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Thesis and Dissertation Appendicies – What to Include

• By DiscoverPhDs
• August 12, 2020

An appendix is a section at the end of a dissertation that contains supplementary information. An appendix may contain figures, tables, raw data, and other additional information that supports the arguments of your dissertation but do not belong in the main body.

It can be either a long appendix or split into several smaller appendices. Each appendix should have its own title and identification letters, and the numbering for any tables or figures in them should be reset at the beginning of each new appendix.

Purpose of an Appendix

When writing the main body of your dissertation, it is important to keep it short and concise in order to convey your arguments effectively.

Given the amount of research you would have done, you will probably have a lot of additional information that you would like to share with your audience.

This is where appendices come in. Any information that doesn’t support your main arguments or isn’t directly relevant to the topic of your dissertation should be placed in an appendix.

This will help you organise your paper, as only information that adds weight to your arguments will be included; it will also help improve your flow by minimising unnecessary interruptions.

Note, however, that your main body must be detailed enough that it can be understood without your appendices. If a reader has to flip between pages to make sense of what they are reading, they are unlikely to understand it.

For this reason, appendices should only be used for supporting background material and not for any content that doesn’t fit into your word count, such as the second half of your literature review .

What to Include in a Dissertation Appendix

A dissertation appendix can be used for the following supplementary information:

Research Results

There are various ways in which research results can be presented, such as in tables or diagrams.

Although all of your results will be useful to some extent, you won’t be able to include them all in the main body of your dissertation. Consequently, only those that are crucial to answering your research question should be included.

Your other less significant findings should be placed in your appendix, including raw data, proof of control measures, and other supplemental material.

Details of Questionnaires and Interviews

You can choose to include the details of any surveys and interviews you have conducted. This can include:

• An interview transcript,
• A copy of any survey questions,
• Questionnaire results.

Although the results of your surveys, questionnaires or interviews should be presented and discussed in your main text, it is useful to include their full form in the appendix of a dissertation to give credibility to your study.

Tables, Figures and Illustrations

If your dissertation contains a large number of tables, figures and illustrative material, it may be helpful to insert the less important ones in your appendix. For example, if you have four related datasets, you could present all the data and trend lines (made identifiable by different colours) on a single chart with a further breakdown for each dataset in your appendix.

Letters and Correspondence

If you have letters or correspondence, either between yourself and other researchers or places where you sought permission to reuse copyrighted material, they should be included here. This will help ensure that your dissertation doesn’t become suspected of plagiarism.

List of Abbreviations

Most researchers will provide a list of abbreviations at the beginning of their dissertation, but if not, it would be wise to add them as an appendix.

This is because not all of your readers will have the same background as you and therefore may have difficulty understanding the abbreviations and technical terms you use.

Note: Some researchers refer to this as a ‘glossary’, especially if it is provided as an appendix section. For all intended purposes, this is the same as a list of abbreviations.

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How to Format a Dissertation Appendix

In regards to format, you can include one lengthy appendix or structure it into several smaller appendices.

Although the choice is yours, it is usually better to opt for several different appendices as it allows you to organise your supplementary information into different categories based on what they are.

The following guidelines should be observed when preparing your dissertation appendices section:

• Each appendix should start on a new page and be given a unique title and identifying letter, such as “Appendix A – Raw Data”. This allows you to more easily refer to appendix headings in the text of your main body should you need to.
• Each appendix should have its own page numbering system, comprising the appendix identification letter and the corresponding page number. The appendix identification letter should be reset for each appendix, but the page number should remain continuous. For example, if ‘Appendix A’ has three pages and ‘Appendix B’ two pages, the page numbers should be A-1, A-2, A-3, B-4, B-5.
• The numbering of tables and figures should be reset at the beginning of each new appendix. For example, if ‘Appendix A’ contains two tables and ‘Appendix B’ one table, the table number within Appendix B should be ‘Table 1’ and not ‘Table 3’.
• If you have multiple appendices instead of a single longer one, insert a ‘List of Appendices’ in the same way as your contents page.
• Use the same formatting (font size, font type, spacing, margins, etc.) as the rest of your report.

Example of Appendices

Below is an example of what a thesis or dissertation appendix could look like.

Referring to an Appendix In-Text

You must refer to each appendix in the main body of your dissertation at least once to justify its inclusion; otherwise, the question arises as to whether they are really needed.

You can refer to an appendix in one of three ways:

1. Refer to a specific figure or table within a sentence, for example: “As shown in Table 2 of Appendix A, there is little correlation between X and Y”.

2. Refer to a specific figure or table in parentheses, for example: “The results (refer to Table 2 of Appendix A) show that there is little correlation between X and Y”.

3. Refer to an entire appendix, for example: “The output data can be found in Appendix A”.

Appendices vs Appendixes

Both terms are correct, so it is up to you which one you prefer. However, it is worth noting that ‘appendices’ are used more frequently in the science and research community, so we recommend using the former in academic writing if you have no preferences.

Where Does an Appendix Go?

For a dissertation, your appendices should be inserted after your reference list.

Some people like to put their appendices in a standalone document to separate it from the rest of their report, but we only recommend this at the request of your dissertation supervisor, as this isn’t common practice.

Note : Your university may have its own requirements or formatting suggestions for writing your dissertation or thesis appendix. As such, make sure you check with your supervisor or department before you work on your appendices. This will especially be the case for any students working on a thesis.

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An appendix contains supplementary material that is not an essential part of the text itself but which may be helpful in providing a more comprehensive understanding of the research problem. An appendix may also contain information that is too cumbersome to be included in the body of the paper. A separate appendix should be used for each distinct topic or set of data and always have a title descriptive of its contents [e.g., Appendix 1: Interview Protocol].

Tables, Appendices, Footnotes and Endnotes. The Writing Lab and The OWL. Purdue University.

Importance of...

Appendices are always supplementary to the research paper. As such, your study must be able to stand alone without the appendices, and the paper must contain all information including tables, diagrams, and results necessary to understand the research problem. The key point to remember when including an appendix or appendices is that the information is non-essential to understanding the research problem being investigated. In other words, if it were removed, the reader would still be able to  comprehend the significance, validity , and implications of your research even if that additional data was missing.

It is appropriate to include appendices for the following reasons:

• Including this material in the body of the paper that would render it poorly structured or interrupt the narrative flow;
• Information is too lengthy and detailed to be easily summarized in the body of the paper;
• Inclusion of helpful, supporting, or useful material would otherwise distract the reader from the main content of the paper;
• Provides relevant information or data that is more easily understood or analyzed in a self-contained section of the paper;
• Can be used when there are constraints placed on the length of your paper; and,
• Provides a place to further demonstrate your understanding of the research problem by giving additional details about a new or innovative method, technical details, or design protocols.

Appendices. Academic Skills Office, University of New England; Chapter 12, "Use of Appendices." In Guide to Effective Grant Writing: How to Write a Successful NIH Grant . Otto O. Yang. (New York: Kluwer Academic, 2005), pp. 55-57; Tables, Appendices, Footnotes and Endnotes. The Writing Lab and The OWL. Purdue University.

Structure and Writing Style

I.  General Points to Consider

When considering whether to include content in an appendix, keep in mind the following:

• It is usually good practice to include your raw data in an appendix, laying it out in a clear format so the reader can re-check your results. Another option if you have a large amount of raw data is to consider placing it online [e.g., on a Google drive] and note that this is the appendix to your research paper.
• Any tables and figures included in the appendix should be numbered as a separate sequence from the main paper . Remember that appendices contain non-essential information that, if removed, would not diminish a reader's ability to understand the research problem being investigated. This is why non-textual elements should not carry over the sequential numbering of non-textual elements in the body of your paper.
• If you have more than three appendices, consider listing them on a separate page in the table of contents . This will help the reader know what information is included in the appendices. Note that some works list appendices in the table of contents before the first chapter while other styles list the appendices after the conclusion but before your references. Consult with your professor to confirm if there is a preferred approach.
• The appendix can be a good place to put maps, photographs, diagrams, and other images , if you feel that it will help the reader to understand the content of your paper, while keeping in mind the study should be understood without them.
• An appendix should be streamlined and not loaded with a lot information . If you have a very long and complex appendix, it is a good idea to break it down into separate appendices, allowing the reader to find relevant information quickly as the information is covered in the body of the paper.

II.  Content

Never include an appendix that isn’t referred to in the text . All appendices should be summarized in your paper where it is relevant to the content. Appendices should also be arranged sequentially by the order they were first referenced in the text [i.e., Appendix 1 should not refer to text on page eight of your paper and Appendix 2 relate to text on page six].

There are few rules regarding what type of material can be included in an appendix, but here are some common examples:

• Correspondence -- if your research included collaborations with others or outreach to others, then correspondence in the form of letters, memorandums, or copies of emails from those you interacted with could be included.
• Interview Transcripts -- in qualitative research, interviewing respondents is often used to gather information. The full transcript from an interview is important so the reader can read the entire dialog between researcher and respondent. The interview protocol [list of questions] should also be included.
• Non-textual elements -- as noted above, if there are a lot of non-textual items, such as, figures, tables, maps, charts, photographs, drawings, or graphs, think about highlighting examples in the text of the paper but include the remainder in an appendix.
• Questionnaires or surveys -- this is a common form of data gathering. Always include the survey instrument or questionnaires in an appendix so the reader understands not only the questions asked but the sequence in which they were asked. Include all variations of the instruments as well if different items were sent to different groups [e.g., those given to teachers and those given to administrators] .
• Raw statistical data – this can include any numerical data that is too lengthy to include in charts or tables in its entirety within the text. This is important because the entire source of data should be included even if you are referring to only certain parts of a chart or table in the text of your paper.
• Research instruments -- if you used a camera, or a recorder, or some other device to gather information and it is important for the reader to understand how, when, and/or where that device was used.
• Sample calculations – this can include quantitative research formulas or detailed descriptions of how calculations were used to determine relationships and significance.

NOTE:   Appendices should not be a dumping ground for information. Do not include vague or irrelevant information in an appendix; this additional information will not help the reader’s overall understanding and interpretation of your research and may only distract the reader from understanding the significance of your overall study.

ANOTHER NOTE:   Appendices are intended to provide supplementary information that you have gathered or created; it is not intended to replicate or provide a copy of the work of others. For example, if you need to contrast the techniques of analysis used by other authors with your own method of analysis, summarize that information, and cite to the original work. In this case, a citation to the original work is sufficient enough to lead the reader to where you got the information. You do not need to provide a copy of this in an appendix.

III.  Format

Here are some general guideline on how to format appendices . If needed, consult the writing style guide [e.g., APA, MLS, Chicago] your professor wants you to use for more detail or choose the style you are most familiar with:

• Appendices may precede or follow your list of references.
• Each appendix begins on a new page.
• The order they are presented is dictated by the order they are mentioned in the text of your research paper.
• The heading should be "Appendix," followed by a letter or number [e.g., "Appendix A" or "Appendix 1"], centered and written in bold type.
• If there is a table of contents, the appendices must be listed.
• Depending on the type of information, the content can be presented in landscape format rather than regular portrait format.
• The page number(s) of the appendix/appendices will continue on with the numbering from the last page of the text.

Appendices. The Structure, Format, Content, and Style of a Journal-Style Scientific Paper. Department of Biology. Bates College;  Appendices. Academic Skills Office, University of New England; Appendices. Writing Center, Walden University; Chapter 12, "Use of Appendices." In Guide to Effective Grant Writing: How to Write a Successful NIH Grant . Otto O. Yang. (New York: Kluwer Academic, 2005), pp. 55-57 ; Tables, Appendices, Footnotes and Endnotes. The Writing Lab and The OWL. Purdue University; Lunsford, Andrea A. and Robert Connors. The St. Martin's Handbook . New York: St. Martin's Press, 1989; What To Know About The Purpose And Format Of A Research Paper Appendix. LoyolaCollegeCulion.com.

Writing Tip

Consider Putting Your Appendices Online

Appendices are useful because they provide the reader with information that supports your study without breaking up the narrative or distracting from the main purpose of your paper. If you have a lot of raw data or information that is difficult to present in textual form, consider uploading it to an online site. This prevents your paper from having a large and unwieldy set of appendices and it supports a growing movement within academe to make data more freely available for re-analysis. If you do create an online portal to your data, note it prominently in your paper with the correct URL and access procedures if it is a secured site, or if needed, with clear directions on how to contact the author to obtain access.

Piwowar, Heather A., Roger S. Day, and Douglas B. Fridsma. “Sharing Detailed Research Data Is Associated with Increased Citation Rate.” PloS ONE (March 21, 2007); Wicherts, Jelte M., Marjan Bakker, and Dylan Molenaar. “Willingness to Share Research Data Is Related to the Strength of the Evidence and the Quality of Reporting of Statistical Results.” PLoS ONE (November 2, 2011).

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Appendices within manuscript

Appendices may be included as part of the manuscript. These typically appear after the Bibliography or References section. 

• List the Appendices in the Table of Contents
• Do not restart page numbering for your Appendices. For example, if the last page of your Bibliography is 195, your first Appendix page number should be 196. 

Appendices as supplemental files

Electronic or audiovisual data may be included as Supplemental Files in an ETD submission. Your committee should agree that the information contained in the supplemental files is of such a character that a medium other than text is necessary.

When uploading your manuscript to ProQuest, there is a place to upload Supplemental Files separate from the main PDF upload (see screen capture below). 

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What are the attachments?

Examples of appendices to your thesis, referring to attachments, appendices before or after the bibliography, considerations for the appendices to your thesis, more tips for your thesis structure.

To avoid making your thesis too long, you can use attachments or appendices at the end of your thesis. In these, you include important information that does not belong in the body text. Think of interview transcripts, surveys or tables with SPSS results. Where exactly do you put the appendices to your thesis? What are examples of attachments you can think of?

You probably know about attachments used in e-mails. In your thesis, you use attachments in the same way. There is some information you don't put in the e-mail itself as it would make the e-mail too long and unorderly. Thus, you add it as an attachment. The same goes for appendices to your thesis. 

In the appendix, you put information that is too detailed for the main text but still important for your research. This way, you can make your point in the thesis text itself briefly but powerfully, and include this important information separately for the reader. In the text itself, you refer to the appendices so that the interested reader can find the detailed information there.

You can put all kinds of information in the appendices. Examples of attachments are:

Additional results. Include only the most important results in the main text. These directly support your story. Additional information that is less relevant to the research question should be included in the appendices to your thesis. Think of extra tables or figures.

Interview transcripts. In the main text, you should only include brief quotes from interviews here and there. You can put the full interview transcripts in the appendices of your thesis.

The survey that was conducted. Interested readers will be curious to know exactly which survey questions you asked respondents. It would be too much to put the complete survey in your method chapter. Therefore, you can put it in the appendices instead, and refer to it in the method chapter. Of course, you explain in the method chapter how you arrived at certain questions, who completed the survey, etc.

Survey answers. Sometimes you also want to be able to refer to the exact answers of respondents. Appendices are also a good place for completed surveys.

Forms, letters, etc. Did you contact an expert via written text (e-mail, letter, etc.)? Then you can also put that text in the appendices, but only if it matters for the research. The same goes for forms, original texts, etc. that you discuss in your thesis.

Mind maps or elaborated models that you used mainly for your own understanding and that did not play a leading role in your research.

The reader wants to be able to find the right attachment quickly. It is therefore important to refer to the attachment in the body of the text in the right places. When doing so, also mention which attachment it is (Appendix 1, 2, 3, etc.). Then your reader will know where to find it.

Make sure you refer to each attachment at least once in the running text. Otherwise, nobody will know that you have included it. You can do this in brackets or in the sentence itself. For example, this looks like this:

The interview with Jan Peters (see Appendix 3.1) shows that...

Table 1 (see Appendix 2) shows that...

The full survey is included in Appendix 4.

It is customary to put the appendices after the bibliography, starting on a new page. Check with your thesis supervisor what your study programme's requirements are for the location of the appendices.

Are you working on the appendices to your thesis? Then keep the following points in mind:

Make a separate appendix for each section. Number the different appendices and include a clear title. 

Name the appendices in your table of contents so the reader can easily find them.

Does an attachment consist of several parts? If so, number the parts separately. For example, did you conduct four interviews? Then you can give each interview its own number within the same appendix (Appendix 3.1, 3.2, etc.).

Usually, you write Attachment/Appendix with a capital letter when referring to one particular attachment. This is not a requirement, but it is common. In any case, be consistent. Either use a capital letter or a lowercase letter and do this consistently throughout your document.

Put each new attachment on a new page. For parts of appendices (Appendix 4.1, 4.2, etc.) this is not always necessary. Only if you have somewhat longer attachment parts, it is smart to put them on separate pages.

Check your appendices for language errors. Appendices are also included in your thesis supervisor's assessment. Unsure of your language and spelling? Then have your thesis checked by one of our editors. This way you can be sure that both your thesis and your appendices are free of errors.

Appendices are one of the many sections in your thesis. Do you want to know exactly which parts belong in your thesis and what should be in each part? Read our article on thesis structure. It will give you something to refer to for guidance when writing your thesis.

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Using Appendices

Some theses/dissertations need space for extra materials relevant to the work but not appropriate in the main body of text, such as IRB approvals. For these, appendices are useful.* Appendices should go after your references/works cited list, should be formatted as Heading 1, and as such should appear in your Table of Contents. Any Tables or Figures that appear in an appendix should also appear in its respective list. Finally, when referring to an appendix within the body of the work, please refer to them as "Appendix A," "Appendix B," etc. 

*Note: the following example screenshots will have the "Show/hide formatting marks" option toggled on. To see how to enable/disable this feature, see Landscape Pages & Special Materials.

To add an appendix, first create a new page after your references list (to do so, see Page Breaks and Section Breaks). Type Appendix A at the top and set it to Heading 1. 

Most students prefer to title their appendices, though this step is optional. 

You can repeat this process as many times as necessary to include all of your extra materials. 

Updating the Table of Contents for Appendices

If you've already inserted a Table of Contents in your document, appendices won't appear immediately in this table once they're added. To show your changes, right click anywhere inside of your Table of Contents and click Update Field

You might receive a pop-up asking if you want to update the entire table or just the page numbers. Select Update entire table. 

Any added appendices should now appear in your Table of Contents. 

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Dissertation Appendix – Components, Format & Examples

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An appendix is an integral part of every dissertation paper, serving as supplementary material that enhances and supports the research study. However, only a few people understand what the section is, where it must be placed, and why it must be included in a dissertation . Therefore, while not typically central to the dissertation’s argument, the appendix adds valuable context and transparency to the academic work. This post will cover everything there is to know about a dissertation appendix, from its definition and purpose to the components and format.

Inhaltsverzeichnis

• 1 Dissertation Appendix – In a Nutshell
• 2 Definition: Dissertation appendix
• 3 Purpose of a dissertation appendix
• 4 Dissertation appendix: Components
• 5 Dissertation appendix: Format
• 6 Referring to a dissertation appendix
• 7 Dissertation Appendix: Checklist

Dissertation Appendix – In a Nutshell

• An appendix is not part of the main body of the dissertation, but is still relevant to it.
• A dissertation appendix encapsulates all explanations that cannot be included in the main body of the dissertation.
• Appendices must be well-structured, and their components systemically organized to serve their purpose correctly.

Definition: Dissertation appendix

A dissertation appendix (plural –appendices) is an index at the end of a dissertation that provides additional information related to the dissertation paper. The section helps academic writers present background information related to the dissertation, but doesn’t directly answer the research question. These can include tables, illustrations and other graphics.

Purpose of a dissertation appendix

The primary purpose of a dissertation appendix is to help keep your dissertation paper organized and within the required word limit. It contains any additional information that isn’t directly relevant to the research topic.

Typically, texts that strengthen your arguments appear in your dissertation paper’s main body. However, there is additional information that isn’t directly beneficial to your research but might be helpful to your readers. That is where a dissertation appendix comes in.

Although they provide additional information, your audience should be able to understand the contents of your dissertation paper even without looking at the dissertation appendix. So, ensure you include all important texts in the main body.

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Dissertation appendix: Components

A dissertation appendix can include different types of information, such as:

Research results can be presented in various ways, including tables and figures. However, not all of these findings need to appear in the main body of your dissertation. Only results that are essential in answering the research topic should be included in the paper. Additional results (less significant findings), such as raw data and supplemental analyses, should go into the dissertation appendix.

Further information

Besides supplementary results, additional information related to surveys and interviews can be included in a dissertation appendix. These can include types of interviews, interview transcripts, survey questions, and details of questionnaires. Although these details are not critical to answering your research question, including them in the dissertation appendix gives credibility to your research.

Copies of relevant forms 

It is essential to include a list of abbreviations and acronyms and a glossary in the appendix if your dissertation paper contains many words that your audience might not recognize. This helps enhance readability and minimize confusion for readers. Your list of abbreviations and acronyms, and glossary should appear after the table of contents section.

Figures, tables, graphics

You can also include tables, figures, illustrations, and other graphics in the dissertation appendix if your research contains a lot of them. The appendix is the appropriate platform to include less important ones. Use tables and figures that support your research question but cannot be included in the main body.

Dissertation appendix: Format

There is no restriction to how you can format your dissertation appendix. You can opt to have one long appendix if you don’t feel the need to break it into smaller sections with different components. However, it might be a good idea to separate the components (such as interview transcripts and supplementary results) into various appendices to enhance readability.

If you choose to have multiple appendices in your dissertation, always start each appendix on a new page. Additionally, ensure you assign each page a number or letter. For instance, you can use ‘Appendix 2 – Interview Transcripts.’ Giving a unique identifier (number and title of each element) to each appendix makes it easier for the reader to navigate through the information and for you to refer to it in the main dissertation body.

When numbering tables and figures in multiple appendices, you should reset the numbering as you move to the next appendix (next page). For instance, if your ‘Appendix 1 –Raw Data’ has two tables and ‘Appendix 2 – Interview Transcripts’ has one table, the table in ‘Appendix 2’ should be ‘Table 1’ and not ‘Table 3’ .

Referring to a dissertation appendix

It is crucial to refer to each dissertation appendix at least once when crafting the dissertation’s main body. That helps justify the inclusion of appendices in your study.

There are two primary ways you can refer to a dissertation appendix in the main body:

• Refer to an entire appendix

“The interview transcripts can be found in Appendix 1 –Interview Transcripts”.

• Refer to an appendix component

There are two ways you can refer to an appendix component:

• Refer to specific figures or tables in brackets (parenthetical reference). For example, “The results (refer to Table 1 Appendix 3) indicate a slight decline in the number of new infections”.
• Include the reference in a sentence within the main body (descriptive reference). For example, “As shown in Table 1 of Appendix 3, there is a slight decline in the number of new infections” .

If your paper has one long dissertation appendix, it is good practice to refer to its components in uppercase, but it is not mandatory. However, it is important to maintain consistency throughout your entire paper, the same way you capitalize your headings and titles in academic work.

Although you are free to choose what case to use, you should always use lower-case when referring to appendices in general.

“The appendices at the end of this paper contain additional information about the area of research.”

Dissertation Appendix: Checklist

• Each dissertation appendix starts on a fresh page
• My appendices contain relevant information, but they are not essential in answering my research question
• I have referred to each of my appendices at least once in the main body
• The content of my appendices (tables and figures) are clearly labelled
• My appendices are easy to understand and refer to

What is a dissertation appendix?

A dissertation appendix is a section of your dissertation that you use to provide additional data related to your main study but is not essential to answering the primary research question.

What should I include in my appendix?

Your appendix should contain additional information relevant to the dissertation but not directly important to answering your main questions. These can include supplementary results, tables, interview questions and transcripts.

Do I need an appendix in my dissertation?

If you have a lot of additional information, it is important to have an appendix in your dissertation. Appendices help provide readers with details that support your research without breaking the flow of the main body.

Can my dissertation paper have multiple appendices?

Yes. Your dissertation paper can have more than one appendix. Ensure you properly label each appendix (Appendix A or Appendix 1) if your paper has multiple appendices.

Is it appendices or appendixes?

Appendices and appendixes are both correct plurals for the term appendix. However, many scholars prefer using ‘appendices’ over ‘appendixes.’

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• Subject Guides

Formatting Your Thesis or Dissertation with Microsoft Word

• Introduction
• Copyright Page
• Dedication, Acknowledgements, & Preface
• Headings and Subheadings
• Citations and Bibliography
• Page Numbers
• Tables and Figures
• Rotated (Landscape) Pages
• Table of Contents
• Lists of Tables and Figures
• List of Abbreviations
• Some Things to Watch For
• PDF with Embedded Fonts

Appendix, Appendices, List of Appendices

If you only have one appendix in your thesis, adding that is pretty straightforward. It is mostly treated like another chapter, except "Chapter" is changed to "Appendix". When you have more than one appendix, it gets more complicated and you have to add a List of Appendices in the front matter part of the thesis. The video tutorial demonstrates how to add a single appendix, how to format multiple appendices, and how to add the List of Appendices to the front of the thesis.

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Thesis and Dissertation Guide

• « Thesis & Dissertation Resources
• The Graduate School Home

• Introduction
• Copyright Page
• Dedication, Acknowledgements, Preface (optional)
• Table of Contents
• List of Tables, Figures, and Illustrations
• List of Abbreviations
• List of Symbols

Non-Traditional Formats

Font type and size, spacing and indentation, tables, figures, and illustrations, formatting previously published work.

• Internet Distribution
• Open Access
• Registering Copyright
• Using Copyrighted Materials
• Use of Your Own Previously Published Materials
• Submission Steps
• Submission Checklist
• Sample Pages

II. Formatting Guidelines

All copies of a thesis or dissertation must have the following uniform margins throughout the entire document:

• Left: 1″ (or 1 1/4" to ensure sufficient room for binding the work if desired)
• Right: 1″
• Bottom: 1″ (with allowances for page numbers; see section on Pagination )
• Top: 1″

Exceptions : The first page of each chapter (including the introduction, if any) begins 2″ from the top of the page. Also, the headings on the title page, abstract, first page of the dedication/ acknowledgements/preface (if any), and first page of the table of contents begin 2″ from the top of the page.

Non-traditional theses or dissertations such as whole works comprised of digital, artistic, video, or performance materials (i.e., no written text, chapters, or articles) are acceptable if approved by your committee and graduate program. A PDF document with a title page, copyright page, and abstract at minimum are required to be submitted along with any relevant supplemental files.

Fonts must be 10, 11, or 12 points in size. Superscripts and subscripts (e.g., formulas, or footnote or endnote numbers) should be no more than 2 points smaller than the font size used for the body of the text.

Space and indent your thesis or dissertation following these guidelines:

• The text must appear in a single column on each page and be double-spaced throughout the document. Do not arrange chapter text in multiple columns.
• New paragraphs must be indicated by a consistent tab indentation throughout the entire document.
• The document text must be left-justified, not centered or right-justified.
• For blocked quotations, indent the entire text of the quotation consistently from the left margin.
• Ensure headings are not left hanging alone on the bottom of a prior page. The text following should be moved up or the heading should be moved down. This is something to check near the end of formatting, as other adjustments to text and spacing may change where headings appear on the page.

Exceptions : Blocked quotations, notes, captions, legends, and long headings must be single-spaced throughout the document and double-spaced between items.

Paginate your thesis or dissertation following these guidelines:

• Use lower case Roman numerals (ii, iii, iv, etc.) on all pages preceding the first page of chapter one. The title page counts as page i, but the number does not appear. Therefore, the first page showing a number will be the copyright page with ii at the bottom.
• Arabic numerals (beginning with 1, 2, 3, 4, etc.) start at chapter one or the introduction, if applicable. Arabic numbers must be included on all pages of the text, illustrations, notes, and any other materials that follow. Thus, the first page of chapter one will show an Arabic numeral 1, and numbering of all subsequent pages will follow in order.
• Do not use page numbers accompanied by letters, hyphens, periods, or parentheses (e.g., 1., 1-2, -1-, (1), or 1a).
• Center all page numbers at the bottom of the page, 1/2″ from the bottom edge.
• Pages must not contain running headers or footers, aside from page numbers.
• If your document contains landscape pages (pages in which the top of the page is the long side of a sheet of paper), make sure that your page numbers still appear in the same position and direction as they do on pages with standard portrait orientation for consistency. This likely means the page number will be centered on the short side of the paper and the number will be sideways relative to the landscape page text. See these additional instructions for assistance with pagination on landscape pages in Microsoft Word .

Format footnotes for your thesis or dissertation following these guidelines:

• Footnotes must be placed at the bottom of the page separated from the text by a solid line one to two inches long.
• Begin at the left page margin, directly below the solid line.
• Single-space footnotes that are more than one line long.
• Include one double-spaced line between each note.
• Most software packages automatically space footnotes at the bottom of the page depending on their length. It is acceptable if the note breaks within a sentence and carries the remainder into the footnote area of the next page. Do not indicate the continuation of a footnote.
• Number all footnotes with Arabic numerals. You may number notes consecutively within each chapter starting over with number 1 for the first note in each chapter, or you may number notes consecutively throughout the entire document.
• Footnote numbers must precede the note and be placed slightly above the line (superscripted). Leave no space between the number and the note.
• While footnotes should be located at the bottom of the page, do not place footnotes in a running page footer, as they must remain within the page margins.

Endnotes are an acceptable alternative to footnotes. Format endnotes for your thesis or dissertation following these guidelines:

• Always begin endnotes on a separate page either immediately following the end of each chapter, or at the end of your entire document. If you place all endnotes at the end of the entire document, they must appear after the appendices and before the references.
• Include the heading “ENDNOTES” in all capital letters, and center it 1″ below the top of the first page of your endnotes section(s).
• Single-space endnotes that are more than one line long.
• Number all endnotes with Arabic numerals. You may number notes consecutively within each chapter starting over with number 1 for the first note in each chapter, or you may number notes consecutively throughout the entire document.
• Endnote numbers must precede the note and be placed slightly above the line (superscripted). Leave no space between the number and the note.

Tables, figures, and illustrations vary widely by discipline. Therefore, formatting of these components is largely at the discretion of the author.

For example, headings and captions may appear above or below each of these components.

These components may each be placed within the main text of the document or grouped together in a separate section.

Space permitting, headings and captions for the associated table, figure, or illustration must be on the same page.

The use of color is permitted as long as it is consistently applied as part of the finished component (e.g., a color-coded pie chart) and not extraneous or unprofessional (e.g., highlighting intended solely to draw a reader's attention to a key phrase). The use of color should be reserved primarily for tables, figures, illustrations, and active website or document links throughout your thesis or dissertation.

The format you choose for these components must be consistent throughout the thesis or dissertation.

Ensure each component complies with margin and pagination requirements.

Refer to the List of Tables, Figures, and Illustrations section for additional information.

If your thesis or dissertation has appendices, they must be prepared following these guidelines:

• Appendices must appear at the end of the document (before references) and not the chapter to which they pertain.
• When there is more than one appendix, assign each appendix a number or a letter heading (e.g., “APPENDIX 1” or “APPENDIX A”) and a descriptive title. You may number consecutively throughout the entire work (e.g., 1, 2 or A, B), or you may assign a two-part Arabic numeral with the first number designating the chapter in which it appears, separated by a period, followed by a second number or letter to indicate its consecutive placement (e.g., “APPENDIX 3.2” is the second appendix referred to in Chapter Three).
• Include the chosen headings in all capital letters, and center them 1″ below the top of the page.
• All appendix headings and titles must be included in the table of contents.
• Page numbering must continue throughout your appendix or appendices. Ensure each appendix complies with margin and pagination requirements.

You are required to list all the references you consulted. For specific details on formatting your references, consult and follow a style manual or professional journal that is used for formatting publications and citations in your discipline.

Your reference pages must be prepared following these guidelines:

• If you place references after each chapter, the references for the last chapter must be placed immediately following the chapter and before the appendices.
• If you place all references at the end of the thesis or dissertation, they must appear after the appendices as the final component in the document.
• Select an appropriate heading for this section based on the style manual you are using (e.g., “REFERENCES”, “BIBLIOGRAPHY”, or “WORKS CITED”).
• Include the chosen heading in all capital letters, and center it 1″ below the top of the page.
• References must be single-spaced within each entry.
• Include one double-spaced line between each reference.
• Page numbering must continue throughout your references section. Ensure references comply with margin and pagination requirements.

In some cases, students gain approval from their academic program to include in their thesis or dissertation previously published (or submitted, in press, or under review) journal articles or similar materials that they have authored. For more information about including previously published works in your thesis or dissertation, see the section on Use of Your Own Previously Published Materials and the section on Copyrighting.

If your academic program has approved inclusion of such materials, please note that these materials must match the formatting guidelines set forth in this Guide regardless of how the material was formatted for publication.

Some specific formatting guidelines to consider include:

• Fonts, margins, chapter headings, citations, and references must all match the formatting and placement used within the rest of the thesis or dissertation.
• If appropriate, published articles can be included as separate individual chapters within the thesis or dissertation.
• A separate abstract to each chapter should not be included.
• The citation for previously published work must be included as the first footnote (or endnote) on the first page of the chapter.
• Do not include typesetting notations often used when submitting manuscripts to a publisher (i.e., insert table x here).
• The date on the title page should be the year in which your committee approves the thesis or dissertation, regardless of the date of completion or publication of individual chapters.
• If you would like to include additional details about the previously published work, this information can be included in the preface for the thesis or dissertation.

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• Library Catalogue

Formatting your thesis: Appendices & supplemental material

On this page

Introduction, materials included in appendices, supplementary material or research data files, order of appendices, appendix headings, formatting help.

Appendices provide supplementary information to the main thesis and should always appear after the references/bibliography. If you are unsure about whether content should be included in the thesis or in an appendix, consult with your supervisor. The thesis and appendices must be uploaded in a single file.

For more information about appendices, please see the Thesis Template Instructions .

Note: Signatures, personal phone numbers, or personal email addresses (ones that contains part of a person’s name) must be redacted from your thesis. This means that the text is fully removed, and cannot be copied & pasted out of the document.

If including copyrighted materials as appendices, see Copyright at SFU .

Examples of material included in appendices are as follows--also refer to Formatting Help .

• interview questions
• participant letters / forms  
• surveys / questionnaires (if not your own work, these require copyright permission)
• supplemental tables / figures / graphs / image

Supplementary material or research data files associated with your thesis can also be uploaded to your library submission record. We recommend publishing such files to Summit (the SFU Research Repository) as they will be available alongside your thesis. This is preferred to hosting such files externally or on personal cloud storage.     

Temporary instructions : Contact  [email protected] if you wish to upload such files with your thesis submission -- please do not upload them to the Thesis Registration System at this time. Data Services will require basic descriptive information for each of your files and will also help you organize your research data appropriately pending publication.  

If you are including supplementary material or research data files in your submission, you must include an appendix within your thesis document which contains an overall description of the supplementary material or research data files, authorship credits, and file name(s). This assists in “linking” your thesis document to any additional files, as well as providing further information and context about the file(s). The maximum file size for each file is 2GB. If you have a larger file size, please contact  [email protected] .  

Appendix examples: 

• video file example
• data file example

Note : if your Ethics approval requires that supplementary material or research data files be destroyed after a certain period, then such files cannot be published to Summit (the SFU Research Repository). Please contact  [email protected] to identify other possible solutions in this case.  

Accepted supplementary material or research data file types: 

aac, cif, csv, docx, dta, epub, exe, gdb, geojson, gif, iso, jp2, jpg, jpeg, json, kml, kmz, las, mp3, mp4, mpv, odt, pdf, png, pptx, py, qgs, qgz, r, rar, rmd, rtf, shp, tex, tif, tiff, txt, wav, xlsx, zip 

It is recommended to use the best file formats  to allow for data files to be openly accessible for the long term, so that they remain usable through software upgrades and changes in the computing environment. See the Research Data Management (RDM) website  for more information about the handling and organization of data during your research.

Appendices appear in the order in which they are introduced in the text.  

You may include one appendix or a number of appendices.

If you have more than one appendix, you would letter each accordingly (i.e., Appendix A, Appendix B, etc.). Write your appendix headings in the same manner as your chapter headings.

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• Knowledge Base
• Dissertation
• Research Paper Appendix | Example & Templates

Research Paper Appendix | Example & Templates

Published on 15 August 2022 by Kirsten Dingemanse and Tegan George. Revised on 25 October 2022.

An appendix is a supplementary document that facilitates your reader’s understanding of your research but is not essential to your core argument. Appendices are a useful tool for providing additional information or clarification in a research paper , dissertation , or thesis without making your final product too long.

Appendices help you provide more background information and nuance about your topic without disrupting your text with too many tables and figures or other distracting elements.

We’ve prepared some examples and templates for you, for inclusions such as research protocols, survey questions, and interview transcripts. All are worthy additions to an appendix. You can download these in the format of your choice below.

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Table of contents

What is an appendix in a research paper, what to include in an appendix, how to format an appendix, how to refer to an appendix, where to put your appendices, other components to consider, appendix checklist.

In the main body of your research paper, it’s important to provide clear and concise information that supports your argument and conclusions . However, after doing all that research, you’ll often find that you have a lot of other interesting information that you want to share with your reader.

While including it all in the body would make your paper too long and unwieldy, this is exactly what an appendix is for.

As a rule of thumb, any detailed information that is not immediately needed to make your point can go in an appendix. This helps to keep your main text focused but still allows you to include the information you want to include somewhere in your paper.

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An appendix can be used for different types of information, such as:

• Supplementary results : Research findings  are often presented in different ways, but they don’t all need to go in your paper. The results most relevant to your research question should always appear in the main text, while less significant results (such as detailed descriptions of your sample or supplemental analyses that do not help answer your main question), can be put in an appendix.
• Statistical analyses : If you conducted statistical tests using software like Stata or R, you may also want to include the outputs of your analysis in an appendix.
• Further information on surveys or interviews : Written materials or transcripts related to things such as surveys and interviews can also be placed in an appendix.

You can opt to have one long appendix, but separating components (like interview transcripts, supplementary results, or surveys) into different appendices makes the information simpler to navigate.

Here are a few tips to keep in mind:

• Always start each appendix on a new page.
• Assign it both a number (or letter) and a clear title, such as ‘Appendix A. Interview transcripts’. This makes it easier for your reader to find the appendix, as well as for you to refer back to it in your main text.
• Number and title the individual elements within each appendix (e.g., ‘Transcripts’) to make it clear what you are referring to. Restart the numbering in each appendix at 1.

It is important that you refer to each of your appendices at least once in the main body of your paper. This can be done by mentioning the appendix and its number or letter, either in parentheses or within the main part of a sentence. It is also possible to refer to a particular component of an appendix.

Appendix B presents the correspondence exchanged with the fitness boutique. Example 2. Referring to an appendix component These results (see Appendix 2, Table 1) show that …

It is common to capitalise ‘Appendix’ when referring to a specific appendix, but it is not mandatory. The key is just to make sure that you are consistent throughout your entire paper, similarly to consistency in capitalising headings and titles in academic writing.

However, note that lowercase should always be used if you are referring to appendices in general. For instance, ‘The appendices to this paper include additional information about both the survey and the interviews.’

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The simplest option is to add your appendices after the main body of your text, after you finish citing your sources in the citation style of your choice . If this is what you choose to do, simply continue with the next page number. Another option is to put the appendices in a separate document that is delivered with your dissertation.

Remember that any appendices should be listed in your paper’s table of contents .

There are a few other supplementary components related to appendices that you may want to consider. These include:

• List of abbreviations : If you use a lot of abbreviations or field-specific symbols in your dissertation, it can be helpful to create a list of abbreviations .
• Glossary : If you utilise many specialised or technical terms, it can also be helpful to create a glossary .
• Tables, figures and other graphics : You may find you have too many tables, figures, and other graphics (such as charts and illustrations) to include in the main body of your dissertation. If this is the case, consider adding a figure and table list .

Checklist: Appendix

All appendices contain information that is relevant, but not essential, to the main text.

Each appendix starts on a new page.

I have given each appendix a number and clear title.

I have assigned any specific sub-components (e.g., tables and figures) their own numbers and titles.

My appendices are easy to follow and clearly formatted.

I have referred to each appendix at least once in the main text.

Your appendices look great! Use the other checklists to further improve your thesis.

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 Reference Generator.

Dingemanse, K. & George, T. (2022, October 25). Research Paper Appendix | Example & Templates. Scribbr. Retrieved 9 September 2024, from https://www.scribbr.co.uk/thesis-dissertation/appendix/

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Microsoft Word for Dissertations

• Introduction, Template, & Resources
• Formatting for All Readers
• Applying a Style
• Modifying a Style
• Setting up a Heading 1 Example
• Images, Charts, Other Objects
• Footnotes, Endnotes, & Citations
• Cross-References
• Appendix Figures & Tables
• Table of Contents
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• Preparing Your Final Document
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How to Handle Appendices

There are several scenarios around Appendices and how to handle them. Here they are:

If you have no appendices  and you're using our template, then go ahead and delete the List of Appendices and the Appendices sections. For each section, be sure you've deleted the title, any content after the title, and the Section Break found at the end.

If you only have one Appendix , you don't need to bother doing anything fancy.  With our template, just rename the "Appendices" section heading with the name of your appendix (double-checking it is still formatted with the Heading 1 style) and ensure that there's a "Section Break (Next Page)" just before the title so it's given the required 2-inch top margin. Then it will appear in your Table of Contents as it should.

If you have more than one Appendix,  they should not appear in the Table of Contents. Instead, Rackham requires that you have a List of Appendices listing them all, and only the "Appendices" section heading should appear in the Table of Contents. If you're using our template, see the instructions in there for how all of this works.

** Note: If each of your Appendices is only relevant to a particular chapter, consider making "Appendix" a section (Heading 2) within those chapters. This will save you the trouble of creating a List of Appendices, as they will instead appear under each chapter in the Table of Contents. **

If you have multiple Appendices, but each of them is only relevant to a particular chapter , check out our suggestion in the last section at the bottom of this page.

If you are not using our template, we explain below how to set up your Appendices to number themselves automatically (like we've done with Chapters).  It's even a little more complicated than it looks, and of course, we've already set this up in the ScholarSpace dissertation template, so please consider this another reason to use our template .

Setting up Appendices if you're not using our template

Here's the rough outline of what we suggest you do for Appendices, if you're comfortable modifying styles and want to set it up yourself.  Please note that while using the Heading 7 style is not ideal when creating accessible digital documents (screen readers may interpret them as sub-sub-sub-sub-sub-sections, rather than “appendices”), we have found it’s the most reliable way to proceed.

• Modify Heading 7 to reflect the font settings that match your chapter headings (perhaps Times New Roman, Bold, 12-point, centered).
• Modify the paragraph spacing for Heading 7 to add 72 pt (or 1 in) of space BEFORE, and 24 pt AFTER.  This helps give you the two-inch margin Rackham requires for the first page of each Appendix
• Apply Heading 7 to the titles of each of your appendices
• If you don't see a two-inch margin at the top of each Appendix page, place your cursor just before the title and insert a Section Break (Next Page). 
• When you first create this, it will ask if you want to replace the (real) Table of Contents, so you can reply No to that. You're creating a 2nd, custom, Table of Contents that just includes Heading 7s.

See our Appendix Figures & Tables section to learn how to handle those.

Are each of your Appendices only relevant to a particular chapter?

First off, be sure to check to see if your Style Guide (or your advisor) has requirements about how to handle Appendices. That takes precedence over anything we say below.

If each of your appendices is relevant only to a particular chapter, then here's something to consider which will make things much easier. We see a lot of people who will create a section (Heading 2) at the end of each chapter called something like, "Appendix for Chapter X", or "Supplemental Materials", or merely "Appendix". And so each appendix just goes there at the end of the particular chapter it supports.

The benefit to doing this is that – since each appendix is a section in the chapter – they show up appropriately in the ToC, and there's no need for a List of Appendices.  Additionally, you can continue to use the regular Figure and Table numbering scheme, and don't have to set up new labels or do anything tricky.

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General Research Paper Guidelines: Appendices

If you have some information you would like to include in your research but it could potentially be distracting to readers or inappropriate within the body of your research paper, you can always include supplemental information as an appendix to your work. An appendix or appendices should always be inserted after your Reference List; however, the appropriateness of appendix content really depends on the nature and scope of your research paper.

For a more in-depth review of what supplemental materials might be included in a social science appendix, be sure to review Section 2.14 “Appendices” (pp. 41-42) of your 7 th edition APA manual.

Appendices Formatting

APA 7 addresses appendices and supplemental materials in Section 2.14 and on page 41:

• The appendices follow the reference list.
• They are lettered "Appendix A," "Appendix B," "Appendix C," and so forth. If you have only one appendix, however, simply label it Appendix.
• Put figures and tables in separate appendices. The appendix title serves as the title for a table if it is the only table in the appendix.
• If you decide that certain figures and tables should appear in the same appendix, number them A1, A2, A3, and so forth, according to the appendix in which they appear.
• The materials in the appendix must not extend beyond the margins of the rest of the paper: Reduce the appendix materials as needed.

As a general guide, appendices are appropriate for any material that, if presented in the main body of the document, would unnecessarily interrupt the flow of the writing. Note that it is unlikely that you will use appendices in Walden course papers. For doctoral capstone studies, you might include some appendices with supplementary information.

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What is an appendix in a paper

What is an appendix?

What type of information includes an appendix, the format of an appendix, frequently asked questions about appendices in papers, related articles.

An appendix is a section of a paper that features supporting information not included in the main text.

The appendix of a paper consists of supporting information for the research that is not necessary to include in the text. This section provides further insight into the topic of research but happens to be too complex or too broad to add to the body of the paper. A paper can have more than one appendix, as it is recommended to divide them according to topic.

➡️ Read more about  what is a research paper?

An appendix can take many types of forms. Here are some examples:

• Surveys. Since many researchers base their methodology on surveys, these are commonly found attached as appendices. Surveys must be included exactly as they were presented to the respondents, and exactly how they were answered so the reader can get a real picture of the findings.
• Interviews . Whether it’s a transcript or a recording, interviews are usually included as an appendix. The list of questions and the real answers must be presented for complete transparency.
• Correspondence . All types of communication with collaborators regarding the research should be included as an appendix. These can be emails, text messages, letters, transcripts of audio messages, etc.
• Research tools . Any instrument used to perform the research should be acknowledged in an appendix to give the reader insight into the process. For instance, audio recorders, cameras, special software, etc.
• Non-textual items . If the research includes too many graphs, tables, figures, illustrations, photos or charts, these should be added as an appendix.
• Statistical data . When raw data is too long, it should be attached to the research as an appendix. Even if only one part of the data was used, the complete data must be given.

➡️ Learn more about surveys, interviews, and other research methodologies .

The format of an appendix will vary based on the type of citation style you’re using, as well as the guidelines of the journal or class for which the paper is being written. Here are some general appendix formatting rules:

• Appendices should be divided by topic or by set of data.
• Appendices are included in the table of contents.

The most common heading for an appendix is Appendix A or 1, centered, in bold, followed by a title describing its content.

• An appendix should be located before or after the list of references.
• Each appendix should start on a new page.
• Each page includes a page number.
• Appendices follow a sequential order, meaning they appear in the order in which they are referred to throughout the paper.

An appendix is usually added before or after the list of references.

There is no specific space limit to an appendix, but make sure to consult the guidelines of the citation format you are using.

Yes, all appendices must be included in the table of contents.

Appendices feature different types of material, for instance interviews, research tools, surveys, raw statistical data, etc.

An appendix** comes at the end (after the reference list) of a report, research project, or dissertation and contains any additional information such as raw data or interview transcripts. The information in the appendices is relevant but is too long or too detailed to include in the main body of your work. 

**Note: Appendix is singular and appendices is plural. When you want to refer to one of your appendices, use appendix - for example, ‘See Appendix 1’.

Scroll down for our recommended strategies and resources. 

Ensure everything in your appendices has a purpose. This guide gives a useful overview of the structure, format, and effective use of appendices:

Appendices (University of Southern California)

Your appendices should have a clear labelling system (Appendix 1, Appendix 2, Appendix 3) and each item in an appendix should have a descriptive title saying what it is (‘Appendix 1: Flowchart of purchasing decision-making process).

You need to refer to your appendices in the body of your assignment or the reader will not know they are there. Use a short phrase such as ‘See Appendix 1’. 

If you have taken data, diagrams, or information from other sources to put in your appendices, you need to reference them as normal; include an in-text citation next to the item in your appendices and a full reference in your reference list. If you have created your own graphs or tables using data from another source you can explain this in your in-text citation: (Table author’s own, data from Jones, 2017).

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Organizing Academic Research Papers: Appendices

• Purpose of Guide
• Design Flaws to Avoid
• Glossary of Research Terms
• Narrowing a Topic Idea
• Broadening a Topic Idea
• Extending the Timeliness of a Topic Idea
• Academic Writing Style
• Choosing a Title
• Making an Outline
• Paragraph Development
• Executive Summary
• Background Information
• The Research Problem/Question
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• Evaluating Sources
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• Secondary Sources
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• What Is Scholarly vs. Popular?
• Qualitative Methods
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• Using Non-Textual Elements
• Limitations of the Study
• Common Grammar Mistakes
• Avoiding Plagiarism
• Footnotes or Endnotes?
• Further Readings
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• Dealing with Nervousness
• Using Visual Aids
• Grading Someone Else's Paper
• How to Manage Group Projects
• Multiple Book Review Essay
• Reviewing Collected Essays
• About Informed Consent
• Writing Field Notes
• Writing a Policy Memo
• Writing a Research Proposal
• Acknowledgements

An appendix contains supplementary material that is not an essential part of the text itself but which may be helpful in providing a more comprehensive understanding of the research problem and/or is information which is too cumbersome to be included in the body of the paper. A separate appendix should be used for each distinct topic or set of data and always have a title descriptive of its contents .

Importance of...

Your research paper must be complete without the appendices, and it must contain all information including tables, diagrams, and results necessary to address the research problem. The key point to remember when you are writing an appendix is that the information is non-essential; if it were removed, the paper would still be understandable.

It is appropriate to include appendices...

• When the incorporation of material in the body of the work would make it poorly structured or it would be too long and detailed and
• To ensure inclusion of helpful, supporting, or essential material that would otherwise clutter or break up the narrative flow of the paper, or it would be distracting to the reader.

Structure and Writing Style

I.  General Points to Consider

When considering whether to include content in an appendix, keep in mind the following points:

• It is usually good practice to include your raw data in an appendix, laying it out in a clear format so the reader can re-check your results. Another option if you have a large amount of raw data is to consider placing it online and note this as the appendix to your research paper.
• Any tables and figures included in the appendix should be numbered as a separate sequence from the main paper . Remember that appendices contain non-essential information that, if removed, would not diminish a reader's understanding of the overall research problem being investigated. This is why non-textual elements should not carry over the sequential numbering of elements in the paper.
• If you have more than three appendices, consider listing them on a separate page at the beginning of your paper . This will help the reader know before reading the paper what information is included in the appendices [always list the appendix or appendices in a table of contents].
• The appendix can be a good place to put maps, photographs, diagrams, and other non-textual elements , if you feel that it will help the reader to understand the content of your paper, but remembering that the paper should be understandable without them.
• An appendix should be streamlined and not loaded with a lot information . If you have a very long and complex appendix, it is a good idea to break it down into separate appendices, allowing the reader to find relevant information quickly.

II.  Contents

Appendices may include some of the following, all of which should be referred to or summarized in the text of your paper:

• Supporting evidence [e.g. raw data]
• Contributory facts or specialized data [raw data appear in the appendix, but with summarized data appearing in the body of the text].
• Sample calculations
• Technical figures, graphs, tables, statistics
• Detailed description of research instruments
• Maps, charts, photographs, drawings
• Letters, emails, and other copies of correspondance
• Questionnaire/survey instruments, with the results appearing in the text
• Complete transcripts of interviews
• Complete field notes from observations
• Specification or data sheets

NOTE:   Do not include vague or irrelevant information in an appendix; this additional information will not help the reader’s overall understanding and interpretation of your research and may only succeed in distracting the reader from understanding your research study.

III.  Format

Here are some general guideline on how to format appendices, but consult the writing style guide [e.g., APA] your professor wants you to use for the class, if needed:

• Appendices may precede or follow your list of references.
• Each appendix begins on a new page.
• The order they are presented is dictated by the order they are mentioned in the text of your research paper.
• The heading should be "Appendix," followed by a letter or number [e.g., "Appendix A" or "Appendix 1"], centered and written in bold.
• Appendices must be listed in the table of contents [if used].
• The page number(s) of the appendix/appendices will continue on with the numbering from the last page of the text.

Appendices . The Structure, Format, Content, and Style of a Journal-Style Scientific Paper. Department of Biology. Bates College; Tables, Appendices, Footnotes and Endnotes . The Writing Lab and The OWL. Purdue University; Lunsford, Andrea A. and Robert Connors. The St. Martin's Handbook. New York: St. Martin's Press, 1989.

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• What Is a Thesis? | Ultimate Guide & Examples

What Is a Thesis? | Ultimate Guide & Examples

Published on September 14, 2022 by Tegan George . Revised on April 16, 2024.

A thesis is a type of research paper based on your original research. It is usually submitted as the final step of a master’s program or a capstone to a bachelor’s degree.

Writing a thesis can be a daunting experience. Other than a dissertation , it is one of the longest pieces of writing students typically complete. It relies on your ability to conduct research from start to finish: choosing a relevant topic , crafting a proposal , designing your research , collecting data , developing a robust analysis, drawing strong conclusions , and writing concisely .

Thesis template

You can also download our full thesis template in the format of your choice below. Our template includes a ready-made table of contents , as well as guidance for what each chapter should include. It’s easy to make it your own, and can help you get started.

Download Word template Download Google Docs template

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Table of contents

Thesis vs. thesis statement, how to structure a thesis, acknowledgements or preface, list of figures and tables, list of abbreviations, introduction, literature review, methodology, reference list, proofreading and editing, defending your thesis, other interesting articles, frequently asked questions about theses.

You may have heard the word thesis as a standalone term or as a component of academic writing called a thesis statement . Keep in mind that these are two very different things.

• A thesis statement is a very common component of an essay, particularly in the humanities. It usually comprises 1 or 2 sentences in the introduction of your essay , and should clearly and concisely summarize the central points of your academic essay .
• A thesis is a long-form piece of academic writing, often taking more than a full semester to complete. It is generally a degree requirement for Master’s programs, and is also sometimes required to complete a bachelor’s degree in liberal arts colleges.
• In the US, a dissertation is generally written as a final step toward obtaining a PhD.
• In other countries (particularly the UK), a dissertation is generally written at the bachelor’s or master’s level.

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The final structure of your thesis depends on a variety of components, such as:

• Your discipline
• Your theoretical approach

Humanities theses are often structured more like a longer-form essay . Just like in an essay, you build an argument to support a central thesis.

In both hard and social sciences, theses typically include an introduction , literature review , methodology section ,  results section , discussion section , and conclusion section . These are each presented in their own dedicated section or chapter. In some cases, you might want to add an appendix .

Thesis examples

We’ve compiled a short list of thesis examples to help you get started.

• Example thesis #1:   “Abolition, Africans, and Abstraction: the Influence of the ‘Noble Savage’ on British and French Antislavery Thought, 1787-1807” by Suchait Kahlon.
• Example thesis #2: “’A Starving Man Helping Another Starving Man’: UNRRA, India, and the Genesis of Global Relief, 1943-1947″ by Julian Saint Reiman.

The very first page of your thesis contains all necessary identifying information, including:

• Your full title
• Your full name
• Your department
• Your institution and degree program
• Your submission date.

Sometimes the title page also includes your student ID, the name of your supervisor, or the university’s logo. Check out your university’s guidelines if you’re not sure.

Read more about title pages

The acknowledgements section is usually optional. Its main point is to allow you to thank everyone who helped you in your thesis journey, such as supervisors, friends, or family. You can also choose to write a preface , but it’s typically one or the other, not both.

Read more about acknowledgements Read more about prefaces

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An abstract is a short summary of your thesis. Usually a maximum of 300 words long, it’s should include brief descriptions of your research objectives , methods, results, and conclusions. Though it may seem short, it introduces your work to your audience, serving as a first impression of your thesis.

Read more about abstracts

A table of contents lists all of your sections, plus their corresponding page numbers and subheadings if you have them. This helps your reader seamlessly navigate your document.

Your table of contents should include all the major parts of your thesis. In particular, don’t forget the the appendices. If you used heading styles, it’s easy to generate an automatic table Microsoft Word.

Read more about tables of contents

While not mandatory, if you used a lot of tables and/or figures, it’s nice to include a list of them to help guide your reader. It’s also easy to generate one of these in Word: just use the “Insert Caption” feature.

Read more about lists of figures and tables

If you have used a lot of industry- or field-specific abbreviations in your thesis, you should include them in an alphabetized list of abbreviations . This way, your readers can easily look up any meanings they aren’t familiar with.

Read more about lists of abbreviations

Relatedly, if you find yourself using a lot of very specialized or field-specific terms that may not be familiar to your reader, consider including a glossary . Alphabetize the terms you want to include with a brief definition.

Read more about glossaries

An introduction sets up the topic, purpose, and relevance of your thesis, as well as expectations for your reader. This should:

• Ground your research topic , sharing any background information your reader may need
• Define the scope of your work
• Introduce any existing research on your topic, situating your work within a broader problem or debate
• State your research question(s)
• Outline (briefly) how the remainder of your work will proceed

In other words, your introduction should clearly and concisely show your reader the “what, why, and how” of your research.

Read more about introductions

A literature review helps you gain a robust understanding of any extant academic work on your topic, encompassing:

• Selecting relevant sources
• Determining the credibility of your sources
• Critically evaluating each of your sources
• Drawing connections between sources, including any themes, patterns, conflicts, or gaps

A literature review is not merely a summary of existing work. Rather, your literature review should ultimately lead to a clear justification for your own research, perhaps via:

• Addressing a gap in the literature
• Building on existing knowledge to draw new conclusions
• Exploring a new theoretical or methodological approach
• Introducing a new solution to an unresolved problem
• Definitively advocating for one side of a theoretical debate

Read more about literature reviews

Theoretical framework

Your literature review can often form the basis for your theoretical framework, but these are not the same thing. A theoretical framework defines and analyzes the concepts and theories that your research hinges on.

Read more about theoretical frameworks

Your methodology chapter shows your reader how you conducted your research. It should be written clearly and methodically, easily allowing your reader to critically assess the credibility of your argument. Furthermore, your methods section should convince your reader that your method was the best way to answer your research question.

A methodology section should generally include:

• Your overall approach ( quantitative vs. qualitative )
• Your research methods (e.g., a longitudinal study )
• Your data collection methods (e.g., interviews or a controlled experiment
• Any tools or materials you used (e.g., computer software)
• The data analysis methods you chose (e.g., statistical analysis , discourse analysis )
• A strong, but not defensive justification of your methods

Read more about methodology sections

Your results section should highlight what your methodology discovered. These two sections work in tandem, but shouldn’t repeat each other. While your results section can include hypotheses or themes, don’t include any speculation or new arguments here.

Your results section should:

• State each (relevant) result with any (relevant) descriptive statistics (e.g., mean , standard deviation ) and inferential statistics (e.g., test statistics , p values )
• Explain how each result relates to the research question
• Determine whether the hypothesis was supported

Additional data (like raw numbers or interview transcripts ) can be included as an appendix . You can include tables and figures, but only if they help the reader better understand your results.

Read more about results sections

Your discussion section is where you can interpret your results in detail. Did they meet your expectations? How well do they fit within the framework that you built? You can refer back to any relevant source material to situate your results within your field, but leave most of that analysis in your literature review.

For any unexpected results, offer explanations or alternative interpretations of your data.

Read more about discussion sections

Your thesis conclusion should concisely answer your main research question. It should leave your reader with an ultra-clear understanding of your central argument, and emphasize what your research specifically has contributed to your field.

Why does your research matter? What recommendations for future research do you have? Lastly, wrap up your work with any concluding remarks.

Read more about conclusions

In order to avoid plagiarism , don’t forget to include a full reference list at the end of your thesis, citing the sources that you used. Choose one citation style and follow it consistently throughout your thesis, taking note of the formatting requirements of each style.

Which style you choose is often set by your department or your field, but common styles include MLA , Chicago , and APA.

Create APA citations Create MLA citations

In order to stay clear and concise, your thesis should include the most essential information needed to answer your research question. However, chances are you have many contributing documents, like interview transcripts or survey questions . These can be added as appendices , to save space in the main body.

Read more about appendices

Once you’re done writing, the next part of your editing process begins. Leave plenty of time for proofreading and editing prior to submission. Nothing looks worse than grammar mistakes or sloppy spelling errors!

Consider using a professional thesis editing service or grammar checker to make sure your final project is perfect.

Once you’ve submitted your final product, it’s common practice to have a thesis defense, an oral component of your finished work. This is scheduled by your advisor or committee, and usually entails a presentation and Q&A session.

After your defense , your committee will meet to determine if you deserve any departmental honors or accolades. However, keep in mind that defenses are usually just a formality. If there are any serious issues with your work, these should be resolved with your advisor way before a defense.

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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The conclusion of your thesis or dissertation shouldn’t take up more than 5–7% of your overall word count.

If you only used a few abbreviations in your thesis or dissertation , you don’t necessarily need to include a list of abbreviations .

If your abbreviations are numerous, or if you think they won’t be known to your audience, it’s never a bad idea to add one. They can also improve readability, minimizing confusion about abbreviations unfamiliar to your reader.

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 .

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.

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.)

A thesis is typically written by students finishing up a bachelor’s or Master’s degree. Some educational institutions, particularly in the liberal arts, have mandatory theses, but they are often not mandatory to graduate from bachelor’s degrees. It is more common for a thesis to be a graduation requirement from a Master’s degree.

Even if not mandatory, you may want to consider writing a thesis if you:

• Plan to attend graduate school soon
• Have a particular topic you’d like to study more in-depth
• Are considering a career in research
• Would like a capstone experience to tie up your academic experience

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Revaluating the Sustainable Development Thesis: exploring the moderating influence of Technological Innovation on the impact of Foreign Direct Investment (FDI) on Green Growth in the OECD Countries

• Open access
• Published: 10 September 2024
• Volume 5 , article number  252 , ( 2024 )

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• Germain Stephane Ketchoua 1 ,
• Sodiq Arogundade 1 &
• Biyase Mduduzi 1  

The Sustainable Development Goals (SDGs) advocate for advancing green growth, a concept that balances economic prosperity with environmental protection. At the core of this vision are principles of sustainable consumption, production, and energy usage, all aimed at mitigating climate change and safeguarding ecosystems. This study investigates how technological innovation influences the relationship between Foreign Direct Investment (FDI) and green growth in OECD member countries. Specifically, we examine two facets of green growth: production-based CO 2 productivity and demand-based CO 2 productivity. We employ empirical analyses using the EKC and STIRPAT framework, which includes Ordinary Least Squares (OLS), smoothed instrumental-variables quantile regression (SIVQR), and System GMM methodologies, to uncover significant insights. Our analysis reveals that FDI impedes green growth, while technological innovation is pivotal in enhancing it. This pattern holds steady across various time frames and renewable energy sources. Furthermore, our findings indicate that combining FDI and technological advancement leads to heightened production-based CO 2 productivity but diminished demand-based CO 2 productivity. We also identify the presence of an environmental Kuznets curve for production-based CO 2 productivity. Adding to significant scientific value by demonstrating how technological innovation moderates FDI's impact on green growth in OECD countries, we advocate for fostering collaborative partnerships between foreign investors and local innovators to leverage global expertise while advancing green objectives. Additionally, policy interventions should focus on stimulating demand for eco-friendly products and services to bolster demand-based CO 2 productivity.

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1 Introduction

Economists and environmentalists have long been aware that the current economic growth path places immense strain on the natural environment, thereby threatening long-run economic development. Debates on the unintended consequences of pursuing growth at all costs have underscored the need to consider a growth path that signifies resilience, inclusivity, and sustainability as a critical policy imperative. There is a view that green growth is one of the key strategies that policymakers can use to stimulate the economy and achieve climate objectives simultaneously. The Organisation for Economic Co-operation and Development (OECD) defines green growth as fostering economic growth and development while ensuring that natural assets continue to provide the resources and environmental services essential to our well-being [ 1 ].

Moreover, the relevance of green growth is deeply embedded in the Sustainable Development Goals (SDGs), which promote a balance between economic prosperity and environmental protection [ 2 , 3 , 4 ]. Aligning green growth with the SDGs can provide a roadmap for sustainable economic development, ensuring that investments and policies contribute to long-term environmental sustainability. Despite the growing global emphasis on green growth, the impact of economic growth and Foreign Direct Investment (FDI) on achieving this objective remains a contentious issue. Designing effective policies for green growth requires a nuanced understanding of the key factors influencing this growth, with economic growth and FDI being significant factors. Economic growth has long been a double-edged sword for environmental quality. On one hand, it can provide the necessary resources for investing in cleaner technologies and improving environmental standards.

On the other hand, unchecked economic expansion often leads to increased resource consumption, higher emissions, and greater environmental degradation [ 5 , 6 ]. The relationship between economic growth and environmental quality is complex and varies across different contexts. In many cases, economic growth initially leads to environmental deterioration. Still, as economies mature, there is a shift towards more sustainable practices, a concept known as the Environmental Kuznets Curve (EKC) [ 7 , 8 ]. Understanding this dynamic is crucial for policymakers aiming to balance economic development with environmental sustainability. This study explores this intricate balance, particularly how technological innovation moderates the effect of Foreign Direct Investment (FDI) on green growth in OECD countries.

The novelty of this paper is evident through its exploration of the moderating influence of technological innovation on the impact of FDI on green growth, which is a gap in the current literature. By examining both production-based and demand-based CO 2 productivity, the study provides a comprehensive understanding of green growth dynamics. Employing advanced methodologies like smoothed instrumental-variables quantile regression (SIVQR) and System GMM offers new empirical insights, contributing significantly to the existing body of knowledge. Peer review documents suggest that technological innovation is pivotal in enhancing eco-efficiency and promoting green growth, playing a dual role in mitigating environmental degradation while simultaneously driving economic progress. For instance, Wang et al. [ 9 ] and Zhang & Zhou [ 10 ] argue that aligning foreign investment with the host economy's technological capabilities can significantly reduce CO 2 emissions.

Similarly, studies by Bakhsh [ 11 ], Radmehr et al. [ 12 ] and Zhao et al. [ 13 ]emphasize that technological innovation can transform investment into a catalyst for green growth, particularly in regions with robust innovation ecosystems. These technological advancements foster the adoption of cleaner practices, contributing to production and demand-based CO 2 productivity. Consequently, understanding the role of technological innovation is crucial for devising policies that leverage FDI for sustainable development.

The ongoing surge of FDI in OECD economies has ignited debates about its environmental ramifications. Theoretical literature presents conflicting viewpoints on the correlation between FDI and environmental pollution. On one hand, it is argued that FDI influx into countries with lax environmental regulations may exacerbate ecological degradation. This perspective aligns with the pollution haven hypothesis (PHH) first proposed by Brian et al. [ 14 ], suggesting that globalization allows firms from countries with strict environmental standards to relocate their polluting activities to countries with less stringent regulations. Conversely, an opposing perspective emphasizes that FDI fosters technological advancements within host countries, thereby improving environmental conditions [ 15 , 16 ]. Understanding these conflicting views is essential for developing policies that leverage FDI to support green growth without compromising environmental integrity.

In this context, technological innovation improves the eco-efficiency of Foreign Direct Investment (FDI) and instigates structural transformations within industries, influencing their environmental impact. Also, technological spillovers from foreign firms can catalyze domestic innovation capabilities, creating a positive cycle of green technological advancement. However, the extent to which technological innovation mitigates the impact of FDI on the environment and promotes green growth varies among OECD sub-regions due to contextual differences in regulatory frameworks, market structures, and technological capabilities. For example, in regions with stringent eco-role and robust innovation ecosystems, FDI inflows may catalyze the adoption of cleaner technologies and practices, thereby promoting green growth. Conversely, FDI might result in heightened pollution levels and environmental degradation in areas characterized by lenient environmental standards and limited technological capacities.

The relationship between technological innovation, foreign direct investment (FDI), and the green economy, particularly within OECD countries, is not extensively covered in existing literature. This gap is crucial because technological innovation can mitigate or exacerbate the environmental impacts of FDI, depending on the context. In addition, the United Nations Sustainable Development Goals (SDGs) provide a comprehensive framework for achieving sustainable development globally. This study aligns with several SDGs, particularly SDG 9 (Industry, Innovation, and Infrastructure), SDG 13 (Climate Action), and SDG 17 (Partnerships for the Goals). Consequently, by examining how technological innovation shapes the influence of FDI on green growth in the OECD sub-region, this research enhances our understanding of how economic activities can support sustainable development. Specifically, we examine two dimensions of green growth: production-based CO 2 productivity and demand-based CO 2 productivity. To gain meaningful insights into these dynamics, we utilize a range of methodologies.

This research uniquely contributes to environmental economics literature, offering numerous implications and far-reaching impacts. It breaks new ground by investigating the effects of FDI on green growth within OECD member countries. By exploring this relationship using two measures of green growth—production-based CO 2 productivity and demand-based CO 2 productivity—the study provides a comprehensive understanding of the dynamics of carbon emissions. Production-based metrics focus on emissions generated within a country's borders, while demand-based metrics consider emissions embedded in goods and services consumed domestically. Integrating both perspectives enables a holistic assessment of a nation's carbon footprint, facilitating the development of targeted policies addressing production, consumption, and trade-related emissions to mitigate climate change and promote sustainable development effectively.

Additionally, by acknowledging the role of countries' development, the study employs SIVQR (Semi-Parametric Instrumental Variable Quantile Regression) to investigate the nexus across different development levels. This approach provides nuanced insights into varying stages of development, enhancing our understanding of how economic policies and growth trajectories differ globally. Consequently, this method improves the robustness and applicability of the findings across diverse economic contexts. Moreover, the study examines how technological innovation influences the relationship between FDI and green growth. On one hand, this investigation sheds light on whether technological advancements can offset the potential negative environmental impacts of FDI and promote sustainable development.

On the other hand, it provides insights into the dynamics of green growth, informing policymakers on how to leverage FDI and innovation synergies to achieve environmentally sustainable economic growth. Lastly, accounting for time differences in examining this relationship enriches the literature by capturing the dynamic and evolving nature of these relationships. This approach reveals how the impact of FDI on sustainable development changes over time, identifies lag effects, and highlights long-term trends. It enhances the understanding of temporal factors influencing green growth, offering more nuanced and policy-relevant insights into the economic-environmental interplay.

The remainder of the paper unfolds as follows: Sect.  2 provides a concise literature review, followed by Sect.  3 , which outlines the data and methodology utilized. Section  4 delves into the findings, and Sect. 5 offers concluding remarks.

2 Literature review

This section examined the theoretical and empirical literature on the nexus between FDI and the green economy. Several hypotheses and accounts on the nexus between FDI and environmental quality have been established in the literature. The nature of the relationship between the two variables can be summarised into two hypotheses called the pollution halo and pollution heaven hypothesis. The proponent of the pollution haven hypothesis asserts that foreign investors essentially take advantage of loosened environmental-related rules in these developing countries by bringing pollution-intensive production units [ 17 ]. Supporters of this view, such as Anyanwu [ 18 ], also identified factors such as cheap labour and abundant natural resources as the drivers of this process.

However, some scholars have identified a different perspective, named the pollution halo hypothesis. Followers of this view argue that multinational corporations employ clean technologies in their production processes, thereby contributing to a clean environment [ 19 ]. Furthermore, proponents of this viewpoint also emphasize that introducing clean technology has the dual benefits of improving the environment in the host nation and generating jobs through the transferring or linkage effect [ 20 ].

Although the perspective of these theories is explanatory and convincing, most scholars do not generally accept their adequacy. The empirical literature on the nexus between FDI and the environment makes the heterogeneity of opinions more apparent. Empirical studies have produced inconsistent results, with a considerable number of studies indicating a positive relationship and a few indicating a negative impact [ 21 ]. Some studies argue that the nature of the relationship is characterized by nonlinear or inverted U-shaped patterns, supporting the Environmental Kuznets Curve (EKC) theory.

A good portion of this empirical research, primarily from developing countries, accepts the pollution haven theory. For instance, using the quantile model, Chowdhury et al. [ 22 ] accepted the pollution haven hypothesis and argued that FDI positively and significantly impacts the environmental quality of 92 countries. In the same vein, Sabir et al. [ 23 ] used the panel autoregressive distributed lag (ARDL) method to examine the short-run and long-run impact of FDI on the environment in a sample of South Asian countries; the study discovered that FDI increases environmental degradation of the countries. Balsalobre-Lorente et al. [ 24 ] found similar results, stating that FDI improves air quality as multinational corporations bring cleaner and more efficient technology capable of reducing energy consumption. Similarly, empirical outcomes were observed for Udemba [ 25 ] for Turkey, Solarin et al. [ 26 ] for Ghana, and Ahmed et al. [ 27 ] for a sample of Asia–Pacific countries. Shahbaz et al. [ 28 ] examined the impact of FDI, financial development and energy innovations on environmental degradation in France. Using a Fourier ARDL model, the study discovers that FDI deteriorates environmental quality, thereby attesting to the pollution-haven hypothesis.

However, a couple of empirical papers support the pollution halo hypothesis. For instance, Tang and Tan [ 17 ] analyzed the relationship between C0 2 emission, energy consumption, FDI and economic growth in Vietnam. The study confirms the existence of the pollution halo hypothesis, i.e., FDI improves environmental quality in Vietnam. Similarly, Al-Mulali and Tang [ 19 ] investigated the validity of the pollution haven hypothesis in the Gulf Cooperation Council (GCC) countries using Fully Modified OLS. The results suggest that foreign direct investment inflows have a long-run negative relationship with CO 2 emission. Similar empirical outcomes were observed for Kirkulak et al. [ 29 ] and Tamazian and Rao [ 30 ]. Caglar et al. [ 31 ] also examine the impact of economic growth, trade openness, renewable energy, human capital, and competitive industrial performance on the load capacity factor for EU countries. Using the CUP-FM and CUP-BC methodologies that address heterogeneity and cross-sectional dependence, the study lends credence to the pollution haven hypothesis and argues that economic growth, trade openness, and competitiveness worsen environmental quality. In Turkiye, Yavuz et al. [ 32 ] also discovered that gross domestic product, natural resource rents, and primary energy consumption accelerate environmental degradation using the newly developed Augmented Autoregressive Distributed Lag (A-ARDL) with Fourier term.

Some studies support the environmental Kuznets curve (EKC) hypothesis despite the evidence supporting the pollution haven and pollution halo hypotheses. According to these studies, environmental degradation occurs when economic growth occurs (through FDI), and a cleaner environment cannot be attained until FDI reaches an appropriate level. For example, Destek and Okumus [ 33 ] used second-generation panel data analysis on newly industrialized countries. The findings reveal that FDI has a U-shaped relationship with the ecological footprint. Similarly, Sapkota and Bastola [ 34 ] investigated the effect of FDI on pollution emissions in Latin American countries using a fixed-effect model. The study validated the EKC hypothesis. Studies such as Shahbaz et al. [ 28 ] and Doytch and Uctum [ 35 ] also conclude that FDI and environmental quality have an inverted U-shape relationship.

Furthermore, some studies have begun to examine the role of intermittent variables on the impact of FDI on the environment. Starting with the study by Caetano et al. [ 36 ] which analyzed how the energy transition mediates the role of FDI in the green economy. The study concludes that energy transition modulates the impact of FDI on the green economy. Qamri et al. [ 37 ] also examined the role of financial development and economic growth on the impact of FDI on the green sector of 21 Asian countries. Using a panel econometric method, the study discovers that economic growth and financial development mediate the positive impact of FDI on the green economy. Padhan and Bhat [ 38 ] examined the link between FDI and the environmental quality of BRICS and NEXT-11 using green innovation as an intermittent variable. Using a Driscoll–Kraay (DK) standard error model, the study reveals that green innovation modulated the negative impact of FDI on the environment, indicating that the presence of green innovation and FDI proves the existence of the pollution halo hypothesis. Ofori et al. [ 39 ] examined how energy efficiency mediates the impact of FDI on inclusive green growth in Africa. Using a dynamic GMM estimator, the study discovers that energy efficiency reduces the deteriorating impact of FDI on inclusive green economic growth.

While the literature is replete with unremitting debate on the link between FDI and the green economy, there is limited literature on the role of technological innovation on the impact of FDI on the green economy. This study contributes to the extant literature by (1) examining the impact of FDI on the green economy in OECD countries and (2) investigating the role of technological innovation on the nexus between FDI and the green economy.

3 Methodology

The study's analysis relies on a dataset comprising 37 OECD countries Footnote 1 spanning the years 1995 to 2021. The countries were chosen based on the availability of data during the study period. The OECD countries are typically regarded as advanced economies characterized by high-income levels, stable institutions, and robust statistical systems. This makes them an ideal representative sample for studying economic, social, and environmental trends in developed nations. While the period under consideration includes various economic cycles—growth, recession, and recovery—and encompasses significant policy changes in areas such as globalization, trade, fiscal policy, and social policy. This provides a valuable context for examining long-term trends and assessing the impact of economic cycles and policy shifts on different variables.

The data for green growth, Solar thermal energy, Wind energy, and technological innovation are drawn from the OECD database. The data for globalization is obtained from the KOF Swiss Economic Institute database. The remaining data utilized in the study was obtained from the World Bank's World Development Indicators. Table 1 presents the variables' characteristics in terms of mean, standard deviation, minimum, and maximum values, while Table  2 illustrates the correlations among the variables.

3.2 Justification of variables

3.2.1 dependent variable.

Our dependent variable of interest is the green growth proxy by production-based CO 2 productivity, and demand-based CO 2 productivity aligns with SDG indicators for climate action and sustainable consumption and production patterns. Production-based CO 2 productivity is determined by measuring the real GDP generated per unit of CO 2 emitted (expressed in USD/kg). This includes emissions from the combustion of coal, oil, natural gas, and other fuels. On the other hand, demand-based CO 2 productivity reflects the CO 2 emissions from energy use throughout the diverse stages of producing goods and services consumed within domestic final demand, regardless of where these production stages occurred. Both measures provide insights into the sustainability and environmental impact of economic growth. Appendices 3 and 4 show the production-based and demand-based CO 2 productivity across the OECD countries.

3.2.2 Independent variables

The independent variable of the study is foreign direct investment (FDI). Foreign Direct Investment (FDI) involves investment in a business by an entity from another country, facilitating capital flow and technology transfer. FDI can influence green growth positively by introducing sustainable technologies, enhancing environmental standards, and promoting renewable energy [ 2 , 3 ]. Additionally, it can stimulate economic development, leading to increased demand for green products and services. However, without proper regulations, FDI might also exacerbate environmental degradation due to relaxed environmental standards or exploitation of natural resources.

Figure  1 presents the trend of FDI, while Fig.  2 presents a correlation analysis between FDI and green growth proxy by production-based CO 2 productivity (PP) and demand-based CO 2 productivity (DP) in the OECD countries. The correlation analysis serves as preliminary findings on the nature of the relationship between FDI and green growth. The scatter plot indicates a positive effect of FDI on production-based CO 2 productivity (PP) and demand-based CO 2 productivity. The findings on the nature of this relationship are further experimented with using the instrumental quantile regression that accounts for initial levels of FDI and also addresses potential endogeneity.

Source: Authors’ computation from WDI database

The trend of FDI in the OECD countries.

Source: Authors’ computation

The correlation between FDI and green growth.

3.2.3 The moderating variable

The moderating variable of the study is technological innovation to assess progress toward SDG 9. Technological innovation refers to the development of new or improved technologies, processes, or products that enhance efficiency, productivity, or functionality [ 13 , 40 ]. In the context of green growth, technological innovation plays a pivotal role by enabling the creation of sustainable solutions. Advancements in green technology, waste management, and resource-efficient technologies mitigate environmental impact, reduce carbon emissions, and promote eco-friendly practices [ 41 , 42 ]. Such innovations drive economic growth while preserving natural resources, fostering a greener and more sustainable future. The study uses patents as a proxy for technological innovation. Figure  3 shows the evolution of technology innovation in the OECD countries.

Source: Authors’ computation from the OECD database

The trend of technology innovation in the OECD countries.

3.2.4 Control variables

The selection of the control variables is based on the environmental sustainability literature. First, GDP per capita, a measure of economic output per person, affects environmental sustainability from its reliance on resource consumption and production. High GDP often correlates with increased resource extraction, energy use, and waste generation, contributing to environmental degradation and climate change [ 5 ]. Second, renewable energy consumption (% of total final energy consumption) promotes environmental sustainability by reducing greenhouse gas emissions, mitigating air and water pollution, and minimizing dependence on finite fossil fuel resources. It contributes to climate change mitigation and fosters a transition towards cleaner, more sustainable energy systems, thereby preserving ecosystems and enhancing the planet's health. Third, globalisation impacts the green economy through increased trade and industrialisation, leading to resource depletion, pollution, and unequal distribution of environmental burdens and benefits, necessitating comprehensive global and local action [ 43 , 44 , 45 ]. Fourth, urbanization, indicated by the urban population as a percentage of the total population impacts green growth by intensifying resource consumption, pollution, and habitat fragmentation [ 46 , 47 ]. Increased infrastructure development often leads to land degradation and loss of biodiversity. However, well-planned urbanization can promote sustainability by fostering compact, efficient cities with green spaces, public transportation, and renewable energy integration.

3.3 Theoretical and estimation strategy

The theoretical foundation of this paper is grounded in the pollution halo and pollution haven hypotheses (see Brian et al. [ 14 ]; Tang and Tan [ 17 ]; Al-Mulali and Tang [ 19 ]), as well as the Environmental Kuznets Curve (EKC) hypothesis and the Stochastic Impacts by Regression on Population, Affluence, and Technology (STIRPAT) framework [ 47 , 48 , 49 ]. The EKC hypothesis postulates an inverted U-shaped relationship between environmental degradation and economic growth. Initially, economic growth leads to increased environmental degradation, but after reaching a certain level of income per capita, the trend reverses, leading to environmental improvements. This theory provides a foundational framework for examining of how economic activities, including FDI, impact environmental outcomes at different stages of development. On the other hand, the STIRPAT framework extends the IPAT model (Impact = Population × Affluence × Technology) by incorporating stochastic elements to analyze the impacts of human activities on the environment. The framework allows for the inclusion of multiple variables and their interactions, making it suitable for complex econometrics.

The empirical rigor of this paper is evident from the outset, starting with the specification of models to test the relationships between FDI, technological innovation, and green growth. First, we establish a baseline model to explore the Environmental Kuznets Curve (EKC) hypothesis and examine the impact of control variables on green growth. Finally, adhering to the STIRPAT framework, which accommodates multiple variables and their interactions, we introduce an interaction term to assess how FDI and technological innovation jointly influence green growth. The models are specified as follows:

The baseline model is specified in ( 3 ) as:

To capture the joint effect of FDI and technology innovation, Eq. ( 3 ) is modified to obtained ( 4 )

where i and t represent individual countries and time periods respectively, GG signifies green growth, GDP denotes GDP per capita and it squared, FDI represents foreign direct investment as a percentage of GDP, tech signifies technology innovation, TC indicates the transmission channel through which the effect of FDI on green growth is modulated, with its estimated coefficient denoted by \({\pi }_{i}\) . The TC variable summarises (FDI*tech), \(K\) represents control variables which are renewable energy consumption, globalization, urbanization along with their corresponding estimated coefficients ( \({{\varvec{\delta}}}_{{\varvec{h}}})\) , ε representing the error term.

3.4 Estimation technique

The study utilizes a smoothed instrumental-variables quantile regression (SIVQR) approach to address potential endogeneity concerns. This methodology is of significant importance in assessing the influence of foreign direct investment (FDI) on the distribution of green growth. By analyzing distinct quantile levels within the conditional distribution, the quantile regression method facilitates the identification of countries characterized by varying degrees of green growth, thereby classifying them into low, intermediate, and high levels. The merit of this method, as highlighted by Wirajing et al. [ 50 ], lies in its capacity to elucidate the initial levels of the exogenous variable. Unlike ordinary least squares (OLS) regression, which frequently yields oversimplified and broadly generalized policy suggestions, instrumental quantile regression identifies precise quantiles where independent variables notably impact the dependent variable. This contrasts OLS, which depends on mean values and may result in broad policy implications.

Moreover, the instrumented quantile strategy aims to minimize absolute deviations across various quantile estimates, offering insights that hinge on the prevailing levels of Foreign Direct Investment (FDI) impact on green growth. This methodology diverges from Ordinary Least Squares (OLS), which prioritizes the reduction of the sum of squared residuals. In response to the shortcomings of OLS, quantile regression is being tailored by addressing the maximization problem outlined in Eq.  5 .

where \(\theta\) represents different quantile levels at the conditional distribution of the outcome variable, which belongs to {0, 1}. \(\theta\) can take 0.10, 0.25, 0.50, 0.75 and 0.90. The conditional quantile of green growth is presented in Eq.  6 by weighing the residuals.

Equation  6 introduces y, which symbolizes green growth proxy by production-based CO 2 productivity and demand-based CO 2 productivity. To address potential endogeneity issues with FDI and other control variables in the quantile model, we instrument production-based CO 2 productivity and demand-based CO 2 productivity by utilizing lag values of FDI, while also instrumenting all control variables across quantile levels ranging from the lower (10th and 25th) to the upper (75th and 90th) quantiles.

To optimize computational efficiency and statistical accuracy, this study employs the sivqr quantile instrumentation, integrating the smoothed estimator introduced by Kaplan and Sun [ 51 ]. Standard errors are computed using the Bayesian bootstrap method, employing a selection of 100 at all quantile levels, and are compatible with bootstrap prefixes, thereby ensuring the robustness and reliability of findings. However, it's important to note that quantile regression encounters challenges in addressing cross-sectional dependence, which necessitates supplementation with the Generalised Method of Moments (GMM) strategy.

4 GMM specification

The study additionally employs the system GMM strategy to analyze the indirect effects. Specifically, it examines how technological innovation serves as a pathway through which FDI impacts green growth, moderating the relationship. By employing the GMM strategy, the study offers flexibility in modelling complex relationships, accommodates various types of data, and allows for robust statistical inference. It addresses potential endogeneity issues and tackles problems associated with unobserved heterogeneity, such as time-invariant omitted variables and concerns regarding reverse causality. System GMM was chosen to yield results with a net effect for policy recommendation, which applies to all OECD countries, a feature not easily accommodated by quantile regression. This strategy generates efficient estimates under specific conditions. The primary condition for adopting the GMM is met in our study, as it deals with 37 OECD countries over 26 years from 1995 to 2021, where the number of cross-sections exceeds the time series [ 52 ]. Additionally, the study satisfies the requirement for employing the GMM in panel data analysis.

The two-step system GMM strategy adopted in the study is summarised in the first difference ( 6 ) as follows:

K signifies the vector of control variables. µ i represents the country-specific effect, γ t indicates the time-specific constant term, represents the error term and τ the lagging coefficient.

Additionally, to prevent generic policy recommendations, we calculate the net effect of the modulating variable by utilizing the coefficients of both the direct and indirect effects, as outlined in Eq.  8 .

Ω denotes the average policy-modulating variable. The computation of the net effect is performed exclusively when β 1 and π 1 are both significant and demonstrate opposing signs.

5 Results and discussions

In this section, we delve into the findings of the study and offer a comprehensive analysis. To ensure clarity, the results are categorized into four sub-sections: Firstly, we present the fundamental findings derived from the baseline analysis. Secondly, we present the estimates from the quantile instrumental test results, accompanied by quantile regression plots provided in Appendix 1 and 2. Thirdly, we provided robustness checks by considering time variation and renewable energy by sources. Lastly, we discuss the results concerning the transmission effect and the determination of modulating thresholds obtained from the Two-Step System GMM estimates.

5.1 The Baseline results

The baseline results presented in Table  3 stem from the ordinary least squares model (OLS). These results reveal that FDI, GDP, renewable energy, and globalization exhibit positive correlations with both production-based CO 2 productivity and demand-based CO 2 productivity. Conversely, technological innovation and urbanization demonstrate negative effects. The study refrains from relying on the results of the OLS estimates for its conclusive remarks due to its failure to address issues of endogeneity and unobserved heterogeneity. In lieu of this, the present study opts for instrumental quantile regression as a more robust approach, the findings of which are outlined in Sect.  4.2 .

5.2 The instrumental quantile regression estimates

The quantile approach illustrates the estimated impact of FDI on green growth. These findings, derived from the quantile regression approach, are detailed in Table  4 of the study. The table showcases the results of instrumented quantile regression estimates at various quantiles, including the 10th, 25th, 50th, 75th, and 90th percentiles. Quantile regressions are widely adopted in both contemporary and non-contemporary literature as a robust regression technique, enabling a more typical assumption of normality for the residual term [ 50 , 53 ].

Even after addressing the issue of endogeneity in the OLS results, the discovery of the exclusive positive impact of FDI on production-based CO 2 productivity and demand-based CO 2 productivity remains consistent with the findings of the OLS analysis. Foreign Direct Investment (FDI) often leads to increased industrialization and economic activity, contributing to higher CO 2 emissions. Production-based CO 2 productivity decreases as FDI boosts manufacturing output, intensifying emissions. Similarly, demand-based CO 2 productivity declines as FDI drives consumption, heightening energy use and emissions. Consequently, the correlation between FDI and production-based and demand-based CO2 productivity tends to be positive due to the environmental implications of the heightened economic activity facilitated by FDI. These findings are in line with Tukhtamurodov et al. [ 15 ], Salahuddin et al. [ 54 ], and Zhang and Zhou [ 10 ], who argued that FDI often introduces technologies or production methods that are environmentally unfriendly or energy-inefficient, thus worsening the green growth.

Moreover, the result indicates that GDP increases production-based CO2 productivity- and demand-based CO 2 productivity among the selected OECD countries. As a measure of economic output, GDP often incentivizes consumption and production without regard for environmental consequences. This hinders green growth, which aims for economic development while preserving the environment. GDP-driven policies prioritize short-term gains over long-term sustainability, leading to overexploitation of natural resources, pollution, and ecosystem degradation. Additionally, GDP fails to account for negative externalities such as carbon emissions and habitat destruction, undervaluing the true cost of economic activities. Consequently, investments in environmentally harmful industries might appear beneficial for GDP growth despite their adverse effects on the planet.

On the other hand, the GDP squared has a favourable effect on green growth, albeit not significant for demand-based CO 2 productivity, possibly reflecting heightened awareness of environmental concerns leading to policies advocating sustainability and the reduction of CO 2 emissions as a byproduct of economic progress. These findings align with the Environmental Kuznets Curve literature, which suggests that economic activities often escalate energy consumption in early growth stages, primarily from fossil fuels and major CO 2 emission sources. Conversely, in later stages, maturing economies tend to embrace cleaner technologies, renewable energy sources, and enhanced production methods [ 7 , 8 ].

Furthermore, the results indicate that renewable energy exacerbates production- and demand-based CO 2 productivity in OECD countries. This may stem from the energy-intensive processes involved in renewable infrastructure production and maintenance and the intermittent nature of some renewables, necessitating backup systems that can increase CO 2 emissions. Additionally, manufacturing renewable infrastructure involves energy-intensive processes, contributing to CO 2 emissions. Also, globalization unfavourably impacts green growth by amplifying production-based and demand-based CO 2 productivity through increased trade, transportation, and industrial activities. Meeting global demand results in heightened energy consumption, primarily from fossil fuels. Outsourcing manufacturing to regions with lax environmental regulations further escalates emissions, worsening the global climate crisis. This aligns with Kirikkaleli and Addai's [ 55 ] findings, highlighting how globalization, prioritizing profit over environmental concerns, drives up resource extraction, production-based, and demand-based CO 2 productivity through expansive trade networks.

The results further demonstrate that technological innovation fosters green growth. Specifically, within the OECD sub-region, technological advancements enhance environmental sustainability by improving efficiency, conserving resources, and reducing pollution. These innovations diminish reliance on fossil fuels, thereby curbing greenhouse gas emissions. Smart grid technologies optimize energy distribution, minimizing wastage, while advancements in waste management, such as recycling and composting, reduce landfill usage. Moreover, innovations in transportation, including electric vehicles and efficient logistics, contribute to carbon emission reductions. Indeed, studies by Suki et al. [ 56 ], Nosheen et al. [ 57 ], and Mensah et al. [ 58 ] affirm that technological innovation cultivates a more sustainable balance between human activities and the environment.

Finally, the findings also reveal that urbanization has a negative and significant effect on both production-based and demand-based CO 2 productivity in the OECD countries. This indicates that urbanization contributes to green growth by fostering denser living arrangements, thereby decreasing per capita resource consumption and carbon emissions. Compact cities promote public transportation and shared infrastructure, mitigating urban sprawl and conserving natural habitats. Moreover, centralized services enhance efficiency in waste management and energy distribution, promoting a more environmentally sustainable urban environment.

5.3 Sensitivity check

This section validates the findings by examining potential sources of bias, bolstering the study's credibility, and confirming the generalisability and consistency of the analytical approach. It incorporates assessments of time variances and renewable energy sources to ensure the consistency of the results.

5.3.1 Does time matter in green growth and the FDI relationship?

Different time periods affect green growth due to evolving societal attitudes, technological advancements, and policy frameworks. In the early days, limited awareness of environmental issues led to unsustainable practices. Industrial revolutions accelerated resource exploitation, causing environmental degradation. However, with the emergence of environmental movements in the mid-twentieth century, awareness grew, prompting the adoption of conservation measures and early environmental regulations. As we progressed into the twenty-first century, concerns about climate change intensified, leading to increased emphasis on sustainable practices and green technologies. Today, with a greater understanding of the urgency to address climate change, there's a global push for green growth.

Policies supporting green technologies, circular economies, and sustainable development goals shape contemporary approaches. Therefore, the trajectory of green growth is shaped by the socio-economic context and the level of commitment to sustainable practices across different time periods. Tables 5 and 6 present the effect of FDI on production-based and demand-based CO 2 productivity accounting for different time periods. However, the results generally align with the baseline, although with minor exceptions; for example, GDP's negative impact on demand-based CO 2 productivity in the first quantile across different periods, albeit statistically insignificant.

5.3.2 Robustness checks accounting for renewable energy by sources

Renewable energy sources such as solar and wind power exhibit availability and technological application variability, uniquely affecting their contributions to sustainable development and green growth. Solar thermal energy capitalizes on sunlight to produce heat or electricity, diminishing dependence on fossil fuels and lowering greenhouse gas emissions. Conversely, wind energy employs turbines to generate electricity, reducing carbon emissions. However, wind energy's effectiveness relies on wind availability, whereas solar thermal energy can offer more consistency in specific regions. Both technologies are pivotal in broadening the spectrum of renewable energy sources and advancing sustainable development goals.

This study's choice of solar thermal and wind energy is predicated on data availability for the covered time period. Tables 7 and 8 unveil the impact of FDI on production-based and demand-based CO 2 productivity while considering renewable energy sources, specifically solar thermal and wind energy. After accounting for the difference in renewable energy to check the consistency of our result, we observed that the result remained unchanged. Upon examining the control variables, we observe minimal alterations. For instance, urbanization positively impacts production-based CO 2 productivity, although this effect is deemed insignificant. Additionally, globalization negatively influences demand-based CO 2 productivity in the last two quantiles.

5.4 Indirect effect result

The indirect effect analysis investigates the moderating role of technology innovation on the effect of FDI on green growth within the OECD member state. The indirect effect results have been conducted to examine whether the quest technology advancement enables FDI recipients to adopt cleaner production methods, reduce resource consumption, and minimize environmental impacts. Investments in environmental technology, smart grids, and sustainable infrastructure can be facilitated through technological advancements, promoting green growth [ 57 , 58 ]. Additionally, innovations in waste management, water purification, and pollution control help mitigate negative externalities associated with FDI. Through technology, FDI can catalyze the development and deployment of environmentally friendly solutions, fostering a more sustainable and resilient economy [ 9 , 12 , 13 ]. This synergy between technology innovation and FDI contributes to achieving long-term environmental objectives while stimulating economic growth.

The introduction of the indirect effect guides us towards avoiding broad policy approaches. It offers a framework for devising strategies to enhance green growth within the OCED countries with inadequate environmental management. In this section of the study, the Two-Step System GMM strategy is employed to determine a consolidated net effect of FDI interaction with tech-innovation in the OECD sub-region to easy policy orientation. By utilizing the GMM strategy, the study ensures that the findings are unaffected by endogeneity, cross-sections, autocorrelation, and heteroscedasticity, as suggested by Wirajing et al. [ 50 ]. The outcomes of the system GMM analysis are presented in Table  9 . The findings suggest that FDI exerts a notable and positive influence on production—and demand-based CO 2 productivity, aligning with the core findings. Upon interaction with technological innovation, we discern a positive impact on production-based CO 2 productivity but a negative impact on demand-based CO 2 productivity. This suggests that technological innovation can moderate the influence of FDI on demand-based CO 2 productivity. This finding supports the role of innovation in achieving SDG 9 and underscores the importance of fostering collaborative partnerships between foreign investors and local innovators (SDG 17).

Technological advancements within OECD countries often attract FDI due to their growth potential and profitability. This prioritizes efficiency enhancements over environmental sustainability, consequently boosting production-based CO 2 productivity. Conversely, the synergy between technological innovation and FDI fosters the advancement of cleaner technologies and energy-efficient processes. This leads to a decline in demand-based CO 2 productivity, stemming from reduced energy consumption across various stages of goods and services production consumed domestically, regardless of the production locations.

5.5 Conclusion and policy implication

The Sustainable Development Goals advocate for advancing green growth, which entails fostering economic prosperity while safeguarding the environment. Central to this agenda are the principles of sustainable consumption, production, and energy utilization aimed at addressing climate change and preserving ecosystems. This study examines the moderating influence of technological innovation on the relationship between Foreign Direct Investment (FDI) and green growth within OECD member states. Our examination focuses on two dimensions of green growth: production-based CO 2 productivity and demand-based CO 2 productivity. Employing the EKC and STIRPAT frameworks, we analyze data from 1995 to 2021 across 37 OECD countries. Methodologically, our empirical approach involves employing Ordinary Least Squares (OLS), instrumental quantile, and System GMM methodologies. The results indicate that FDI hinders green growth, while technological innovation is pivotal in enhancing it. This dynamic holds across various periods and renewable energy sources. Moreover, our study reveals that FDI, in conjunction with technological innovation, leads to an increase in production-based CO 2 productivity but a decrease in demand-based CO 2 productivity. Additionally, we observe the presence of an environmental Kuznets curve for production-based CO 2 productivity.

Adding to significant scientific value by demonstrating how technological innovation moderates FDI's impact on green growth in OECD countries, we propose the implementation of a policy framework aimed at fostering domestic technological innovation while prudently managing foreign direct investment (FDI) to support sustainable growth. Also, policy frameworks should prioritize investments in research and development, creating an enabling environment for innovation and the advancement of sustainable technologies. Encouraging collaborative ventures between foreign investors and local innovators can also harness global expertise while furthering green objectives. Concurrently, policies should stimulate demand for environmentally friendly products and services to bolster demand-based CO 2 productivity. Moreover, investing in research and development (R&D) for green technologies is crucial. Lastly, integrating green criteria into FDI agreements and providing tax incentives for eco-friendly innovations will harmonize FDI with environmental goals.

5.6 Limitations and future recommendations

This study offers valuable insights into the interplay between Foreign Direct Investment (FDI), technological innovation, and green growth in OECD countries. However, several limitations stem from the design and methodology constraints, which may impact the interpretation of our findings:

First, the dataset covers 37 OECD countries over 26 years (1995–2021). While comprehensive, this temporal and spatial scope may not capture all relevant fluctuations and anomalies, especially short-term economic shocks or policy changes that could influence FDI and green growth dynamics. Second, using proxies, such as patents for technological innovation and production-based and demand-based CO2 productivity for green growth, introduces potential measurement errors. These proxies may not fully encapsulate the multi-faceted nature of technological innovation and environmental sustainability. Third, the focus on OECD countries, typically advanced economies, limits the generalizability of the findings to developing countries with different economic structures, regulatory frameworks, and technological capabilities. Also, the methodologies employed, including Ordinary Least Squares (OLS), smoothed instrumental-variables quantile regression (SIVQR), and System GMM, each have inherent limitations. For instance, OLS may not adequately address endogeneity issues, while SIVQR and System GMM require strong assumptions about the instruments and error distributions, which might not hold in all cases. Finally, technological innovation is a broad concept, and this study's focus on patents may overlook other forms of innovation, such as process improvements, managerial practices, and informal knowledge transfers that also significantly impact green growth.

Building on the findings and addressing the aforementioned limitations, the following recommendations are proposed for future research:

Future studies should incorporate a more extensive dataset, including non-OECD countries, to enhance the generalizability of the findings. Including data from emerging and developing economies could provide a more comprehensive understanding of the FDI-green growth nexus across different economic contexts. Moreover, employing alternative or supplementary measures for technological innovation, such as R&D expenditures, innovation indices, and qualitative assessments of technological capabilities, can provide a more nuanced understanding of its impact on green growth. Also, utilizing advanced econometric techniques that better handle endogeneity, non-linearity, and dynamic relationships, such as panel vector autoregression (PVAR) and machine learning approaches, can provide more robust insights. These methods can also help uncover complex interactions and causal relationships.

In addition, conducting in-depth case studies and sector-specific analyses can reveal contextual nuances and sectoral variations in the FDI-green growth relationship. This approach can identify best practices and policy interventions tailored to specific industries or regions. Lastly, integrating insights from other disciplines, such as political science, sociology, and environmental science, can enrich the analysis by considering broader socio-political and ecological dimensions influencing the FDI-green growth nexus. By addressing these limitations and following the outlined recommendations, future research can build on robust foundations, yielding valuable insights that inform practical applications and policy decisions to foster sustainable economic development.

Data availability

The data used in this study is available upon request from the corresponding author.

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GSK prepared the analysis, interpretation and data curation. SA prepared the literature review, and BM prepared the introduction, editing and supervision of the manuscript.

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1.1 Appendix 1: The quantile plot on the determinants of production-based CO 2 productivity

1.2 Appendix 2: The quantile plot on the determinants of demand-based CO 2 productivity

1.3 Appendix 3. Production-based CO 2 productivity across the OECD countries. Source: Author’s computation from OECD database

1.4 Appendix 4. Demand-based CO 2 productivity across the OECD countries. Source: Author’s computation from OECD database

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Ketchoua, G.S., Arogundade, S. & Mduduzi, B. Revaluating the Sustainable Development Thesis: exploring the moderating influence of Technological Innovation on the impact of Foreign Direct Investment (FDI) on Green Growth in the OECD Countries. Discov Sustain 5 , 252 (2024). https://doi.org/10.1007/s43621-024-00433-w

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