what you’ll be investigating, why that’s important, and how you’ll be going about the investigation. Conversely, if your introduction chapter leaves a first-time reader wondering what exactly you’ll be researching, you’ve still got some work to do.

Now that you’ve set a clear direction with your introduction chapter, the next step is the literature review . In this section, you will analyse the existing research (typically academic journal articles and high-quality industry publications), with a view to understanding the following questions:

What does the literature currently say about the topic you’re investigating?
Is the literature lacking or well established? Is it divided or in disagreement?
How does your research fit into the bigger picture?
How does your research contribute something original?
How does the methodology of previous studies help you develop your own?

Depending on the nature of your study, you may also present a conceptual framework towards the end of your literature review, which you will then test in your actual research.

Again, some universities will want you to focus on some of these areas more than others, some will have additional or fewer requirements, and so on. Therefore, as always, its important to review your brief and/or discuss with your supervisor, so that you know exactly what’s expected of your literature review chapter.

Now that you’ve investigated the current state of knowledge in your literature review chapter and are familiar with the existing key theories, models and frameworks, its time to design your own research. Enter the methodology chapter – the most “science-ey” of the chapters…

In this chapter, you need to address two critical questions:

Exactly HOW will you carry out your research (i.e. what is your intended research design)?
Exactly WHY have you chosen to do things this way (i.e. how do you justify your design)?

Remember, the dissertation part of your degree is first and foremost about developing and demonstrating research skills . Therefore, the markers want to see that you know which methods to use, can clearly articulate why you’ve chosen then, and know how to deploy them effectively.

Importantly, this chapter requires detail – don’t hold back on the specifics. State exactly what you’ll be doing, with who, when, for how long, etc. Moreover, for every design choice you make, make sure you justify it.

In practice, you will likely end up coming back to this chapter once you’ve undertaken all your data collection and analysis, and revise it based on changes you made during the analysis phase. This is perfectly fine. Its natural for you to add an additional analysis technique, scrap an old one, etc based on where your data lead you. Of course, I’m talking about small changes here – not a fundamental switch from qualitative to quantitative, which will likely send your supervisor in a spin!

You’ve now collected your data and undertaken your analysis, whether qualitative, quantitative or mixed methods. In this chapter, you’ll present the raw results of your analysis . For example, in the case of a quant study, you’ll present the demographic data, descriptive statistics, inferential statistics , etc.

Typically, Chapter 4 is simply a presentation and description of the data, not a discussion of the meaning of the data. In other words, it’s descriptive, rather than analytical – the meaning is discussed in Chapter 5. However, some universities will want you to combine chapters 4 and 5, so that you both present and interpret the meaning of the data at the same time. Check with your institution what their preference is.

Now that you’ve presented the data analysis results, its time to interpret and analyse them. In other words, its time to discuss what they mean, especially in relation to your research question(s).

What you discuss here will depend largely on your chosen methodology. For example, if you’ve gone the quantitative route, you might discuss the relationships between variables . If you’ve gone the qualitative route, you might discuss key themes and the meanings thereof. It all depends on what your research design choices were.

Most importantly, you need to discuss your results in relation to your research questions and aims, as well as the existing literature. What do the results tell you about your research questions? Are they aligned with the existing research or at odds? If so, why might this be? Dig deep into your findings and explain what the findings suggest, in plain English.

The final chapter – you’ve made it! Now that you’ve discussed your interpretation of the results, its time to bring it back to the beginning with the conclusion chapter . In other words, its time to (attempt to) answer your original research question s (from way back in chapter 1). Clearly state what your conclusions are in terms of your research questions. This might feel a bit repetitive, as you would have touched on this in the previous chapter, but its important to bring the discussion full circle and explicitly state your answer(s) to the research question(s).

Next, you’ll typically discuss the implications of your findings . In other words, you’ve answered your research questions – but what does this mean for the real world (or even for academia)? What should now be done differently, given the new insight you’ve generated?

Lastly, you should discuss the limitations of your research, as well as what this means for future research in the area. No study is perfect, especially not a Masters-level. Discuss the shortcomings of your research. Perhaps your methodology was limited, perhaps your sample size was small or not representative, etc, etc. Don’t be afraid to critique your work – the markers want to see that you can identify the limitations of your work. This is a strength, not a weakness. Be brutal!

This marks the end of your core chapters – woohoo! From here on out, it’s pretty smooth sailing.

The reference list is straightforward. It should contain a list of all resources cited in your dissertation, in the required format, e.g. APA , Harvard, etc.

It’s essential that you use reference management software for your dissertation. Do NOT try handle your referencing manually – its far too error prone. On a reference list of multiple pages, you’re going to make mistake. To this end, I suggest considering either Mendeley or Zotero. Both are free and provide a very straightforward interface to ensure that your referencing is 100% on point. I’ve included a simple how-to video for the Mendeley software (my personal favourite) below:

Some universities may ask you to include a bibliography, as opposed to a reference list. These two things are not the same . A bibliography is similar to a reference list, except that it also includes resources which informed your thinking but were not directly cited in your dissertation. So, double-check your brief and make sure you use the right one.

The very last piece of the puzzle is the appendix or set of appendices. This is where you’ll include any supporting data and evidence. Importantly, supporting is the keyword here.

Your appendices should provide additional “nice to know”, depth-adding information, which is not critical to the core analysis. Appendices should not be used as a way to cut down word count (see this post which covers how to reduce word count ). In other words, don’t place content that is critical to the core analysis here, just to save word count. You will not earn marks on any content in the appendices, so don’t try to play the system!

Time to recap…

And there you have it – the traditional dissertation structure and layout, from A-Z. To recap, the core structure for a dissertation or thesis is (typically) as follows:

Acknowledgments page

Most importantly, the core chapters should reflect the research process (asking, investigating and answering your research question). Moreover, the research question(s) should form the golden thread throughout your dissertation structure. Everything should revolve around the research questions, and as you’ve seen, they should form both the start point (i.e. introduction chapter) and the endpoint (i.e. conclusion chapter).

I hope this post has provided you with clarity about the traditional dissertation/thesis structure and layout. If you have any questions or comments, please leave a comment below, or feel free to get in touch with us. Also, be sure to check out the rest of the Grad Coach Blog .

Psst... there’s more!

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

36 Comments

many thanks i found it very useful

Glad to hear that, Arun. Good luck writing your dissertation.

Such clear practical logical advice. I very much needed to read this to keep me focused in stead of fretting.. Perfect now ready to start my research!

what about scientific fields like computer or engineering thesis what is the difference in the structure? thank you very much

Thanks so much this helped me a lot!

Very helpful and accessible. What I like most is how practical the advice is along with helpful tools/ links.

Thanks Ade!

Thank you so much sir.. It was really helpful..

You’re welcome!

Hi! How many words maximum should contain the abstract?

Thank you so much 😊 Find this at the right moment

You’re most welcome. Good luck with your dissertation.

best ever benefit i got on right time thank you

Many times Clarity and vision of destination of dissertation is what makes the difference between good ,average and great researchers the same way a great automobile driver is fast with clarity of address and Clear weather conditions .

I guess Great researcher = great ideas + knowledge + great and fast data collection and modeling + great writing + high clarity on all these

You have given immense clarity from start to end.

Morning. Where will I write the definitions of what I’m referring to in my report?

Thank you so much Derek, I was almost lost! Thanks a tonnnn! Have a great day!

Thanks ! so concise and valuable

This was very helpful. Clear and concise. I know exactly what to do now.

Thank you for allowing me to go through briefly. I hope to find time to continue.

Really useful to me. Thanks a thousand times

Very interesting! It will definitely set me and many more for success. highly recommended.

Thank you soo much sir, for the opportunity to express my skills

Usefull, thanks a lot. Really clear

Very nice and easy to understand. Thank you .

That was incredibly useful. Thanks Grad Coach Crew!

My stress level just dropped at least 15 points after watching this. Just starting my thesis for my grad program and I feel a lot more capable now! Thanks for such a clear and helpful video, Emma and the GradCoach team!

Do we need to mention the number of words the dissertation contains in the main document?

It depends on your university’s requirements, so it would be best to check with them 🙂

Such a helpful post to help me get started with structuring my masters dissertation, thank you!

Great video; I appreciate that helpful information

It is so necessary or avital course

This blog is very informative for my research. Thank you

Doctoral students are required to fill out the National Research Council’s Survey of Earned Doctorates

wow this is an amazing gain in my life

This is so good

How can i arrange my specific objectives in my dissertation?

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Can Dissertation be a Case Study: Research Example and Format

write Case study as dissertation

Also known as a thesis, a dissertation usually comes at the end of a degree course. Unlike essays and other standard research papers, a dissertation is a large project that requires a deeper depth of research.

The research can take up to the final six months of your degree course. The significance of this type of research is to test the ability of a student to do independent research. A student comes up with his or her own idea, does a thorough research then structures the content to make a final research paper.

In essence, this stage of your degree course teaches you how to manage your time and sharpen your individual working skills.

A student usually works with the department supervisor to make dissertation writing easier. The supervisor can help in planning the writing of the dissertation. The purpose of the supervisor is to provide guidance, feedback and advice as you progress from stage one of writing to the end.

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Can Dissertation be a Case Study?

There are very few instances when a dissertation is used as a case study because of the differences.

If you opt to use your dissertation as a case study, ensure that you do not focus on providing solution to the problem.

If it is an already written dissertation, it requires a lot of editing. In a dissertation, you provide the solution to a problem, but in case studies, only analysis of events is enough to complete the project.

How to Incorporate Case Study into Your Dissertation

A good qualitative case study can form the perfect basis of your dissertation and save you a lot of time.

To start with, a case study gives you the avenue to deeply analyze a situation. Precisely so, it will be easier for you to exhibit the academic survey level that your degree requires.

A good case study can be used in your dissertation in a practical sense.

In the final stages of your degree, time constraints are tight and a case study will take you a relatively short period to complete unlike a dissertation. Therefore, it is an appropriate form of research that saves time taken to navigate multiple research sites.

However, to incorporate a case study into your dissertation, pay attention to the potential drawbacks and limitations involved.

To avoid lowering the value and quality of your research, the following are some of the considerations to observe when selecting a proper case study for your dissertation:

a) The case study ought to be clear and in uniformity with the research purpose .

b) The particular case you choose, should be justified.

c) There has to be a clear explanation concerning the basis of the overviews made from your research results.

d) The case study should have a comparison between the chosen cases and others .

To date, there are many students who use case studies as an obvious option for research projects.

All in all, be careful how you implement the study into your research as many professors may view dissertation as one that lacks rigor and consistency. Despite this skepticism, case studies can offer more exhaustive insights that an ordinary research cannot achieve.

People Also Read: Hardest Essay Topics For High School and University Students

How to Write Case Study Only as Your Dissertation

A case study and a dissertation share a lot of similarities but they are not the same.

In case studies, there is a full introduction of a topic. But, the opinion of the writer and other similar works do not need citation. Equally, a dissertation requires the citing of a writer’s view as well as that of other similar works.

A student who is about to graduate is supposed to know instances when case studies can be used as dissertation and when they cannot.

If you are worried about writing a great dissertation that will excite your lecturer, you can opt for the case study method.

Here are important steps to follow in writing a case study only as your dissertation:

Start by defining the particular question you are going to address in the paper. It will be easier if you create specific questions that will answer the main parts of the situation. Develop your focus of research to get all the information about the topic.
Design the process of the case study. Come up with a clear roadmap of the selected real life cases and ensure you know the reason why you have chosen them. Also, do not forget to enlighten more information about the research methods you intend to adopt for the purposes of data collection and analysis.
A case study written only as a dissertation needs a huge amount of data. Needless to say, a writer should develop a clear plan for data collection.
With your plan ready, proceed to the field and collect data. At this stage, do not make any interpretation of results until the research process is complete.
Having done that, present the data by reporting in a flowing manner. Use a simple language for readers to understand your interpretations effortlessly.

Formatting the Case Study

Following the right format guarantees a good case study paper that you can use to impress the professor as a dissertation.

Start with an introduction or an exclusive summary so as to inform the reader about the findings and analysis of the case study.

Secondly, provide background information by writing clear facts and pinpointing the topic issues to your audience.

The next part is to embark on the methods and findings.

This is a discussion that entails verdicts of the case you have chosen and should be divided into separate sections for easier understanding.

Afterwards, come to the section where you will provide the recommendations and how to implement them. Here, a writer should discuss the solution chosen, give clear reasons why it is the right one and how to put it into practice.

Good solutions usually focus on realistic means of improving the situation or solving it.

You can give evidence as a backup for the solutions you have proposed. The final part is to write a conclusion that summarizes all the important points from the evaluations and solutions of the case study.

3 Examples of Case Study Topics to Write as Dissertations

To arrive at a good case topic idea, hunt for the ultimate topic that inspires you. From the possible list of selection you have, narrow down to topics that reflect the main idea you want.

After arriving at the topic of choice, select the right methodology for researching. Below are good topics you can select for your case study:

1. Why start-up businesses are on a steady rise.

2. Research study case on patients with Omicron corona virus and the latest nursing methods for the virus.

3. Case study on the rise and rise of Tiktok.

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Regardless of the course you have selected or your academic objectives, a college student needs a good case study. The quality of this study will depend on the topic you select.

Therefore, if you select a topic correctly, your ideas will be well organized and you can use available research methodologies to write an interesting case study.

There are different categories of ideas you can base your study on depending on the subject you want. You can focus on titles ranging from information technology to psychology, education and environmental science.

There are also good topic ideas you can derive from applied physics, marketing, management, human right case studies or even nursing.

When not handling complex essays and academic writing tasks, Josh is busy advising students on how to pass assignments. In spare time, he loves playing football or walking with his dog around the park.

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Dissertation & Thesis Outline | Example & Free Templates

Dissertation & Thesis Outline | Example & Free Templates

Published on June 7, 2022 by Tegan George . Revised on November 21, 2023.

A thesis or dissertation outline is one of the most critical early steps in your writing process . It helps you to lay out and organize your ideas and can provide you with a roadmap for deciding the specifics of your dissertation topic and showcasing its relevance to your field.

Generally, an outline contains information on the different sections included in your thesis or dissertation , such as:

Your anticipated title
Your abstract
Your chapters (sometimes subdivided into further topics like literature review, research methods, avenues for future research, etc.)

In the final product, you can also provide a chapter outline for your readers. This is a short paragraph at the end of your introduction to inform readers about the organizational structure of your thesis or dissertation. This chapter outline is also known as a reading guide or summary outline.

How to outline your thesis or dissertation, dissertation and thesis outline templates, chapter outline example, sample sentences for your chapter outline, sample verbs for variation in your chapter outline, other interesting articles, frequently asked questions about thesis and dissertation outlines.

While there are some inter-institutional differences, many outlines proceed in a fairly similar fashion.

Working Title
“Elevator pitch” of your work (often written last).
Introduce your area of study, sharing details about your research question, problem statement , and hypotheses . Situate your research within an existing paradigm or conceptual or theoretical framework .
Subdivide as you see fit into main topics and sub-topics.
Describe your research methods (e.g., your scope , population , and data collection ).
Present your research findings and share about your data analysis methods.
Answer the research question in a concise way.
Interpret your findings, discuss potential limitations of your own research and speculate about future implications or related opportunities.

For a more detailed overview of chapters and other elements, be sure to check out our article on the structure of a dissertation or download our template .

To help you get started, we’ve created a full thesis or dissertation template in Word or Google Docs format. It’s easy adapt it to your own requirements.

Download Word template Download Google Docs template

Chapter outline example American English

It can be easy to fall into a pattern of overusing the same words or sentence constructions, which can make your work monotonous and repetitive for your readers. Consider utilizing some of the alternative constructions presented below.

Example 1: Passive construction

The passive voice is a common choice for outlines and overviews because the context makes it clear who is carrying out the action (e.g., you are conducting the research ). However, overuse of the passive voice can make your text vague and imprecise.

Example 2: IS-AV construction

You can also present your information using the “IS-AV” (inanimate subject with an active verb ) construction.

A chapter is an inanimate object, so it is not capable of taking an action itself (e.g., presenting or discussing). However, the meaning of the sentence is still easily understandable, so the IS-AV construction can be a good way to add variety to your text.

Example 3: The “I” construction

Another option is to use the “I” construction, which is often recommended by style manuals (e.g., APA Style and Chicago style ). However, depending on your field of study, this construction is not always considered professional or academic. Ask your supervisor if you’re not sure.

Example 4: Mix-and-match

To truly make the most of these options, consider mixing and matching the passive voice , IS-AV construction , and “I” construction .This can help the flow of your argument and improve the readability of your text.

As you draft the chapter outline, you may also find yourself frequently repeating the same words, such as “discuss,” “present,” “prove,” or “show.” Consider branching out to add richness and nuance to your writing. Here are some examples of synonyms you can use.

Address	Describe	Imply	Refute
Argue	Determine	Indicate	Report
Claim	Emphasize	Mention	Reveal
Clarify	Examine	Point out	Speculate
Compare	Explain	Posit	Summarize
Concern	Formulate	Present	Target
Counter	Focus on	Propose	Treat
Define	Give	Provide insight into	Underpin
Demonstrate	Highlight	Recommend	Use

If you want to know more about AI for academic writing, AI tools, or research bias, make sure to check out some of our other articles with explanations and examples or go directly to our tools!

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When you mention different chapters within your text, it’s considered best to use Roman numerals for most citation styles. However, the most important thing here is to remain consistent whenever using numbers in your dissertation .

The title page of your thesis or dissertation goes first, before all other content or lists that you may choose to include.

A thesis or dissertation outline is one of the most critical first steps in your writing process. It helps you to lay out and organize your ideas and can provide you with a roadmap for deciding what kind of research you’d like to undertake.

Your chapters (sometimes subdivided into further topics like literature review , research methods , avenues for future research, etc.)

Cite this Scribbr article

If you want to cite this source, you can copy and paste the citation or click the “Cite this Scribbr article” button to automatically add the citation to our free Citation Generator.

George, T. (2023, November 21). Dissertation & Thesis Outline | Example & Free Templates. Scribbr. Retrieved September 9, 2024, from https://www.scribbr.com/dissertation/dissertation-thesis-outline/

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Dissertation examples

Listed below are some of the best examples of research projects and dissertations from undergraduate and taught postgraduate students at the University of Leeds We have not been able to gather examples from all schools. The module requirements for research projects may have changed since these examples were written. Refer to your module guidelines to make sure that you address all of the current assessment criteria. Some of the examples below are only available to access on campus.

Undergraduate examples
Taught Masters examples


These dissertations achieved a mark of 80 or higher:
The following two examples have been annotated with academic comments. This is to help you understand why they achieved a good 2:1 mark but also, more importantly, how the marks could have been improved. Please read to help you make the most of the two examples. (Mark 68) (Mark 66) These final year projects achieved a mark of a high first: For students undertaking a New Venture Creation (NVC) approach, please see the following Masters level examples:


Projects which attained grades of over 70 or between 60 and 69 are indicated on the lists (accessible only by students and staff registered with School of Computer Science, when on campus).
These are good quality reports but they are not perfect. You may be able to identify areas for improvement (for example, structure, content, clarity, standard of written English, referencing or presentation quality).

The following examples have their marks and feedback included at the end of of each document. The following examples have their feedback provided in a separate document.

School of Media and Communication .

The following outstanding dissertation example PDFs have their marks denoted in brackets. (Mark 78) (Mark 72) (Mark 75) (Mark 91) (Mark 85) (Mark 85) (Mark 85) (Mark 91) (Mark 85) (Mark 75)
This dissertation achieved a mark of 84: .

These dissertations achieved a mark of 80 or higher:

The following two examples have been annotated with academic comments. This is to help you understand why they achieved a good 2:1 mark but also, more importantly, how the marks could have been improved.

Please read to help you make the most of the two examples.

(Mark 68)

(Mark 66)

These final year projects achieved a mark of a high first:

For students undertaking a New Venture Creation (NVC) approach, please see the following Masters level examples:

Projects which attained grades of over 70 or between 60 and 69 are indicated on the lists (accessible only by students and staff registered with School of Computer Science, when on campus).

These are good quality reports but they are not perfect. You may be able to identify areas for improvement (for example, structure, content, clarity, standard of written English, referencing or presentation quality).

The following examples have their marks and feedback included at the end of of each document.

The following examples have their feedback provided in a separate document.

School of Media and Communication .

The following outstanding dissertation example PDFs have their marks denoted in brackets.

(Mark 78)
(Mark 72)
(Mark 75)

(Mark 91)
(Mark 85)
(Mark 85)
(Mark 85)
(Mark 91)

(Mark 85)
(Mark 75)

This dissertation achieved a mark of 84:


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MSc Sustainability


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The following outstanding dissertation example PDFs have their marks denoted in brackets. (Mark 70) (Mark 78)

LUBS5530 Enterprise

MSc Sustainability

The following outstanding dissertation example PDFs have their marks denoted in brackets.

(Mark 70)

(Mark 78)

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Doctoral Dissertations and Projects

Submissions from 2024 2024.

The Impact of Artificial Intelligence and Machine Learning on Organizations Cybersecurity , Mustafa Abdulhussein

Perceived Influence of Artificial Intelligence on Educational Leadership's Decision-Making, Teaching, and Learning Outcomes: A Transcendental Phenomenological Study , Mousa Fayiz Abduljaber

The Relationship between Leadership Styles of a Principal and African-American Student Achievement in Elementary Reading , Joel James Abe

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So Why, D&I? A Study on Diversity and Inclusion in the Workplace in the Digital Age , Dina Abed Abughannam

Exploring the Relationship Between Emotional Intelligence and Religiosity and the Experience of Emotional Labor in Working Women , Jane Naa Koshie Acquah-Bailey

The Destruction of Louisiana Wetlands: An Environmental History, 1900-2000 , Gloria H. Adams

Biblical Choice Model: A St. Augustine-Inspired Approach to Behavioral Economics , Adebukola Adebayo

The Evidential Problem of Assurance: Textual Approach from the Johannine Literature , Derick A. Adu

The Perpetual Progression in the Schleswig-Holstein Duchy: History, Politics, and Religion, 1460-1864 , Christian Anthony Ahlers

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Exploring the Lived Experiences of Teachers When Enrolled in an Asynchronous Certification Program: A Phenomenological Study , Sara R. Allen

Exploring the Lived Experiences of Rural Texas School Counselors Working with Students’ Mental Health After the COVID-19 Pandemic , Lanessa K. Allman

Causal Comparative Study of Structured Literacy Knowledge Between Participants of Dyslexia Intervention Training Programs , Rhonda Rene' Alm

A Hermeneutical Phenomenological Analysis of Cross-Race/Cross-Ethnic Academic Advising First-Generation Latina/o Students Attending a Predominantly White Institution , Aisha A. Alvarez

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A Correlational Study of Culturally Responsive Christian School Leadership and Its Impact on Culturally Marginalized Students , Denecia B. Anderson

The Effectiveness of Integrating Religious/Spirituality Beliefs into Psychotherapy: An Integrative Review , Justina Anighoro-Okezie

Improving Nursing Retention Through Mentorship in a Long-Term Care Facility: An Educational Toolkit , Adriane Nichole Anthony-Cupil

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Equipping Equippers: Training Alaska Bible College Students for Equipping Ministry through Mentorship , Justin Glenn Archuletta

Parent and Teacher Perspectives on Attachment/Relationships and Children's Self-Regulation , Elaina Arnold

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Published: 01 September 2024

Downstream impacts of dam breach using HEC-RAS: a case of Budhigandaki concrete arch dam in central Nepal

Anu Awal 1 ,
Utsav Bhattarai 2 ,
Vishnu Prasad Pandey 3 &
Pawan Kumar Bhattarai 4

Environmental Systems Research volume 13 , Article number: 37 ( 2024 ) Cite this article

Metrics details

Studies on concrete dam breach are limited compared to earthen and other types of dams. With an increase in the construction of concrete dams, particularly in the developing world, it is imperative to have a better understanding of the dam breach phenomena and the identification of the most influential breach parameters. This study aims to contribute to this gap by taking the case of the concrete arch dam proposed for the 1200 MW Budhigandaki Hydropower Project located in central Nepal. This study carries special significance for Nepal, primarily because of the increasing number of under construction and proposed large dams for water resources development in the country. We carry out dam breach analysis of the Budhigandaki dam using HEC-RAS 2D model to calculate the flood discharge peaks, time to peak, water surface elevation and the extent of inundation for two scenarios (with and without probable maximum flood) to estimate the damage on four downstream settlements. We carry out sensitivity analysis of the breach parameters on the flood magnitudes and severity. Results show that all the study locations lie in the high flood hazard zone. Flood peaks can reach as high as 286,000 m 3 s − 1 to 511,000 m 3 s − 1 in the considered settlements. The time to peak ranges from 11.3 to 17 h after the breach at these locations. We estimate that if a breach should happen, it would most likely inundate around 150,000 buildings, impact nearly 672,000 lives and flood 3,500 km of road downstream. Furthermore, dam breach elevation is found to be the most sensitive parameter to downstream floods. Hence, rather than structural measures, it is recommended that non-structural measures are implemented for minimizing the impacts of flood disasters at the study locations. The findings could be a useful reference for future dam projects in Nepal and other areas with similar hydrological and topographical conditions.

Introduction

Dams are storage structures providing beneficial functions such as flood control and water supply for different types of users (for example, domestic water supply, hydropower, irrigation, recreation and water transport). The construction of large dams along with generation of electricity started during the industrial revolution in Europe and America. The early 1900s ushered in an era of “big dam” building in America mostly for hydropower generation as demands for electricity increased, the Hoover Dam being regarded as an engineering marvel. The Asian region includes some of the largest dams in the world today such as Tarbela Dam and Mangla Dam in Pakistan, Nurek Dam in Tajikistan, San Rogue Dam in Phillipines and Three Gorges Dam in China, mostly for hydropower generation.

Despite the benefits, failure of dams can cause tremendous losses by generation of unforeseen flood magnitudes in downstream areas. Unfortunately, the history of dams has been studded with disasters of various types, sometimes of great magnitude, with loss of human lives and destruction of property and infrastructure (Aureli et al. 2021 ). USACE ( 2018 ) lists causes of dam breach as earthquakes, landslides, extreme storms, piping, equipment malfunction, structural damage, foundation failure, and sabotage. Regardless of the reason, almost all failures begin with a breach formation.

Basically, breach is defined as the opening formed in the dam body that leads the dam to fail and this phenomenon causes the stored water behind the dam to propagate rapidly downstream (Dincergok 2007 ). Despite piping or overtopping being the main modes of dam failure, the actual mechanics are still not completely understood for either earthen or concrete dams (USACE 2018 ). Past dam-failure disasters have shown that the majority of dams that have failed are earthen (74 dam breaks out of 7812 earthen dams) and the highest percentage of failure of rockfill dams (17 dam breaks out of 200 rockfill dams) (Fang et al. 2017 ). The world’s worst dam disaster happened in China in 1975 when the Banqiao and Shimantan dams failed killing about 171,000 people while 11 million lost their homes (Vincent et al. 2020 ). In 1979, the 25 m high Machu Dam in India, which stored 100 million m 3 , failed after several hours of over-topping causing about 10,000 deaths, 150,000 people were displaced, and 10,000 habitations were destroyed (Lempérière 2017 ). A recent case of the failure of the Rishiganga dam in Uttarakhand (India) in 2021 due to glacier avalanche caused more than 200 deaths and severely damaged infrastructure (Shugar et al. 2021 ). Similarly, failure of the Edenville dam followed by the Sanford dam downstream on the same day in 2020 due to heavy rain in Michigan USA ( Independent Forensic Team 2022 ), and failure of the Spencer Dam in Nebraska USA in 2019 due to ice run (Ettema et al. 2021 ), demonstrate the devastation that dam breaches can lead to. Thus, identification of the vulnerable areas and being aware of the likely damages are key for minimization of the adverse impacts of dam breach.

Dam breach analysis involves three key sequential steps: predicting the reservoir outflow hydrograph, determining dam breach parameters, and routing the hydrograph downstream. Essentially, the breach flood hydrograph depends on the prediction of breach geometry and breach formation time (Basheer et al. 2017 ). There have been many studies on dam breach analysis around the world from the 1980’s (Leng et al. 2023 ; Singh and Snorrason 1984 ; USACE 2024 ). Dam breach analysis is generally carried out by either numerical/computer models or scaled-down physical models. The United States Department of Interior ( 1988 ), recommends estimating a reasonable maximum breach discharge using four principal methods:

Physically Based Methods: Using erosion models based on principles of hydraulics, sediment transport and soil mechanics, development of breach and resulting breach outflow are estimated;

Parametric Models: Time to failure and ultimate breach geometry are assessed utilizing case studies; breach growth is simulated as a time-dependent linear process and breach outflows are computed using principles of hydraulics;

Predictor Equations: Using data of case studies, peak discharge is estimated from empirical equations and a reasonable shape of outflow hydrograph is assumed; and.

Comparative Analysis: Breach parameters are determined by comparison of dam under consideration and a dam that failed.

There are far fewer studies on the failures of concrete dams compared to earthen dams, especially due to breaches which leads to difficulty in determining the concrete dam breach parameters (Fang et al. 2017 ). Moreover, a study of well documented dam-failure cases showed that empirical formulas provide results closer to reality (Fang et al. 2017 ). For instance, Froehlich( 1995 ) developed a prediction equation for the average breach width based on 63 cases of embankment-dam failures and an equation for the breach-formation time based on 21 cases. Focusing on earthen dams has been driven by their historical prevalence, cost-effectiveness, and adaptability. However, studying concrete arch dams is crucial for advancing engineering practices, improving safety and efficiency in dam construction, supporting hydroelectric power generation, addressing environmental impacts, and preserving significant cultural landmarks. Many federal agencies such as FERC ( 1993 ),Office of the State Engineer( 2020 ) and USACE ( 2014 ) have published guidelines recommending possible ranges of values for breach width, side slopes, and development time for different types of dams. This study aims to investigate the breach characteristics of concrete arch dams, an area with limited existing literature. Several dam breach analysis studies have been carried out in Nepal such as in Kulekhani dam using HEC-RAS (Pandey et al. 2023 ), Kaligandaki landslide dam using BREACH (Bricker et al. 2017 ), Koshi high dam using HEC-RAS (Gyawali, D.R. and Devkota, 2015 ), among others. However, no sensitivity analysis of dam breach parameters has been carried out for the afore-mentioned studies.

The proposed Budhigandaki dam located in the transboundary Budhigandaki Basin, spread over southern China and central Nepal, is taken as a case. The Government of Nepal (GoN) has prioritized hydropower generation as the backbone of economic development to attain the goals to raise the country’s status to middle income country level by 2030 (Government of Nepal 2020 ). As a result, there are currently more than 9 planned and proposed large hydropower dam projects by the state (Nepal Electricity Authority 2022 ). The Budhigandaki Hydropower Project (BGHPP) could be the largest storage project of Nepal, if constructed, which could lead to catastrophic damages downstream in the event of a breach.

Hence, the overarching objective of this study is to assess the flood impacts of the Budhigandaki Dam on the downstream settlements due to possible dam breach scenarios. Specifically, this study intends to quantify the peak discharge, time to peak, and the water surface elevation at the downstream locations due to a dam-breach flood. Further, sensitivity analysis of five different dam breach parameters is conducted to acquire information about extent of influence of each parameter on the dam breach. The analysis is carried out in the widely-used hydraulic model Hydrologic Engineering Center’s - River Analysis System (HEC-RAS) developed by the United States Army Corps of Engineers (USACE). Furthermore, zoning of the downstream settlement areas in Geographic Information System (GIS) based on flood severity provides meaningful information to the project developers as well as planners in the impacted areas.

Materials and methods

The Budhigandaki Hydropower Project (BGHPP) is a 1200 MW storage type proposed project of Nepal located approximately 2 km upstream of the confluence of Budhigandaki River with Trishuli River as shown in Fig. 1 . The Budhigandaki Dam is a 263 m high double curvature concrete arch dam with a reservoir volume of 4.5 billion cubic meters (BCM), out of which the active storage is 2.2 BCM. The dam crest length is 737.4 m and the reservoir Full Supply Level (FSL) is at 540 m above sea level (masl) (Budhigandaki Development Committee, 14a). There are some major settlement areas nearly 110 km downstream which are susceptible to danger in case of dam breach. For this study, four major towns namely, Narayangarh, Baraghare, Divyanagar and Meghauli, have been assessed. Moreover, future risk of impact from the dam failure can be expected to increase as increased in population growth due to improved job opportunities and other economic activities in the area because of the construction of the dam. Therefore, the Budhigandaki Dam has been taken as a case in this study to assess the flooding impacts of the dam on the downstream areas through simulation of a hypothetical dam failure.

Location of Budhigandaki dam and downstream settlement areas

Methodology

Dam breach analysis of the Budhigandaki dam has been carried out in HEC-RAS using unsteady flow simulation with terrain and land cover as the geometric input data. The upstream boundary condition is the probable maximum flood (PMF) hydrograph which has been generated using an empirical method while the downstream boundary condition is normal depth. Two dam failure scenarios, namely, dam breach at reservoir full condition with PMF (Scenario I: base case) and dam breach at reservoir full condition without PMF (Scenario II), have been modelled in the study. Outputs of the simulation are used for creating flood inundation maps, flood hazard vulnerability maps and flood arrival time maps corresponding to the different scenarios. Sensitivity analysis of the dam breach parameters is also carried out to assess their impacts on the flood conditions downstream of the dam. Figure 2 summarizes the overall research methodology.

Overall research methodology of this study. DEM: Digital Elevation Model, PMP: Probable Maximum Precipitation, PMF: Probable Maximum Flood, SA: Storage Area, 2D: Two Dimensional, FSL: Full Supply Level

The spatial inputs required to model the dam breach are digital elevation model (DEM), land cover and Manning’s roughness coefficient. Rainfall and discharge are needed for generation of inflow hydrograph as upstream boundary condition to the model. In addition, infrastructure data of the downstream area is required for estimating the impacts of floods. Details of the required data and their sources are presented in Table 1 .

PMP and PMF

The probable maximum precipitation (PMP) is the theoretical maximum precipitation for a given duration under current meteorological conditions (World Meteorological Organization 2009 ). Daily maximum rainfall data of 13 surrounding stations from 1972 to 2014 has been used for the calculation of PMP. The 1-day PMP for all the stations was calculated using Hershfield formula (Hershfield 1965 ) given in Eq. ( 1 ) :

Where, PMP = Probable maximum precipitation.

M = mean of maximum daily rainfall sample S = Standard deviation.

K = Frequency factor = 15 (Hershfield 1965 ).

The calculated 1-day PMP of the point stations was further interpolated using Thiessen Polygon, Kriging, Spline and Inverse Distance Weighing (IDW) methods in GIS to compute the 1-day PMP for the Budhigandaki Basin. In order to model a worst-case scenario, the maximum value of the PMP among these methods was chosen for generating the PMF hydrograph.

Probable Maximum Flood (PMF) is theoretically the flood resulting from a combination of the most severe meteorological and hydrologic conditions that could conceivably occur in a given area (FERC 2001 ). HEC-RAS requires a flood hydrograph to be provided as input for the unsteady flow analysis in the dam breach model. Therefore, a synthetic unit hydrograph was developed using Snyder’s Method (American Geophysical Union 1938 ) using the following equations (Eq. ( 2 ) to Eq. ( 7 ) which was then transposed to generate a direct runoff hydrograph of PMF.

Mathematically,

Dam breach analysis

Dam breach analysis of the Budhigandaki dam has been carried out in HEC-RAS model under two-dimensional dynamic (unsteady-flow) mode. Hypothetical breach of the dam and its propagation downstream has been modelled using 2D Diffusion wave equations (Eq. ( 8 ) to Eq. ( 10 )).

Where, h is the water depth (m), p and q are the specific flow in the x and y directions (m 2 s − 1 ), ζ is the surface elevation (m), g is the acceleration due to gravity (9.8 m s − 2 ), n is the Manning’s coefficient, ρ is the water density (1000 kg m − 3 ), τ xx , τ yy , and τ xy are the components of the effective shear stress along x and y directions (N m − 2 ), and f is the Coriolis (s − 1 ).

Two-dimensional (2D) mesh of size 100 m x 100 m was chosen to represent the downstream land. Comparison of different mesh sizes (100 m and 200 m) indicated no significant difference in model performance. The storage areas and downstream areas are connected using an inline structure (Budhigandaki dam) as shown in Fig. 3 . “Storage Area” refers to upstream reservoir of the dam axis while “Downstream Study Area” represents the four towns (Narayangarh, Baraghare, Divyanagar, and Meghauli) located downstream which are likely to be inundated in case of dam breach (BGHP, 2015). Boundary conditions are required at the upstream and downstream ends of the model for flood routing. The upstream boundary was fixed at the reservoir extent (storage area) and the boundary condition was provided in the form of flood hydrograph generated from PMF. Outlet is the downstream boundary past the settlement areas as shown in Fig. 3 while the boundary condition of normal depth is maintained by providing the river bed-slope obtained from the DEM.

HEC-RAS 2D flow area and model schematic for the flood simulation of Budhigandaki dam breach

Scenarios and sensitivity analysis

In order to quantify the downstream effects of the Budhigandaki dam breach, the following two scenarios have been simulated:

Scenario 1: Dam breach when reservoir is at FSL with PMF. Scenario 2: Dam breach when reservoir is at FSL.

Only overtopping breach mode was analyzed as the dam is made up of concrete and there are less chances of other failure modes (Zhang et al. 2016 ). Moreover, for better understanding the Budhigandaki dam breach mechanism and impacts, sensitivity analysis of the following five important breach parameters as breach bottom elevation, breach bottom width, breach weir coefficient, breach formation time and breach side slope was carried out by varying their values over a reasonable range obtained from literature.

Scenario I have been considered as the base case. Sensitivity of the above-mentioned breach parameters on flood peak discharge, water surface elevation and flood arrival time at the four downstream locations along with inundation area are analyzed considering the base case.

The inputs for the dam break analysis adopted for the base case i.e., Scenario I is listed in the Table 2 . The values of breach parameters have been derived from FERC ( 1993 ), Office of the State Engineer ( 2020 ) and USACE ( 2014 ) specific for concrete dams.

Flood characteristics from 2D simulations

Using RAS Mapper, a series of flood maps were generated based on the outputs of the 2D simulation of the Scenario I dam breach. These maps were helpful in identifying the potentially risky and safe areas. The outputs of the HEC-RAS model were exported to GIS for further analysis and mapping.

Maximum Flood depth map

Using the simulation results, flood inundation maps were prepared illustrating the maximum flood depths across the study area for the different scenarios.

Flood Hazard Vulnerability Map : A flood hazard vulnerability map based on the product of depth and velocity was prepared using the Australian Rainfall-Runoff Guidelines (Australian Rainfall and Runoff 2019 ) which categorize the flood in six zones as: H1 ( D*V ≤ 0.3, D max = 0.3 m, V max = 2.0 m/s, safe for people, vehicles and buildings); H2 ( D*V ≤ 0.6, D max = 0.5 m, V max = 2.0 m/s, unsafe for small vehicles); H3 ( D*V ≤ 0.6, D max = 1.2 m, V max = 2.0 m/s, unsafe for vehicles, children and elderly); H4 ( D*V ≤ 1.0, D max = 2.0 m, V max = 2.0 m/s, unsafe for people and vehicles); H5 ( D*V ≤ 4.0, D max = 4.0 m, V max = 4.0 m/s, unsafe for people and vehicles, buildings vulnerable to structural damage) ; H6 ( D*V > 4.0, unsafe for people and vehicles, all buildings vulnerable to failure) where D and V refer to the flood depth and velocity, respectively while D max and V max refers to the maximum depth and maximum velocity, respectively.

Flood arrival Time Map

Flood arrival time maps represent the computed time (in hours or days) from a specified time in the simulation when the water depth reaches a specified inundation depth. For the case of Budhigandaki dam breach, flood arrival times at the four settlement areas were calculated and mapped.

Estimated values of PMP and PMF

The 1-day PMP value using the 13 precipitation stations was calculated to be 518 mm, 530 mm, 556 mm and 485 mm using Thiessen polygon, Kriging, inverse distance weighted (IDW), and Spline interpolation methods, respectively. As a worst-case scenario, we chose the IDW method, which gave the maximum value of PMP among the four methods, for generating the PMF hydrograph. Using the input data listed in the Appendix 1, ordinates of the synthetic unit hydrograph was computed using Snyder’s method as shown in Fig. 4 .

Synthetic Unit Hydrograph and Probable Maximum Flood Hydrograph for the Budhigandaki dam

From the synthetic unit hydrograph and rainfall intensity duration curve, Direct Runoff Hydrograph was generated. The flood values are generated for a 60-minute interval by linear interpolation between the ordinates of the unit hydrograph. August is the month with the highest flows at the Budhigandaki dam site. Therefore, base flow of 441 m 3 s − 1 which is the mean August flow (during 1964–2012) was added to obtain the final hydrographs (BGHPP Development Committee 2014b ). The final results are plotted in Fig. 4 . I t can be seen that the peak discharge of 11,669 m 3 s − 1 occurs at 33.9 h after the start of rainfall for PMF + base flow.

Flood depth and flood hazard vulnerability

The river valley of 110 km length from Budhigandaki dam to Meghauli was considered for the analysis. The maximum flood depth Fig. 5 shows that the flood depth is as high as 212 m in the upstream area as the river channel is narrow whereas the depth becomes lesser in the downstream river sections where the area is relatively wide and plain. The maximum water depths at Narayangarh is estimated to be 90 m followed by 50.3 m at Baraghare.

Flood Inundation Map Based on Maximum Depths

Similarly, Flood Hazard Vulnerability Map based on the depth and velocity was prepared as shown in Fig. 6 . It can be identified from the map that all the downstream area lies in H6 zone i.e., unsafe for people and vehicles and all buildings are vulnerable to failure.

Flood Hazard Vulnerability Mapping Based on Depth and Velocity

Flood arrival time

Simulated flood peak arrival times calculated at the four downstream settlement areas are shown in Fig. 7 . It is useful in designing of early warning systems at these locations. It can be seen that the travel times range from 11.3 h (Narayangarh) to 17 h (Meghauli) immediately after the dam breach depending on the proximity from the dam.

Flood arrival time for the major downstream settlement locations; D/S is downstream

Flood inundation across different land covers

As an impact of dam breach on land cover, it is seen that the inundated type to be most likely inundated is agricultural area (538 km 2 ). Similarly, 239 km 2 of forest is likely to be inundated second in rank. Grassland, water body, barren area, built-up area and shrub land are expected to be inundated with areas of 43 km 2 , 38 km 2 , 25 km 2 , 22 km 2 and 1.5 km 2 respectively as shown in Fig. 8 .

Inundation extent due to dam breach by land cover

Flood Impact on Water Surface Elevation (WSE) and peak discharge

Water surface elevations along the modelled river reach corresponding to the two scenarios are shown in Fig. 9 . It is seen that the water surface is nearly 110 m above the bed level at immediate downstream of the dam site while it is as low as 30 m in the downstream study areas. There is an enormous volume of water flowing down in a very short time because of the breach resulting in such high values of water depths along the river reach. There is very less change in the water surface elevation between Scenario-1 and 2. Also, at the settlement areas, the flow width is large i.e., flat plain area and hence lesser change is seen on the water surface elevation at downstream areas.

Profile of water surface elevation and river bed for Scenario I and Scenario II. Scenario I: Dam Breach at FSL with PMF and Scenario II: Dam Breach at FSL without PMF

For the two scenarios (Scenario-1 and Scenario-2), the flow hydrographs have been compared at immediate downstream of the dam and at the four major settlement locations as shown in Fig. 10 . It is to be noted that the peak discharge occurs nearly at the same time for both scenarios at all locations. At Narayangarh, peak discharges for Scenarios-1 and 2 are 511,587 m 3 s − 1 and 501,479 m 3 s − 1 respectively i.e., around 2% of difference in the value. Similarly, at Baraghare, the peak discharge for Scenario-1 is 454,267 m 3 s − 1 whereas 441,862 m 3 s − 1 for Scenario-2 and for Divyanagar, the peak discharge for Scenario-1 is 364,697 m 3 s − 1 whereas 357,294 m 3 s − 1 for Scenario II respectively. Lastly for Meghauli, the peak discharge for Scenario-1 is 294,928 m 3 s − 1 whereas 286,813 m 3 s − 1 for Scenario-2. It is obvious that the peak discharge for Scenario-1 is greater than that of Scenario-2, however, the differences in the peak values between the two scenarios are quite small (in the range of 2–3%). This implies that the storage volume of the dam is the major contributor to the flood discharge rather than the PMF.

Comparison of flood hydrographs at major study locations for Scenario I and Scenario II. Scenario I: Dam Breach at FSL with PMF and Scenario II: Dam Breach at FSL without PMF

Flood impact on infrastructure

The possible impact of inundation due to dam breach on buildings and roads was assessed. The total road length includes several types of roads such as highways, feeder roads, district roads and local roads. The inundated highway road length has been computed separately and all other types of roads has been kept as other roads (Table 3 ). It can be seen that Chitwan is the most impacted district with 58.5% of buildings and 2,541 km of road likely to be inundated. Meanwhile, Gorkha is expected to be the least affected district with 2.6% buildings and 132.4 km road inundated. Also, 149,311 numbers of buildings are inundated in total. If the total number of persons on average per household is taken as 4.5 (Cental Bureau of Statisitics 2016 ), a total of about 0.7 million people are likely to be affected by inundation in the case of dam breach. This is about 2.3% of the total population of Nepal.

Sensitivity analysis

Sensitivity analysis was performed in order to estimate the impact of the breach parameters on the simulated floods in the downstream impacted areas. The values of the input breach parameters were changed within a reasonable range, one at a time, in the dam breach model and the corresponding values of the peak discharge, water surface elevation, flood arrival time and land inundation area were recorded. Breach bottom elevation was varied from 450 masl to 525 masl. Similarly, breach width was varied from 55 m to 150 m and breach weir coefficient was varied from 0.9 to 1.7. Also, breach formation time was varied from 0.05 h to 0.3 h and breach side slope was varied from 0.7:1 to 2.5:1 ( H : V ). Results of the sensitivity analysis have been presented in Table 4 .

Breach bottom elevation

It is seen from Table 4 that as the breach bottom elevation is increased from 450 masl to 525 masl, the value of peak discharge and WSE are significantly decreased at the different downstream locations. It is observed that a 30% increase in breach bottom elevation (450 masl to 475 masl) led to 20–35% decrease in peak discharge, 20–25% decrease in WSE at different downstream locations and nearly 30% decrease in inundation area (893 km 2 to 735 km 2 ). However, the flood peak arrival time is not much altered due to change in breach bottom elevation.

Breach bottom Width

It is seen from Table 4 that an increase in breach width from 55 m to 150 m corresponds to an increase in discharge, WSE and inundation area but the change is not as significant as compared to that of change in breach bottom elevation. A 30% increase in breach width (80 m to 105 m) led to nearly 3% increase in peak discharge at all downstream locations. However, not much change is seen on the WSE, flood arrival time and inundation area due to change in breach bottom width.

Breach weir coefficient

An increase in the breach weir coefficient from 0.9 to 1.7 led to increase in discharge, WSE and inundation area but with a smaller magnitude compared to that of change in breach bottom elevation (Table 4 ). A 20% increase in breach weir coefficient (1.44 to 1.7) led to nearly 3% increase in peak discharge at all downstream locations. Also, no significant change is seen on the WSE, flood arrival time and inundation area due to change in breach weir coefficient.

Breach formation time

Interestingly, there is very insignificant change in peak discharge, WSE, flood arrival time and inundation area due to varying breach formation time (Table 4 ). The values of peak discharge, WSE, flood arrival time and inundation area remain almost unchanged despite the breach formation time is increased up to 200% (0.1 h to 0.3 h).

Breach side slope

A 50% increase in the side slope (1.3:1 to 2:1) led to nearly 2–3% increase in peak discharge as shown in Table 4 . Also, no significant change is seen on the WSE, flood arrival time and inundation area due to change in breach side slope.

Thus, results of the sensitivity analysis varying the values of the breach parameters, namely, dam breach bottom elevation, breach bottom width, breach weir coefficient, breach formation time and breach side slope on the peak discharge, WSE, flood arrival time and downstream inundation area has been summarized in Table 5 . It can be seen that dam breach bottom elevation is the most sensitive parameter with respect to output values such as peak discharge, WSE and downstream inundation area while breach formation time is the least sensitive parameter with respect to all the output parameters.

We have estimated the PMP followed by PMF which is the upstream boundary condition required for the dam breach model in HEC-RAS. The PMP value was chosen as 556 mm from the IDW method. Also, the PMP value as per the detail design report (BGHPP Development Committee 2014b ) is 594 mm. Both the values of PMP are generated using Hershfield formula. However, this slight variation in the PMP values is due to the difference in the values of frequency factor. The value of frequency factor in this study is taken as 15 (Hershfield 1965 ). Subsequently, the PMF value for this study is generated using Snyder’s Unit Hydrograph Method with peak discharge as 11,669 m 3 s − 1 . Besides, by using regional method the PMF was calculated to be 11,479 m 3 s − 1 and regional regression flood analysis method 11,957 m 3 s − 1 (Department of Electricity Development 2006 ). Hence, the PMF values considered in this study are assumed to be reliable.

Impacts of dam breach and sensitivity analysis of dam breach parameters

Simulation results of Scenario I and Scenario II showed that there is a huge peak discharge immediately downstream of the dam breach (Fig. 10 and the difference in discharge values for both scenarios is low. The reason for this is due to the large storage volume of the dam leading to minimum effect of PMF being observed. Also, the downstream tributaries are much smaller compared to the Budhigandaki mainstream river. Hence, their additional impacts on the dam breach flood magnitudes can be considered to be marginal. Additionally, the outputs such as peak discharge, WSE, flood arrival time and inundation area from the dam breach has been estimated as a standalone event. The impact of addition of inflows from the other tributaries (for example, due to localized cloudburst events) to the mainstream river in the downstream settlement area could be areas of further study.

Previous dam breach analysis on Budhigandaki dam has been carried out by Tractebel and jade consult as JV using TELEMAC software (BGHPP Development Committee 2014a ). The output results of the previous study appeared to be quite different from the study carried out using HEC-RAS. There could be various reasons for such discrepancies. The TELEMAC model has considered full dam breach whereas our study does not consider full dam breach. Also, the earlier model has considered high accuracy resolution LiDAR data and other input data (mesh size 30 m*50 m) whereas our study considers 30 m*30 m DEM data and 100 m*100 m mesh size due to model stability issues. However, the pattern of change in peak discharge and WSE at the different study locations are quite similar for both models.

Dam breach analysis has been carried out in different parts of the world using HEC-RAS adopting a methodology similar to ours. For example, simulations of the breach of Batutegi earthen Dam, Indonesia (Wahyudi 2004 ), Mosul earthen Dam, Iraq (Basheer et al. 2017 ) and the results of sensitivity analysis are found out to be quite similar to this study. All these studies showed that dam breach bottom elevation is the most sensitive parameter. Further, the trends in WSE and peak discharge with time and distance from the dam obtained in these studies are also comparable to those of our study. The WSE and peak discharge increased with the increase in the breach parameters as breach bottom elevation, breach bottom width, breach weir coefficient and breach side slope. The peak discharge decreased with increase in breach formation time and negligible change was seen on WSE. Hence, through sensitivity analysis, it is seen that dam breach bottom elevation is the most sensitive parameter while breach formation time is the least sensitive parameter with regards to the floods.

Challenges to flood management

This analysis of a hypothetical dam breach provides insight to the level of possible damage should such a breach occur. Also, it can be deduced from this study that construction of embankments along the river is not a practical mitigation measure because of the extremely high-water depths (nearly 90 m) that these structures need to retain within them. Hence, other non-structural preventive measures such as creating awareness regarding flood risks, community-based flood early warning system (CBFEWS), training and deployment of efficient disaster response teams, zoning of high-risk areas, avoiding construction/settlements in such areas, identification of evacuation centers etc. are recommended. The Yokohama Strategy and Plan of Action (World Conference on Natural Disaster Reduction 1994 ), Hyogo Framework for Action 2005–2015 (International Strategy for Disaster Reduction 2005 ), and the current Sendai Framework for Action 2015–2030 (United Nations 2015 ) highlight the importance of early warning in reducing disaster risk and enhancing the resilience of vulnerable communities. CBFEWS generates and disseminates meaningful and timely flood warnings to vulnerable communities threatened by flood, so they can prepare and act correctly in sufficient time to minimize the possibility of harm. Owing to non-structural measures, the response and adaptation to floods of the vulnerable communities vary widely and are impacted upon by various factors, such as community resilience and susceptibility to flood. Also, the effectiveness of the non-structural measures appears sensitive to the socio-economic changes and governance arrangements (Dawson et al. 2011 ). Nonetheless, non-structural measures provide flexible flood management options for adapting to the ever-changing river basins, socio-economic and climate scenarios, and are in line with the spirit of environment friendly and sustainable development (Shah et al. 2018 ). Also, research on identification of shelter areas and evacuation plan can be an extension of this study using network analysis, buffers and proximity analysis in GIS. Moreover, the sensitivity analysis depicts the most sensitive breach parameters which need to be considered with extreme importance during planning, design, construction and operation of the dam.

Conclusions

This paper simulated the dam breach scenarios of the proposed Budhigandaki dam in central Nepal using HEC-RAS and assessed the impacts on the downstream settlements. Flood peaks, water surface elevations and flood arrival times were calculated for the two scenarios with and without PMF. In addition, sensitivity analysis was carried out to examine the influence of the breach parameters on the flood characteristics.

Results show that the entire downstream area lies in high hazard zone with flood arrival times at Narayangarh, Baraghare, Divyanagar and Meghauli ranges from 11.3 h to 17 h. Moreover, a total of 1,49,311 number of buildings are prone to inundation in the case of dam breach along with 671,900 lives at risk and around 3,500 km stretch of road most likely to be severely damaged. The dam-break flood peak exceeds 650,000 m 3 s − 1 in the immediate downstream of the dam while it attenuates to 511,000 and 286,000 m 3 s − 1 at Narayangarh and Meghauli, respectively. The maximum depth of water ranges from 30 m (in the downstream flat areas) to 212 m (in the upstream steep gorges) clearly discarding the physical and economic feasibility of structural measures for flood management in this case. In addition, 538 km 2 of agricultural land and 25 km 2 of built-up land is at risk of flood inundation. Therefore, it is imperative to implement preventive and non-structural measures such as creating awareness regarding flood risks, developing community-based flood early warning system (CBFEWS), training and deployment of efficient disaster response teams, zoning of high-risk areas, avoiding construction/settlements in such areas, identification of evacuation centers, monitoring and constant auscultation of the structure and developing robust and efficient emergency and alert plans.

Furthermore, the differences in the peak discharges and water surface elevations between the two scenarios are very less at the study locations. This implies that the impact of the huge storage volume of the reservoir on the breach flood characteristics is considerably larger in comparison to the PMF. In addition, change in dam breach bottom elevation was found to be the most sensitive to floods compared to other dam breach parameters.

Additionally, the methodology applied in this study is conveniently replicable of other dams, large or small. However, the simulation run-times may vary depending upon the size of the dam, mesh size, simulation time step and other model complexities. It is to be noted that the case may change for snow fed rivers and glacier lakes. Also, while applying this method to other projects, one should always be careful about the boundary conditions and the initial values of dam breach parameters as they vary depending upon the dam under consideration.

Nepal has currently only one storage dam hydropower project (Kulekhani) in operation. With a greater number of storage projects being planned and under construction, this study could be a useful reference for such future projects. Moreover, this study provides interesting results particularly related to the sensitivity of the breach parameters of concrete arch dams, which could be applicable in study of similar dams in other regions of the world.

Data availability

No datasets were generated or analysed during the current study.

Abbreviations

Catchment Area (km2)

Peak flow coefficient (-)

Lag Coefficient (-)

Coriolis (s − 1 )

acceleration due to gravity (m s − 2 )

water depth (m)

Frequency Factor (-)

main channel length from basin outlet to upstream watershed boundary (km)

main channel length from outlet to a point nearest to centroid of watershed (km)

Mean of Maximum daily rainfall (mm)

Manning’s Coefficient (-)

Specific flow in x-direction (m 2 s − 1 )

Probable maximum precipitation (mm)

Discharge (m 3 s − 1 )

Specific flow in y-direction (m 2 s − 1 )

Unit peak discharge (m 3 s − 1 )

Standard Deviation (mm)

Base time (hours)

Rainfall excess duration time (hours)

Basin Lag time (hours)

Width of unit hydrograph at discharge value exceeded 50% of the peak discharge (hours)

Width of unit hydrograph at discharge value exceeded 75% of the peak discharge (hours)

Surface Elevation (m)

Water Density (kg m − 3 )

Effective Shear Stress (N m − 2 )

Effective Shear Stress along x direction (N m − 2 )

Effective Shear Stress along x and y direction (N m − 2 )

Effective Shear Stress along y direction (N m − 2 )

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Acknowledgements

We wish to express my very deepest thanks and gratitude to Mr. Shreeram Shrestha, Civil Engineer, Chilime Hydropower Company Limited, Nepal for his continuous guidance, inspiration and encouragement during the initial preparation of building HEC-RAS model to result interpretation and completion of this study.

This research received no specific grant from any funding agency in the public, commercial, or not-for-profit sectors.

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Nepal Engineering College, Pokhara University, Bhaktapur, Nepal

Institute for Life Sciences and the Environment, University of Southern Queensland, Toowoomba, Australia

Utsav Bhattarai

Centre for Water Resources Studies, Institute of Engineering, Tribhuvan University, Lalitpur, Nepal

Vishnu Prasad Pandey

Department of Civil Engineering, Pulchowk Campus, Institute of Engineering, Tribhuvan University, Lalitpur, Nepal

Pawan Kumar Bhattarai

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A.A. and P.K.B. devised the project, the main conceptual ideas, and the proof outline. A.A. worked out almost all of the technical details, prepared figures, and performed the model analysis for the suggested topics. A.A., P.K.B, and U.B. verified the numerical results. A.A. and V.P.P. interpreted the Results. A.A. with the help of U.B., P.K.B., and V.P.P. wrote the manuscript. U.B., P.K.B., and V.P.P. worked on the discussion of results and commented on the manuscript. A.A. finalizes the manuscript after all the edits.

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Correspondence to Pawan Kumar Bhattarai .

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Awal, A., Bhattarai, U., Pandey, V.P. et al. Downstream impacts of dam breach using HEC-RAS: a case of Budhigandaki concrete arch dam in central Nepal. Environ Syst Res 13 , 37 (2024). https://doi.org/10.1186/s40068-024-00358-3

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Published : 01 September 2024

DOI : https://doi.org/10.1186/s40068-024-00358-3

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