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Writing dissertation chapter 5: the biggest mistake students make, published by steve tippins on june 4, 2020 june 4, 2020.

Last Updated on: 2nd February 2024, 04:50 am

Chapter 5 of your dissertation is different from all of the previous four chapters.

If you’re beginning to write Chapter 5 of your dissertation, you know that most of the writing you’ve done up until now was fairly formulaic. You’ve probably been following templates with strict requirements about what needs to be included in each section and subsection. Even in Chapter 5, many schools will give you a template. But don’t let that fool you.

Regardless of whether you receive a rubric for it, Chapter 5 of your dissertation is unique. 

Your dissertation’s Chapter 5 is where you get to be more individualistic than in any other chapter and really “sing your song.” Why? It’s where you tell the reader what your results mean. Not just what they are, but what they mean. You tell them what they should take away from your study. You describe how your results can help others in the world or in the field. 

The Most Common Mistake Students Make When Writing Chapter 5 of Their Dissertation

The biggest mistake students make when writing their dissertation’s Chapter 5 is not writing enough. In fact, students often submit an “implications” section that’s only a few paragraphs.

As a committee member , it’s hard to see someone who has spent a year on a research topic and written 100+ pages about it and then get to the implications in Chapter 5 and see two paragraphs. This begs the question, “You mean this is all you have to say?”

Don’t cheat yourself in Chapter 5. Really explain and tell the story of what your results mean.

This is where you get to bring out your intellectual curiosity and help others really understand what you did and why you did it, what it means, and why it’s important. Of course, you’ll need to do this all within the guidelines of what your university will allow you to do. 

Normally Chapter 5 of a dissertation is about 15-20 pages. If it’s under ten pages, you’re really underselling your research. When you get to around 30-40 pages, your committee is going to wonder, “did all this come from your study?” or “couldn’t this have been said more succinctly?” 

Tips for Writing Dissertation Chapter 5

Reference the Literature. If you’re stumped for things to write, look at what you said in Chapter 2 and tell the reader what your results mean in relation to what the researchers you quoted in Chapter 2 were talking about.l How you have added knowledge to the field?

Consider Your Defense. When you do the defense of your final document, Chapter 5 is where you end up at the end of your presentation. This is the last thing you talk about before you get to questions, and it’s where you may be able to answer questions before they come up. 

Address Your Problem and Purpose. Don’t forget to remind the reader what your problem statement and research questions were at the beginning of Chapter 5. Explain how your results apply to the problem and purpose.

Back Everything Up. Also remember that even though it’s your chance to interpret and even express yourself, you still have to back everything up. Use quotes or data points from your results section and relate it to other research.

Use a Bird’s Eye View. This is where you can use graphics, charts, graphs, or other data that are much broader in scope than you might use elsewhere. In Chapter 4, for example, you’re going to use a graph that specifically relates to a statistical test you did. In Chapter 5, you might use one that’s broader in scope if it fits the flow of what you’re writing.

Tell a story. While other chapters might have been written in more of a compartmentalized style because of their formulaic nature, in Chapter 5 you’re really telling the story of your research. In line with that, the writing will need more of a flow. 

Dissertation Chapter 5 Sample Template With Explanations

Introduction 

In the introduction, tell the reader what they’re going to learn in Chapter 5. Reiterate the problem and purpose statements and your research questions and, if appropriate, reference the results from Chapter 4.

Implications

This is where you tell people here’s what the results of your study mean and why they are important. It also acts as a summary or “summing up” of the data. “These people said this,” or “this statistic was significant.” Make sure to support what you say with the research findings and avoid drawing conclusions that are beyond the scope of the study results.

Then discuss the real-world application of your findings. For example, “This is an approach that could be used by schools to help autistic children have better learning outcomes,” or “this is a technique that investors can use to predict valuable stock market returns.” Again, make sure to stay within the scope of your study.

Place your study in context. Describe how the results respond to the study problem, align with the purpose, demonstrate significance, and contribute to the existing literature described in Chapter 2. 

Recommendations

The recommendations section is where you get to say, “and if you want to take this further, here are some suggestions for ways that this could be broadened or enhanced.” Here are some examples of what these suggestions could look like:

• Different samples and populations
• Ways to get at any limitations you reported in your study
• Different approaches: qualitative if your study was quantitative, or quantitative if yours was qualitative, for example. Describe approaches that would be complementary to your study.
• Related research that you’re already working on. Sometimes researchers work on multiple complementary projects simultaneously. Occasionally, they’ll include another related study that they’re working on in their recommendations section. This establishes a clear path of knowledge.
• Practical, real-world suggestions. “Here are some recommendations for how this research could be used in the real world.”

The conclusion of Chapter 5 is where you get to wrap up your story. “And so, boys and girls, this is what all this came down to.” Okay, you might not want to phrase it like that. But that’s essentially what you’re doing.

Don’t try to add new information in the conclusion. Remember, it’s like a speech: tell them what you’re going to tell them, tell them, then tell them what you told them. 

Finishing Your Dissertation

Writing Chapter 5 and defending your dissertation is a big step towards getting your degree. Many students benefit from the support of a coach who is an experienced Dissertation Committee Chair at this point. A coach can conduct a mock defense with you in order to prepare you for the types of questions your committee will ask. Having answers to these questions can determine whether or not you pass your defense.

Check out my dissertation coaching services or contact me to book a free 30-minute consultation.

Steve Tippins

Steve Tippins, PhD, has thrived in academia for over thirty years. He continues to love teaching in addition to coaching recent PhD graduates as well as students writing their dissertations. Learn more about his dissertation coaching and career coaching services. Book a Free Consultation with Steve Tippins

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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 .

*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.

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?

Table of contents

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 ...

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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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Chapter 5: Conclusion, Interpretation and Discussion

Introduction.

The following chapter concludes this report. A summary of the research is presented, and findings of the study are discussed and interpreted. The significance of this research in the immediate context of El Gallo and in the field of low-income housing is examined. Recommendations for further research end the chapter.

The scope of the following conclusions is limited to the context and historical characteristics of El Gallo. Thus, applied to other situations, these conclusions may yield incorrect assumptions. Still, these conclusions are relevant to the process of dwelling evolution in progressive development projects.

5.1 Summary of Research

This study observed the process of dwelling evolution in progressive development projects. The literature review was concentrated on the process of progressive development occurring in planned sponsored projects. It was found that, based on observations of the informal settlement process, progressive development under different contextual conditions was not questioned, and its benefits were taken for granted. Studies in the area were reduced to the period of improvement up to the time when the dwelling was physically consolidated. Longer term evaluation of progressive development projects were not found.

Research was undertaken on a 27-year-old progressive development project in Venezuela. The intention was to observe the process of dwelling evolution and the kind of housing that was being produced under progressive urban development projects on a long-term basis. The case study showed dwellings built with different initial levels of user-participation. Dwelling evolution was observed in a survey sample using parameters relevant to the case study (i.e., area increase, dwelling spatial growth and plot occupation, and changes in the functional structure).

Survey dwellings followed identifiable patterns of evolution in size, spatial structure and use-layout. Patterns were affected by aspects of the surrounding context and by aspects inherent to characteristics of the initial dwelling. Consequently, different dwelling groups showed different processes of progressive development.

5.2 Discussion and Interpretation of Findings.

As progressive developments, dwellings at El Gallo were able to adopt new and diverse roles along their whole process of evolution. In this section, relevant issues of the process of dwelling evolution observed at El Gallo are discussed. The first concerns the role of the non-permanent structure in the context of El Gallo as a sponsored progressive development project. The second comments on the process of dwelling evolution that followed the construction of the permanent structure.

In principle, non-permanent structures at El Gallo were similar to ranchos built in informal settlements. Ranchos at El Gallo served as primary shelters while more basic household priorities were met (i.e., services and infrastructure were provided, sources of income were found and generated, and even a favourable social environment was developed among neighbours). However, the majority of tin shacks were neither considerably increased nor upgraded with better materials even when they were used for long periods of time. This fact, together with the sudden change in the pace of development caused by the construction of a very complete permanent dwelling and subsequent removal of the rancho, had no connection with the gradual process of shack replacement observed in invasion settlements of Ciudad Guayana during this study (Portela, M. 1992). Neither did this process have a relationship with the system of "piecemeal construction" described by several housing researchers as characteristic of low-income dwellers.

The shanties were... housing in process of improvement. In particular the piecemeal system of building afforded great advantages to those who, like most of the poor in developing societies, have great variations in income from month to month (Peattie L. 1982:132).

Under El Gallo conditions of land security, ranchos did not show consolidation, and revealed their transient character because they were eventually substituted by permanent structures. The non-permanent structure revealed the primary household's aspiration for a minimum satisfactory habitable area. However, besides basic shelter during the initial stage, ranchos served to the purposes of capital accumulation that eventually allowed households to buy a basic unit according to official standards, or building a bigger, more complete first permanent structure. The size of ranchos reflected households' aspirations for the permanent dwelling, that is,smaller ranchos were substituted by basic units of the housing programs. Instead larger ranchos were substituted by large self-produced dwellings.

It is difficult to ascertain why ranchos were removed when they could have been kept as part of the dwelling, as in fact did a minority of households (2 cases). Is a fact that the temporary materials of ranchos contributed to their deterioration that ended with the total removal of the rancho. However, an idea that may have contributed to the demolition of the rancho was the household's adoption of the planner's belief that ranchos were a bad but necessary step on the way to obtaining permanent housing. Thus, once the permanent dwelling was built, the price households paid to gain credibility (i.e., that this stage was reached) was the demolition of the rancho itself. This interpretation can be specially true for Ciudad Guayana, where dwellings of certain quality such as those of El Gallo were seen as "casas" or houses. Instead, structures of similar quality in the hills of cities such as Caracas were still considered ranchos. In the long run, informal settlements obtained the largest benefits from this process because they gained far more official tolerance and social credibility (i.e., that shacks were actually temporary means of residence towards good-quality housing).

Those who lived in smaller ranchos improved their spatial conditions by moving to the small basic dwellings. Those who occupied bigger ranchos built bigger dwellings by themselves. Still, some households built their dwellings without going through the rancho stage. Self-produced dwellings followed the formal models either to gain the government's credibility of user commitment to build "good" government-like housing, or because households believed so. Imitation of the formal models, however, varied according to the builder's interpretation. For instance, the pattern of the detached dwelling was adopted, but often one of the side yards was reduced to a physical separation between the dwelling and the plot separation wall. More effective interpretations involved enlarging the front porch or using the central circulation axis to allow easy extension in the future.

The building approach of the permanent structure influenced the process of evolution that followed. Basic units built by the housing agencies had a compact, complete layout with higher standards of construction; however, aspects of the design, such as internal dimensions, were inadequate for household criteria, and the layout was not well adapted. Dwellings built according to provided plans and specificationshad similar problems, but households enlarged spaces and modified layouts when they were building the units. The level of construction standards was also reduced since the lateral façades of some dwellings were unfinished. Dwellings built totally by self-help means were the largest permanent structures. Aspects of the design of the first permanent structure allowed easy extension of the dwelling towards open areas of the plot. More user participation was reflected in straight-forward processes of evolution without internal modifications, and fewer stages to reach the current houseform.

5.3 Significance of the Study

While this study acknowledges again the effectiveness of progressive development in the housing system, it shows how dwelling evolution in progressive development projects can have different characteristics produced by internal and external interventions. Usually, projects are designed and launched to reproduce certain desirable outcomes and meet specific expectations. However, conditions prevailing in these projects and sometimes strategies that are introduced to "improve," "speed up" or make more "efficient" the process of evolution can affect the outcome in many different ways. This study showed how contextual characteristics of El Gallo, as well as the design and level of user participation in the initial permanent dwelling, affected successive stages of progressive development. However, it is important to recognize that are other issues beyond the spatial aspects that are intrinsically related with the evolution of the dwellings and that were not included within the scope of these particular research (i.e., household's changes in income, size, and age or gender structure).

The findings at El Gallo add modestly to the body of knowledge of literature on progressive development. Progressive Urban Development Units, UMUPs , have been the main housing strategy in Ciudad Guayana these last years, and they are likely to keep being used. Simple facts such as knowing the characteristics of the additions and modifications that households make to their dwellings over time can be the basis for more assertive actions supporting or enforcing progressive development activities. Understanding the process of dwelling evolution in low-income developments would be an effective way to help the process that, in the case of Ciudad Guayana, zonings and bylaws have been unable to regulate.

5.4 Recommendations for Further Research

Long term assessments are particularly constrained by the availability and reliability of recorded data. The frequency, and often the methodology, in which censuses and surveys are made do not always suit the purposes of this kind of research. Household interviews are very important, but they may become troubled by informant's limited memories and the continuity of the household in the dwelling. Aerial documentation, if available, represents one of the most reliable sources to observe physical change. Nevertheless, a careful and detailed process of observation of aerial data becomes very time consuming. For similar studies, a first phase in which the housing diversity is identified in the aerial data according to the selected criteria, would allow to reduce the number of detailed survey samples needed, thus considerably reducing the time of data collection.

In the context of Ciudad Guayana, further studies of the non-permanent dwelling in recent UMUPs would reveal new insights into the function of these structures in progressive development projects. This would be essential especially if any kind of initial aid is to be provided. On the other hand, following the growth of progressive developments is necessary if services and infrastructure are, as they are now, the responsibility of the local government. Identifying the producers of physical evolution -- i.e., the drivers and catalysts of change -- would be an important step for further research. An interesting step within this trend could be to ascertain the extent in which other household processes -- family growth, income increase and economic stability, household aging, changes in the household composition (single- to multi- family), etc., affect the process of dwelling evolution.

In the context of low-income housing, the process of progressive development needs further understanding. As in Ciudad Guayana, progressive development is likely to be the main housing strategy for other developing countries in the near future. Local authorities would do well to follow the evolution of settlements and to identify real household needs, and the consequences of public and/or private interventions in low-income settlements. Perhaps the most important learning of this study is that the experience of El Gallo acknowledges again the dynamic participation of the low-income households under different conditions, and still leaves wide room for a positive participation for the many other actors in the evolving urban entity.

. Notes for Chapter V

1 Dodge reports that some settlers of Ciudad Guayana kept the rancho and rented it to poorer families (Dodge,C. 1968:220). This attitude has been more common in other progressive development projects. The Dandora site and services also encouraged the construction of temporary shacks while the permanent dwelling was built. However, non-permanent structures remained to be rented or used as storage areas even after the permanent dwelling was built (McCarney, P.L. 1987:90).

Department and University Information

Minimum cost housing group.

Improved Surface Drainage of Pavements: Final Report (1998)

Chapter: chapter 5 summary, findings, and recommendations.

Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

CHAPIER 5 SI~MARY, FINDINGS, AND RECOMMENDATIONS SUGARY The primary objective of this research was to identify unproved methods for draining rainwater from the surface of multi-lane pavements and to develop guidelines for their use. The guidelines, along with details on the rationale for their development, are presented in a separate document' "Proposed Design Guidelines for Improving Pavement Surface Drainage" (2J. The guidelines support an interactive computer program, PAVDRN, that can be used by practicing engineers In the process of designing new pavements or rehabilitating old pavements' is outlined In figure 39. The intended audience for the guidelines is practicing highway design engineers that work for transportation agencies or consulting firms. Improved pavement surface drainage is needed for two reasons: (~) to minimize splash and spray and (2) to control the tendency for hydroplaning. Both issues are primary safety concerns. At the request of the advisory panel for the project, the main focus of this study was on ~mprov~g surface drainage to mammae the tendency for hydroplaning. In terms of reducing the tendency for hydroplaTuT g, the needed level of drainage is defined in terms of the thickness of the film of water on the pavement. Therefore, the guidelines were developed within the context of reducing the thickness of the water film on pavement surfaces to the extent that hydroplaning is unlikely at highway design speeds. Since hydroplaning is ~7

DESIGN CRITERIA Pavement Geometry Number of lanes Section type - Tangent - Horizontal curve - Transition - Vertical crest curve - Vertical sag curve Enviromnental oramaters Rainfall intensity ~ Temperature Pavement Tvpe Dense-graded asphalt Porous asphalt Portland cement concrete ~ Grooved Portland cement concrete Desion Soeed Allowable speed for onset of hydroplaning Recommend Desion Changes Alter geometry Alter pavement surface Add appurtenances Groove (Portland cement concrete) CALCULATIONS Lenoth of flow path Calculate on basis of pavement geometry IT Hydraulic Analvses .  No? Water film thickness Equation No. 10 Equation No.'s. 16-19 1 Hvdroolanino Analvsis Hydroplaning speed Equation No.'s 21-24 Rainfall Intensity Equation No. 25 -A I / Meet Design ~ \ Cntena? / \<es? Accent Desinn | Figure 39. Flow diagram representing PAVI)RN design process In "Proposed Guidelines for Improving Pavement Surface DrmT~age" (2). 118

controlled primarily by the thickness of the water film on the pavement surface, the design guidelines focus on the prediction and control of ache depth of water flowing across the pavement surface as a result of rainfall, often referred to as sheet flow. Water film thickness on highway pavements can be controlled In three fundamental ways, by: I. Minimizing the length of the longest flow path of the water over We pavement and thereby the distance over which the flow can develop; 2. Increasing the texture of the pavement surface; and 3. Removing water from the pavement's surface. In the process of using PAVDRN to implement the design guidelines, the designer is guided to (~) minimize the longest drainage path length of the section under design by altering the pavement geometry and (2) reduce the resultant water film thickness that will develop along that drainage path length by increasing the mean texture depth, choosing a surface that maximizes texture, or using permeable pavements, grooving, and appurtenances to remove water from the surface. Through the course of a typical design project, four key areas need to be considered in order to analyze and eventually reduce the potential for hydroplaning. These areas are: ~9

I. Environmental conditions: 2. Geometry of the roadway surface; 3. Pavement surface (texture) properties; and 4. Appurtenances. Each of these areas and their influence on the resulting hydroplaning speed of the designed section are discussed In detail In the guidelines (21. The environmental conditions considered are rainfall ~ntensibr and water temperature, which determines the kinematic viscosity of the water. The designer has no real control over these environmental factors but needs to select appropriate values when analyzing the effect of flow over the pavement surface and hydroplaning potential. Five section types, one for each of the basic geometric configurations used In highway design, are examined. These section are: 1. TaIlgent; 2. Superelevated curve; 3. Transition; 4. Vertical crest curve; and 5. Vertical sag curve. 120

Pavement properties that affect the water fihn thickness mclude surface characteristics, such as mean texture depth and grooving of Portland cement concrete surfaces, are considered In the process of applying PAVDRN. Porous asphalt pavement surfaces can also reduce He water film thickness and thereby contribute to the reduction of hydroplaning tendency and their presence can also be accounted for when using PAVDRN. Finally, PAVDRN also allows the design engineer to consider the effect of drainage appurtenances, such as slotted drain inlets. A complete description of the various elements that are considered In the PAVDRN program is illustrated In figure 40. A more complete description of the design process, the parameters used in the design process, and typical values for the parameters is presented In the "Proposed Design Guidelines for Improving Pavement Surface Drainage" (2) alla in Appendix A. fIN1)INGS The following findings are based on the research accomplished during the project, a survey of the literature, and a state-of-the-art survey of current practice. I. Model. The one~unensional mode} is adequate as a design tool. The simplicity and stability of the one~imensional mode} offsets any increased accuracy afforded by a two-d~mensional model. The one~mensional model as a predictor of water fiDn thickness and How path length was verified by using data from a previous study (11). 121

No. of Planes Length of Plane Grade Step Increment Wdth of Plane Cross Slope Section T,rne 1) Tangent 2) Honzontal Curare 3) Transition 4) Vertical Crest 5) Vertical Sag U=tS 1)U.S. 2) S. I. Rainfall Intenstity ~ , \ |Kinematic Viscosity |Design Speed Note: PC = Point of Curvature PI. = Point of Tangency PCC = Portland cement concrete WAC = Dense graded asphalt concrete 0GAC = 0pcn~raded asphalt concrete where OGAC includes all types of intentally draining asphalt surfaces GPCC = Grooved Ponland cement concrete Taneent Pavement Type Mean Texture Depth 1) PCC 2) DGAC 3) OGAC 4) GPCC Horizontal Cun~c  Grade Cross Slope Radius of Cunran~re Wdth Pavement Type _ 2) DGAC 3) OGAC 4) GPCC Mean Texture Depth Step Increment _ Transition Length of Plane Super Elevation Tangent Cross Slope Tangent Grade width of Curve Transition Width Pavement Type_ 1) PCC 3) OGAC 4) GPCC Mean Texture Depth Step Increment Horizontal Length Cross slope width PC Grade PI' Grade Elevation: Pr-PC Vertical Crest Flow Direction Step Increment Pavement Type 1) PC Side I 2) PI. Side | 1)PCC 2) DGAC 3) OGAC 4) GPCC Mean Tex~rc Depth _ _ ~ Figure 40. Factors considered in PAVDRN program. 122 ~1 r - . , Vertical Sad | Horizontal Length | Cross slope Wldth PC Grade PI Grade Elevation: PIE Flow Direction  Step Increment / Stored :_ ~ cats ~ 1) PC Side | 2) PI Side | . Pavement Typed 1) PCC 3) OGAC 14) GPCC Mean Texture Depth I I

~ Stored data V ~ 3 L IN1T For use with a second nut using data from the first run.) , 1 EPRINT (Echos input to output ) 1 CONVERT (Converts units to and from SI and English.) ~ , ADVP  (Advances Page of output.) KINW (Calculates Minning's n, Water Film Thickness (WEIR), and Hydroplaning Speed UPS).) , EDGE (Determines if flow has reached the edge of the pavement.) out roar Figure 40. Factors considered in PAVDRN program (continued). 123

2. Occurrence of Hydropl~r g. In general, based on the PAVDRN mode! and the assumptions inherent in its development, hydroplaning can be expected at speeds below roadway design speeds if the length of the flow path exceeds two lane widths. 3. Water Film Thickness. Hydroplaning is initiated primarily by the depth of the water film thickness. Therefore, the primary design objective when controlling hydroplaning must be to limit the depth of the water film. 4. Reducing Water Film Thickness. There are no simple means for controlling water John thickness, but a number of methods can effectively reduce water film thickness and consequently hydroplaning potential. These include: Optimizing pavement geometry, especially cross-slope. Providing some means of additional drainage, such as use of grooved surfaces (PCC) or porous mixtures (HMA). Including slotted drains within the roadway. 5. Tests Needed for Design. The design guidelines require an estimate of the surface texture (MTD) and the coefficient of permeability Porous asphalt only). The sand patch is an acceptable test method for measuring surface texture, except for the more open (20-percent air voids) porous asphalt mixes. In these cases, an estimate of the surface texture, based on tabulated data, is sufficient. As an alternative, 124

sand patch measurements can be made on cast replicas of the surface. For the open mixes, the glass beads flow into the voids within the mixture, giving an inaccurate measure of surface texture. Based on the measurements obtained In the laboratory, the coefficient of permeability for the open-graded asphalt concrete does not exhibit a wide range of values, and values of k may be selected for design purposes from tabulated design data (k versus air voids). Given the uncertainty of this property resulting from compaction under traffic and clogging from contaminants and anti-skid material, a direct measurement (e.g., drainage lag permeameter) of k is not warranted. Based on the previous discussion, no new test procedures are needed to adopt the design guidelines developed during this project. 6. Grooving. Grooving of PCC pavements provides a reservoir for surface water and can facilitate the removal of water if the grooves are placed parallel to the flow oath. Parallel orientation is generally not practical because the flow on highway pavements is typically not transverse to the pavement. Thus, the primary contribution offered by grooving is to provide a surface reservoir unless the grooves comlect with drainage at the edge of the pavement. Once the grooves are filled with water, the tops of the grooves are the datum for the Why and do not contribute to the reduction in the hydroplaning potential. 125

7. Porous Pavements. These mixtures can enhance the water removal and Hereby reduce water film tHch~ess. They merit more consideration by highway agencies In the United States, but they are not a panacea for eliminating hydroplaning. As with grooved PCC pavements, the internal voids do not contribute to the reduction of hydroplaning; based on the field tests done In this study. hv~ronImiina can be if, , , ~ expected on these mixtures given sufficient water fiLn thickness. Other than their ability to conduct water through internal flow, the large MTD offered by porous asphalt is the main contribution offered by the mixtures to the reduction of hydroplaning potential. The high-void ~ > 20 percent), modified binder mixes used In Europe merit further evaluation in the United States. They should be used In areas where damage from freezing water and the problems of black ice are not likely. 8. Slotted Drains. These fixtures, when installed between travel lanes, offer perhaps the most effective means of controlling water film thickness from a hydraulics standpoint. They have not been used extensively In the traveled lanes and questions remain unanswered with respect to their installation (especially in rehabilitation situations) and maintenance. The ability to support traffic loads and still maintain surface smoothness has not been demonstrated and they may be susceptible to clogging from roadway debris, ice, or snow. 126

RECOMMENDATIONS AND CONCLUSIONS The following recommendations are offered based on the work accomplished during this project and on the conclusions given previously: I. Implementation. The PAVDRN program and associated guidelines need to be field tested and revised as needed. The program and the guidelines are sufficiently complete so that they can be used in a design office. Some of the parameters and algorithms will I~ely need to be modified as experience is gained with the program. 2. Database of Material Properties. A database of material properties should be gathered to supplement the information contained in PAVDRN. This information should Include typical values for the permeability of porous asphalt and topical values for the surface texture (MTD) for different pavement surfaces to include toned Portland cement concrete surfaces. A series of photographs of typical pavement sections and their associated texture depths should be considered as an addition to the design guide (21. 3. Pavement Geometry. The AASHTO design guidelines (~) should be re-evaluated In terms of current design criteria to determine if they can be modified to enhance drainage without adversely affecting vehicle handling or safety. ~27

4. Use of appurtenances. Slotted drams should be evaluated In the field to determine if they are practical when Installed In the traveled way. Manufacturers should reconsider the design of slotted drains and their Installation recommendations currently In force to maximize them for use In multi-lane pavements and to determine if slotted drains are suitable for installations In the traveled right of way. 5. Porous Asphalt Mixtures. More use should be made of these mixtures, especially the modified high a~r-void mixtures as used In France. Field trials should be conducted to monitor HPS and the long-term effectiveness of these mixtures and to validate the MPS and WDT predicted by PAVDRN. 6. Two-D~mensional Model. Further work should be done with two~mensional models to determine if they improve accuracy of PAVDRN and to determine if they are practical from a computational standpoint. ADDITIONAL STUDIES On the basis of the work done during this study, a number of additional items warrant furler study. These Include: 1. Full-scale skid resistance studies to validate PAVDRN in general and the relationship between water film thickness and hydroplaning potential in particular are needed in light of the unexpectedly low hvdronlanin~ speeds predicted during 128 , . ~. , ~

this study. The effect of water infiltration into pavement cracks and loss of water by splash and spray need to be accounted for In the prediction of water fihn Sickness. Surface Irregularities, especially rutting, need to be considered in the prediction models. 2. Field trials are needed to confirm the effectiveness of alternative asphalt and Portland cement concrete surfaces. These include porous Portland cement concrete surfaces, porous asphalt concrete, and various asphalt m~cro-surfaces. 3. The permeability of porous surface mixtures needs to be confirmed with samples removed from the field, and the practicality of a simplified method for measuring in-situ permeability must be investigated and compared to alternative measurements, such as the outflow meter. 4. For measuring pavement texture, alternatives to the sand patch method should be investigated, especially for use with porous asphalt mixtures. 129

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Dissertation- Chapter 5: Discussion, Implications, Conclusions

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