1. write a hypothesis based on observations and scientific principles

How to Write a Hypothesis in 6 Steps, With Examples

A hypothesis is a statement that explains the predictions and reasoning of your research—an “educated guess” about how your scientific experiments will end. As a fundamental part of the scientific method, a good hypothesis is carefully written, but even the simplest ones can be difficult to put into words. 

Want to know how to write a hypothesis for your academic paper ? Below we explain the different types of hypotheses, what a good hypothesis requires, the steps to write your own, and plenty of examples.

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What is a hypothesis? 

One of our 10 essential words for university success , a hypothesis is one of the earliest stages of the scientific method. It’s essentially an educated guess—based on observations—of what the results of your experiment or research will be. 

Some hypothesis examples include:

• If I water plants daily they will grow faster.
• Adults can more accurately guess the temperature than children can. 
• Butterflies prefer white flowers to orange ones.

If you’ve noticed that watering your plants every day makes them grow faster, your hypothesis might be “plants grow better with regular watering.” From there, you can begin experiments to test your hypothesis; in this example, you might set aside two plants, water one but not the other, and then record the results to see the differences. 

The language of hypotheses always discusses variables , or the elements that you’re testing. Variables can be objects, events, concepts, etc.—whatever is observable. 

There are two types of variables: independent and dependent. Independent variables are the ones that you change for your experiment, whereas dependent variables are the ones that you can only observe. In the above example, our independent variable is how often we water the plants and the dependent variable is how well they grow. 

Hypotheses determine the direction and organization of your subsequent research methods, and that makes them a big part of writing a research paper . Ultimately the reader wants to know whether your hypothesis was proven true or false, so it must be written clearly in the introduction and/or abstract of your paper. 

7 examples of hypotheses

Depending on the nature of your research and what you expect to find, your hypothesis will fall into one or more of the seven main categories. Keep in mind that these categories are not exclusive, so the same hypothesis might qualify as several different types. 

1 Simple hypothesis

A simple hypothesis suggests only the relationship between two variables: one independent and one dependent. 

• If you stay up late, then you feel tired the next day. 
• Turning off your phone makes it charge faster. 

2 Complex hypothesis

A complex hypothesis suggests the relationship between more than two variables, for example, two independents and one dependent, or vice versa. 

• People who both (1) eat a lot of fatty foods and (2) have a family history of health problems are more likely to develop heart diseases. 
• Older people who live in rural areas are happier than younger people who live in rural areas. 

3 Null hypothesis

A null hypothesis, abbreviated as H 0 , suggests that there is no relationship between variables. 

• There is no difference in plant growth when using either bottled water or tap water. 
• Professional psychics do not win the lottery more than other people. 

4 Alternative hypothesis

An alternative hypothesis, abbreviated as H 1 or H A , is used in conjunction with a null hypothesis. It states the opposite of the null hypothesis, so that one and only one must be true. 

• Plants grow better with bottled water than tap water. 
• Professional psychics win the lottery more than other people. 

5 Logical hypothesis

A logical hypothesis suggests a relationship between variables without actual evidence. Claims are instead based on reasoning or deduction, but lack actual data.  

• An alien raised on Venus would have trouble breathing in Earth’s atmosphere. 
• Dinosaurs with sharp, pointed teeth were probably carnivores. 

6 Empirical hypothesis

An empirical hypothesis, also known as a “working hypothesis,” is one that is currently being tested. Unlike logical hypotheses, empirical hypotheses rely on concrete data. 

• Customers at restaurants will tip the same even if the wait staff’s base salary is raised. 
• Washing your hands every hour can reduce the frequency of illness. 

7 Statistical hypothesis

A statistical hypothesis is when you test only a sample of a population and then apply statistical evidence to the results to draw a conclusion about the entire population. Instead of testing everything , you test only a portion and generalize the rest based on preexisting data. 

• In humans, the birth-gender ratio of males to females is 1.05 to 1.00.  
• Approximately 2% of the world population has natural red hair. 

What makes a good hypothesis?

No matter what you’re testing, a good hypothesis is written according to the same guidelines. In particular, keep these five characteristics in mind: 

Cause and effect

Hypotheses always include a cause-and-effect relationship where one variable causes another to change (or not change if you’re using a null hypothesis). This can best be reflected as an if-then statement: If one variable occurs, then another variable changes. 

Testable prediction

Most hypotheses are designed to be tested (with the exception of logical hypotheses). Before committing to a hypothesis, make sure you’re actually able to conduct experiments on it. Choose a testable hypothesis with an independent variable that you have absolute control over. 

Independent and dependent variables

Define your variables in your hypothesis so your readers understand the big picture. You don’t have to specifically say which ones are independent and dependent variables, but you definitely want to mention them all. 

Candid language

Writing can easily get convoluted, so make sure your hypothesis remains as simple and clear as possible. Readers use your hypothesis as a contextual pillar to unify your entire paper, so there should be no confusion or ambiguity. If you’re unsure about your phrasing, try reading your hypothesis to a friend to see if they understand. 

Adherence to ethics

It’s not always about what you can test, but what you should test. Avoid hypotheses that require questionable or taboo experiments to keep ethics (and therefore, credibility) intact.

How to write a hypothesis in 6 steps

1 ask a question.

Curiosity has inspired some of history’s greatest scientific achievements, so a good place to start is to ask yourself questions about the world around you. Why are things the way they are? What causes the factors you see around you? If you can, choose a research topic that you’re interested in so your curiosity comes naturally. 

2 Conduct preliminary research

Next, collect some background information on your topic. How much background information you need depends on what you’re attempting. It could require reading several books, or it could be as simple as performing a web search for a quick answer. You don’t necessarily have to prove or disprove your hypothesis at this stage; rather, collect only what you need to prove or disprove it yourself. 

3 Define your variables

Once you have an idea of what your hypothesis will be, select which variables are independent and which are dependent. Remember that independent variables can only be factors that you have absolute control over, so consider the limits of your experiment before finalizing your hypothesis. 

4 Phrase it as an if-then statement

When writing a hypothesis, it helps to phrase it using an if-then format, such as, “ If I water a plant every day, then it will grow better.” This format can get tricky when dealing with multiple variables, but in general, it’s a reliable method for expressing the cause-and-effect relationship you’re testing. 

5  Collect data to support your hypothesis

A hypothesis is merely a means to an end. The priority of any scientific research is the conclusion. Once you have your hypothesis laid out and your variables chosen, you can then begin your experiments. Ideally, you’ll collect data to support your hypothesis, but don’t worry if your research ends up proving it wrong—that’s all part of the scientific method. 

6 Write with confidence

Last, you’ll want to record your findings in a research paper for others to see. This requires a bit of writing know-how, quite a different skill set than conducting experiments. 

That’s where Grammarly can be a major help; our writing suggestions point out not only grammar and spelling mistakes , but also new word choices and better phrasing. While you write, Grammarly automatically recommends optimal language and highlights areas where readers might get confused, ensuring that your hypothesis—and your final paper—are clear and polished.

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Biology library

Course: biology library   >   unit 1, the scientific method.

• Controlled experiments
• The scientific method and experimental design

Introduction

• Make an observation.
• Ask a question.
• Form a hypothesis , or testable explanation.
• Make a prediction based on the hypothesis.
• Test the prediction.
• Iterate: use the results to make new hypotheses or predictions.

Scientific method example: Failure to toast

1. make an observation..

• Observation: the toaster won't toast.

2. Ask a question.

• Question: Why won't my toaster toast?

3. Propose a hypothesis.

• Hypothesis: Maybe the outlet is broken.

4. Make predictions.

• Prediction: If I plug the toaster into a different outlet, then it will toast the bread.

5. Test the predictions.

• Test of prediction: Plug the toaster into a different outlet and try again.
• If the toaster does toast, then the hypothesis is supported—likely correct.
• If the toaster doesn't toast, then the hypothesis is not supported—likely wrong.

Logical possibility

Practical possibility, building a body of evidence, 6. iterate..

• Iteration time!
• If the hypothesis was supported, we might do additional tests to confirm it, or revise it to be more specific. For instance, we might investigate why the outlet is broken.
• If the hypothesis was not supported, we would come up with a new hypothesis. For instance, the next hypothesis might be that there's a broken wire in the toaster.

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• v.36(50); 2021 Dec 27

Formulating Hypotheses for Different Study Designs

Durga prasanna misra.

1 Department of Clinical Immunology and Rheumatology, Sanjay Gandhi Postgraduate Institute of Medical Sciences, Lucknow, India.

Armen Yuri Gasparyan

2 Departments of Rheumatology and Research and Development, Dudley Group NHS Foundation Trust (Teaching Trust of the University of Birmingham, UK), Russells Hall Hospital, Dudley, UK.

Olena Zimba

3 Department of Internal Medicine #2, Danylo Halytsky Lviv National Medical University, Lviv, Ukraine.

Marlen Yessirkepov

4 Department of Biology and Biochemistry, South Kazakhstan Medical Academy, Shymkent, Kazakhstan.

Vikas Agarwal

George d. kitas.

5 Centre for Epidemiology versus Arthritis, University of Manchester, Manchester, UK.

Generating a testable working hypothesis is the first step towards conducting original research. Such research may prove or disprove the proposed hypothesis. Case reports, case series, online surveys and other observational studies, clinical trials, and narrative reviews help to generate hypotheses. Observational and interventional studies help to test hypotheses. A good hypothesis is usually based on previous evidence-based reports. Hypotheses without evidence-based justification and a priori ideas are not received favourably by the scientific community. Original research to test a hypothesis should be carefully planned to ensure appropriate methodology and adequate statistical power. While hypotheses can challenge conventional thinking and may be controversial, they should not be destructive. A hypothesis should be tested by ethically sound experiments with meaningful ethical and clinical implications. The coronavirus disease 2019 pandemic has brought into sharp focus numerous hypotheses, some of which were proven (e.g. effectiveness of corticosteroids in those with hypoxia) while others were disproven (e.g. ineffectiveness of hydroxychloroquine and ivermectin).

Graphical Abstract

DEFINING WORKING AND STANDALONE SCIENTIFIC HYPOTHESES

Science is the systematized description of natural truths and facts. Routine observations of existing life phenomena lead to the creative thinking and generation of ideas about mechanisms of such phenomena and related human interventions. Such ideas presented in a structured format can be viewed as hypotheses. After generating a hypothesis, it is necessary to test it to prove its validity. Thus, hypothesis can be defined as a proposed mechanism of a naturally occurring event or a proposed outcome of an intervention. 1 , 2

Hypothesis testing requires choosing the most appropriate methodology and adequately powering statistically the study to be able to “prove” or “disprove” it within predetermined and widely accepted levels of certainty. This entails sample size calculation that often takes into account previously published observations and pilot studies. 2 , 3 In the era of digitization, hypothesis generation and testing may benefit from the availability of numerous platforms for data dissemination, social networking, and expert validation. Related expert evaluations may reveal strengths and limitations of proposed ideas at early stages of post-publication promotion, preventing the implementation of unsupported controversial points. 4

Thus, hypothesis generation is an important initial step in the research workflow, reflecting accumulating evidence and experts' stance. In this article, we overview the genesis and importance of scientific hypotheses and their relevance in the era of the coronavirus disease 2019 (COVID-19) pandemic.

DO WE NEED HYPOTHESES FOR ALL STUDY DESIGNS?

Broadly, research can be categorized as primary or secondary. In the context of medicine, primary research may include real-life observations of disease presentations and outcomes. Single case descriptions, which often lead to new ideas and hypotheses, serve as important starting points or justifications for case series and cohort studies. The importance of case descriptions is particularly evident in the context of the COVID-19 pandemic when unique, educational case reports have heralded a new era in clinical medicine. 5

Case series serve similar purpose to single case reports, but are based on a slightly larger quantum of information. Observational studies, including online surveys, describe the existing phenomena at a larger scale, often involving various control groups. Observational studies include variable-scale epidemiological investigations at different time points. Interventional studies detail the results of therapeutic interventions.

Secondary research is based on already published literature and does not directly involve human or animal subjects. Review articles are generated by secondary research. These could be systematic reviews which follow methods akin to primary research but with the unit of study being published papers rather than humans or animals. Systematic reviews have a rigid structure with a mandatory search strategy encompassing multiple databases, systematic screening of search results against pre-defined inclusion and exclusion criteria, critical appraisal of study quality and an optional component of collating results across studies quantitatively to derive summary estimates (meta-analysis). 6 Narrative reviews, on the other hand, have a more flexible structure. Systematic literature searches to minimise bias in selection of articles are highly recommended but not mandatory. 7 Narrative reviews are influenced by the authors' viewpoint who may preferentially analyse selected sets of articles. 8

In relation to primary research, case studies and case series are generally not driven by a working hypothesis. Rather, they serve as a basis to generate a hypothesis. Observational or interventional studies should have a hypothesis for choosing research design and sample size. The results of observational and interventional studies further lead to the generation of new hypotheses, testing of which forms the basis of future studies. Review articles, on the other hand, may not be hypothesis-driven, but form fertile ground to generate future hypotheses for evaluation. Fig. 1 summarizes which type of studies are hypothesis-driven and which lead on to hypothesis generation.

STANDARDS OF WORKING AND SCIENTIFIC HYPOTHESES

A review of the published literature did not enable the identification of clearly defined standards for working and scientific hypotheses. It is essential to distinguish influential versus not influential hypotheses, evidence-based hypotheses versus a priori statements and ideas, ethical versus unethical, or potentially harmful ideas. The following points are proposed for consideration while generating working and scientific hypotheses. 1 , 2 Table 1 summarizes these points.

Evidence-based data

A scientific hypothesis should have a sound basis on previously published literature as well as the scientist's observations. Randomly generated (a priori) hypotheses are unlikely to be proven. A thorough literature search should form the basis of a hypothesis based on published evidence. 7

Unless a scientific hypothesis can be tested, it can neither be proven nor be disproven. Therefore, a scientific hypothesis should be amenable to testing with the available technologies and the present understanding of science.

Supported by pilot studies

If a hypothesis is based purely on a novel observation by the scientist in question, it should be grounded on some preliminary studies to support it. For example, if a drug that targets a specific cell population is hypothesized to be useful in a particular disease setting, then there must be some preliminary evidence that the specific cell population plays a role in driving that disease process.

Testable by ethical studies

The hypothesis should be testable by experiments that are ethically acceptable. 9 For example, a hypothesis that parachutes reduce mortality from falls from an airplane cannot be tested using a randomized controlled trial. 10 This is because it is obvious that all those jumping from a flying plane without a parachute would likely die. Similarly, the hypothesis that smoking tobacco causes lung cancer cannot be tested by a clinical trial that makes people take up smoking (since there is considerable evidence for the health hazards associated with smoking). Instead, long-term observational studies comparing outcomes in those who smoke and those who do not, as was performed in the landmark epidemiological case control study by Doll and Hill, 11 are more ethical and practical.

Balance between scientific temper and controversy

Novel findings, including novel hypotheses, particularly those that challenge established norms, are bound to face resistance for their wider acceptance. Such resistance is inevitable until the time such findings are proven with appropriate scientific rigor. However, hypotheses that generate controversy are generally unwelcome. For example, at the time the pandemic of human immunodeficiency virus (HIV) and AIDS was taking foot, there were numerous deniers that refused to believe that HIV caused AIDS. 12 , 13 Similarly, at a time when climate change is causing catastrophic changes to weather patterns worldwide, denial that climate change is occurring and consequent attempts to block climate change are certainly unwelcome. 14 The denialism and misinformation during the COVID-19 pandemic, including unfortunate examples of vaccine hesitancy, are more recent examples of controversial hypotheses not backed by science. 15 , 16 An example of a controversial hypothesis that was a revolutionary scientific breakthrough was the hypothesis put forth by Warren and Marshall that Helicobacter pylori causes peptic ulcers. Initially, the hypothesis that a microorganism could cause gastritis and gastric ulcers faced immense resistance. When the scientists that proposed the hypothesis themselves ingested H. pylori to induce gastritis in themselves, only then could they convince the wider world about their hypothesis. Such was the impact of the hypothesis was that Barry Marshall and Robin Warren were awarded the Nobel Prize in Physiology or Medicine in 2005 for this discovery. 17 , 18

DISTINGUISHING THE MOST INFLUENTIAL HYPOTHESES

Influential hypotheses are those that have stood the test of time. An archetype of an influential hypothesis is that proposed by Edward Jenner in the eighteenth century that cowpox infection protects against smallpox. While this observation had been reported for nearly a century before this time, it had not been suitably tested and publicised until Jenner conducted his experiments on a young boy by demonstrating protection against smallpox after inoculation with cowpox. 19 These experiments were the basis for widespread smallpox immunization strategies worldwide in the 20th century which resulted in the elimination of smallpox as a human disease today. 20

Other influential hypotheses are those which have been read and cited widely. An example of this is the hygiene hypothesis proposing an inverse relationship between infections in early life and allergies or autoimmunity in adulthood. An analysis reported that this hypothesis had been cited more than 3,000 times on Scopus. 1

LESSONS LEARNED FROM HYPOTHESES AMIDST THE COVID-19 PANDEMIC

The COVID-19 pandemic devastated the world like no other in recent memory. During this period, various hypotheses emerged, understandably so considering the public health emergency situation with innumerable deaths and suffering for humanity. Within weeks of the first reports of COVID-19, aberrant immune system activation was identified as a key driver of organ dysfunction and mortality in this disease. 21 Consequently, numerous drugs that suppress the immune system or abrogate the activation of the immune system were hypothesized to have a role in COVID-19. 22 One of the earliest drugs hypothesized to have a benefit was hydroxychloroquine. Hydroxychloroquine was proposed to interfere with Toll-like receptor activation and consequently ameliorate the aberrant immune system activation leading to pathology in COVID-19. 22 The drug was also hypothesized to have a prophylactic role in preventing infection or disease severity in COVID-19. It was also touted as a wonder drug for the disease by many prominent international figures. However, later studies which were well-designed randomized controlled trials failed to demonstrate any benefit of hydroxychloroquine in COVID-19. 23 , 24 , 25 , 26 Subsequently, azithromycin 27 , 28 and ivermectin 29 were hypothesized as potential therapies for COVID-19, but were not supported by evidence from randomized controlled trials. The role of vitamin D in preventing disease severity was also proposed, but has not been proven definitively until now. 30 , 31 On the other hand, randomized controlled trials identified the evidence supporting dexamethasone 32 and interleukin-6 pathway blockade with tocilizumab as effective therapies for COVID-19 in specific situations such as at the onset of hypoxia. 33 , 34 Clues towards the apparent effectiveness of various drugs against severe acute respiratory syndrome coronavirus 2 in vitro but their ineffectiveness in vivo have recently been identified. Many of these drugs are weak, lipophilic bases and some others induce phospholipidosis which results in apparent in vitro effectiveness due to non-specific off-target effects that are not replicated inside living systems. 35 , 36

Another hypothesis proposed was the association of the routine policy of vaccination with Bacillus Calmette-Guerin (BCG) with lower deaths due to COVID-19. This hypothesis emerged in the middle of 2020 when COVID-19 was still taking foot in many parts of the world. 37 , 38 Subsequently, many countries which had lower deaths at that time point went on to have higher numbers of mortality, comparable to other areas of the world. Furthermore, the hypothesis that BCG vaccination reduced COVID-19 mortality was a classic example of ecological fallacy. Associations between population level events (ecological studies; in this case, BCG vaccination and COVID-19 mortality) cannot be directly extrapolated to the individual level. Furthermore, such associations cannot per se be attributed as causal in nature, and can only serve to generate hypotheses that need to be tested at the individual level. 39

IS TRADITIONAL PEER REVIEW EFFICIENT FOR EVALUATION OF WORKING AND SCIENTIFIC HYPOTHESES?

Traditionally, publication after peer review has been considered the gold standard before any new idea finds acceptability amongst the scientific community. Getting a work (including a working or scientific hypothesis) reviewed by experts in the field before experiments are conducted to prove or disprove it helps to refine the idea further as well as improve the experiments planned to test the hypothesis. 40 A route towards this has been the emergence of journals dedicated to publishing hypotheses such as the Central Asian Journal of Medical Hypotheses and Ethics. 41 Another means of publishing hypotheses is through registered research protocols detailing the background, hypothesis, and methodology of a particular study. If such protocols are published after peer review, then the journal commits to publishing the completed study irrespective of whether the study hypothesis is proven or disproven. 42 In the post-pandemic world, online research methods such as online surveys powered via social media channels such as Twitter and Instagram might serve as critical tools to generate as well as to preliminarily test the appropriateness of hypotheses for further evaluation. 43 , 44

Some radical hypotheses might be difficult to publish after traditional peer review. These hypotheses might only be acceptable by the scientific community after they are tested in research studies. Preprints might be a way to disseminate such controversial and ground-breaking hypotheses. 45 However, scientists might prefer to keep their hypotheses confidential for the fear of plagiarism of ideas, avoiding online posting and publishing until they have tested the hypotheses.

SUGGESTIONS ON GENERATING AND PUBLISHING HYPOTHESES

Publication of hypotheses is important, however, a balance is required between scientific temper and controversy. Journal editors and reviewers might keep in mind these specific points, summarized in Table 2 and detailed hereafter, while judging the merit of hypotheses for publication. Keeping in mind the ethical principle of primum non nocere, a hypothesis should be published only if it is testable in a manner that is ethically appropriate. 46 Such hypotheses should be grounded in reality and lend themselves to further testing to either prove or disprove them. It must be considered that subsequent experiments to prove or disprove a hypothesis have an equal chance of failing or succeeding, akin to tossing a coin. A pre-conceived belief that a hypothesis is unlikely to be proven correct should not form the basis of rejection of such a hypothesis for publication. In this context, hypotheses generated after a thorough literature search to identify knowledge gaps or based on concrete clinical observations on a considerable number of patients (as opposed to random observations on a few patients) are more likely to be acceptable for publication by peer-reviewed journals. Also, hypotheses should be considered for publication or rejection based on their implications for science at large rather than whether the subsequent experiments to test them end up with results in favour of or against the original hypothesis.

Hypotheses form an important part of the scientific literature. The COVID-19 pandemic has reiterated the importance and relevance of hypotheses for dealing with public health emergencies and highlighted the need for evidence-based and ethical hypotheses. A good hypothesis is testable in a relevant study design, backed by preliminary evidence, and has positive ethical and clinical implications. General medical journals might consider publishing hypotheses as a specific article type to enable more rapid advancement of science.

Disclosure: The authors have no potential conflicts of interest to disclose.

Author Contributions:

• Data curation: Gasparyan AY, Misra DP, Zimba O, Yessirkepov M, Agarwal V, Kitas GD.

Theories, Hypotheses, and Laws: Definitions, examples, and their roles in science

by Anthony Carpi, Ph.D., Anne E. Egger, Ph.D.

Listen to this reading

Did you know that the idea of evolution had been part of Western thought for more than 2,000 years before Charles Darwin was born? Like many theories, the theory of evolution was the result of the work of many different scientists working in different disciplines over a period of time.

A scientific theory is an explanation inferred from multiple lines of evidence for some broad aspect of the natural world and is logical, testable, and predictive.

As new evidence comes to light, or new interpretations of existing data are proposed, theories may be revised and even change; however, they are not tenuous or speculative.

A scientific hypothesis is an inferred explanation of an observation or research finding; while more exploratory in nature than a theory, it is based on existing scientific knowledge.

A scientific law is an expression of a mathematical or descriptive relationship observed in nature.

Imagine yourself shopping in a grocery store with a good friend who happens to be a chemist. Struggling to choose between the many different types of tomatoes in front of you, you pick one up, turn to your friend, and ask her if she thinks the tomato is organic . Your friend simply chuckles and replies, "Of course it's organic!" without even looking at how the fruit was grown. Why the amused reaction? Your friend is highlighting a simple difference in vocabulary. To a chemist, the term organic refers to any compound in which hydrogen is bonded to carbon. Tomatoes (like all plants) are abundant in organic compounds – thus your friend's laughter. In modern agriculture, however, organic has come to mean food items grown or raised without the use of chemical fertilizers, pesticides, or other additives.

So who is correct? You both are. Both uses of the word are correct, though they mean different things in different contexts. There are, of course, lots of words that have more than one meaning (like bat , for example), but multiple meanings can be especially confusing when two meanings convey very different ideas and are specific to one field of study.

• Scientific theories

The term theory also has two meanings, and this double meaning often leads to confusion. In common language, the term theory generally refers to speculation or a hunch or guess. You might have a theory about why your favorite sports team isn't playing well, or who ate the last cookie from the cookie jar. But these theories do not fit the scientific use of the term. In science, a theory is a well-substantiated and comprehensive set of ideas that explains a phenomenon in nature. A scientific theory is based on large amounts of data and observations that have been collected over time. Scientific theories can be tested and refined by additional research , and they allow scientists to make predictions. Though you may be correct in your hunch, your cookie jar conjecture doesn't fit this more rigorous definition.

All scientific disciplines have well-established, fundamental theories . For example, atomic theory describes the nature of matter and is supported by multiple lines of evidence from the way substances behave and react in the world around us (see our series on Atomic Theory ). Plate tectonic theory describes the large scale movement of the outer layer of the Earth and is supported by evidence from studies about earthquakes , magnetic properties of the rocks that make up the seafloor , and the distribution of volcanoes on Earth (see our series on Plate Tectonic Theory ). The theory of evolution by natural selection , which describes the mechanism by which inherited traits that affect survivability or reproductive success can cause changes in living organisms over generations , is supported by extensive studies of DNA , fossils , and other types of scientific evidence (see our Charles Darwin series for more information). Each of these major theories guides and informs modern research in those fields, integrating a broad, comprehensive set of ideas.

So how are these fundamental theories developed, and why are they considered so well supported? Let's take a closer look at some of the data and research supporting the theory of natural selection to better see how a theory develops.

Comprehension Checkpoint

• The development of a scientific theory: Evolution and natural selection

The theory of evolution by natural selection is sometimes maligned as Charles Darwin 's speculation on the origin of modern life forms. However, evolutionary theory is not speculation. While Darwin is rightly credited with first articulating the theory of natural selection, his ideas built on more than a century of scientific research that came before him, and are supported by over a century and a half of research since.

• The Fixity Notion: Linnaeus

Figure 1: Cover of the 1760 edition of Systema Naturae .

Research about the origins and diversity of life proliferated in the 18th and 19th centuries. Carolus Linnaeus , a Swedish botanist and the father of modern taxonomy (see our module Taxonomy I for more information), was a devout Christian who believed in the concept of Fixity of Species , an idea based on the biblical story of creation. The Fixity of Species concept said that each species is based on an ideal form that has not changed over time. In the early stages of his career, Linnaeus traveled extensively and collected data on the structural similarities and differences between different species of plants. Noting that some very different plants had similar structures, he began to piece together his landmark work, Systema Naturae, in 1735 (Figure 1). In Systema , Linnaeus classified organisms into related groups based on similarities in their physical features. He developed a hierarchical classification system , even drawing relationships between seemingly disparate species (for example, humans, orangutans, and chimpanzees) based on the physical similarities that he observed between these organisms. Linnaeus did not explicitly discuss change in organisms or propose a reason for his hierarchy, but by grouping organisms based on physical characteristics, he suggested that species are related, unintentionally challenging the Fixity notion that each species is created in a unique, ideal form.

• The age of Earth: Leclerc and Hutton

Also in the early 1700s, Georges-Louis Leclerc, a French naturalist, and James Hutton , a Scottish geologist, began to develop new ideas about the age of the Earth. At the time, many people thought of the Earth as 6,000 years old, based on a strict interpretation of the events detailed in the Christian Old Testament by the influential Scottish Archbishop Ussher. By observing other planets and comets in the solar system , Leclerc hypothesized that Earth began as a hot, fiery ball of molten rock, mostly consisting of iron. Using the cooling rate of iron, Leclerc calculated that Earth must therefore be at least 70,000 years old in order to have reached its present temperature.

Hutton approached the same topic from a different perspective, gathering observations of the relationships between different rock formations and the rates of modern geological processes near his home in Scotland. He recognized that the relatively slow processes of erosion and sedimentation could not create all of the exposed rock layers in only a few thousand years (see our module The Rock Cycle ). Based on his extensive collection of data (just one of his many publications ran to 2,138 pages), Hutton suggested that the Earth was far older than human history – hundreds of millions of years old.

While we now know that both Leclerc and Hutton significantly underestimated the age of the Earth (by about 4 billion years), their work shattered long-held beliefs and opened a window into research on how life can change over these very long timescales.

• Fossil studies lead to the development of a theory of evolution: Cuvier

Figure 2: Illustration of an Indian elephant jaw and a mammoth jaw from Cuvier's 1796 paper.

With the age of Earth now extended by Leclerc and Hutton, more researchers began to turn their attention to studying past life. Fossils are the main way to study past life forms, and several key studies on fossils helped in the development of a theory of evolution . In 1795, Georges Cuvier began to work at the National Museum in Paris as a naturalist and anatomist. Through his work, Cuvier became interested in fossils found near Paris, which some claimed were the remains of the elephants that Hannibal rode over the Alps when he invaded Rome in 218 BCE . In studying both the fossils and living species , Cuvier documented different patterns in the dental structure and number of teeth between the fossils and modern elephants (Figure 2) (Horner, 1843). Based on these data , Cuvier hypothesized that the fossil remains were not left by Hannibal, but were from a distinct species of animal that once roamed through Europe and had gone extinct thousands of years earlier: the mammoth. The concept of species extinction had been discussed by a few individuals before Cuvier, but it was in direct opposition to the Fixity of Species concept – if every organism were based on a perfectly adapted, ideal form, how could any cease to exist? That would suggest it was no longer ideal.

While his work provided critical evidence of extinction , a key component of evolution , Cuvier was highly critical of the idea that species could change over time. As a result of his extensive studies of animal anatomy, Cuvier had developed a holistic view of organisms , stating that the

number, direction, and shape of the bones that compose each part of an animal's body are always in a necessary relation to all the other parts, in such a way that ... one can infer the whole from any one of them ...

In other words, Cuvier viewed each part of an organism as a unique, essential component of the whole organism. If one part were to change, he believed, the organism could not survive. His skepticism about the ability of organisms to change led him to criticize the whole idea of evolution , and his prominence in France as a scientist played a large role in discouraging the acceptance of the idea in the scientific community.

• Studies of invertebrates support a theory of change in species: Lamarck

Jean Baptiste Lamarck, a contemporary of Cuvier's at the National Museum in Paris, studied invertebrates like insects and worms. As Lamarck worked through the museum's large collection of invertebrates, he was impressed by the number and variety of organisms . He became convinced that organisms could, in fact, change through time, stating that

... time and favorable conditions are the two principal means which nature has employed in giving existence to all her productions. We know that for her time has no limit, and that consequently she always has it at her disposal.

This was a radical departure from both the fixity concept and Cuvier's ideas, and it built on the long timescale that geologists had recently established. Lamarck proposed that changes that occurred during an organism 's lifetime could be passed on to their offspring, suggesting, for example, that a body builder's muscles would be inherited by their children.

As it turned out, the mechanism by which Lamarck proposed that organisms change over time was wrong, and he is now often referred to disparagingly for his "inheritance of acquired characteristics" idea. Yet despite the fact that some of his ideas were discredited, Lamarck established a support for evolutionary theory that others would build on and improve.

• Rock layers as evidence for evolution: Smith

In the early 1800s, a British geologist and canal surveyor named William Smith added another component to the accumulating evidence for evolution . Smith observed that rock layers exposed in different parts of England bore similarities to one another: These layers (or strata) were arranged in a predictable order, and each layer contained distinct groups of fossils . From this series of observations , he developed a hypothesis that specific groups of animals followed one another in a definite sequence through Earth's history, and this sequence could be seen in the rock layers. Smith's hypothesis was based on his knowledge of geological principles , including the Law of Superposition.

The Law of Superposition states that sediments are deposited in a time sequence, with the oldest sediments deposited first, or at the bottom, and newer layers deposited on top. The concept was first expressed by the Persian scientist Avicenna in the 11th century, but was popularized by the Danish scientist Nicolas Steno in the 17th century. Note that the law does not state how sediments are deposited; it simply describes the relationship between the ages of deposited sediments.

Figure 3: Engraving from William Smith's 1815 monograph on identifying strata by fossils.

Smith backed up his hypothesis with extensive drawings of fossils uncovered during his research (Figure 3), thus allowing other scientists to confirm or dispute his findings. His hypothesis has, in fact, been confirmed by many other scientists and has come to be referred to as the Law of Faunal Succession. His work was critical to the formation of evolutionary theory as it not only confirmed Cuvier's work that organisms have gone extinct , but it also showed that the appearance of life does not date to the birth of the planet. Instead, the fossil record preserves a timeline of the appearance and disappearance of different organisms in the past, and in doing so offers evidence for change in organisms over time.

• The theory of evolution by natural selection: Darwin and Wallace

It was into this world that Charles Darwin entered: Linnaeus had developed a taxonomy of organisms based on their physical relationships, Leclerc and Hutton demonstrated that there was sufficient time in Earth's history for organisms to change, Cuvier showed that species of organisms have gone extinct , Lamarck proposed that organisms change over time, and Smith established a timeline of the appearance and disappearance of different organisms in the geological record .

Figure 4: Title page of the 1859 Murray edition of the Origin of Species by Charles Darwin.

Charles Darwin collected data during his work as a naturalist on the HMS Beagle starting in 1831. He took extensive notes on the geology of the places he visited; he made a major find of fossils of extinct animals in Patagonia and identified an extinct giant ground sloth named Megatherium . He experienced an earthquake in Chile that stranded beds of living mussels above water, where they would be preserved for years to come.

Perhaps most famously, he conducted extensive studies of animals on the Galápagos Islands, noting subtle differences in species of mockingbird, tortoise, and finch that were isolated on different islands with different environmental conditions. These subtle differences made the animals highly adapted to their environments .

This broad spectrum of data led Darwin to propose an idea about how organisms change "by means of natural selection" (Figure 4). But this idea was not based only on his work, it was also based on the accumulation of evidence and ideas of many others before him. Because his proposal encompassed and explained many different lines of evidence and previous work, they formed the basis of a new and robust scientific theory regarding change in organisms – the theory of evolution by natural selection .

Darwin's ideas were grounded in evidence and data so compelling that if he had not conceived them, someone else would have. In fact, someone else did. Between 1858 and 1859, Alfred Russel Wallace , a British naturalist, wrote a series of letters to Darwin that independently proposed natural selection as the means for evolutionary change. The letters were presented to the Linnean Society of London, a prominent scientific society at the time (see our module on Scientific Institutions and Societies ). This long chain of research highlights that theories are not just the work of one individual. At the same time, however, it often takes the insight and creativity of individuals to put together all of the pieces and propose a new theory . Both Darwin and Wallace were experienced naturalists who were familiar with the work of others. While all of the work leading up to 1830 contributed to the theory of evolution , Darwin's and Wallace's theory changed the way that future research was focused by presenting a comprehensive, well-substantiated set of ideas, thus becoming a fundamental theory of biological research.

• Expanding, testing, and refining scientific theories
• Genetics and evolution: Mendel and Dobzhansky

Since Darwin and Wallace first published their ideas, extensive research has tested and expanded the theory of evolution by natural selection . Darwin had no concept of genes or DNA or the mechanism by which characteristics were inherited within a species . A contemporary of Darwin's, the Austrian monk Gregor Mendel , first presented his own landmark study, Experiments in Plant Hybridization, in 1865 in which he provided the basic patterns of genetic inheritance , describing which characteristics (and evolutionary changes) can be passed on in organisms (see our Genetics I module for more information). Still, it wasn't until much later that a "gene" was defined as the heritable unit.

In 1937, the Ukrainian born geneticist Theodosius Dobzhansky published Genetics and the Origin of Species , a seminal work in which he described genes themselves and demonstrated that it is through mutations in genes that change occurs. The work defined evolution as "a change in the frequency of an allele within a gene pool" ( Dobzhansky, 1982 ). These studies and others in the field of genetics have added to Darwin's work, expanding the scope of the theory .

• Evolution under a microscope: Lenski

More recently, Dr. Richard Lenski, a scientist at Michigan State University, isolated a single Escherichia coli bacterium in 1989 as the first step of the longest running experimental test of evolutionary theory to date – a true test meant to replicate evolution and natural selection in the lab.

After the single microbe had multiplied, Lenski isolated the offspring into 12 different strains , each in their own glucose-supplied culture, predicting that the genetic make-up of each strain would change over time to become more adapted to their specific culture as predicted by evolutionary theory . These 12 lines have been nurtured for over 40,000 bacterial generations (luckily bacterial generations are much shorter than human generations) and exposed to different selective pressures such as heat , cold, antibiotics, and infection with other microorganisms. Lenski and colleagues have studied dozens of aspects of evolutionary theory with these genetically isolated populations . In 1999, they published a paper that demonstrated that random genetic mutations were common within the populations and highly diverse across different individual bacteria . However, "pivotal" mutations that are associated with beneficial changes in the group are shared by all descendants in a population and are much rarer than random mutations, as predicted by the theory of evolution by natural selection (Papadopoulos et al., 1999).

• Punctuated equilibrium: Gould and Eldredge

While established scientific theories like evolution have a wealth of research and evidence supporting them, this does not mean that they cannot be refined as new information or new perspectives on existing data become available. For example, in 1972, biologist Stephen Jay Gould and paleontologist Niles Eldredge took a fresh look at the existing data regarding the timing by which evolutionary change takes place. Gould and Eldredge did not set out to challenge the theory of evolution; rather they used it as a guiding principle and asked more specific questions to add detail and nuance to the theory. This is true of all theories in science: they provide a framework for additional research. At the time, many biologists viewed evolution as occurring gradually, causing small incremental changes in organisms at a relatively steady rate. The idea is referred to as phyletic gradualism , and is rooted in the geological concept of uniformitarianism . After reexamining the available data, Gould and Eldredge came to a different explanation, suggesting that evolution consists of long periods of stability that are punctuated by occasional instances of dramatic change – a process they called punctuated equilibrium .

Like Darwin before them, their proposal is rooted in evidence and research on evolutionary change, and has been supported by multiple lines of evidence. In fact, punctuated equilibrium is now considered its own theory in evolutionary biology. Punctuated equilibrium is not as broad of a theory as natural selection . In science, some theories are broad and overarching of many concepts, such as the theory of evolution by natural selection; others focus on concepts at a smaller, or more targeted, scale such as punctuated equilibrium. And punctuated equilibrium does not challenge or weaken the concept of natural selection; rather, it represents a change in our understanding of the timing by which change occurs in organisms , and a theory within a theory. The theory of evolution by natural selection now includes both gradualism and punctuated equilibrium to describe the rate at which change proceeds.

• Hypotheses and laws: Other scientific concepts

One of the challenges in understanding scientific terms like theory is that there is not a precise definition even within the scientific community. Some scientists debate over whether certain proposals merit designation as a hypothesis or theory , and others mistakenly use the terms interchangeably. But there are differences in these terms. A hypothesis is a proposed explanation for an observable phenomenon. Hypotheses , just like theories , are based on observations from research . For example, LeClerc did not hypothesize that Earth had cooled from a molten ball of iron as a random guess; rather, he developed this hypothesis based on his observations of information from meteorites.

A scientist often proposes a hypothesis before research confirms it as a way of predicting the outcome of study to help better define the parameters of the research. LeClerc's hypothesis allowed him to use known parameters (the cooling rate of iron) to do additional work. A key component of a formal scientific hypothesis is that it is testable and falsifiable. For example, when Richard Lenski first isolated his 12 strains of bacteria , he likely hypothesized that random mutations would cause differences to appear within a period of time in the different strains of bacteria. But when a hypothesis is generated in science, a scientist will also make an alternative hypothesis , an explanation that explains a study if the data do not support the original hypothesis. If the different strains of bacteria in Lenski's work did not diverge over the indicated period of time, perhaps the rate of mutation was slower than first thought.

So you might ask, if theories are so well supported, do they eventually become laws? The answer is no – not because they aren't well-supported, but because theories and laws are two very different things. Laws describe phenomena, often mathematically. Theories, however, explain phenomena. For example, in 1687 Isaac Newton proposed a Theory of Gravitation, describing gravity as a force of attraction between two objects. As part of this theory, Newton developed a Law of Universal Gravitation that explains how this force operates. This law states that the force of gravity between two objects is inversely proportional to the square of the distance between those objects. Newton 's Law does not explain why this is true, but it describes how gravity functions (see our Gravity: Newtonian Relationships module for more detail). In 1916, Albert Einstein developed his theory of general relativity to explain the mechanism by which gravity has its effect. Einstein's work challenges Newton's theory, and has been found after extensive testing and research to more accurately describe the phenomenon of gravity. While Einstein's work has replaced Newton's as the dominant explanation of gravity in modern science, Newton's Law of Universal Gravitation is still used as it reasonably (and more simply) describes the force of gravity under many conditions. Similarly, the Law of Faunal Succession developed by William Smith does not explain why organisms follow each other in distinct, predictable ways in the rock layers, but it accurately describes the phenomenon.

Theories, hypotheses , and laws drive scientific progress

Theories, hypotheses , and laws are not simply important components of science, they drive scientific progress. For example, evolutionary biology now stands as a distinct field of science that focuses on the origins and descent of species . Geologists now rely on plate tectonics as a conceptual model and guiding theory when they are studying processes at work in Earth's crust . And physicists refer to atomic theory when they are predicting the existence of subatomic particles yet to be discovered. This does not mean that science is "finished," or that all of the important theories have been discovered already. Like evolution , progress in science happens both gradually and in short, dramatic bursts. Both types of progress are critical for creating a robust knowledge base with data as the foundation and scientific theories giving structure to that knowledge.

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• Theories, hypotheses, and laws drive scientific progress

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Developing Theories & Hypotheses

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2.5: Developing a Hypothesis

Learning objectives.

• Distinguish between a theory and a hypothesis.
• Discover how theories are used to generate hypotheses and how the results of studies can be used to further inform theories.
• Understand the characteristics of a good hypothesis.

Theories and Hypotheses

Before describing how to develop a hypothesis, it is important to distinguish between a theory and a hypothesis. A theory is a coherent explanation or interpretation of one or more phenomena. Although theories can take a variety of forms, one thing they have in common is that they go beyond the phenomena they explain by including variables, structures, processes, functions, or organizing principles that have not been observed directly. Consider, for example, Zajonc’s theory of social facilitation and social inhibition (1965) [1] . He proposed that being watched by others while performing a task creates a general state of physiological arousal, which increases the likelihood of the dominant (most likely) response. So for highly practiced tasks, being watched increases the tendency to make correct responses, but for relatively unpracticed tasks, being watched increases the tendency to make incorrect responses. Notice that this theory—which has come to be called drive theory—provides an explanation of both social facilitation and social inhibition that goes beyond the phenomena themselves by including concepts such as “arousal” and “dominant response,” along with processes such as the effect of arousal on the dominant response.

Outside of science, referring to an idea as a theory often implies that it is untested—perhaps no more than a wild guess. In science, however, the term theory has no such implication. A theory is simply an explanation or interpretation of a set of phenomena. It can be untested, but it can also be extensively tested, well supported, and accepted as an accurate description of the world by the scientific community. The theory of evolution by natural selection, for example, is a theory because it is an explanation of the diversity of life on earth—not because it is untested or unsupported by scientific research. On the contrary, the evidence for this theory is overwhelmingly positive and nearly all scientists accept its basic assumptions as accurate. Similarly, the “germ theory” of disease is a theory because it is an explanation of the origin of various diseases, not because there is any doubt that many diseases are caused by microorganisms that infect the body.

A hypothesis , on the other hand, is a specific prediction about a new phenomenon that should be observed if a particular theory is accurate. It is an explanation that relies on just a few key concepts. Hypotheses are often specific predictions about what will happen in a particular study. They are developed by considering existing evidence and using reasoning to infer what will happen in the specific context of interest. Hypotheses are often but not always derived from theories. So a hypothesis is often a prediction based on a theory but some hypotheses are a-theoretical and only after a set of observations have been made, is a theory developed. This is because theories are broad in nature and they explain larger bodies of data. So if our research question is really original then we may need to collect some data and make some observations before we can develop a broader theory.

Theories and hypotheses always have this if-then relationship. “ If drive theory is correct, then cockroaches should run through a straight runway faster, and a branching runway more slowly, when other cockroaches are present.” Although hypotheses are usually expressed as statements, they can always be rephrased as questions. “Do cockroaches run through a straight runway faster when other cockroaches are present?” Thus deriving hypotheses from theories is an excellent way of generating interesting research questions.

But how do researchers derive hypotheses from theories? One way is to generate a research question using the techniques discussed in this chapter and then ask whether any theory implies an answer to that question. For example, you might wonder whether expressive writing about positive experiences improves health as much as expressive writing about traumatic experiences. Although this question is an interesting one on its own, you might then ask whether the habituation theory—the idea that expressive writing causes people to habituate to negative thoughts and feelings—implies an answer. In this case, it seems clear that if the habituation theory is correct, then expressive writing about positive experiences should not be effective because it would not cause people to habituate to negative thoughts and feelings. A second way to derive hypotheses from theories is to focus on some component of the theory that has not yet been directly observed. For example, a researcher could focus on the process of habituation—perhaps hypothesizing that people should show fewer signs of emotional distress with each new writing session.

Among the very best hypotheses are those that distinguish between competing theories. For example, Norbert Schwarz and his colleagues considered two theories of how people make judgments about themselves, such as how assertive they are (Schwarz et al., 1991) [2] . Both theories held that such judgments are based on relevant examples that people bring to mind. However, one theory was that people base their judgments on the number of examples they bring to mind and the other was that people base their judgments on how easily they bring those examples to mind. To test these theories, the researchers asked people to recall either six times when they were assertive (which is easy for most people) or 12 times (which is difficult for most people). Then they asked them to judge their own assertiveness. Note that the number-of-examples theory implies that people who recalled 12 examples should judge themselves to be more assertive because they recalled more examples, but the ease-of-examples theory implies that participants who recalled six examples should judge themselves as more assertive because recalling the examples was easier. Thus the two theories made opposite predictions so that only one of the predictions could be confirmed. The surprising result was that participants who recalled fewer examples judged themselves to be more assertive—providing particularly convincing evidence in favor of the ease-of-retrieval theory over the number-of-examples theory.

Theory Testing

The primary way that scientific researchers use theories is sometimes called the hypothetico-deductive method (although this term is much more likely to be used by philosophers of science than by scientists themselves). Researchers begin with a set of phenomena and either construct a theory to explain or interpret them or choose an existing theory to work with. They then make a prediction about some new phenomenon that should be observed if the theory is correct. Again, this prediction is called a hypothesis. The researchers then conduct an empirical study to test the hypothesis. Finally, they reevaluate the theory in light of the new results and revise it if necessary. This process is usually conceptualized as a cycle because the researchers can then derive a new hypothesis from the revised theory, conduct a new empirical study to test the hypothesis, and so on. As Figure \(\PageIndex{1}\) shows, this approach meshes nicely with the model of scientific research in psychology presented earlier in the textbook—creating a more detailed model of “theoretically motivated” or “theory-driven” research.

As an example, let us consider Zajonc’s research on social facilitation and inhibition. He started with a somewhat contradictory pattern of results from the research literature. He then constructed his drive theory, according to which being watched by others while performing a task causes physiological arousal, which increases an organism’s tendency to make the dominant response. This theory predicts social facilitation for well-learned tasks and social inhibition for poorly learned tasks. He now had a theory that organized previous results in a meaningful way—but he still needed to test it. He hypothesized that if his theory was correct, he should observe that the presence of others improves performance in a simple laboratory task but inhibits performance in a difficult version of the very same laboratory task. To test this hypothesis, one of the studies he conducted used cockroaches as subjects (Zajonc, Heingartner, & Herman, 1969) [3] . The cockroaches ran either down a straight runway (an easy task for a cockroach) or through a cross-shaped maze (a difficult task for a cockroach) to escape into a dark chamber when a light was shined on them. They did this either while alone or in the presence of other cockroaches in clear plastic “audience boxes.” Zajonc found that cockroaches in the straight runway reached their goal more quickly in the presence of other cockroaches, but cockroaches in the cross-shaped maze reached their goal more slowly when they were in the presence of other cockroaches. Thus he confirmed his hypothesis and provided support for his drive theory. (Zajonc also showed that drive theory existed in humans [Zajonc & Sales, 1966] [4] in many other studies afterward).

Incorporating Theory into Your Research

When you write your research report or plan your presentation, be aware that there are two basic ways that researchers usually include theory. The first is to raise a research question, answer that question by conducting a new study, and then offer one or more theories (usually more) to explain or interpret the results. This format works well for applied research questions and for research questions that existing theories do not address. The second way is to describe one or more existing theories, derive a hypothesis from one of those theories, test the hypothesis in a new study, and finally reevaluate the theory. This format works well when there is an existing theory that addresses the research question—especially if the resulting hypothesis is surprising or conflicts with a hypothesis derived from a different theory.

To use theories in your research will not only give you guidance in coming up with experiment ideas and possible projects, but it lends legitimacy to your work. Psychologists have been interested in a variety of human behaviors and have developed many theories along the way. Using established theories will help you break new ground as a researcher, not limit you from developing your own ideas.

There are three general characteristics of a good hypothesis. First, a good hypothesis must be testable and falsifiable . We must be able to test the hypothesis using the methods of science and if you’ll recall Popper’s falsifiability criterion, it must be possible to gather evidence that will disconfirm the hypothesis if it is indeed false. Second, a good hypothesis must be logical. As described above, hypotheses are more than just a random guess. Hypotheses should be informed by previous theories or observations and logical reasoning. Typically, we begin with a broad and general theory and use deductive reasoning to generate a more specific hypothesis to test based on that theory. Occasionally, however, when there is no theory to inform our hypothesis, we use inductive reasoning which involves using specific observations or research findings to form a more general hypothesis. Finally, the hypothesis should be positive. That is, the hypothesis should make a positive statement about the existence of a relationship or effect, rather than a statement that a relationship or effect does not exist. As scientists, we don’t set out to show that relationships do not exist or that effects do not occur so our hypotheses should not be worded in a way to suggest that an effect or relationship does not exist. The nature of science is to assume that something does not exist and then seek to find evidence to prove this wrong, to show that it really does exist. That may seem backward to you but that is the nature of the scientific method. The underlying reason for this is beyond the scope of this chapter but it has to do with statistical theory.

• Zajonc, R. B. (1965). Social facilitation. Science, 149 , 269–274 ↵
• Schwarz, N., Bless, H., Strack, F., Klumpp, G., Rittenauer-Schatka, H., & Simons, A. (1991). Ease of retrieval as information: Another look at the availability heuristic. Journal of Personality and Social Psychology, 61 , 195–202. ↵
• Zajonc, R. B., Heingartner, A., & Herman, E. M. (1969). Social enhancement and impairment of performance in the cockroach. Journal of Personality and Social Psychology, 13 , 83–92. ↵
• Zajonc, R.B. & Sales, S.M. (1966). Social facilitation of dominant and subordinate responses. Journal of Experimental Social Psychology, 2 , 160-168. ↵

1.2 The Process of Science

Learning objectives.

• Identify the shared characteristics of the natural sciences
• Understand the process of scientific inquiry
• Compare inductive reasoning with deductive reasoning
• Describe the goals of basic science and applied science

Like geology, physics, and chemistry, biology is a science that gathers knowledge about the natural world. Specifically, biology is the study of life. The discoveries of biology are made by a community of researchers who work individually and together using agreed-on methods. In this sense, biology, like all sciences is a social enterprise like politics or the arts. The methods of science include careful observation, record keeping, logical and mathematical reasoning, experimentation, and submitting conclusions to the scrutiny of others. Science also requires considerable imagination and creativity; a well-designed experiment is commonly described as elegant, or beautiful. Like politics, science has considerable practical implications and some science is dedicated to practical applications, such as the prevention of disease (see Figure 1.15 ). Other science proceeds largely motivated by curiosity. Whatever its goal, there is no doubt that science, including biology, has transformed human existence and will continue to do so.

The Nature of Science

Biology is a science, but what exactly is science? What does the study of biology share with other scientific disciplines? Science (from the Latin scientia, meaning "knowledge") can be defined as knowledge about the natural world.

Science is a very specific way of learning, or knowing, about the world. The history of the past 500 years demonstrates that science is a very powerful way of knowing about the world; it is largely responsible for the technological revolutions that have taken place during this time. There are however, areas of knowledge and human experience that the methods of science cannot be applied to. These include such things as answering purely moral questions, aesthetic questions, or what can be generally categorized as spiritual questions. Science cannot investigate these areas because they are outside the realm of material phenomena, the phenomena of matter and energy, and cannot be observed and measured.

The scientific method is a method of research with defined steps that include experiments and careful observation. The steps of the scientific method will be examined in detail later, but one of the most important aspects of this method is the testing of hypotheses. A hypothesis is a suggested explanation for an event, which can be tested. Hypotheses, or tentative explanations, are generally produced within the context of a scientific theory . A generally accepted scientific theory is thoroughly tested and confirmed explanation for a set of observations or phenomena. Scientific theory is the foundation of scientific knowledge. In addition, in many scientific disciplines (less so in biology) there are scientific laws , often expressed in mathematical formulas, which describe how elements of nature will behave under certain specific conditions. There is not an evolution of hypotheses through theories to laws as if they represented some increase in certainty about the world. Hypotheses are the day-to-day material that scientists work with and they are developed within the context of theories. Laws are concise descriptions of parts of the world that are amenable to formulaic or mathematical description.

Natural Sciences

What would you expect to see in a museum of natural sciences? Frogs? Plants? Dinosaur skeletons? Exhibits about how the brain functions? A planetarium? Gems and minerals? Or maybe all of the above? Science includes such diverse fields as astronomy, biology, computer sciences, geology, logic, physics, chemistry, and mathematics ( Figure 1.16 ). However, those fields of science related to the physical world and its phenomena and processes are considered natural sciences . Thus, a museum of natural sciences might contain any of the items listed above.

There is no complete agreement when it comes to defining what the natural sciences include. For some experts, the natural sciences are astronomy, biology, chemistry, earth science, and physics. Other scholars choose to divide natural sciences into life sciences , which study living things and include biology, and physical sciences , which study nonliving matter and include astronomy, physics, and chemistry. Some disciplines such as biophysics and biochemistry build on two sciences and are interdisciplinary.

Scientific Inquiry

One thing is common to all forms of science: an ultimate goal “to know.” Curiosity and inquiry are the driving forces for the development of science. Scientists seek to understand the world and the way it operates. Two methods of logical thinking are used: inductive reasoning and deductive reasoning.

Inductive reasoning is a form of logical thinking that uses related observations to arrive at a general conclusion. This type of reasoning is common in descriptive science. A life scientist such as a biologist makes observations and records them. These data can be qualitative (descriptive) or quantitative (consisting of numbers), and the raw data can be supplemented with drawings, pictures, photos, or videos. From many observations, the scientist can infer conclusions (inductions) based on evidence. Inductive reasoning involves formulating generalizations inferred from careful observation and the analysis of a large amount of data. Brain studies often work this way. Many brains are observed while people are doing a task. The part of the brain that lights up, indicating activity, is then demonstrated to be the part controlling the response to that task.

Deductive reasoning or deduction is the type of logic used in hypothesis-based science. In deductive reasoning, the pattern of thinking moves in the opposite direction as compared to inductive reasoning. Deductive reasoning is a form of logical thinking that uses a general principle or law to predict specific results. From those general principles, a scientist can deduce and predict the specific results that would be valid as long as the general principles are valid. For example, a prediction would be that if the climate is becoming warmer in a region, the distribution of plants and animals should change. Comparisons have been made between distributions in the past and the present, and the many changes that have been found are consistent with a warming climate. Finding the change in distribution is evidence that the climate change conclusion is a valid one.

Both types of logical thinking are related to the two main pathways of scientific study: descriptive science and hypothesis-based science. Descriptive (or discovery) science aims to observe, explore, and discover, while hypothesis-based science begins with a specific question or problem and a potential answer or solution that can be tested. The boundary between these two forms of study is often blurred, because most scientific endeavors combine both approaches. Observations lead to questions, questions lead to forming a hypothesis as a possible answer to those questions, and then the hypothesis is tested. Thus, descriptive science and hypothesis-based science are in continuous dialogue.

Hypothesis Testing

Biologists study the living world by posing questions about it and seeking science-based responses. This approach is common to other sciences as well and is often referred to as the scientific method. The scientific method was used even in ancient times, but it was first documented by England’s Sir Francis Bacon (1561–1626) ( Figure 1.17 ), who set up inductive methods for scientific inquiry. The scientific method is not exclusively used by biologists but can be applied to almost anything as a logical problem-solving method.

The scientific process typically starts with an observation (often a problem to be solved) that leads to a question. Let’s think about a simple problem that starts with an observation and apply the scientific method to solve the problem. One Monday morning, a student arrives at class and quickly discovers that the classroom is too warm. That is an observation that also describes a problem: the classroom is too warm. The student then asks a question: “Why is the classroom so warm?”

Recall that a hypothesis is a suggested explanation that can be tested. To solve a problem, several hypotheses may be proposed. For example, one hypothesis might be, “The classroom is warm because no one turned on the air conditioning.” But there could be other responses to the question, and therefore other hypotheses may be proposed. A second hypothesis might be, “The classroom is warm because there is a power failure, and so the air conditioning doesn’t work.”

Once a hypothesis has been selected, a prediction may be made. A prediction is similar to a hypothesis but it typically has the format “If . . . then . . . .” For example, the prediction for the first hypothesis might be, “ If the student turns on the air conditioning, then the classroom will no longer be too warm.”

A hypothesis must be testable to ensure that it is valid. For example, a hypothesis that depends on what a bear thinks is not testable, because it can never be known what a bear thinks. It should also be falsifiable , meaning that it can be disproven by experimental results. An example of an unfalsifiable hypothesis is “Botticelli’s Birth of Venus is beautiful.” There is no experiment that might show this statement to be false. To test a hypothesis, a researcher will conduct one or more experiments designed to eliminate one or more of the hypotheses. This is important. A hypothesis can be disproven, or eliminated, but it can never be proven. Science does not deal in proofs like mathematics. If an experiment fails to disprove a hypothesis, then we find support for that explanation, but this is not to say that down the road a better explanation will not be found, or a more carefully designed experiment will be found to falsify the hypothesis.

Each experiment will have one or more variables and one or more controls. A variable is any part of the experiment that can vary or change during the experiment. A control is a part of the experiment that does not change. Look for the variables and controls in the example that follows. As a simple example, an experiment might be conducted to test the hypothesis that phosphate limits the growth of algae in freshwater ponds. A series of artificial ponds are filled with water and half of them are treated by adding phosphate each week, while the other half are treated by adding a salt that is known not to be used by algae. The variable here is the phosphate (or lack of phosphate), the experimental or treatment cases are the ponds with added phosphate and the control ponds are those with something inert added, such as the salt. Just adding something is also a control against the possibility that adding extra matter to the pond has an effect. If the treated ponds show lesser growth of algae, then we have found support for our hypothesis. If they do not, then we reject our hypothesis. Be aware that rejecting one hypothesis does not determine whether or not the other hypotheses can be accepted; it simply eliminates one hypothesis that is not valid ( Figure 1.18 ). Using the scientific method, the hypotheses that are inconsistent with experimental data are rejected.

In recent years a new approach of testing hypotheses has developed as a result of an exponential growth of data deposited in various databases. Using computer algorithms and statistical analyses of data in databases, a new field of so-called "data research" (also referred to as "in silico" research) provides new methods of data analyses and their interpretation. This will increase the demand for specialists in both biology and computer science, a promising career opportunity.

Visual Connection

In the example below, the scientific method is used to solve an everyday problem. Which part in the example below is the hypothesis? Which is the prediction? Based on the results of the experiment, is the hypothesis supported? If it is not supported, propose some alternative hypotheses.

• My toaster doesn’t toast my bread.
• Why doesn’t my toaster work?
• There is something wrong with the electrical outlet.
• If something is wrong with the outlet, my coffeemaker also won’t work when plugged into it.
• I plug my coffeemaker into the outlet.
• My coffeemaker works.

In practice, the scientific method is not as rigid and structured as it might at first appear. Sometimes an experiment leads to conclusions that favor a change in approach; often, an experiment brings entirely new scientific questions to the puzzle. Many times, science does not operate in a linear fashion; instead, scientists continually draw inferences and make generalizations, finding patterns as their research proceeds. Scientific reasoning is more complex than the scientific method alone suggests.

Basic and Applied Science

The scientific community has been debating for the last few decades about the value of different types of science. Is it valuable to pursue science for the sake of simply gaining knowledge, or does scientific knowledge only have worth if we can apply it to solving a specific problem or bettering our lives? This question focuses on the differences between two types of science: basic science and applied science.

Basic science or “pure” science seeks to expand knowledge regardless of the short-term application of that knowledge. It is not focused on developing a product or a service of immediate public or commercial value. The immediate goal of basic science is knowledge for knowledge’s sake, though this does not mean that in the end it may not result in an application.

In contrast, applied science or “technology,” aims to use science to solve real-world problems, making it possible, for example, to improve a crop yield, find a cure for a particular disease, or save animals threatened by a natural disaster. In applied science, the problem is usually defined for the researcher.

Some individuals may perceive applied science as “useful” and basic science as “useless.” A question these people might pose to a scientist advocating knowledge acquisition would be, “What for?” A careful look at the history of science, however, reveals that basic knowledge has resulted in many remarkable applications of great value. Many scientists think that a basic understanding of science is necessary before an application is developed; therefore, applied science relies on the results generated through basic science. Other scientists think that it is time to move on from basic science and instead to find solutions to actual problems. Both approaches are valid. It is true that there are problems that demand immediate attention; however, few solutions would be found without the help of the knowledge generated through basic science.

One example of how basic and applied science can work together to solve practical problems occurred after the discovery of DNA structure led to an understanding of the molecular mechanisms governing DNA replication. Strands of DNA, unique in every human, are found in our cells, where they provide the instructions necessary for life. During DNA replication, new copies of DNA are made, shortly before a cell divides to form new cells. Understanding the mechanisms of DNA replication enabled scientists to develop laboratory techniques that are now used to identify genetic diseases, pinpoint individuals who were at a crime scene, and determine paternity. Without basic science, it is unlikely that applied science could exist.

Another example of the link between basic and applied research is the Human Genome Project, a study in which each human chromosome was analyzed and mapped to determine the precise sequence of DNA subunits and the exact location of each gene. (The gene is the basic unit of heredity represented by a specific DNA segment that codes for a functional molecule.) Other organisms have also been studied as part of this project to gain a better understanding of human chromosomes. The Human Genome Project ( Figure 1.19 ) relied on basic research carried out with non-human organisms and, later, with the human genome. An important end goal eventually became using the data for applied research seeking cures for genetically related diseases.

While research efforts in both basic science and applied science are usually carefully planned, it is important to note that some discoveries are made by serendipity, that is, by means of a fortunate accident or a lucky surprise. Penicillin was discovered when biologist Alexander Fleming accidentally left a petri dish of Staphylococcus bacteria open. An unwanted mold grew, killing the bacteria. The mold turned out to be Penicillium , and a new critically important antibiotic was discovered. In a similar manner, Percy Lavon Julian was an established medicinal chemist working on a way to mass produce compounds with which to manufacture important drugs. He was focused on using soybean oil in the production of progesterone (a hormone important in the menstrual cycle and pregnancy), but it wasn't until water accidentally leaked into a large soybean oil storage tank that he found his method. Immediately recognizing the resulting substance as stigmasterol, a primary ingredient in progesterone and similar drugs, he began the process of replicating and industrializing the process in a manner that has helped millions of people. Even in the highly organized world of science, luck—when combined with an observant, curious mind focused on the types of reasoning discussed above—can lead to unexpected breakthroughs.

Reporting Scientific Work

Whether scientific research is basic science or applied science, scientists must share their findings for other researchers to expand and build upon their discoveries. Communication and collaboration within and between sub disciplines of science are key to the advancement of knowledge in science. For this reason, an important aspect of a scientist’s work is disseminating results and communicating with peers. Scientists can share results by presenting them at a scientific meeting or conference, but this approach can reach only the limited few who are present. Instead, most scientists present their results in peer-reviewed articles that are published in scientific journals. Peer-reviewed articles are scientific papers that are reviewed, usually anonymously by a scientist’s colleagues, or peers. These colleagues are qualified individuals, often experts in the same research area, who judge whether or not the scientist’s work is suitable for publication. The process of peer review helps to ensure that the research described in a scientific paper or grant proposal is original, significant, logical, and thorough. Grant proposals, which are requests for research funding, are also subject to peer review. Scientists publish their work so other scientists can reproduce their experiments under similar or different conditions to expand on the findings.

There are many journals and the popular press that do not use a peer-review system. A large number of online open-access journals, journals with articles available without cost, are now available many of which use rigorous peer-review systems, but some of which do not. Results of any studies published in these forums without peer review are not reliable and should not form the basis for other scientific work. In one exception, journals may allow a researcher to cite a personal communication from another researcher about unpublished results with the cited author’s permission.

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Theme 2: How Does Blood and Organ Donation Work?

2.9 The Process of Science

Like geology, physics, and chemistry, biology is a science that gathers knowledge about the natural world. Specifically, biology is the study of life. The discoveries of biology are made by a community of researchers who work individually and together using agreed-on methods. In this sense, biology, like all sciences is a social enterprise like politics or the arts. The methods of science include careful observation, record keeping, logical and mathematical reasoning, experimentation, and submitting conclusions to the scrutiny of others. Science also requires considerable imagination and creativity; a well-designed experiment is commonly described as elegant, or beautiful. Like politics, science has considerable practical implications and some science is dedicated to practical applications, such as the prevention of disease (see  Figure 1 ). Other science proceeds largely motivated by curiosity. Whatever its goal, there is no doubt that science, including biology, has transformed human existence and will continue to do so.

The Nature of Science

Biology is a science, but what exactly is science? What does the study of biology share with other scientific disciplines?  Science  (from the Latin  scientia,  meaning “knowledge”) can be defined as knowledge about the natural world.

Science is a very specific way of learning, or knowing, about the world. The history of the past 500 years demonstrates that science is a very powerful way of knowing about the world; it is largely responsible for the technological revolutions that have taken place during this time. There are however, areas of knowledge and human experience that the methods of science cannot be applied to. These include such things as answering purely moral questions, aesthetic questions, or what can be generally categorized as spiritual questions. Science cannot investigate these areas because they are outside the realm of material phenomena, the phenomena of matter and energy, and cannot be observed and measured.

The  scientific method  is a method of research with defined steps that include experiments and careful observation. The steps of the scientific method will be examined in detail later, but one of the most important aspects of this method is the testing of hypotheses. A  hypothesis  is a suggested explanation for an event, which can be tested. Hypotheses, or tentative explanations, are generally produced within the context of a  scientific theory . A scientific theory is a generally accepted, thoroughly tested and confirmed explanation for a set of observations or phenomena. Scientific theory is the foundation of scientific knowledge. In addition, in many scientific disciplines (less so in biology) there are  scientific laws , often expressed in mathematical formulas, which describe how elements of nature will behave under certain specific conditions. There is not an evolution of hypotheses through theories to laws as if they represented some increase in certainty about the world. Hypotheses are the day-to-day material that scientists work with and they are developed within the context of theories. Laws are concise descriptions of parts of the world that are amenable to formulaic or mathematical description.

Natural Sciences

What would you expect to see in a museum of natural sciences? Frogs? Plants? Dinosaur skeletons? Exhibits about how the brain functions? A planetarium? Gems and minerals? Or maybe all of the above? Science includes such diverse fields as astronomy, biology, computer sciences, geology, logic, physics, chemistry, and mathematics ( Figure 2 ). However, those fields of science related to the physical world and its phenomena and processes are considered  natural sciences . Thus, a museum of natural sciences might contain any of the items listed above.

There is no complete agreement when it comes to defining what the natural sciences include. For some experts, the natural sciences are astronomy, biology, chemistry, earth science, and physics. Other scholars choose to divide natural sciences into  life sciences , which study living things and include biology, and  physical sciences , which study nonliving matter and include astronomy, physics, and chemistry. Some disciplines such as biophysics and biochemistry build on two sciences and are interdisciplinary.

Scientific Inquiry

One thing is common to all forms of science: an ultimate goal “to know.” Curiosity and inquiry are the driving forces for the development of science. Scientists seek to understand the world and the way it operates. Two methods of logical thinking are used: inductive reasoning and deductive reasoning.

Inductive reasoning  is a form of logical thinking that uses related observations to arrive at a general conclusion. This type of reasoning is common in descriptive science. A life scientist such as a biologist makes observations and records them. These data can be qualitative (descriptive) or quantitative (consisting of numbers), and the raw data can be supplemented with drawings, pictures, photos, or videos. From many observations, the scientist can infer conclusions (inductions) based on evidence. Inductive reasoning involves formulating generalizations inferred from careful observation and the analysis of a large amount of data. Brain studies often work this way. Many brains are observed while people are doing a task. The part of the brain that lights up, indicating activity, is then demonstrated to be the part controlling the response to that task.

Deductive reasoning or deduction is the type of logic used in hypothesis-based science. In deductive reasoning, the pattern of thinking moves in the opposite direction as compared to inductive reasoning.  Deductive reasoning  is a form of logical thinking that uses a general principle or law to forecast specific results. From those general principles, a scientist can extrapolate and predict the specific results that would be valid as long as the general principles are valid. For example, a prediction would be that if the climate is becoming warmer in a region, the distribution of plants and animals should change. Comparisons have been made between distributions in the past and the present, and the many changes that have been found are consistent with a warming climate. Finding the change in distribution is evidence that the climate change conclusion is a valid one.

Both types of logical thinking are related to the two main pathways of scientific study: descriptive science and hypothesis-based science.  Descriptive  (or discovery)  science  aims to observe, explore, and discover, while  hypothesis-based science  begins with a specific question or problem and a potential answer or solution that can be tested. The boundary between these two forms of study is often blurred, because most scientific endeavors combine both approaches. Observations lead to questions, questions lead to forming a hypothesis as a possible answer to those questions, and then the hypothesis is tested. Thus, descriptive science and hypothesis-based science are in continuous dialogue.

Hypothesis Testing

Biologists study the living world by posing questions about it and seeking science-based responses. This approach is common to other sciences as well and is often referred to as the scientific method. The scientific method was used even in ancient times, but it was first documented by England’s Sir Francis Bacon (1561–1626) ( Figure 3 ), who set up inductive methods for scientific inquiry. The scientific method is not exclusively used by biologists but can be applied to almost anything as a logical problem-solving method.

The scientific process typically starts with an observation (often a problem to be solved) that leads to a question. Let’s think about a simple problem that starts with an observation and apply the scientific method to solve the problem. One Monday morning, a student arrives at class and quickly discovers that the classroom is too warm. That is an observation that also describes a problem: the classroom is too warm. The student then asks a question: “Why is the classroom so warm?”

Recall that a hypothesis is a suggested explanation that can be tested. To solve a problem, several hypotheses may be proposed. For example, one hypothesis might be, “The classroom is warm because no one turned on the air conditioning.” But there could be other responses to the question, and therefore other hypotheses may be proposed. A second hypothesis might be, “The classroom is warm because there is a power failure, and so the air conditioning doesn’t work.”

Once a hypothesis has been selected, a prediction may be made. A prediction is similar to a hypothesis but it typically has the format “If . . . then . . . .” For example, the prediction for the first hypothesis might be, “ If  the student turns on the air conditioning,  then  the classroom will no longer be too warm.”

A hypothesis must be testable to ensure that it is valid. For example, a hypothesis that depends on what a bear thinks is not testable, because it can never be known what a bear thinks. It should also be  falsifiable , meaning that it can be disproven by experimental results. An example of an unfalsifiable hypothesis is “Botticelli’s  Birth of Venus  is beautiful.” There is no experiment that might show this statement to be false. To test a hypothesis, a researcher will conduct one or more experiments designed to eliminate one or more of the hypotheses. This is important. A hypothesis can be disproven, or eliminated, but it can never be proven. Science does not deal in proofs like mathematics. If an experiment fails to disprove a hypothesis, then we find support for that explanation, but this is not to say that down the road a better explanation will not be found, or a more carefully designed experiment will be found to falsify the hypothesis.

Each experiment will have one or more variables and one or more controls. A  variable  is any part of the experiment that can vary or change during the experiment. A  control  is a part of the experiment that does not change. Look for the variables and controls in the example that follows. As a simple example, an experiment might be conducted to test the hypothesis that phosphate limits the growth of algae in freshwater ponds. A series of artificial ponds are filled with water and half of them are treated by adding phosphate each week, while the other half are treated by adding a salt that is known not to be used by algae. The variable here is the phosphate (or lack of phosphate), the experimental or treatment cases are the ponds with added phosphate and the control ponds are those with something inert added, such as the salt. Just adding something is also a control against the possibility that adding extra matter to the pond has an effect. If the treated ponds show lesser growth of algae, then we have found support for our hypothesis. If they do not, then we reject our hypothesis. Be aware that rejecting one hypothesis does not determine whether or not the other hypotheses can be accepted; it simply eliminates one hypothesis that is not valid ( Figure 4 ). Using the scientific method, the hypotheses that are inconsistent with experimental data are rejected.

In the example below, the scientific method is used to solve an everyday problem. Which part in the example below is the hypothesis? Which is the prediction? Based on the results of the experiment, is the hypothesis supported? If it is not supported, propose some alternative hypotheses.

• My toaster doesn’t toast my bread.
• Why doesn’t my toaster work?
• There is something wrong with the electrical outlet.
• If something is wrong with the outlet, my coffeemaker also won’t work when plugged into it.
• I plug my coffeemaker into the outlet.
• My coffeemaker works.

In practice, the scientific method is not as rigid and structured as it might at first appear. Sometimes an experiment leads to conclusions that favor a change in approach; often, an experiment brings entirely new scientific questions to the puzzle. Many times, science does not operate in a linear fashion; instead, scientists continually draw inferences and make generalizations, finding patterns as their research proceeds. Scientific reasoning is more complex than the scientific method alone suggests.

Basic and Applied Science

The scientific community has been debating for the last few decades about the value of different types of science. Is it valuable to pursue science for the sake of simply gaining knowledge, or does scientific knowledge only have worth if we can apply it to solving a specific problem or bettering our lives? This question focuses on the differences between two types of science: basic science and applied science.

Basic science  or “pure” science seeks to expand knowledge regardless of the short-term application of that knowledge. It is not focused on developing a product or a service of immediate public or commercial value. The immediate goal of basic science is knowledge for knowledge’s sake, though this does not mean that in the end it may not result in an application.

In contrast,  applied science  or “technology,” aims to use science to solve real-world problems, making it possible, for example, to improve a crop yield, find a cure for a particular disease, or save animals threatened by a natural disaster. In applied science, the problem is usually defined for the researcher.

Some individuals may perceive applied science as “useful” and basic science as “useless.” A question these people might pose to a scientist advocating knowledge acquisition would be, “What for?” A careful look at the history of science, however, reveals that basic knowledge has resulted in many remarkable applications of great value. Many scientists think that a basic understanding of science is necessary before an application is developed; therefore, applied science relies on the results generated through basic science. Other scientists think that it is time to move on from basic science and instead to find solutions to actual problems. Both approaches are valid. It is true that there are problems that demand immediate attention; however, few solutions would be found without the help of the knowledge generated through basic science.

One example of how basic and applied science can work together to solve practical problems occurred after the discovery of DNA structure led to an understanding of the molecular mechanisms governing DNA replication. Strands of DNA, unique in every human, are found in our cells, where they provide the instructions necessary for life. During DNA replication, new copies of DNA are made, shortly before a cell divides to form new cells. Understanding the mechanisms of DNA replication enabled scientists to develop laboratory techniques that are now used to identify genetic diseases, pinpoint individuals who were at a crime scene, and determine paternity. Without basic science, it is unlikely that applied science would exist.

Another example of the link between basic and applied research is the Human Genome Project, a study in which each human chromosome was analyzed and mapped to determine the precise sequence of DNA subunits and the exact location of each gene. (The gene is the basic unit of heredity; an individual’s complete collection of genes is his or her genome.) Other organisms have also been studied as part of this project to gain a better understanding of human chromosomes. The Human Genome Project ( Figure 5 ) relied on basic research carried out with non-human organisms and, later, with the human genome. An important end goal eventually became using the data for applied research seeking cures for genetically related diseases.

While research efforts in both basic science and applied science are usually carefully planned, it is important to note that some discoveries are made by serendipity, that is, by means of a fortunate accident or a lucky surprise. Penicillin was discovered when biologist Alexander Fleming accidentally left a petri dish of  Staphylococcus  bacteria open. An unwanted mold grew, killing the bacteria. The mold turned out to be  Penicillium , and a new antibiotic was discovered. Even in the highly organized world of science, luck—when combined with an observant, curious mind—can lead to unexpected breakthroughs.

Reporting Scientific Work

Whether scientific research is basic science or applied science, scientists must share their findings for other researchers to expand and build upon their discoveries. Communication and collaboration within and between sub disciplines of science are key to the advancement of knowledge in science. For this reason, an important aspect of a scientist’s work is disseminating results and communicating with peers. Scientists can share results by presenting them at a scientific meeting or conference, but this approach can reach only the limited few who are present. Instead, most scientists present their results in peer-reviewed articles that are published in scientific journals.  Peer-reviewed articles  are scientific papers that are reviewed, usually anonymously by a scientist’s colleagues, or peers. These colleagues are qualified individuals, often experts in the same research area, who judge whether or not the scientist’s work is suitable for publication. The process of peer review helps to ensure that the research described in a scientific paper or grant proposal is original, significant, logical, and thorough. Grant proposals, which are requests for research funding, are also subject to peer review. Scientists publish their work so other scientists can reproduce their experiments under similar or different conditions to expand on the findings. The experimental results must be consistent with the findings of other scientists.

There are many journals and the popular press that do not use a peer-review system. A large number of online open-access journals, journals with articles available without cost, are now available many of which use rigorous peer-review systems, but some of which do not. Results of any studies published in these forums without peer review are not reliable and should not form the basis for other scientific work. In one exception, journals may allow a researcher to cite a personal communication from another researcher about unpublished results with the cited author’s permission.

Section Summary

Biology is the science that studies living organisms and their interactions with one another and their environments. Science attempts to describe and understand the nature of the universe in whole or in part. Science has many fields; those fields related to the physical world and its phenomena are considered natural sciences.

A hypothesis is a tentative explanation for an observation. A scientific theory is a well-tested and consistently verified explanation for a set of observations or phenomena. A scientific law is a description, often in the form of a mathematical formula, of the behavior of an aspect of nature under certain circumstances. Two types of logical reasoning are used in science. Inductive reasoning uses results to produce general scientific principles. Deductive reasoning is a form of logical thinking that predicts results by applying general principles. The common thread throughout scientific research is the use of the scientific method. Scientists present their results in peer-reviewed scientific papers published in scientific journals.

Science can be basic or applied. The main goal of basic science is to expand knowledge without any expectation of short-term practical application of that knowledge. The primary goal of applied research, however, is to solve practical problems.

Human Biology Copyright © by Sarah Malmquist and Kristina Prescott is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License , except where otherwise noted.

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1.3: Hypothesis, Theories, and Laws

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Learning Objectives

• Describe the difference between hypothesis, theory as scientific terms.
• Describe the difference between a theory and scientific law.

Although all of us have taken science classes throughout the course of our study, many people have incorrect or misleading ideas about some of the most important and basic principles in science. We have all heard of hypotheses, theories, and laws, but what do they really mean? Before you read this section, think about what you have learned about these terms before. What do these terms mean to you? What do you read contradicts what you thought? What do you read supports what you thought?

What is a Fact?

A fact is a basic statement establish by experiment or observation. All facts are true under the specific conditions of the observation.

What is a Hypothesis?

One of the most common terms used in science classes is a "hypothesis". The word can have many different definitions, depending on the context in which it is being used:

• "An educated guess" - because it provides a suggested solution based on evidence to be a scientific hypothesis
• Prediction - if you have ever carried out a science experiment, you probably made this type of hypothesis, in which you predicted the outcome of your experiment.
• Tentative or Proposed explanation - hypotheses can be suggestions about why something is observed, but in order for it to be scientific, we must be able to test the explanation to see if it works, if it is able to correctly predict what will happen in a situation, such as: if my hypothesis is correct, we should see ___ result when we perform ___ test.

A hypothesis is very tentative; it can be easily changed.

What is a Theory?

The United States National Academy of Sciences describes what a theory is as follows:

"Some scientific explanations are so well established that no new evidence is likely to alter them. The explanation becomes a scientific theory. In everyday language a theory means a hunch or speculation. Not so in science. In science, the word theory refers to a comprehensive explanation of an important feature of nature supported by facts gathered over time. Theories also allow scientists to make predictions about as yet unobserved phenomena."

"A scientific theory is a well-substantiated explanation of some aspect of the natural world, based on a body of facts that have been repeatedly confirmed through observation and experimentation. Such fact-supported theories are not "guesses" but reliable accounts of the real world. The theory of biological evolution is more than "just a theory." It is as factual an explanation of the universe as the atomic theory of matter (stating that everything is made of atoms) or the germ theory of disease (which states that many diseases are caused by germs). Our understanding of gravity is still a work in progress. But the phenomenon of gravity, like evolution, is an accepted fact."

Not some key features of theories that are important to understand from this description:

• Theories are explanations of natural phenomenon. They aren't predictions (although we may use theories to make predictions). They are explanations why we observe something.
• Theories aren't likely to change. They have so much support and are able to explain satisfactorily so many observations, that they are not likely to change. Theories can, indeed, be facts. Theories can change, but it is a long and difficult process. In order for a theory to change, there must be many observations or evidence that the theory cannot explain.
• Theories are not guesses. The phrase "just a theory" has no room in science. To be a scientific theory carries a lot of weight; it is not just one person's idea about something

Theories aren't likely to change.

What is a Law?

Scientific laws are similar to scientific theories in that they are principles that can be used to predict the behavior of the natural world. Both scientific laws and scientific theories are typically well-supported by observations and/or experimental evidence. Usually scientific laws refer to rules for how nature will behave under certain conditions, frequently written as an equation. Scientific theories are more overarching explanations of how nature works and why it exhibits certain characteristics. As a comparison, theories explain why we observe what we do and laws describe what happens.

For example, around the year 1800, Jacques Charles and other scientists were working with gases to, among other reasons, improve the design of the hot air balloon. These scientists found, after many, many tests, that certain patterns existed in the observations on gas behavior. If the temperature of the gas is increased, the volume of the gas increased. This is known as a natural law. A law is a relationship that exists between variables in a group of data. Laws describe the patterns we see in large amounts of data, but do not describe why the patterns exist.

What is a Belief?

A statement that is not scientifically provable. Beliefs may or may not be incorrect; they just are outside the realm of science to explore.

Laws vs. Theories

A common misconception is that scientific theories are rudimentary ideas that will eventually graduate into scientific laws when enough data and evidence has been accumulated. A theory does not change into a scientific law with the accumulation of new or better evidence. Remember, theories are explanations and laws are patterns we see in large amounts of data, frequently written as an equation. A theory will always remain a theory; a law will always remain a law.

Video \(\PageIndex{1}\): What’s the difference between a scientific law and theory?

• A hypothesis is a tentative explanation that can be tested by further investigation.
• A theory is a well-supported explanation of observations.
• A scientific law is a statement that summarizes the relationship between variables.
• An experiment is a controlled method of testing a hypothesis.

Contributors and Attributions

Marisa Alviar-Agnew  ( Sacramento City College )

Henry Agnew (UC Davis)

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1.2: The Scientific Process

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Biologists study the living world by posing questions about it and seeking science-based responses. This approach is common to other sciences as well and is often referred to as the scientific method . The scientific process was used even in ancient times, but it was first documented by England’s Sir Francis Bacon (1561–1626) ( Figure \(\PageIndex{1}\) ), who set up inductive methods for scientific inquiry. The scientific method is not exclusively used by biologists but can be applied to almost anything as a logical problem solving method.

The scientific process typically starts with an observation (often a problem to be solved) that leads to a question.  Remember that science is very good at answering questions having to do with observations about the natural world, but is very bad at answering questions having to do with morals, ethics, or personal opinions.

Let’s think about a simple problem that starts with an observation and apply the scientific method to solve the problem. Imagine that one morning when you wake up and flip the switch to turn on your bedside lamp, the light won’t turn on. That is an observation that also describes a problem: the lights won’t turn on. Of course, you would next ask the question: “Why won’t the light turn on?”

Recall that a hypothesis is a suggested explanation that can be tested. A hypothesis is NOT the question you are trying to answer – it is what you think the answer to the question will be and why . To solve a problem, several hypotheses may be proposed. For example, one hypothesis might be, “The light won’t turn on because the bulb is burned out.” But there could be other answers to the question, and therefore other hypotheses may be proposed. A second hypothesis might be, “The light won’t turn on because the lamp is unplugged” or “The light won’t turn on because the power is out.” A hypothesis should be based on credible background information. A hypothesis is NOT just a guess (not even an educated one), although it can be based on your prior experience (such as in the example where the light won’t turn on). In general, hypotheses in biology should be based on a credible, referenced source of information.

A hypothesis must be testable to ensure that it is valid. For example, a hypothesis that depends on what a dog thinks is not testable, because we can’t tell what a dog thinks. It should also be  falsifiable,  meaning that it can be disproven by experimental results. An example of an unfalsifiable hypothesis is “Red is a better color than blue.” There is no experiment that might show this statement to be false. To test a hypothesis, a researcher will conduct one or more experiments designed to eliminate one or more of the hypotheses. This is important: a hypothesis can be disproven, or eliminated, but it can never be proven. Science does not deal in proofs like mathematics. If an experiment fails to disprove a hypothesis, then that explanation (the hypothesis) is supported as the answer to the question. However, that doesn’t mean that later on, we won’t find a better explanation or design a better experiment that will be found to falsify the first hypothesis and lead to a better one.

A variable is any part of the experiment that can vary or change during the experiment. Typically, an experiment only tests one variable and all the other conditions in the experiment are held constant.

• The variable that is tested is known as the  independent variable .
• The  dependent variable  is the thing (or things) that you are measuring as the outcome of your experiment.
• A  constant  is a condition that is the same between all of the tested groups.
• A confounding variable is a condition that is not held constant that could affect the experimental results.

A hypothesis often has the format “If [I change the independent variable in this way] then [I will observe that the dependent variable does this] because [of some reason].” For example, the first hypothesis might be, “If you change the light bulb, then the light will turn on because the bulb is burned out.” In this experiment, the independent variable (the thing that you are testing) would be changing the light bulb and the dependent variable is whether or not the light turns on. It would be important to hold all the other aspects of the environment constant, for example not messing with the lamp cord or trying to turn the lamp on using a different light switch. If the entire house had lost power during the experiment because a car hit the power pole, that would be a confounding variable.

You may have learned that a hypothesis can be phrased as an “If..then…” statement. Simple hypotheses can be phrased that way (but they must also include a “because”), but more complicated hypotheses may require several sentences. It is also very easy to get confused by trying to put your hypothesis into this format. Hypotheses do not have to be phrased as “if..then..” statements, it is just sometimes a useful format.

Query \(\PageIndex{1}\)

Query \(\PageIndex{2}\)

Query \(\PageIndex{3}\)

The results of your experiment are the data that you collect as the outcome.  In the light experiment, your results are either that the light turns on or the light doesn’t turn on. Based on your results, you can make a conclusion. Your conclusion uses the results to answer your original question.

We can put the experiment with the light that won’t go in into the figure above:

• Observation: the light won’t turn on.
• Question: why won’t the light turn on?
• Hypothesis: the lightbulb is burned out.
• Prediction: if I change the lightbulb (independent variable), then the light will turn on (dependent variable).
• Experiment: change the lightbulb while leaving all other variables the same.
• Analyze the results: the light didn’t turn on.
• Conclusion: The lightbulb isn’t burned out. The results do not support the hypothesis, time to develop a new one!
• Hypothesis 2: the lamp is unplugged.
• Prediction 2: if I plug in the lamp, then the light will turn on.
• Experiment: plug in the lamp
• Analyze the results: the light turned on!
• Conclusion: The light wouldn’t turn on because the lamp was unplugged. The results support the hypothesis, it’s time to move on to the next experiment!

In practice, the scientific method is not as rigid and structured as it might at first appear. Sometimes an experiment leads to conclusions that favor a change in approach; often, an experiment brings entirely new scientific questions to the puzzle. Many times, science does not operate in a linear fashion; instead, scientists continually draw inferences and make generalizations, finding patterns as their research proceeds. Scientific reasoning is more complex than the scientific method alone suggests.

Control Groups

Another important aspect of designing an experiment is the presence of one or more control groups. A control group allows you to make a comparison that is important for interpreting your results. Control groups are samples that help you to determine that differences between your experimental groups are due to your treatment rather than a different variable – they eliminate alternate explanations for your results (including experimental error and experimenter bias). They increase reliability, often through the comparison of control measurements and measurements of the experimental groups. Often, the control group is a sample that is not treated with the independent variable, but is otherwise treated the same way as your experimental sample. This type of control group contains every feature of the experimental group except it is not given the manipulation that is hypothesized about (it does not get treated with the independent variable). Therefore, if the results of the experimental group differ from the control group, the difference must be due to the hypothesized manipulation, rather than some outside factor. It is common in complex experiments (such as those published in scientific journals) to have more control groups than experimental groups.

Example \(\PageIndex{1}\)

Question: Which fertilizer will produce the greatest number of tomatoes when applied to the plants?

Prediction and Hypothesis: If I apply different brands of fertilizer to tomato plants, the most tomatoes will be produced from plants watered with Brand A because Brand A advertises that it produces twice as many tomatoes as other leading brands.

Experiment: Purchase 10 tomato plants of the same type from the same nursery. Pick plants that are similar in size and age. Divide the plants into two groups of 5. Apply Brand A to the first group and Brand B to the second group according to the instructions on the packages. After 10 weeks, count the number of tomatoes on each plant.

Independent Variable: Brand of fertilizer.

Dependent Variable: Number of tomatoes.

The number of tomatoes produced depends on the brand of fertilizer applied to the plants.

Constants: amount of water, type of soil, size of pot, amount of light, type of tomato plant, length of time plants were grown.

Confounding variables: any of the above that are not held constant, plant health, diseases present in the soil or plant before it was purchased.

Results: Tomatoes fertilized with Brand A produced an average of 20 tomatoes per plant, while tomatoes fertilized with Brand B produced an average of 10 tomatoes per plant.

You’d want to use Brand A next time you grow tomatoes, right? But what if I told you that plants grown without fertilizer produced an average of 30 tomatoes per plant! Now what will you use on your tomatoes?

Results including control group: Tomatoes which received no fertilizer produced more tomatoes than either brand of fertilizer.

Conclusion: Although Brand A fertilizer produced more tomatoes than Brand B, neither fertilizer should be used because plants grown without fertilizer produced the most tomatoes!

Positive control groups are often used to show that the experiment is valid and that everything has worked correctly. You can think of a positive control group as being a group where you should be able to observe the thing that you are measuring (“the thing” should happen). The conditions in a positive control group should guarantee a positive result. If the positive control group doesn’t work, there may be something wrong with the experimental procedure.

Negative control groups are used to show whether a treatment had any effect. If your treated sample is the same as your negative control group, your treatment had no effect. You can also think of a negative control group as being a group where you should NOT be able to observe the thing that you are measuring (“the thing” shouldn’t happen), or where you should not observe any change in the thing that you are measuring (there is no difference between the treated and control group). The conditions in a negative control group should guarantee a negative result. A placebo group is an example of a negative control group.

As a general rule, you need a positive control to validate a negative result, and a negative control to validate a positive result.

• You observe growth . Does this mean that your spinach is really contaminated? Consider an alternate explanation for growth: the swab, the water, or the plate is contaminated with bacteria. You could use a negative control to determine which explanation is true. If a swab is wet and wiped on a nutrient plate, do bacteria grow?
• You don’t observe growth. Does this mean that your spinach is really safe? Consider an alternate explanation for no growth: Salmonella isn’t able to grow on the type of nutrient you used in your plates. You could use a positive control to determine which explanation is true. If you wipe a known sample of Salmonella bacteria on the plate, do bacteria grow?
• In a drug trial, one group of subjects are given a new drug, while a second group is given a placebo drug (a sugar pill; something which appears like the drug, but doesn’t contain the active ingredient). Reduction in disease symptoms are measured. The second group receiving the placebo is a negative control group. You might expect a reduction in disease symptoms purely because the person knows they are taking a drug so they should be getting better. If the group treated with the real drug does not show more a reduction in disease symptoms than the placebo group, the drug doesn’t really work. The placebo group sets a baseline against which the experimental group (treated with the drug) can be compared. A positive control group is not required for this experiment.
• In an experiment measuring the preference of birds for various types of food , a negative control group would be a “placebo feeder”. This would be the same type of feeder, but with no food in it. Birds might visit a feeder just because they are interested in it; an empty feeder would give a baseline level for bird visits. A positive control group might be a food that squirrels are known to like. This would be useful because if no squirrels visited any of the feeders, you couldn’t tell if this was because there were no squirrels around or because they didn’t like any of your food offerings!
• To test  the effect of pH on the function of an enzyme , you would want a positive control group where you knew the enzyme would function (pH not changed) and a negative control group where you knew the enzyme would not function (no enzyme added). You need the positive control group so you know your enzyme is working: if you didn’t see a reaction in any of the tubes with the pH adjusted, you wouldn’t know if it was because the enzyme wasn’t working at all or because the enzyme just didn’t work at any of your tested pH. You need the negative control group so you can ensure that there is no reaction taking place in the absence of enzyme: if the reaction proceeds without the enzyme, your results are meaningless.

Text adapted from: OpenStax, Biology. OpenStax CNX. May 27, 2016  http://cnx.org/contents/[email protected]:RD6ERYiU@5/The-Process-of-Science .