The Thesis

The Thesis is an original piece of scholarly research on a topic that has been selected by the student and approved by the supervisor and the student’s Supervisory Committee. The thesis is a major undertaking that reflects the highest standards of scholarship and that makes a significant contribution to knowledge and practice in the field of social welfare and the profession of social work.

The organization of the entire PhD program (required courses, elective courses, and Comprehensive Exam) is intended to guide the student in pursuing areas of social work theory and research, which will provide the background for the formulation of the Thesis Proposal. The student works closely with the supervisor in selecting a thesis topic that can be feasibly researched within a one- to two-year time frame.

The Thesis Proposal is generally developed in consultation with the supervisor and is subsequently submitted to the Supervisory Committee to their review and feedback. Once the thesis proposal is ready for formal approval, the supervisor convenes a meeting for the Thesis Proposal Defense. Students will then advance to candidacy once they have successfully completed of the Thesis Proposal Defense.

Once approved, the student carries out the proposed thesis research with the support and guidance of the supervisor and the Supervisory Committee. When completed, the Supervisory Committee approves the thesis and then an application for its defense at an Oral Examination is made through the office of the PhD Program Director. Completion and successful defense of the Thesis are required before the doctoral degree can be conferred.

When the Thesis is completed and has met the approval of the Supervisory Committee, the student proceeds to the Oral Examination that is administered by the School of Graduate Studies. Copies of the completed dissertations are housed in the FIFSW and may be signed out. Please see the Administrative Coordinator, Admissions and Programs (ACA), Angela Umbrello, for assistance in this regard.
The thesis topic follows from the literature research conducted for the Comprehensive Exam. This means that most students develop a feasible study question in conjunction with the analysis of the research literature examined for the Comprehensive Exam. Consultation with the supervisor enables the student to refine the question and prepare a Thesis Proposal.

In developing the thesis study question and method(s), the student should give careful attention to the time required to complete the project. The student should estimate that 3 to 4 months may be necessary to develop the proposal, select and pretest data collection instruments, obtain human ethics approval, and negotiate suitable sites for sample selection and implementation of the data collection procedures. A draft of the Thesis proposal is submitted to the supervisor for feedback and revision prior to convening a meeting of the Supervisory Committee for review and approval of the Thesis Proposal.

The supervisor is expected to provide feedback on the draft of the Thesis Proposal within a 2-week time frame.

Thesis Proposal Format Options

Students must clearly indicate which of the following Thesis Formats they will use in the Thesis Proposal.
1. A Traditional Dissertation (i.e., a monograph with chapters)
  
  OR
1. Three Paper Dissertation (i.e. with three publishable quality journal articles)
The student should specify the selection of the thesis format in the Thesis Proposal. Each option is described in the next section. The proposal should not exceed 20 pages. The text should be formatted according to APA 7^th Edition guidelines, with 12-point font, double-spaced, and left-justified, with 1” margins on all sides.

In addition, the title page of the Thesis Proposal must include the following statement:

“This Thesis Proposal is an independent piece of work submitted in partial fulfillment of the requirements to be met for a doctoral thesis in social work.”

Thesis Proposal Outline
1. Title: The thesis title should give a clear indication of the topic being studied.
1. The Problem: A description of the study problem includes specification of the study question(s), justification for their selection vis-à-vis previous research, and the potential relevance of addressing these questions for the advancement of social work knowledge.
1. Theoretical Framework and Background Information: The major theoretical premises that underlie the problem are articulated, and the salient concepts are defined. Following a concise, critical review of the theoretical and research literature, a theoretical model or framework is proposed in support of the selected research question.
1. Design and Methods: Research questions and/or hypotheses are formulated clearly such that all study constructs and/or variables and their anticipated relationships are specified. The selected research design is detailed (survey, archival, descriptive, interpretive, experimental, etc.). The reasons for selecting the design are given, including its merits and limitations. Where applicable, the operational definitions of each study variables are defined.
  
  Participant and the sampling procedures are specified including the inclusion/exclusion criteria for study participants, justification for selecting the population, or database, from which the sample is to be drawn. Sample size, or extent of database, is specified and justified.
  
  Data collection methods are described in detail. Interview schedules, procedures for analyses of databases, coding methods, recording methods, instruments, or any other proposed data collection techniques are to be described, including the psychometric properties where applicable.
1. Data Analysis: The methods of analyses appropriate for the study design are described. The specified procedures are consistent with the nature and quality of the data. Pilot testing of the analytic procedures may be required when these procedures have not been previously tested. The results of the pilot study are reported, including the identification of potential problems.
1. References: Only items cited in the text are included.
1. Work Plan: At the end of the proposal the student attaches an addendum, which provides a detailed work plan, including estimates of the time needed to complete each phase of the proposed research.
The supervisor, as the Chair of the Committee, and the Supervisory Committee members have the responsibility of adjudicating the merits of the Thesis Proposal. The student proceeds to the collection of data and preparation of the thesis only after approval of the Thesis Proposal has been obtained from the Supervisory Committee.

Thesis Proposal Defense Meeting

Following revisions of the Thesis Proposal based on feedback from the supervisor, a Thesis Proposal defense meeting of the Supervisory Committee is convened. The student submits copies of the Thesis Proposal to each member of the Committee at least 2 weeks prior to the proposal defense. The student attaches to each copy of the proposal the Thesis Proposal Assessment Criteria Form (Appendix 8).

The Thesis Proposal defense meeting is required in adjudicating the merits of the student’s Thesis Proposal. To obtain candidacy, students are required to complete their Thesis Proposal defense by the end of the third year. The following criteria will be considered for assessing the Thesis Proposal during the proposal defense:
- To what extent is the research question focused and researchable?
- To what extent has a coherent and relevant theoretical model been developed in support of the research question?
- To what extent are the design and methods appropriate and clearly articulated?
- Are the sampling strategies and other sources of information well thought out and appropriate?
- Are the information-collecting strategies clearly stated, including psychometric properties where appropriate?
- Are the planned analyses of the collected information clearly outlined and appropriate?
- Is the proposal work plan feasible?
During the meeting, the student is expected to give a brief summary of the Thesis Proposal to the committee and respond to questions raised. Based on the assessment of the written proposal and the student’s responses to these questions, the committee makes specific recommendations as to corrections, modifications, or substantial revisions.

The supervisory committee members record the recommendation on the Thesis Proposal Recommendation Form (Appendix 10). The supervisor writes a Summary Report of the Committee’s review of the Thesis Proposal addressing each of the assessment criteria.

Final Submission of Thesis Proposal

The supervisor completes the Summary Report of the Supervisory Committee’s review of the Thesis Proposal. The Summary Report is appended to the completed Thesis Proposal Recommendation Form and copies are sent to the student, each committee member, and the PhD Program Director. The PhD Program Director forwards the reports to the Administrative Coordinator, Admissions and Programs (ACA), for recording on ACORN and filing in the student file.

Possible results of the Supervisory Committee’s review of the Thesis Proposal include:
- Approved
  
  a) Without changes
  b) With minor corrections
  c) With minor modifications
- Not Approved
If the Thesis Proposal is approved, the student makes corrections or modifications to the proposal as recommended by the Supervisory Committee and submits a copy to the supervisor, each committee member, and the PhD Program Director. Following the initial notification of the approval status, students who receive “Approved with Minor Corrections” are required to submit the final copy within 1 month, and those who receive “Approved with Minor Modifications” are required to submit the final copy within 3 months.

If the Thesis Proposal is not approved and major revisions have been recommended, the student revises the proposal accordingly. The Supervisory Committee is reconvened, and a second adjudication of the proposal proceeds as described above. When final approval has been obtained, the student proceeds with data collection.
The format for the title page, acknowledgments, abstract, and table of contents is consistent with a standard set by the University. The title page must include the following statement:

“A thesis submitted in conformity with the requirements

for the degree of Doctor of Philosophy”

Traditional Dissertation

For the main body of the Traditional Dissertation, the sequencing of the chapters follows the following format set for the Thesis Proposal:
1. Introduction (includes statement of problem)
1. Review of Background Literature (theoretical and empirical)
1. Design and Methods
1. Findings
1. Discussion (includes relevance to Social Work)
1. References
1. Appendices
1. Style for Citations, References, Headings and Tables
For citing published work in the body of the thesis students are to use the format prescribed by the APA 7^th Edition Manual. The “Expression of Ideas” and the “Editorial Style” chapters of the APA Manual will be helpful for arriving at a standard usage of terms and punctuation style. The APA Manual specifies five levels of headings which should be followed for formatting headings in the thesis. Also, students are to use the APA Manual for the format of tables and figures. Tables and figures may be included in the text or may be appended at the end of the manuscript. The reference list is to be prepared according to the APA style.

Students writing a thesis using historical research methods should follow the format recommended in The Chicago Manual of Style. In addition to following the guidelines of the specified manuals for formatting the thesis, it is essential that the student follow The School of Graduate Studies’ guidelines for submission of ETDs (Electronic Theses and Dissertations).

Three Paper Dissertation

The three paper dissertation option allows students to write three related papers in a given topic or area of interest in which they have conducted research as required for the PhD program. While each paper is a stand-alone piece of scholarly work, containing its own literature review and associated article components, the three independent pieces, taken together, form a cohesive exploration of the specific topic area under study. Papers may use the same data set (to explore different questions or apply different methods) or different datasets. The introduction and conclusion sections of the dissertation describe how each of the papers fits together. Conclusions and implications that are common across the three papers can be described in the dissertation introduction and conclusion.

Guiding Principles for the Three Paper Dissertation

The three-paper dissertation is an alternative to the traditional format for those students who would find it a benefit. The three-paper option is based on the same fundamental principles of student independent work and scholarly rigor. The student’s committee has the major responsibility for maintaining the rigor of the dissertation and for negotiating issues as they arise. They are to determine the content and quality of each of the papers and the dissertation as a whole.

Three Paper Thesis Guidelines
1. Students should specify in their proposal that they are choosing the three-paper option.
1. The three-paper dissertation needs to be approved by the supervisor and committee, taking into account the kind of work the student is proposing and the best way of presenting and organizing the results that will be produced in the dissertation research.
1. The dissertation should be comprised of three papers.
  a. The dissertation must include an abstract that synthesizes the papers (Chapters 2, 3, 4), as well as an introduction (Chapter 1) and a conclusion (Chapter 5).
  b. The papers should form a cohesive body of work that supports a theme or themes that are expressed clearly in the introduction of the dissertation.
  c. The need for three papers (as opposed to just two) should be clear and approved by the dissertation committee and not merely represent minor variations of a work that would be more appropriately reported in just one or two papers.
1. The literature review for each paper is distinct and highlights a unique aspect within a topic area. That said, a certain amount of overlap is acceptable. For example, portions of the literature review may need to be cited in the various papers because it delineates the entire historical background of the study’s focal topic. Redundancy can be carefully reduced by citing one’s own work. However, self-plagiarism – reusing one’s own previously written work or data in a ‘new’ written product without letting the reader know that this material has appeared elsewhere – is prohibited.
1. The introduction should function as the thread that weaves the three manuscripts together and briefly describes, for the reader, their ‘collective meaning’ and ‘combined contribution’ to the field. It should include:
  a. A definition or statement of the problem.
  b. The importance of the problem (i.e., why it is worth researching, why it matters to the field of social work).
  c. The theoretical foundation(s) supporting the problem/issue.
  d. An overview of the important literature (overview, because each paper will have its own unique literature review).
  e. The research questions in each paper.
  f. The methodology to be used to answer each question in each paper.
NOTE: The dissertation proposal should reflect these items as well, though the introduction may contain far more detail.
1. At least two of the papers should be based on data that are analyzed by the student. If the third paper is conceptual in nature or based on a synthesis of the literature that is not a systematic review, it must be connected to the theme or themes of the dissertation without overlapping heavily with the contents of either of the other papers. Whether the extent of any overlap is excessive will be determined by the student’s dissertation committee.
1. The conclusion chapter should present/discuss research imperatives, or knowledge gaps, not visible when each manuscript is considered individually, describe in detail the 3 papers’ combined contribution’ to the field, and should articulate an agenda for future research on the issues addressed in the dissertation. The conclusion (Chapter 5) will include:
  a. Summary of the dissertation’s major findings
  b. Limitations
  c. Discussion (including implications for social work)
  d. Recommendations.
  
  The conclusion chapter ‘ties’ everything together and helps the reader see how the three manuscripts, taken together, contribute to the knowledge base regarding the problem. In both the introduction and the conclusion, the student also will present and discuss linkages (i.e., similarities and differences) among the separate manuscripts that are included in the dissertation, striving as much as possible to present the document as representative of a coherent body of work.
1. All papers must represent work undertaken while the student is enrolled in the PhD program, and each must be approved by the committee at the time of the student’s proposal defense. It is acceptable for a student to include a previously published journal article in the three-paper dissertation, as long as (a) all authorship requirements in our School’s guidelines are adhered to; (b) the dissertation committee agrees to the manuscript’s inclusion as an integrated and substantial chapter of the dissertation; and (c) the article was not submitted for publication prior to the dissertation proposal.
1. As with any other dissertation, students must submit their manuscripts in accordance with the SGS guidelines. If an article is published after the dissertation proposal is accepted and prior to the dissertation defense, the student will be responsible for securing necessary permissions to use the article as part of their dissertation from the copyright holder and other authors.
1. Students should decide as early as possible, in concert with their dissertation chair, whether to pursue the three-paper format. However, they may switch from one format to the other at any time provided that their dissertation committee approves the switch.
Co-authorship of papers in a dissertation raises several serious issues that must be addressed by the dissertation committee in a manner that both protects the student’s intellectual contribution and also ensures that the student is conducting their own work.
1. Absolutely no student co-authors are allowed. A paper can be submitted for only one dissertation. Limiting authorship in this way ensures that this is the case.
1. While students are permitted to consider adding a co-author to one or more papers, they are not required or particularly encouraged to do so. For example, members of the committee should not expect to be co-authors on any of the papers. Some examples of acceptable co-authorship are:
- Use of data generated by a Principal Investigator.
- Community members that, as part of a process of inclusion in the research, are secondary authors.
1. In the case of co-authorship on any individual paper within the dissertation, the student must indicate the percentage of effort and description of the role played by each author in the introductory chapter to the dissertation. Students must also gain prior authorization from their supervisor and committee members before pursuing the option of including a co-author in any of the three papers of their dissertation.
1. With the exception of #1 above, the Faculty will defer to the judgment of the dissertation committee as long as there is cohesiveness of the three-paper dissertation with sufficient explanation as needed regarding the student’s contributions in the case of co-authorship on a given paper.
Candidates complete a thesis that constitutes a distinct contribution to knowledge in the field of social work and must be based on research conducted while registered for the PhD Program. Copies of the completed Thesis must be submitted to all final oral examination committee members and to SGS at least 8 weeks before the candidate’s final oral examination to allow enough time for the appraisers to review the Thesis and provide feedback. The candidate shall successfully defend the Thesis at a final oral examination which is administered by SGS. The student can refer to Guidelines for Review of Doctoral Dissertations (Appendix 12).

When the Supervisory Committee has approved a final draft of the thesis, the Supervisory Committee Chair (supervisor) arranges with the PhD Examinations Office of the School of Graduate Studies a date and time for the Oral Examination. This request must be made at least 8 weeks prior to the desired examination date. It is the responsibility of the supervisor to decide, in consultation with the student, which scholar is appropriate as external examiner for the oral examination. See SGS website for regulations.

NOTE: In August 2006, the School of Graduate Studies stated that only defense committees consisting of five members will be approved; four persons must be present at the time of defense (either in-person or via zoom).

The Final Oral Examination Committee Must Include:
- Up to three members of the supervising committee.
- One to three examiners who have not been closely involved in the supervision of the Thesis. Those eligible would include the external appraiser, members of the graduate faculty of the University in other departments, and other faculty members from the candidate’s Department.
- A non-voting Chair appointed by SGS. SGS will provide the Department with the name of a suitable Chair and will notify the Chair by letter.
The Examination Committee, exclusive of the Chair, will not normally be composed entirely of members of one department.

Submission of the Thesis for Assessment

The student submits an electronic version of the Thesis in both Word and PDF to the Administrative Coordinator, Admissions and Programs (ACA), who will distribute the thesis by email to each of the Final Oral Examination Committee members at least 8 weeks in advance of the examination date.

Appointment of a Final Oral Examination Committee

With the exception of the External Appraiser, each member of the Final Oral Examination committee must hold a Graduate Faculty Membership at the University of Toronto.
1. The Examination Committee shall consist of four to six voting members. Because quorum is four voting members, SGS recommends including at least five voting members to ensure the exam proceeds as scheduled. The Committee must include:
  
  a. At least one member, but not more than three members, of the Candidate’s supervising committee.
  b. At least two examiners who have not been closely involved in the supervision of the Thesis. Those eligible include: the External Appraiser, members of the faculty appointed to the Candidate’s graduate unit, and members of the faculty appointed to other graduate units of the University.
  c. A non-voting Chair appointed by SGS. The Doctoral Examinations Office will inform the graduate unit when a Chair for the examination has been appointed. Note that the graduate unit is not required to include the name of the Chair of the Examination Committee on the Examination Committee Nomination Form, which the graduate unit should submit to SGS as soon as possible by requesting approval on ACORN.
1. The Examination Committee may also include up to two non-voting members. These members must also be listed on the nomination form and approved by the Vice-Dean, Programs.
NOTE: Proposed exceptions to the above must be approved by the Vice-Dean, Programs.
After your thesis supervisor has approved your final thesis, see SGS guidelines for producing and submitting an Electronic Thesis/Dissertation (EDT) to the digital library repository.

Publishing Your Thesis

For information about publishing the dissertation, please refer to the University of Toronto Libraries Guide on “Publishing Your Thesis.”

In select cases, students may choose to embargo the thesis to postpone distribution and publication for a period of up to two years from the date of acceptance of the thesis. For information about embargo, please see the University of Toronto Libraries Guide on “Thesis Embargo.”