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Research Paper Introduction – Writing Guide and Examples

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Research Paper Introduction

Research paper introduction is the first section of a research paper that provides an overview of the study, its purpose, and the research question (s) or hypothesis (es) being investigated. It typically includes background information about the topic, a review of previous research in the field, and a statement of the research objectives. The introduction is intended to provide the reader with a clear understanding of the research problem, why it is important, and how the study will contribute to existing knowledge in the field. It also sets the tone for the rest of the paper and helps to establish the author’s credibility and expertise on the subject.

How to Write Research Paper Introduction

Writing an introduction for a research paper can be challenging because it sets the tone for the entire paper. Here are some steps to follow to help you write an effective research paper introduction:

• Start with a hook : Begin your introduction with an attention-grabbing statement, a question, or a surprising fact that will make the reader interested in reading further.
• Provide background information: After the hook, provide background information on the topic. This information should give the reader a general idea of what the topic is about and why it is important.
• State the research problem: Clearly state the research problem or question that the paper addresses. This should be done in a concise and straightforward manner.
• State the research objectives: After stating the research problem, clearly state the research objectives. This will give the reader an idea of what the paper aims to achieve.
• Provide a brief overview of the paper: At the end of the introduction, provide a brief overview of the paper. This should include a summary of the main points that will be discussed in the paper.
• Revise and refine: Finally, revise and refine your introduction to ensure that it is clear, concise, and engaging.

Structure of Research Paper Introduction

The following is a typical structure for a research paper introduction:

• Background Information: This section provides an overview of the topic of the research paper, including relevant background information and any previous research that has been done on the topic. It helps to give the reader a sense of the context for the study.
• Problem Statement: This section identifies the specific problem or issue that the research paper is addressing. It should be clear and concise, and it should articulate the gap in knowledge that the study aims to fill.
• Research Question/Hypothesis : This section states the research question or hypothesis that the study aims to answer. It should be specific and focused, and it should clearly connect to the problem statement.
• Significance of the Study: This section explains why the research is important and what the potential implications of the study are. It should highlight the contribution that the research makes to the field.
• Methodology: This section describes the research methods that were used to conduct the study. It should be detailed enough to allow the reader to understand how the study was conducted and to evaluate the validity of the results.
• Organization of the Paper : This section provides a brief overview of the structure of the research paper. It should give the reader a sense of what to expect in each section of the paper.

Research Paper Introduction Examples

Research Paper Introduction Examples could be:

Example 1: In recent years, the use of artificial intelligence (AI) has become increasingly prevalent in various industries, including healthcare. AI algorithms are being developed to assist with medical diagnoses, treatment recommendations, and patient monitoring. However, as the use of AI in healthcare grows, ethical concerns regarding privacy, bias, and accountability have emerged. This paper aims to explore the ethical implications of AI in healthcare and propose recommendations for addressing these concerns.

Example 2: Climate change is one of the most pressing issues facing our planet today. The increasing concentration of greenhouse gases in the atmosphere has resulted in rising temperatures, changing weather patterns, and other environmental impacts. In this paper, we will review the scientific evidence on climate change, discuss the potential consequences of inaction, and propose solutions for mitigating its effects.

Example 3: The rise of social media has transformed the way we communicate and interact with each other. While social media platforms offer many benefits, including increased connectivity and access to information, they also present numerous challenges. In this paper, we will examine the impact of social media on mental health, privacy, and democracy, and propose solutions for addressing these issues.

Example 4: The use of renewable energy sources has become increasingly important in the face of climate change and environmental degradation. While renewable energy technologies offer many benefits, including reduced greenhouse gas emissions and energy independence, they also present numerous challenges. In this paper, we will assess the current state of renewable energy technology, discuss the economic and political barriers to its adoption, and propose solutions for promoting the widespread use of renewable energy.

Purpose of Research Paper Introduction

The introduction section of a research paper serves several important purposes, including:

• Providing context: The introduction should give readers a general understanding of the topic, including its background, significance, and relevance to the field.
• Presenting the research question or problem: The introduction should clearly state the research question or problem that the paper aims to address. This helps readers understand the purpose of the study and what the author hopes to accomplish.
• Reviewing the literature: The introduction should summarize the current state of knowledge on the topic, highlighting the gaps and limitations in existing research. This shows readers why the study is important and necessary.
• Outlining the scope and objectives of the study: The introduction should describe the scope and objectives of the study, including what aspects of the topic will be covered, what data will be collected, and what methods will be used.
• Previewing the main findings and conclusions : The introduction should provide a brief overview of the main findings and conclusions that the study will present. This helps readers anticipate what they can expect to learn from the paper.

When to Write Research Paper Introduction

The introduction of a research paper is typically written after the research has been conducted and the data has been analyzed. This is because the introduction should provide an overview of the research problem, the purpose of the study, and the research questions or hypotheses that will be investigated.

Once you have a clear understanding of the research problem and the questions that you want to explore, you can begin to write the introduction. It’s important to keep in mind that the introduction should be written in a way that engages the reader and provides a clear rationale for the study. It should also provide context for the research by reviewing relevant literature and explaining how the study fits into the larger field of research.

Advantages of Research Paper Introduction

The introduction of a research paper has several advantages, including:

• Establishing the purpose of the research: The introduction provides an overview of the research problem, question, or hypothesis, and the objectives of the study. This helps to clarify the purpose of the research and provide a roadmap for the reader to follow.
• Providing background information: The introduction also provides background information on the topic, including a review of relevant literature and research. This helps the reader understand the context of the study and how it fits into the broader field of research.
• Demonstrating the significance of the research: The introduction also explains why the research is important and relevant. This helps the reader understand the value of the study and why it is worth reading.
• Setting expectations: The introduction sets the tone for the rest of the paper and prepares the reader for what is to come. This helps the reader understand what to expect and how to approach the paper.
• Grabbing the reader’s attention: A well-written introduction can grab the reader’s attention and make them interested in reading further. This is important because it can help to keep the reader engaged and motivated to read the rest of the paper.
• Creating a strong first impression: The introduction is the first part of the research paper that the reader will see, and it can create a strong first impression. A well-written introduction can make the reader more likely to take the research seriously and view it as credible.
• Establishing the author’s credibility: The introduction can also establish the author’s credibility as a researcher. By providing a clear and thorough overview of the research problem and relevant literature, the author can demonstrate their expertise and knowledge in the field.
• Providing a structure for the paper: The introduction can also provide a structure for the rest of the paper. By outlining the main sections and sub-sections of the paper, the introduction can help the reader navigate the paper and find the information they are looking for.

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Muhammad Hassan

Researcher, Academic Writer, Web developer

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How to write a fantastic thesis introduction (+15 examples)

The thesis introduction, usually chapter 1, is one of the most important chapters of a thesis. It sets the scene. It previews key arguments and findings. And it helps the reader to understand the structure of the thesis. In short, a lot is riding on this first chapter. With the following tips, you can write a powerful thesis introduction.

Disclosure: This post may contain affiliate links, which means I may earn a small commission if you make a purchase using the links below at no additional cost to you . I only recommend products or services that I truly believe can benefit my audience. As always, my opinions are my own.

Elements of a fantastic thesis introduction

Open with a (personal) story, begin with a problem, define a clear research gap, describe the scientific relevance of the thesis, describe the societal relevance of the thesis, write down the thesis’ core claim in 1-2 sentences, support your argument with sufficient evidence, consider possible objections, address the empirical research context, give a taste of the thesis’ empirical analysis, hint at the practical implications of the research, provide a reading guide, briefly summarise all chapters to come, design a figure illustrating the thesis structure.

An introductory chapter plays an integral part in every thesis. The first chapter has to include quite a lot of information to contextualise the research. At the same time, a good thesis introduction is not too long, but clear and to the point.

A powerful thesis introduction does the following:

• It captures the reader’s attention.
• It presents a clear research gap and emphasises the thesis’ relevance.
• It provides a compelling argument.
• It previews the research findings.
• It explains the structure of the thesis.

In addition, a powerful thesis introduction is well-written, logically structured, and free of grammar and spelling errors. Reputable thesis editors can elevate the quality of your introduction to the next level. If you are in search of a trustworthy thesis or dissertation editor who upholds high-quality standards and offers efficient turnaround times, I recommend the professional thesis and dissertation editing service provided by Editage . 

This list can feel quite overwhelming. However, with some easy tips and tricks, you can accomplish all these goals in your thesis introduction. (And if you struggle with finding the right wording, have a look at academic key phrases for introductions .)

Ways to capture the reader’s attention

A powerful thesis introduction should spark the reader’s interest on the first pages. A reader should be enticed to continue reading! There are three common ways to capture the reader’s attention.

An established way to capture the reader’s attention in a thesis introduction is by starting with a story. Regardless of how abstract and ‘scientific’ the actual thesis content is, it can be useful to ease the reader into the topic with a short story.

This story can be, for instance, based on one of your study participants. It can also be a very personal account of one of your own experiences, which drew you to study the thesis topic in the first place.

Start by providing data or statistics

Data and statistics are another established way to immediately draw in your reader. Especially surprising or shocking numbers can highlight the importance of a thesis topic in the first few sentences!

So if your thesis topic lends itself to being kick-started with data or statistics, you are in for a quick and easy way to write a memorable thesis introduction.

The third established way to capture the reader’s attention is by starting with the problem that underlies your thesis. It is advisable to keep the problem simple. A few sentences at the start of the chapter should suffice.

Usually, at a later stage in the introductory chapter, it is common to go more in-depth, describing the research problem (and its scientific and societal relevance) in more detail.

You may also like: Minimalist writing for a better thesis

Emphasising the thesis’ relevance

A good thesis is a relevant thesis. No one wants to read about a concept that has already been explored hundreds of times, or that no one cares about.

Of course, a thesis heavily relies on the work of other scholars. However, each thesis is – and should be – unique. If you want to write a fantastic thesis introduction, your job is to point out this uniqueness!

In academic research, a research gap signifies a research area or research question that has not been explored yet, that has been insufficiently explored, or whose insights and findings are outdated.

Every thesis needs a crystal-clear research gap. Spell it out instead of letting your reader figure out why your thesis is relevant.

* This example has been taken from an actual academic paper on toxic behaviour in online games: Liu, J. and Agur, C. (2022). “After All, They Don’t Know Me” Exploring the Psychological Mechanisms of Toxic Behavior in Online Games. Games and Culture 1–24, DOI: 10.1177/15554120221115397

The scientific relevance of a thesis highlights the importance of your work in terms of advancing theoretical insights on a topic. You can think of this part as your contribution to the (international) academic literature.

Scientific relevance comes in different forms. For instance, you can critically assess a prominent theory explaining a specific phenomenon. Maybe something is missing? Or you can develop a novel framework that combines different frameworks used by other scholars. Or you can draw attention to the context-specific nature of a phenomenon that is discussed in the international literature.

The societal relevance of a thesis highlights the importance of your research in more practical terms. You can think of this part as your contribution beyond theoretical insights and academic publications.

Why are your insights useful? Who can benefit from your insights? How can your insights improve existing practices?

Formulating a compelling argument

Arguments are sets of reasons supporting an idea, which – in academia – often integrate theoretical and empirical insights. Think of an argument as an umbrella statement, or core claim. It should be no longer than one or two sentences.

Including an argument in the introduction of your thesis may seem counterintuitive. After all, the reader will be introduced to your core claim before reading all the chapters of your thesis that led you to this claim in the first place.

But rest assured: A clear argument at the start of your thesis introduction is a sign of a good thesis. It works like a movie teaser to generate interest. And it helps the reader to follow your subsequent line of argumentation.

The core claim of your thesis should be accompanied by sufficient evidence. This does not mean that you have to write 10 pages about your results at this point.

However, you do need to show the reader that your claim is credible and legitimate because of the work you have done.

A good argument already anticipates possible objections. Not everyone will agree with your core claim. Therefore, it is smart to think ahead. What criticism can you expect?

Think about reasons or opposing positions that people can come up with to disagree with your claim. Then, try to address them head-on.

Providing a captivating preview of findings

Similar to presenting a compelling argument, a fantastic thesis introduction also previews some of the findings. When reading an introduction, the reader wants to learn a bit more about the research context. Furthermore, a reader should get a taste of the type of analysis that will be conducted. And lastly, a hint at the practical implications of the findings encourages the reader to read until the end.

If you focus on a specific empirical context, make sure to provide some information about it. The empirical context could be, for instance, a country, an island, a school or city. Make sure the reader understands why you chose this context for your research, and why it fits to your research objective.

If you did all your research in a lab, this section is obviously irrelevant. However, in that case you should explain the setup of your experiment, etcetera.

The empirical part of your thesis centers around the collection and analysis of information. What information, and what evidence, did you generate? And what are some of the key findings?

For instance, you can provide a short summary of the different research methods that you used to collect data. Followed by a short overview of how you analysed this data, and some of the key findings. The reader needs to understand why your empirical analysis is worth reading.

You already highlighted the practical relevance of your thesis in the introductory chapter. However, you should also provide a preview of some of the practical implications that you will develop in your thesis based on your findings.

Presenting a crystal clear thesis structure

A fantastic thesis introduction helps the reader to understand the structure and logic of your whole thesis. This is probably the easiest part to write in a thesis introduction. However, this part can be best written at the very end, once everything else is ready.

A reading guide is an essential part in a thesis introduction! Usually, the reading guide can be found toward the end of the introductory chapter.

The reading guide basically tells the reader what to expect in the chapters to come.

In a longer thesis, such as a PhD thesis, it can be smart to provide a summary of each chapter to come. Think of a paragraph for each chapter, almost in the form of an abstract.

For shorter theses, which also have a shorter introduction, this step is not necessary.

Especially for longer theses, it tends to be a good idea to design a simple figure that illustrates the structure of your thesis. It helps the reader to better grasp the logic of your thesis.

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How to Write a Research Paper Introduction (with Examples)

The research paper introduction section, along with the Title and Abstract, can be considered the face of any research paper. The following article is intended to guide you in organizing and writing the research paper introduction for a quality academic article or dissertation.

The research paper introduction aims to present the topic to the reader. A study will only be accepted for publishing if you can ascertain that the available literature cannot answer your research question. So it is important to ensure that you have read important studies on that particular topic, especially those within the last five to ten years, and that they are properly referenced in this section. 1 What should be included in the research paper introduction is decided by what you want to tell readers about the reason behind the research and how you plan to fill the knowledge gap. The best research paper introduction provides a systemic review of existing work and demonstrates additional work that needs to be done. It needs to be brief, captivating, and well-referenced; a well-drafted research paper introduction will help the researcher win half the battle.

The introduction for a research paper is where you set up your topic and approach for the reader. It has several key goals:

• Present your research topic
• Capture reader interest
• Summarize existing research
• Position your own approach
• Define your specific research problem and problem statement
• Highlight the novelty and contributions of the study
• Give an overview of the paper’s structure

The research paper introduction can vary in size and structure depending on whether your paper presents the results of original empirical research or is a review paper. Some research paper introduction examples are only half a page while others are a few pages long. In many cases, the introduction will be shorter than all of the other sections of your paper; its length depends on the size of your paper as a whole.

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Table of Contents

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The introduction in a research paper is placed at the beginning to guide the reader from a broad subject area to the specific topic that your research addresses. They present the following information to the reader

• Scope: The topic covered in the research paper
• Context: Background of your topic
• Importance: Why your research matters in that particular area of research and the industry problem that can be targeted

The research paper introduction conveys a lot of information and can be considered an essential roadmap for the rest of your paper. A good introduction for a research paper is important for the following reasons:

• It stimulates your reader’s interest: A good introduction section can make your readers want to read your paper by capturing their interest. It informs the reader what they are going to learn and helps determine if the topic is of interest to them.
• It helps the reader understand the research background: Without a clear introduction, your readers may feel confused and even struggle when reading your paper. A good research paper introduction will prepare them for the in-depth research to come. It provides you the opportunity to engage with the readers and demonstrate your knowledge and authority on the specific topic.
• It explains why your research paper is worth reading: Your introduction can convey a lot of information to your readers. It introduces the topic, why the topic is important, and how you plan to proceed with your research.
• It helps guide the reader through the rest of the paper: The research paper introduction gives the reader a sense of the nature of the information that will support your arguments and the general organization of the paragraphs that will follow. It offers an overview of what to expect when reading the main body of your paper.

What are the parts of introduction in the research?

A good research paper introduction section should comprise three main elements: 2

• What is known: This sets the stage for your research. It informs the readers of what is known on the subject.
• What is lacking: This is aimed at justifying the reason for carrying out your research. This could involve investigating a new concept or method or building upon previous research.
• What you aim to do: This part briefly states the objectives of your research and its major contributions. Your detailed hypothesis will also form a part of this section.

How to write a research paper introduction?

The first step in writing the research paper introduction is to inform the reader what your topic is and why it’s interesting or important. This is generally accomplished with a strong opening statement. The second step involves establishing the kinds of research that have been done and ending with limitations or gaps in the research that you intend to address. Finally, the research paper introduction clarifies how your own research fits in and what problem it addresses. If your research involved testing hypotheses, these should be stated along with your research question. The hypothesis should be presented in the past tense since it will have been tested by the time you are writing the research paper introduction.

The following key points, with examples, can guide you when writing the research paper introduction section:

• Highlight the importance of the research field or topic
• Describe the background of the topic
• Present an overview of current research on the topic

Example: The inclusion of experiential and competency-based learning has benefitted electronics engineering education. Industry partnerships provide an excellent alternative for students wanting to engage in solving real-world challenges. Industry-academia participation has grown in recent years due to the need for skilled engineers with practical training and specialized expertise. However, from the educational perspective, many activities are needed to incorporate sustainable development goals into the university curricula and consolidate learning innovation in universities.

• Reveal a gap in existing research or oppose an existing assumption
• Formulate the research question

Example: There have been plausible efforts to integrate educational activities in higher education electronics engineering programs. However, very few studies have considered using educational research methods for performance evaluation of competency-based higher engineering education, with a focus on technical and or transversal skills. To remedy the current need for evaluating competencies in STEM fields and providing sustainable development goals in engineering education, in this study, a comparison was drawn between study groups without and with industry partners.

• State the purpose of your study
• Highlight the key characteristics of your study
• Describe important results
• Highlight the novelty of the study.
• Offer a brief overview of the structure of the paper.

Example: The study evaluates the main competency needed in the applied electronics course, which is a fundamental core subject for many electronics engineering undergraduate programs. We compared two groups, without and with an industrial partner, that offered real-world projects to solve during the semester. This comparison can help determine significant differences in both groups in terms of developing subject competency and achieving sustainable development goals.

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With Paperpal Copilot, create a research paper introduction effortlessly. In this step-by-step guide, we’ll walk you through how Paperpal transforms your initial ideas into a polished and publication-ready introduction.

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You can use the same process to develop each section of your article, and finally your research paper in half the time and without any of the stress.

The purpose of the research paper introduction is to introduce the reader to the problem definition, justify the need for the study, and describe the main theme of the study. The aim is to gain the reader’s attention by providing them with necessary background information and establishing the main purpose and direction of the research.

The length of the research paper introduction can vary across journals and disciplines. While there are no strict word limits for writing the research paper introduction, an ideal length would be one page, with a maximum of 400 words over 1-4 paragraphs. Generally, it is one of the shorter sections of the paper as the reader is assumed to have at least a reasonable knowledge about the topic. 2 For example, for a study evaluating the role of building design in ensuring fire safety, there is no need to discuss definitions and nature of fire in the introduction; you could start by commenting upon the existing practices for fire safety and how your study will add to the existing knowledge and practice.

When deciding what to include in the research paper introduction, the rest of the paper should also be considered. The aim is to introduce the reader smoothly to the topic and facilitate an easy read without much dependency on external sources. 3 Below is a list of elements you can include to prepare a research paper introduction outline and follow it when you are writing the research paper introduction. Topic introduction: This can include key definitions and a brief history of the topic. Research context and background: Offer the readers some general information and then narrow it down to specific aspects. Details of the research you conducted: A brief literature review can be included to support your arguments or line of thought. Rationale for the study: This establishes the relevance of your study and establishes its importance. Importance of your research: The main contributions are highlighted to help establish the novelty of your study Research hypothesis: Introduce your research question and propose an expected outcome. Organization of the paper: Include a short paragraph of 3-4 sentences that highlights your plan for the entire paper

Cite only works that are most relevant to your topic; as a general rule, you can include one to three. Note that readers want to see evidence of original thinking. So it is better to avoid using too many references as it does not leave much room for your personal standpoint to shine through. Citations in your research paper introduction support the key points, and the number of citations depend on the subject matter and the point discussed. If the research paper introduction is too long or overflowing with citations, it is better to cite a few review articles rather than the individual articles summarized in the review. A good point to remember when citing research papers in the introduction section is to include at least one-third of the references in the introduction.

The literature review plays a significant role in the research paper introduction section. A good literature review accomplishes the following: Introduces the topic – Establishes the study’s significance – Provides an overview of the relevant literature – Provides context for the study using literature – Identifies knowledge gaps However, remember to avoid making the following mistakes when writing a research paper introduction: Do not use studies from the literature review to aggressively support your research Avoid direct quoting Do not allow literature review to be the focus of this section. Instead, the literature review should only aid in setting a foundation for the manuscript.

Remember the following key points for writing a good research paper introduction: 4

• Avoid stuffing too much general information: Avoid including what an average reader would know and include only that information related to the problem being addressed in the research paper introduction. For example, when describing a comparative study of non-traditional methods for mechanical design optimization, information related to the traditional methods and differences between traditional and non-traditional methods would not be relevant. In this case, the introduction for the research paper should begin with the state-of-the-art non-traditional methods and methods to evaluate the efficiency of newly developed algorithms.
• Avoid packing too many references: Cite only the required works in your research paper introduction. The other works can be included in the discussion section to strengthen your findings.
• Avoid extensive criticism of previous studies: Avoid being overly critical of earlier studies while setting the rationale for your study. A better place for this would be the Discussion section, where you can highlight the advantages of your method.
• Avoid describing conclusions of the study: When writing a research paper introduction remember not to include the findings of your study. The aim is to let the readers know what question is being answered. The actual answer should only be given in the Results and Discussion section.

To summarize, the research paper introduction section should be brief yet informative. It should convince the reader the need to conduct the study and motivate him to read further. If you’re feeling stuck or unsure, choose trusted AI academic writing assistants like Paperpal to effortlessly craft your research paper introduction and other sections of your research article.

1. Jawaid, S. A., & Jawaid, M. (2019). How to write introduction and discussion. Saudi Journal of Anaesthesia, 13(Suppl 1), S18.

2. Dewan, P., & Gupta, P. (2016). Writing the title, abstract and introduction: Looks matter!. Indian pediatrics, 53, 235-241.

3. Cetin, S., & Hackam, D. J. (2005). An approach to the writing of a scientific Manuscript1. Journal of Surgical Research, 128(2), 165-167.

4. Bavdekar, S. B. (2015). Writing introduction: Laying the foundations of a research paper. Journal of the Association of Physicians of India, 63(7), 44-6.

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How to write an introduction chapter for a thesis

Louisa Hill is a Senior Teaching Fellow and delivers workshops for Postgraduate Researchers who want to teach.

When writing a thesis, you will need to write an introductory chapter. This chapter is critical as it is the first thing that the examiner will read and it is therefore important to make a good first impression. 

A good introduction chapter should incite the reader to read the rest of the thesis by establishing the context of your topic, the motivation for undertaking your work and the importance of your research.

As a lecturer and supervisor, I have read many introductory chapters for research projects such as theses. Here is my advice to those undertaking a research project and writing a thesis.

Capture the reader’s interest

Initially you need to capture the reader’s attention with a discussion of a broader theme relating to your research. To add impact draw on research, data and quotations from international or national professional bodies, governmental organisations or key authors on the topic of study.

Give an overview of your research topic

Your discussion should then begin by detailing the broader aspects of the topic more, before focussing on the specific topic of your research. It is a good idea when you do this to assume that the reader knows nothing about your topic. Therefore definitions, drawing on key research, need to be clarified and explained. Alternatively, if having read key literature for the literature review chapter, you are not satisfied with existing definitions, then draw on these, to devise your own (but make it clear you have done this).

Detail how your research is going to make a contribution

You must then sell your idea for undertaking the research topic, demonstrating the main reasons why the research will make a significant contribution to the current body of research. This can be achieved by demonstrating a gap or limitation with existing research, then showing how your research will resolve this. There are different types of contribution (see  Constructing Research Questions: Doing Interesting Research ).

Explain what your interest is in the topic

Next you need to demonstrate your personal reasons for choosing the topic. These could relate to your previous research, work or experiences.

List your research objectives

You need to include your three or four overarching research objectives. Also include corresponding research questions if it is a qualitative piece of research or hypotheses if it is quantitative-based. The former are usually derivatives of the research objectives. Note though that these objectives and questions or hypotheses are fluid in nature and can be tweaked as you undertake the research.

Give a forthcoming chapter overview

The final part of the introduction is an overview of the rest of the chapters in the thesis. The other sections can go in any order, providing it is a logical sequence.

Learn from others

Look at other theses for example from  White Rose etheses  or your university library’s website. The majority of journal articles that you will read in the content of your topic will also provide useful insights.

Speak with your supervisor

Remember to always speak with your supervisor and have regular catch-ups. They will be able to offer guidance and encouragement, and steer you in the right direction.

Related content

• Writing a research PhD proposal
• Presenting with impact
• The benefits of undertaking a placement alongside your PhD

If you would like to get in touch regarding any of these blog entries, or are interested in contributing to the blog, please contact:

Email: [email protected] Phone: +44 (0)113 343 8754

Click here to view our privacy statement. You can repost this blog article, following the terms listed under the Creative Commons Attribution-NonCommercial-NoDerivatives 4.0 International licence .

The views expressed in this article are those of the author and may not reflect the views of Leeds University Business School or the University of Leeds.

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How to write dissertation chapter 1, published by steve tippins on july 19, 2022 july 19, 2022.

Last Updated on: 2nd February 2024, 04:48 am

Congratulations, you’ve made it to the dissertation stage! You should be incredibly happy. However, beginning to write chapter one might be a little daunting. We’re going to cover a broad overview on chapter one here in this article so that you know the territory before you set out.

Purpose of Chapter One

The purpose of chapter one is to introduce the reader to what’s coming. Chapter one usually runs around 15 pages, and it gives the reader the highlights of what’s coming. Typically, you start with an introduction. 

#1. Introduction

The introduction includes a few citations and says, “Hey, we’re going to talk about ___.” Fill in the blank with your topic (educational policy, or management handling of turnover, etc.). Also, don’t say “hey” like we did (that wouldn’t be very good academic writing).

#2. Background of the Problem

The next section is the background of the problem. I like to think of this as a very short literature review , showing the reader that there’s a foundation of scholarly research about this topic.

#3. Theoretical/Conceptual Framework

Follow that up by the theoretical or conceptual framework . Think of this as the seminal research upon which your study is based. Maslow’s hierarchy of needs, for example, is an incredibly popular conceptual framework. Erickson’s theories are popular in education, and systems theory is being used in many disciplines now. 

#4. Problem Statement

Next comes what many consider to be the guts or the foundation of the dissertation: your problem statement . Your problem statement is typically one line. Now it might be surrounded by a paragraph or two, but the actual problem statement is one sentence. It should begin, “The problem to be studied is…” and finish with something that directly aligns with your purpose and research questions. For example, “…we don’t know the impact of extra after school education on student grades in math,” or “…we are not aware of the perceptions of employees regarding management, changing retirement plans.” 

Over 50% of doctoral candidates don’t finish their dissertations.

#5. Purpose Statement

Next comes your purpose statement . The purpose is directly related to the problem. If the problem is that the impact of management decisions on employee turnover is unknown, then our purpose would be to determine the impact of management decisions on employee turnover.

#6. Research Questions

Follow this by the research questions. Your research questions should be highly aligned with your problem and your purpose. For example, your research question could be: “what is the relationship between management decisions and employee turnover?” Or for another topic, “what are the perceptions of parents regarding teacher pay raises?” 

Quick aside: You’re going to say things over and over and over again in your dissertation. Say them the exact same way. You get in trouble when you try to get interesting and use different terms, because doing so actually introduces new meanings. Be okay with sounding boring. 

#7. Methodology

Next is a brief Methodology section. Am I going to use a quantitative approach? Am I going to use a qualitative approach? What sources am I going to use? Is this going to be secondary data? Am I going to interview parents? Quickly tell the reader that you’re going to have a whole chapter (chapter three) to really go further on this. 

#8. Definition of Key Terms

Many chapter ones include a definition of key terms. If I’m talking about phenomenology, I’d better tell the reader what phenomenology is. If I’m talking about special ed teachers, I’m going to say what a special ed teacher is.

#9. Validity

You also may have a section in chapter one on validity. This is going to be somewhere in your dissertation, and it’s going to assure the reader that you’re following all the ethical steps and that results can be transferable. 

#10. Conclusion and Segway to Chapter Two

Finally, you’re going to have a conclusion wrapping everything up, summarizing for the reader what they heard, and a segue into chapter two.

Steve Tippins

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

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

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

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

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

*The Caveat *

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

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

Overview: S tructuring a dissertation or thesis

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

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

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

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

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

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

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

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

Typically, a good title includes mention of the following:

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

For example:

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

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

Acknowledgements

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

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

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

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

Abstract or executive summary

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

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

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

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

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

Need a helping hand?

Table of contents

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Time to recap…

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

• Acknowledgments page

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

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

Psst... there’s more!

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

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36 Comments

many thanks i found it very useful

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

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

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

Thanks so much this helped me a lot!

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

Thanks Ade!

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

You’re welcome!

Hi! How many words maximum should contain the abstract?

Thank you so much 😊 Find this at the right moment

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

best ever benefit i got on right time thank you

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

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

You have given immense clarity from start to end.

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

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

Thanks ! so concise and valuable

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

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

Really useful to me. Thanks a thousand times

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

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

Usefull, thanks a lot. Really clear

Very nice and easy to understand. Thank you .

That was incredibly useful. Thanks Grad Coach Crew!

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

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

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

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

Great video; I appreciate that helpful information

It is so necessary or avital course

This blog is very informative for my research. Thank you

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

wow this is an amazing gain in my life

This is so good

How can i arrange my specific objectives in my dissertation?

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Project Writers in Nigeria BSc. MSc. PhD

Research Project Writing Website

HOW TO WRITE CHAPTER ONE OF RESEARCH PROJECTS

A practical guide to research writing – chapter one.

The outline of a well written Chapter One is supposed to include all or some of the following:

CHAPTER ONE

INTRODUCTION

1.1 Background to the Study

1.2 Statement of the Problem

1.3 Objectives or Purpose of the Study

1.4 Research Questions and /or Hypotheses

1.5 Significance of the Study

1.6 Scope and Limitation of the Study

1.7 Basic Assumptions

1.8 Operational Definition of Terms

As can be seen above, the project outline constitutes a huge part of the project proposal and the student researcher just needs to perfect the approved research proposal with the view of using it as the Chapter One. The fact remains that all the other parts that as had been written for the project proposal would still stand, with the inclusion of Operational Definition of Terms. At this stage, it is important to understand and know what is contained under each of the subheadings in the first chapter and these are described thoroughly in this article: –

1.1     Background to the Study

Just as the name means, this section outlines the history of the subject matter under investigation; the evolution of the research problem; how the researcher became fascinated with the problem. He goes on to describe the specific situation surrounding the research problem, using facts from the literature to support various arguments. In this section also, the student researcher tries to ascertain the suitability and feasibility of the study, concluding from the sufficient evidences drawn from the previous literature.

In a nutshell, this is where the student researcher initiates the subject of his investigation using all obtainable evidences and figures to establish its groundwork. Note that even if there is no standard number of pages that this should take, the lengthier and well focused the Background to the Study, the better for a good and solid groundwork for that research being conducted.

1.2     Statement of the Problem

The Problem Statement, as it is otherwise described, is the reasonable conclusion of the problems/issues raised in the Background to the Study. The idea is that while the Background to the Study offers a wider or global perspective/standpoint to the subject matter of the research, the Problem Statement makes assumptions from there and concludes on the specifics as they relate to the specific investigation being conducted.

That is the reason Problem Statement is expected to flow, rather logically, from the Background to the Study; and it is not a good Problem Statement, one that deviates from this; given that they are not expected to be two unconnected entities, as it were. It is nevertheless different from Background to the Study in that it must be stated reasonably briefly and very clearly. All the descriptive components of the Background to the Study would have assisted to allow one go straight for the specifics under the Problem Statement.

This is why experienced project supervisors would maintain that the Problem Statement should be in the range of one to three paragraphs only. The idea is that the shorter, the clearer; and the clearer the better for the whole process of investigation. In a nutshell, one cannot overstate the need to state the research problem very clearly and accurately, since the entire course of the investigation depends on it.

Therefore, there is no doubt that a satisfactory statement of the research problem is the most important component of a research process. The plain reason for this claim is that the whole process of investigation centers on it and it is typically related to some of the following issues:

• A missing link
• One-sidedness
• An unanswered question.
• An unsatisfactory state of arrangements

Consequently, the Problem Statement offers direction to the rest of the project; signifying and highlighting the major variables of concern to the researcher as well as the exact relationship that exist between them.

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Academic project or thesis or dissertation writing is not an easy academic endeavor. To reach your goal, you must invest time, effort, and a strong desire to succeed. Writing a thesis while also juggling other course work is challenging, but it doesn't have to be an unpleasant process. A dissertation or thesis is one of the most important requirements for any degree, and this book will show you how to create a good research write-up from a high level of abstraction, making your research writing journey much easier. It also includes examples of how and what the contents of each sub-headings should look like for easy research writing. This book will also constitute a step-by-step research writing guide to scholars in all research fields.

1.3     Objectives {Purpose} of the Study

Simply similar to every other component in a research project, the Objectives of the Study is strongly connected to the Research Problem. The former is derived directly from the latter. The Objectives of the Study, which is sometimes described as Purpose, stand for the aims of carrying out the investigation and could be categorized into general and specific.

The general objective describes the overall aim of a research project whereas the specific objective is concerned with the comprehensive list of intentions concerning what the research stands to accomplish at the end of the project. Typically, the specific objectives are stated in the form of declarative statements for example, the statement should start with “to examine”, “to analyze”, “to determine”, “to assess”, “to find out” etc. The Research Questions usually take the form of interrogative statement, the Objectives present the same thing, but in the statement form.

1.4. Research Questions and/or Hypotheses

Typically, these come immediately after the Research objectives because of their strong relationship. They do not just seek to convert the declarative statement of the objectives into interrogative form, but further break down the major problems compressed in the research objectives. As its name implies, Research Questions is presented just like interrogations seeking to create specific relations among the main variables of investigation.

As well, the Research Questions usually serve as the foundation from where the questionnaire items/questions would ultimately be derived. The difference between the two is that the items in the questionnaire offer a further breakdown of each of the research questions to a greater specification. This is to the level that a single research question can turn out the range of between three to five questionnaire items/questions. But the Research Questions are wide in nature, the questionnaire items are typically directed towards the details thereby getting down to more specifics.

In the case of Hypotheses, they are not the same as Research Questions even though they are sometimes used to substitute each other. In other words, it is not unusual to find projects which have both as well as others which have only one of them. Since they are not the same, they are not expected to replace each other. If they stand to do that, then one should be retained and the other disposed of. By this piece of information, one can easily know that it is not necessary that a project should have both; particularly at the elementary level, where in most of the times, the research questions would be okay.

By meaning, a Research Hypothesis is a clear, specific statement whose validity and workability can be tested by means of scientific method. Being a declarative statement of prediction, it tries to determine the relationship or difference that exists between one variable and the other; and to what degree. It is a form of clever guess or supposition regularly derived from the results of previous studies and/or theories originating from the literature. Hypotheses are formulated on the core of any of the areas and objectives listed below:

• To merely describe a occurrence or a statement of fact
• To compare two or more concepts, individuals and places
• To reveal the relationship between variable
• To reveal a cause/ effect situation between variables.

Usually, there are two kinds of hypotheses; basically referring to the way they are stated. They are the Null and the Alternative. While the former is frequently stated in the negative form of “No Significant Relationship” or “No Significant Difference” etc., the latter takes the positive form of statement; such as “There is a Significant Relationship”, “There is a Significant Difference” etc.

The Research Hypotheses specify the fundamental issues relating to the data to be gathered in the process of conducting the study. They serve as a theoretical conceptualization of what the researcher anticipated with respect to his research outcomes. These help him to test and verify his concepts on the basis of which he makes very tangible and reliable conclusions and generalizations. They also assist in sharpening researcher’s focus on the research problem with a view to determining the direction where to find the solution.

Therefore, some of the qualities of a good hypothesis must include that:

• It should be sensible {i.e. clever guesses}.
• It should be in line with known facts or theories.
• It should be constructed in such a manner that it is testable and found to be probably true or false.
• It should be in very simple, unambiguous terms.
• It should be directly connected to the problem of research.
• It should involve very few variables at a time.
• It should be quantifiable {i.e. operationally formulated}.

1.5.    Significance of the Study

It is anticipated that every research project must have something new to contribute to knowledge in that research field, no matter how small. In point of fact, no research should take place if it will not contribute anything to knowledge; as this represents the major feature of all research endeavors.

Consequently, this section is expected to clarify the possible benefits of the research and to whom such anticipated benefits would be meant. All these should be clearly stated. In any way, there is no standard detail as to the number of benefits that a research project should have or its length. It can be arranged sequentially or itemized or paraphrased depending on the person’s method of writing.

1.6.    Scope and Limitation of the Study

The scope of the study basically refers to the level of coverage of the research subject being investigated and the good statement of the problem will act as a helpful guide to doing this. That means, if the problem had been properly stated at the beginning, it helps, certainly, in defining the scope of the research. That is why the scope of the study is partially dependent on the title of the research project. If well formulated, the phrase of the title only does define the scope of the study and possibly, needs a little rider to make it clearer. The limitation of the study represents the things and issues that constituted challenges in the process of investigations.

Consequently, if the scope was concerned with the level of the research’s coverage, then, limitation implies building a fence around the subject of research. This is with a view to creating a foundation for the non-inclusion of certain things in the study for understandable reasons.

1.7.    Basic Assumptions

Even though many student researchers tend to mistake Assumptions with Hypotheses, it is important to state very clearly that they are not the same. We have already discussed about hypotheses; its meaning and significance in a research project. However, Assumptions are only mere statements, which are frequently, not subjected to any testing. They are, more or less, ordinary statements that are taken for granted. They cannot replace the Hypotheses; yet, they tend to duplicate the Hypotheses, because they are fairly similar.

It is because of these reasons that a lot of research experts have suggested that if the study has hypotheses, then assumptions would no longer be needed. For a study with Research Questions only nevertheless, it is suitable to have assumptions, to act as a guide towards the achievement of the research objectives.

Assumptions are typically itemized while the number varies.

1.9     Operational Definition of Terms

This section of the Chapter one (introduction) is used to offer a kind of working definition to all the concepts, which would be operationally used in the course of the research. The notion is that there are some terminologies, which have been “adapted” and so utilized restrictively for the purpose of the research project.

This implies that such terminologies would mean something somewhat different from the one adapted under a different circumstances; therefore the name Operational Definition of Terms. In defining terms operationally, individual concepts/words to be so defined are recognized and then itemized. Thus, operational definitions are typically given in such a manner that will imply that they are not the usually accepted as standard definitions but those peculiar to the study in specifically. This section typically comes last in the introductory chapter.

Click  here  to get an expert project writer for your project topic on mzwriters.com

>>>>> HOW TO WRITE CHAPTER TWO OF RESEARCH PROJECTS

23 comments.

excellent write up, this should help me in writing my chapter one

Excellent write up. Great job, really helped me with my chapter one in my MBA project write up.

However I would like to know if I can add justification of study to my chapter one since you didn’t mention it in your post?

Great write up nevertheless!

Well thank you for the special guardian for my first chapter write up, however I wish if you break up background of the study into theoretical background, conceptual background and contextual background to make me have better analysis on how they are framed

Thanks a lot

This really helped me out to have an approach to good chapter one of my project. Thank you very much.

I realy apreciate your work here. This article helped me alot.

Do you have another one on chapter 2 (literature review)

Thanks. “how to write chapter two”, an article that will guide researcher on how to write the literature review will soon be published.

tanx,tanx,tanx this really help me when I wrotte my exam on research topic on my N.C.E program

Nice one, I haven’t started but I think this is really a nice guide for a start.

This is a great light to me. Thanks for the post

This is a well analysed research procedure….

Good work , well articulated, unambiguous, simply & logically stated.

Thanks for the write up… This should help me writing my project… Thanks once again.

GOD BLESS YOU

I am so glad with your work,l have gone through.l think what I benefited from it, will definitely guide me in my project work.so l am so grateful to you for making me to discover what I am looking for.

Thaaaaanks A good guide i’ll do a study on chapter one

Truth be told, I wish I had come across this write up before now. This is the clearest article I’ve read about contents of the chapters of a research project, especially chapter two. I’ve sent the link to my colleague PG Students.

Thanks so much.

it will great if you can add examples of what these when properly written will look like.

good guidance, keep doing so to help us learn better, together we stand

God bless you ?

Omo thanks a bunch

Good work done keep it up, i think your write up have helped me alot

Thank you,I do really appreciate and I learned more about.

Thanks very much, I have found this piece to he very educative and resourceful to any researcher.

This is the best foundation of Researchers

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1. Introduction to Research

“Research is creating new knowledge”– Neil Armstrong

In this chapter you will learn about:

• what it means to do research
• ways of knowing and world views
• the scientific method and how it contributes to evidence
• where research questions come from and how do they evolve
• reasons for doing research in healthcare settings.

Opening Scenario

Imagine that you are a third-year medical student living on campus and relying solely on the cafeteria for your meals as you do not know how to cook. An excellent opportunity to develop basic culinary skills presents itself; you enrolled in the ‘cooking basics for dummies’ class for your third-year elective subject. For your final assessment, you are required to put on your creative thinking cap, research how to make sushi on the internet and, within an allocated time of one hour, make a special type of sushi. You decide to take on the challenge by changing the filling you used in your sushi from popular choices such as salmon or chicken to kangaroo meat to give the meal an ‘Australian touch’. You did such a good job of it that you got the highest grade (high distinction) in the class. While sushi is a known and existing meal, you have added more to the knowledge base by creating a new sushi recipe. Similarly, research involves creating new ideas and knowledge. No wonder Neil Armstrong stated that “ Research is creating new knowledge” .

Let’s now take you into the world of research where you need to creatively develop and apply processes (recipes) that produce new knowledge about phenomena under investigation.

An Introduction to Research Methods for Undergraduate Health Profession Students Copyright © 2023 by Faith Alele and Bunmi Malau-Aduli is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License , except where otherwise noted.

Academic research and writing

A concise introduction

Chapter 1 – Primer

Introduction to chapter 1.

Chapter 1 introduces you to the world of academic research and writing from a practical, terminological and philosophical perspective. To start with, four sample cases exemplify how academic research is embedded in professional, university, institutional and collaborative scenarios. As a thread for you, the topic “windmill financing”, appearing as a recurring theme throughout this course, is used in each of the four sample cases; however, every sample case describes a different setting in order to illustrate different manifestations of academic research. Furthermore, relevant key terms such as academia, science and theory as well as method, set of methods and methodology are discussed providing a terminological foundation for the content of the subsequent chapters. Philosophical considerations are presented in a concise way. The focus is on the terms truth and theories of truth as well as ontological positions and epistemic objectives. The concept of models, as simplifications of reality, is introduced. Finally, the structure of the subject matter “academic research and writing” is presented as a graphic. This illustration is used in order to explain the structure of the following chapters and will reappear as an entry point at the beginning of the subsequent chapters.

Go to Unit 0 Agenda

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How To Write Chapter One Of Research Projects

The outline of a well written Chapter One is supposed to include all or some of the following:

CHAPTER ONE

INTRODUCTION

1.1 Background to the Study

1.2 Statement of the Problem

1.3 Objectives or Purpose of the Study

1.4 Research Questions and /or Hypotheses

1.5 Significance of the Study

1.6 Scope and Limitation of the Study

1.7 Basic Assumptions

1.8 Operational Definition of Terms

As can be seen above, the project outline constitutes a huge part of the project proposal and the student researcher just needs to perfect the approved research proposal with the view of using it as the Chapter One. The fact remains that all the other parts that as had been written for the project proposal would still stand, with the inclusion of Operational Definition of Terms. At this stage, it is important to understand and know what is contained under each of the subheadings in the first chapter and these are described thoroughly in this article: –

1.1     Background to the Study

Just as the name means, this section outlines the history of the subject matter under investigation; the evolution of the research problem; how the researcher became fascinated with the problem. He goes on to describe the specific situation surrounding the research problem, using facts from the literature to support various arguments. In this section also, the student researcher tries to ascertain the suitability and feasibility of the study, concluding from the sufficient evidences drawn from the previous literature.

In a nutshell, this is where the student researcher initiates the subject of his investigation using all obtainable evidences and figures to establish its groundwork. Note that even if there is no standard number of pages that this should take, the lengthier and well focused the Background to the Study, the better for a good and solid groundwork for that research being conducted.

1.2     Statement of the Problem

The Problem Statement, as it is otherwise described, is the reasonable conclusion of the problems/issues raised in the Background to the Study. The idea is that while the Background to the Study offers a wider or global perspective/standpoint to the subject matter of the research, the Problem Statement makes assumptions from there and concludes on the specifics as they relate to the specific investigation being conducted.

That is the reason Problem Statement is expected to flow, rather logically, from the Background to the Study; and it is not a good Problem Statement, one that deviates from this; given that they are not expected to be two unconnected entities, as it were. It is nevertheless different from Background to the Study in that it must be stated reasonably briefly and very clearly. All the descriptive components of the Background to the Study would have assisted to allow one go straight for the specifics under the Problem Statement.

This is why experienced project supervisors would mainatain that the Problem Statement should be in the range of one to three paragraphs only. The idea is that the shorter, the clearer; and the clearer the better for the whole process of investigation. In a nutshell, one cannot overstate the need to state the research problem very clearly and accurately, since the entire course of the investigation depends on it.

Therefore, there is no doubt that a satisfactory statement of the research problem is the most important component of a research process. The plain reason for this claim is that the whole process of investigation centers on it and it is typically related to some of the following issues:

• A missing link
• One-sidedness
• An unanswered question.
• An unsatisfactory state of arrangements

Consequently, the Problem Statement offers direction to the rest of the project; signifying and highlighting the major variables of concern to the researcher as well as the exact relationship that exist between them.

1.3     Objectives {Purpose} of the Study

Simply similar to every other component in a research project, the Objectives of the Study is strongly connected to the Research Problem. The former is derived directly from the latter. The Objectives of the Study, which is sometimes described as Purpose, stand for the aims of carrying out the investigation and could be categorized into general and specific.

The general objective describes the overall aim of a research project whereas the specific objective is concerned with the comprehensive list of intentions concerning what the research stands to accomplish at the end of the project. Typically, the specific objectives are stated in the form of declarative statements for example, the statement should start with “to examine”, “to analyze”, “to determine”, “to assess”, “to find out” etc. The Research Questions usually take the form of interrogative statement, the Objectives present the same thing, but in the statement form.

1.4. Research Questions and/or Hypotheses

Typically, these come immediately after the Research objectives because of their strong relationship. They do not just seek to convert the declarative statement of the objectives into interrogative form, but further break down the major problems compressed in the research objectives. As its name implies, Research Questions is presented just like interrogations seeking to create specific relations among the main variables of investigation.

As well, the Research Questions usually serve as the foundation from where the questionnaire items/questions would ultimately be derived. The difference between the two is that the items in the questionnaire offer a further breakdown of each of the research questions to a greater specification. This is to the level that a single research question can turn out the range of between three to five questionnaire items/questions. But the Research Questions are wide in nature, the questionnaire items are typically directed towards the details thereby getting down to more specifics.

In the case of Hypotheses, they are not the same as Research Questions even though they are sometimes used to substitute each other. In other words, it is not unusual to find projects which have both as well as others which have only one of them. Since they are not the same, they are not expected to replace each other. If they stand to do that, then one should be retained and the other disposed of. By this piece of information, one can easily know that it is not necessary that a project should have both; particularly at the elementary level, where in most of the times, the research questions would be okay.

By meaning, a Research Hypothesis is a clear, specific statement whose validity and workability can be tested by means of scientific method. Being a declarative statement of prediction, it tries to determine the relationship or difference that exists between one variable and the other; and to what degree. It is a form of clever guess or supposition regularly derived from the results of previous studies and/or theories originating from the literature. Hypotheses are formulated on the core of any of the areas and objectives listed below:

• To merely describe a occurrence or a statement of fact
• To compare two or more concepts, individuals and places
• To reveal the relationship between variable
• To reveal a cause/ effect situation between variables.

Usually, there are two kinds of hypotheses; basically referring to the way they are stated. They are the Null and the Alternative. While the former is frequently stated in the negative form of “No Significant Relationship” or “No Significant Difference” etc., the latter takes the positive form of statement; such as “There is a Significant Relationship”, “There is a Significant Difference” etc.

The Research Hypotheses specify the fundamental issues relating to the data to be gathered in the process of conducting the study. They serve as a theoretical conceptualization of what the researcher anticipated with respect to his research outcomes. These help him to test and verify his concepts on the basis of which he makes very tangible and reliable conclusions and generalizations. They also assist in sharpening researcher’s focus on the research problem with a view to determining the direction where to find the solution.

Therefore, some of the qualities of a good hypothesis must include that:

• It should be sensible {i.e. clever guesses}.
• It should be in line with known facts or theories.
• It should be constructed in such a manner that it is testable and found to be probably true or false.
• It should be in very simple, unambiguous terms.
• It should be directly connected to the problem of research.
• It should involve very few variables at a time.
• It should be quantifiable {i.e. operationally formulated}.

1.5.    Significance of the Study

It is anticipated that every research project must have something new to contribute to knowledge in that research field, no matter how small. In point of fact, no research should take place if it will not contribute anything to knowledge; as this represents the major feature of all research endeavors.

Consequently, this section is expected to clarify the possible benefits of the research and to whom such anticipated benefits would be meant. All these should be clearly stated. In any way, there is no standard detail as to the number of benefits that a research project should have or its length. It can be arranged sequentially or itemized or paraphrased depending on the person’s method of writing.

1.6.    Scope and Limitation of the Study

The scope of the study basically refers to the level of coverage of the research subject being investigated and the good statement of the problem will act as a helpful guide to doing this. That means, if the problem had been properly stated at the beginning, it helps, certainly, in defining the scope of the research. That is why the scope of the study is partially dependent on the title of the research project. If well formulated, the phrase of the title only does define the scope of the study and possibly, needs a little rider to make it clearer. The limitation of the study represents the things and issues that constituted challenges in the process of investigations.

Consequently, if the scope was concerned with the level of the research’s coverage, then, limitation implies building a fence around the subject of research. This is with a view to creating a foundation for the non-inclusion of certain things in the study for understandable reasons.

1.7.    Basic Assumptions

Even though many student researchers tend to mistake Assumptions with Hypotheses, it is important to state very clearly that they are not the same. We have already discussed about hypotheses; its meaning and significance in a research project. However, Assumptions are only mere statements, which are frequently, not subjected to any testing. They are, more or less, ordinary statements that are taken for granted. They cannot replace the Hypotheses; yet, they tend to duplicate the Hypotheses, because they are fairly similar.

It is because of these reasons that a lot of research experts have suggested that if the study has hypotheses, then assumptions would no longer be needed. For a study with Research Questions only nevertheless, it is suitable to have assumptions, to act as a guide towards the achievement of the research objectives.

Assumptions are typically itemized while the number varies.

1.9     Operational Definition of Terms

This section of the Chapter one (introduction) is used to offer a kind of working definition to all the concepts, which would be operationally used in the course of the research. The notion is that there are some terminologies, which have been “adapted” and so utilized restrictively for the purpose of the research project.

This implies that such terminologies would mean something somewhat different from the one adapted under a different circumstances; therefore the name Operational Definition of Terms. In defining terms operationally, individual concepts/words to be so defined are recognized and then itemized. Thus, operational definitions are typically given in such a manner that will imply that they are not the usually accepted as standard definitions but those peculiar to the study in specifically. This section typically comes last in the introductory chapter.

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Chapter 1. Introduction

“Science is in danger, and for that reason it is becoming dangerous” -Pierre Bourdieu, Science of Science and Reflexivity

Why an Open Access Textbook on Qualitative Research Methods?

I have been teaching qualitative research methods to both undergraduates and graduate students for many years.  Although there are some excellent textbooks out there, they are often costly, and none of them, to my mind, properly introduces qualitative research methods to the beginning student (whether undergraduate or graduate student).  In contrast, this open-access textbook is designed as a (free) true introduction to the subject, with helpful, practical pointers on how to conduct research and how to access more advanced instruction.  

Textbooks are typically arranged in one of two ways: (1) by technique (each chapter covers one method used in qualitative research); or (2) by process (chapters advance from research design through publication).  But both of these approaches are necessary for the beginner student.  This textbook will have sections dedicated to the process as well as the techniques of qualitative research.  This is a true “comprehensive” book for the beginning student.  In addition to covering techniques of data collection and data analysis, it provides a road map of how to get started and how to keep going and where to go for advanced instruction.  It covers aspects of research design and research communication as well as methods employed.  Along the way, it includes examples from many different disciplines in the social sciences.

The primary goal has been to create a useful, accessible, engaging textbook for use across many disciplines.  And, let’s face it.  Textbooks can be boring.  I hope readers find this to be a little different.  I have tried to write in a practical and forthright manner, with many lively examples and references to good and intellectually creative qualitative research.  Woven throughout the text are short textual asides (in colored textboxes) by professional (academic) qualitative researchers in various disciplines.  These short accounts by practitioners should help inspire students.  So, let’s begin!

What is Research?

When we use the word research , what exactly do we mean by that?  This is one of those words that everyone thinks they understand, but it is worth beginning this textbook with a short explanation.  We use the term to refer to “empirical research,” which is actually a historically specific approach to understanding the world around us.  Think about how you know things about the world. [1] You might know your mother loves you because she’s told you she does.  Or because that is what “mothers” do by tradition.  Or you might know because you’ve looked for evidence that she does, like taking care of you when you are sick or reading to you in bed or working two jobs so you can have the things you need to do OK in life.  Maybe it seems churlish to look for evidence; you just take it “on faith” that you are loved.

Only one of the above comes close to what we mean by research.  Empirical research is research (investigation) based on evidence.  Conclusions can then be drawn from observable data.  This observable data can also be “tested” or checked.  If the data cannot be tested, that is a good indication that we are not doing research.  Note that we can never “prove” conclusively, through observable data, that our mothers love us.  We might have some “disconfirming evidence” (that time she didn’t show up to your graduation, for example) that could push you to question an original hypothesis , but no amount of “confirming evidence” will ever allow us to say with 100% certainty, “my mother loves me.”  Faith and tradition and authority work differently.  Our knowledge can be 100% certain using each of those alternative methods of knowledge, but our certainty in those cases will not be based on facts or evidence.

For many periods of history, those in power have been nervous about “science” because it uses evidence and facts as the primary source of understanding the world, and facts can be at odds with what power or authority or tradition want you to believe.  That is why I say that scientific empirical research is a historically specific approach to understand the world.  You are in college or university now partly to learn how to engage in this historically specific approach.

In the sixteenth and seventeenth centuries in Europe, there was a newfound respect for empirical research, some of which was seriously challenging to the established church.  Using observations and testing them, scientists found that the earth was not at the center of the universe, for example, but rather that it was but one planet of many which circled the sun. [2]   For the next two centuries, the science of astronomy, physics, biology, and chemistry emerged and became disciplines taught in universities.  All used the scientific method of observation and testing to advance knowledge.  Knowledge about people , however, and social institutions, however, was still left to faith, tradition, and authority.  Historians and philosophers and poets wrote about the human condition, but none of them used research to do so. [3]

It was not until the nineteenth century that “social science” really emerged, using the scientific method (empirical observation) to understand people and social institutions.  New fields of sociology, economics, political science, and anthropology emerged.  The first sociologists, people like Auguste Comte and Karl Marx, sought specifically to apply the scientific method of research to understand society, Engels famously claiming that Marx had done for the social world what Darwin did for the natural world, tracings its laws of development.  Today we tend to take for granted the naturalness of science here, but it is actually a pretty recent and radical development.

To return to the question, “does your mother love you?”  Well, this is actually not really how a researcher would frame the question, as it is too specific to your case.  It doesn’t tell us much about the world at large, even if it does tell us something about you and your relationship with your mother.  A social science researcher might ask, “do mothers love their children?”  Or maybe they would be more interested in how this loving relationship might change over time (e.g., “do mothers love their children more now than they did in the 18th century when so many children died before reaching adulthood?”) or perhaps they might be interested in measuring quality of love across cultures or time periods, or even establishing “what love looks like” using the mother/child relationship as a site of exploration.  All of these make good research questions because we can use observable data to answer them.

What is Qualitative Research?

“All we know is how to learn. How to study, how to listen, how to talk, how to tell.  If we don’t tell the world, we don’t know the world.  We’re lost in it, we die.” -Ursula LeGuin, The Telling

At its simplest, qualitative research is research about the social world that does not use numbers in its analyses.  All those who fear statistics can breathe a sigh of relief – there are no mathematical formulae or regression models in this book! But this definition is less about what qualitative research can be and more about what it is not.  To be honest, any simple statement will fail to capture the power and depth of qualitative research.  One way of contrasting qualitative research to quantitative research is to note that the focus of qualitative research is less about explaining and predicting relationships between variables and more about understanding the social world.  To use our mother love example, the question about “what love looks like” is a good question for the qualitative researcher while all questions measuring love or comparing incidences of love (both of which require measurement) are good questions for quantitative researchers. Patton writes,

Qualitative data describe.  They take us, as readers, into the time and place of the observation so that we know what it was like to have been there.  They capture and communicate someone else’s experience of the world in his or her own words.  Qualitative data tell a story. ( Patton 2002:47 )

Qualitative researchers are asking different questions about the world than their quantitative colleagues.  Even when researchers are employed in “mixed methods” research ( both quantitative and qualitative), they are using different methods to address different questions of the study.  I do a lot of research about first-generation and working-college college students.  Where a quantitative researcher might ask, how many first-generation college students graduate from college within four years? Or does first-generation college status predict high student debt loads?  A qualitative researcher might ask, how does the college experience differ for first-generation college students?  What is it like to carry a lot of debt, and how does this impact the ability to complete college on time?  Both sets of questions are important, but they can only be answered using specific tools tailored to those questions.  For the former, you need large numbers to make adequate comparisons.  For the latter, you need to talk to people, find out what they are thinking and feeling, and try to inhabit their shoes for a little while so you can make sense of their experiences and beliefs.

Examples of Qualitative Research

You have probably seen examples of qualitative research before, but you might not have paid particular attention to how they were produced or realized that the accounts you were reading were the result of hours, months, even years of research “in the field.”  A good qualitative researcher will present the product of their hours of work in such a way that it seems natural, even obvious, to the reader.  Because we are trying to convey what it is like answers, qualitative research is often presented as stories – stories about how people live their lives, go to work, raise their children, interact with one another.  In some ways, this can seem like reading particularly insightful novels.  But, unlike novels, there are very specific rules and guidelines that qualitative researchers follow to ensure that the “story” they are telling is accurate , a truthful rendition of what life is like for the people being studied.  Most of this textbook will be spent conveying those rules and guidelines.  Let’s take a look, first, however, at three examples of what the end product looks like.  I have chosen these three examples to showcase very different approaches to qualitative research, and I will return to these five examples throughout the book.  They were all published as whole books (not chapters or articles), and they are worth the long read, if you have the time.  I will also provide some information on how these books came to be and the length of time it takes to get them into book version.  It is important you know about this process, and the rest of this textbook will help explain why it takes so long to conduct good qualitative research!

Example 1 : The End Game (ethnography + interviews)

Corey Abramson is a sociologist who teaches at the University of Arizona.   In 2015 he published The End Game: How Inequality Shapes our Final Years ( 2015 ). This book was based on the research he did for his dissertation at the University of California-Berkeley in 2012.  Actually, the dissertation was completed in 2012 but the work that was produced that took several years.  The dissertation was entitled, “This is How We Live, This is How We Die: Social Stratification, Aging, and Health in Urban America” ( 2012 ).  You can see how the book version, which was written for a more general audience, has a more engaging sound to it, but that the dissertation version, which is what academic faculty read and evaluate, has a more descriptive title.  You can read the title and know that this is a study about aging and health and that the focus is going to be inequality and that the context (place) is going to be “urban America.”  It’s a study about “how” people do something – in this case, how they deal with aging and death.  This is the very first sentence of the dissertation, “From our first breath in the hospital to the day we die, we live in a society characterized by unequal opportunities for maintaining health and taking care of ourselves when ill.  These disparities reflect persistent racial, socio-economic, and gender-based inequalities and contribute to their persistence over time” ( 1 ).  What follows is a truthful account of how that is so.

Cory Abramson spent three years conducting his research in four different urban neighborhoods.  We call the type of research he conducted “comparative ethnographic” because he designed his study to compare groups of seniors as they went about their everyday business.  It’s comparative because he is comparing different groups (based on race, class, gender) and ethnographic because he is studying the culture/way of life of a group. [4]   He had an educated guess, rooted in what previous research had shown and what social theory would suggest, that people’s experiences of aging differ by race, class, and gender.  So, he set up a research design that would allow him to observe differences.  He chose two primarily middle-class (one was racially diverse and the other was predominantly White) and two primarily poor neighborhoods (one was racially diverse and the other was predominantly African American).  He hung out in senior centers and other places seniors congregated, watched them as they took the bus to get prescriptions filled, sat in doctor’s offices with them, and listened to their conversations with each other.  He also conducted more formal conversations, what we call in-depth interviews, with sixty seniors from each of the four neighborhoods.  As with a lot of fieldwork , as he got closer to the people involved, he both expanded and deepened his reach –

By the end of the project, I expanded my pool of general observations to include various settings frequented by seniors: apartment building common rooms, doctors’ offices, emergency rooms, pharmacies, senior centers, bars, parks, corner stores, shopping centers, pool halls, hair salons, coffee shops, and discount stores. Over the course of the three years of fieldwork, I observed hundreds of elders, and developed close relationships with a number of them. ( 2012:10 )

When Abramson rewrote the dissertation for a general audience and published his book in 2015, it got a lot of attention.  It is a beautifully written book and it provided insight into a common human experience that we surprisingly know very little about.  It won the Outstanding Publication Award by the American Sociological Association Section on Aging and the Life Course and was featured in the New York Times .  The book was about aging, and specifically how inequality shapes the aging process, but it was also about much more than that.  It helped show how inequality affects people’s everyday lives.  For example, by observing the difficulties the poor had in setting up appointments and getting to them using public transportation and then being made to wait to see a doctor, sometimes in standing-room-only situations, when they are unwell, and then being treated dismissively by hospital staff, Abramson allowed readers to feel the material reality of being poor in the US.  Comparing these examples with seniors with adequate supplemental insurance who have the resources to hire car services or have others assist them in arranging care when they need it, jolts the reader to understand and appreciate the difference money makes in the lives and circumstances of us all, and in a way that is different than simply reading a statistic (“80% of the poor do not keep regular doctor’s appointments”) does.  Qualitative research can reach into spaces and places that often go unexamined and then reports back to the rest of us what it is like in those spaces and places.

Example 2: Racing for Innocence (Interviews + Content Analysis + Fictional Stories)

Jennifer Pierce is a Professor of American Studies at the University of Minnesota.  Trained as a sociologist, she has written a number of books about gender, race, and power.  Her very first book, Gender Trials: Emotional Lives in Contemporary Law Firms, published in 1995, is a brilliant look at gender dynamics within two law firms.  Pierce was a participant observer, working as a paralegal, and she observed how female lawyers and female paralegals struggled to obtain parity with their male colleagues.

Fifteen years later, she reexamined the context of the law firm to include an examination of racial dynamics, particularly how elite white men working in these spaces created and maintained a culture that made it difficult for both female attorneys and attorneys of color to thrive. Her book, Racing for Innocence: Whiteness, Gender, and the Backlash Against Affirmative Action , published in 2012, is an interesting and creative blending of interviews with attorneys, content analyses of popular films during this period, and fictional accounts of racial discrimination and sexual harassment.  The law firm she chose to study had come under an affirmative action order and was in the process of implementing equitable policies and programs.  She wanted to understand how recipients of white privilege (the elite white male attorneys) come to deny the role they play in reproducing inequality.  Through interviews with attorneys who were present both before and during the affirmative action order, she creates a historical record of the “bad behavior” that necessitated new policies and procedures, but also, and more importantly , probed the participants ’ understanding of this behavior.  It should come as no surprise that most (but not all) of the white male attorneys saw little need for change, and that almost everyone else had accounts that were different if not sometimes downright harrowing.

I’ve used Pierce’s book in my qualitative research methods courses as an example of an interesting blend of techniques and presentation styles.  My students often have a very difficult time with the fictional accounts she includes.  But they serve an important communicative purpose here.  They are her attempts at presenting “both sides” to an objective reality – something happens (Pierce writes this something so it is very clear what it is), and the two participants to the thing that happened have very different understandings of what this means.  By including these stories, Pierce presents one of her key findings – people remember things differently and these different memories tend to support their own ideological positions.  I wonder what Pierce would have written had she studied the murder of George Floyd or the storming of the US Capitol on January 6 or any number of other historic events whose observers and participants record very different happenings.

This is not to say that qualitative researchers write fictional accounts.  In fact, the use of fiction in our work remains controversial.  When used, it must be clearly identified as a presentation device, as Pierce did.  I include Racing for Innocence here as an example of the multiple uses of methods and techniques and the way that these work together to produce better understandings by us, the readers, of what Pierce studied.  We readers come away with a better grasp of how and why advantaged people understate their own involvement in situations and structures that advantage them.  This is normal human behavior , in other words.  This case may have been about elite white men in law firms, but the general insights here can be transposed to other settings.  Indeed, Pierce argues that more research needs to be done about the role elites play in the reproduction of inequality in the workplace in general.

Example 3: Amplified Advantage (Mixed Methods: Survey Interviews + Focus Groups + Archives)

The final example comes from my own work with college students, particularly the ways in which class background affects the experience of college and outcomes for graduates.  I include it here as an example of mixed methods, and for the use of supplementary archival research.  I’ve done a lot of research over the years on first-generation, low-income, and working-class college students.  I am curious (and skeptical) about the possibility of social mobility today, particularly with the rising cost of college and growing inequality in general.  As one of the few people in my family to go to college, I didn’t grow up with a lot of examples of what college was like or how to make the most of it.  And when I entered graduate school, I realized with dismay that there were very few people like me there.  I worried about becoming too different from my family and friends back home.  And I wasn’t at all sure that I would ever be able to pay back the huge load of debt I was taking on.  And so I wrote my dissertation and first two books about working-class college students.  These books focused on experiences in college and the difficulties of navigating between family and school ( Hurst 2010a, 2012 ).  But even after all that research, I kept coming back to wondering if working-class students who made it through college had an equal chance at finding good jobs and happy lives,

What happens to students after college?  Do working-class students fare as well as their peers?  I knew from my own experience that barriers continued through graduate school and beyond, and that my debtload was higher than that of my peers, constraining some of the choices I made when I graduated.  To answer these questions, I designed a study of students attending small liberal arts colleges, the type of college that tried to equalize the experience of students by requiring all students to live on campus and offering small classes with lots of interaction with faculty.  These private colleges tend to have more money and resources so they can provide financial aid to low-income students.  They also attract some very wealthy students.  Because they enroll students across the class spectrum, I would be able to draw comparisons.  I ended up spending about four years collecting data, both a survey of more than 2000 students (which formed the basis for quantitative analyses) and qualitative data collection (interviews, focus groups, archival research, and participant observation).  This is what we call a “mixed methods” approach because we use both quantitative and qualitative data.  The survey gave me a large enough number of students that I could make comparisons of the how many kind, and to be able to say with some authority that there were in fact significant differences in experience and outcome by class (e.g., wealthier students earned more money and had little debt; working-class students often found jobs that were not in their chosen careers and were very affected by debt, upper-middle-class students were more likely to go to graduate school).  But the survey analyses could not explain why these differences existed.  For that, I needed to talk to people and ask them about their motivations and aspirations.  I needed to understand their perceptions of the world, and it is very hard to do this through a survey.

By interviewing students and recent graduates, I was able to discern particular patterns and pathways through college and beyond.  Specifically, I identified three versions of gameplay.  Upper-middle-class students, whose parents were themselves professionals (academics, lawyers, managers of non-profits), saw college as the first stage of their education and took classes and declared majors that would prepare them for graduate school.  They also spent a lot of time building their resumes, taking advantage of opportunities to help professors with their research, or study abroad.  This helped them gain admission to highly-ranked graduate schools and interesting jobs in the public sector.  In contrast, upper-class students, whose parents were wealthy and more likely to be engaged in business (as CEOs or other high-level directors), prioritized building social capital.  They did this by joining fraternities and sororities and playing club sports.  This helped them when they graduated as they called on friends and parents of friends to find them well-paying jobs.  Finally, low-income, first-generation, and working-class students were often adrift.  They took the classes that were recommended to them but without the knowledge of how to connect them to life beyond college.  They spent time working and studying rather than partying or building their resumes.  All three sets of students thought they were “doing college” the right way, the way that one was supposed to do college.   But these three versions of gameplay led to distinct outcomes that advantaged some students over others.  I titled my work “Amplified Advantage” to highlight this process.

These three examples, Cory Abramson’s The End Game , Jennifer Peirce’s Racing for Innocence, and my own Amplified Advantage, demonstrate the range of approaches and tools available to the qualitative researcher.  They also help explain why qualitative research is so important.  Numbers can tell us some things about the world, but they cannot get at the hearts and minds, motivations and beliefs of the people who make up the social worlds we inhabit.  For that, we need tools that allow us to listen and make sense of what people tell us and show us.  That is what good qualitative research offers us.

How Is This Book Organized?

This textbook is organized as a comprehensive introduction to the use of qualitative research methods.  The first half covers general topics (e.g., approaches to qualitative research, ethics) and research design (necessary steps for building a successful qualitative research study).  The second half reviews various data collection and data analysis techniques.  Of course, building a successful qualitative research study requires some knowledge of data collection and data analysis so the chapters in the first half and the chapters in the second half should be read in conversation with each other.  That said, each chapter can be read on its own for assistance with a particular narrow topic.  In addition to the chapters, a helpful glossary can be found in the back of the book.  Rummage around in the text as needed.

Chapter Descriptions

Chapter 2 provides an overview of the Research Design Process.  How does one begin a study? What is an appropriate research question?  How is the study to be done – with what methods ?  Involving what people and sites?  Although qualitative research studies can and often do change and develop over the course of data collection, it is important to have a good idea of what the aims and goals of your study are at the outset and a good plan of how to achieve those aims and goals.  Chapter 2 provides a road map of the process.

Chapter 3 describes and explains various ways of knowing the (social) world.  What is it possible for us to know about how other people think or why they behave the way they do?  What does it mean to say something is a “fact” or that it is “well-known” and understood?  Qualitative researchers are particularly interested in these questions because of the types of research questions we are interested in answering (the how questions rather than the how many questions of quantitative research).  Qualitative researchers have adopted various epistemological approaches.  Chapter 3 will explore these approaches, highlighting interpretivist approaches that acknowledge the subjective aspect of reality – in other words, reality and knowledge are not objective but rather influenced by (interpreted through) people.

Chapter 4 focuses on the practical matter of developing a research question and finding the right approach to data collection.  In any given study (think of Cory Abramson’s study of aging, for example), there may be years of collected data, thousands of observations , hundreds of pages of notes to read and review and make sense of.  If all you had was a general interest area (“aging”), it would be very difficult, nearly impossible, to make sense of all of that data.  The research question provides a helpful lens to refine and clarify (and simplify) everything you find and collect.  For that reason, it is important to pull out that lens (articulate the research question) before you get started.  In the case of the aging study, Cory Abramson was interested in how inequalities affected understandings and responses to aging.  It is for this reason he designed a study that would allow him to compare different groups of seniors (some middle-class, some poor).  Inevitably, he saw much more in the three years in the field than what made it into his book (or dissertation), but he was able to narrow down the complexity of the social world to provide us with this rich account linked to the original research question.  Developing a good research question is thus crucial to effective design and a successful outcome.  Chapter 4 will provide pointers on how to do this.  Chapter 4 also provides an overview of general approaches taken to doing qualitative research and various “traditions of inquiry.”

Chapter 5 explores sampling .  After you have developed a research question and have a general idea of how you will collect data (Observations?  Interviews?), how do you go about actually finding people and sites to study?  Although there is no “correct number” of people to interview , the sample should follow the research question and research design.  Unlike quantitative research, qualitative research involves nonprobability sampling.  Chapter 5 explains why this is so and what qualities instead make a good sample for qualitative research.

Chapter 6 addresses the importance of reflexivity in qualitative research.  Related to epistemological issues of how we know anything about the social world, qualitative researchers understand that we the researchers can never be truly neutral or outside the study we are conducting.  As observers, we see things that make sense to us and may entirely miss what is either too obvious to note or too different to comprehend.  As interviewers, as much as we would like to ask questions neutrally and remain in the background, interviews are a form of conversation, and the persons we interview are responding to us .  Therefore, it is important to reflect upon our social positions and the knowledges and expectations we bring to our work and to work through any blind spots that we may have.  Chapter 6 provides some examples of reflexivity in practice and exercises for thinking through one’s own biases.

Chapter 7 is a very important chapter and should not be overlooked.  As a practical matter, it should also be read closely with chapters 6 and 8.  Because qualitative researchers deal with people and the social world, it is imperative they develop and adhere to a strong ethical code for conducting research in a way that does not harm.  There are legal requirements and guidelines for doing so (see chapter 8), but these requirements should not be considered synonymous with the ethical code required of us.   Each researcher must constantly interrogate every aspect of their research, from research question to design to sample through analysis and presentation, to ensure that a minimum of harm (ideally, zero harm) is caused.  Because each research project is unique, the standards of care for each study are unique.  Part of being a professional researcher is carrying this code in one’s heart, being constantly attentive to what is required under particular circumstances.  Chapter 7 provides various research scenarios and asks readers to weigh in on the suitability and appropriateness of the research.  If done in a class setting, it will become obvious fairly quickly that there are often no absolutely correct answers, as different people find different aspects of the scenarios of greatest importance.  Minimizing the harm in one area may require possible harm in another.  Being attentive to all the ethical aspects of one’s research and making the best judgments one can, clearly and consciously, is an integral part of being a good researcher.

Chapter 8 , best to be read in conjunction with chapter 7, explains the role and importance of Institutional Review Boards (IRBs) .  Under federal guidelines, an IRB is an appropriately constituted group that has been formally designated to review and monitor research involving human subjects .  Every institution that receives funding from the federal government has an IRB.  IRBs have the authority to approve, require modifications to (to secure approval), or disapprove research.  This group review serves an important role in the protection of the rights and welfare of human research subjects.  Chapter 8 reviews the history of IRBs and the work they do but also argues that IRBs’ review of qualitative research is often both over-inclusive and under-inclusive.  Some aspects of qualitative research are not well understood by IRBs, given that they were developed to prevent abuses in biomedical research.  Thus, it is important not to rely on IRBs to identify all the potential ethical issues that emerge in our research (see chapter 7).

Chapter 9 provides help for getting started on formulating a research question based on gaps in the pre-existing literature.  Research is conducted as part of a community, even if particular studies are done by single individuals (or small teams).  What any of us finds and reports back becomes part of a much larger body of knowledge.  Thus, it is important that we look at the larger body of knowledge before we actually start our bit to see how we can best contribute.  When I first began interviewing working-class college students, there was only one other similar study I could find, and it hadn’t been published (it was a dissertation of students from poor backgrounds).  But there had been a lot published by professors who had grown up working class and made it through college despite the odds.  These accounts by “working-class academics” became an important inspiration for my study and helped me frame the questions I asked the students I interviewed.  Chapter 9 will provide some pointers on how to search for relevant literature and how to use this to refine your research question.

Chapter 10 serves as a bridge between the two parts of the textbook, by introducing techniques of data collection.  Qualitative research is often characterized by the form of data collection – for example, an ethnographic study is one that employs primarily observational data collection for the purpose of documenting and presenting a particular culture or ethnos.  Techniques can be effectively combined, depending on the research question and the aims and goals of the study.   Chapter 10 provides a general overview of all the various techniques and how they can be combined.

The second part of the textbook moves into the doing part of qualitative research once the research question has been articulated and the study designed.  Chapters 11 through 17 cover various data collection techniques and approaches.  Chapters 18 and 19 provide a very simple overview of basic data analysis.  Chapter 20 covers communication of the data to various audiences, and in various formats.

Chapter 11 begins our overview of data collection techniques with a focus on interviewing , the true heart of qualitative research.  This technique can serve as the primary and exclusive form of data collection, or it can be used to supplement other forms (observation, archival).  An interview is distinct from a survey, where questions are asked in a specific order and often with a range of predetermined responses available.  Interviews can be conversational and unstructured or, more conventionally, semistructured , where a general set of interview questions “guides” the conversation.  Chapter 11 covers the basics of interviews: how to create interview guides, how many people to interview, where to conduct the interview, what to watch out for (how to prepare against things going wrong), and how to get the most out of your interviews.

Chapter 12 covers an important variant of interviewing, the focus group.  Focus groups are semistructured interviews with a group of people moderated by a facilitator (the researcher or researcher’s assistant).  Focus groups explicitly use group interaction to assist in the data collection.  They are best used to collect data on a specific topic that is non-personal and shared among the group.  For example, asking a group of college students about a common experience such as taking classes by remote delivery during the pandemic year of 2020.  Chapter 12 covers the basics of focus groups: when to use them, how to create interview guides for them, and how to run them effectively.

Chapter 13 moves away from interviewing to the second major form of data collection unique to qualitative researchers – observation .  Qualitative research that employs observation can best be understood as falling on a continuum of “fly on the wall” observation (e.g., observing how strangers interact in a doctor’s waiting room) to “participant” observation, where the researcher is also an active participant of the activity being observed.  For example, an activist in the Black Lives Matter movement might want to study the movement, using her inside position to gain access to observe key meetings and interactions.  Chapter  13 covers the basics of participant observation studies: advantages and disadvantages, gaining access, ethical concerns related to insider/outsider status and entanglement, and recording techniques.

Chapter 14 takes a closer look at “deep ethnography” – immersion in the field of a particularly long duration for the purpose of gaining a deeper understanding and appreciation of a particular culture or social world.  Clifford Geertz called this “deep hanging out.”  Whereas participant observation is often combined with semistructured interview techniques, deep ethnography’s commitment to “living the life” or experiencing the situation as it really is demands more conversational and natural interactions with people.  These interactions and conversations may take place over months or even years.  As can be expected, there are some costs to this technique, as well as some very large rewards when done competently.  Chapter 14 provides some examples of deep ethnographies that will inspire some beginning researchers and intimidate others.

Chapter 15 moves in the opposite direction of deep ethnography, a technique that is the least positivist of all those discussed here, to mixed methods , a set of techniques that is arguably the most positivist .  A mixed methods approach combines both qualitative data collection and quantitative data collection, commonly by combining a survey that is analyzed statistically (e.g., cross-tabs or regression analyses of large number probability samples) with semi-structured interviews.  Although it is somewhat unconventional to discuss mixed methods in textbooks on qualitative research, I think it is important to recognize this often-employed approach here.  There are several advantages and some disadvantages to taking this route.  Chapter 16 will describe those advantages and disadvantages and provide some particular guidance on how to design a mixed methods study for maximum effectiveness.

Chapter 16 covers data collection that does not involve live human subjects at all – archival and historical research (chapter 17 will also cover data that does not involve interacting with human subjects).  Sometimes people are unavailable to us, either because they do not wish to be interviewed or observed (as is the case with many “elites”) or because they are too far away, in both place and time.  Fortunately, humans leave many traces and we can often answer questions we have by examining those traces.  Special collections and archives can be goldmines for social science research.  This chapter will explain how to access these places, for what purposes, and how to begin to make sense of what you find.

Chapter 17 covers another data collection area that does not involve face-to-face interaction with humans: content analysis .  Although content analysis may be understood more properly as a data analysis technique, the term is often used for the entire approach, which will be the case here.  Content analysis involves interpreting meaning from a body of text.  This body of text might be something found in historical records (see chapter 16) or something collected by the researcher, as in the case of comment posts on a popular blog post.  I once used the stories told by student loan debtors on the website studentloanjustice.org as the content I analyzed.  Content analysis is particularly useful when attempting to define and understand prevalent stories or communication about a topic of interest.  In other words, when we are less interested in what particular people (our defined sample) are doing or believing and more interested in what general narratives exist about a particular topic or issue.  This chapter will explore different approaches to content analysis and provide helpful tips on how to collect data, how to turn that data into codes for analysis, and how to go about presenting what is found through analysis.

Where chapter 17 has pushed us towards data analysis, chapters 18 and 19 are all about what to do with the data collected, whether that data be in the form of interview transcripts or fieldnotes from observations.  Chapter 18 introduces the basics of coding , the iterative process of assigning meaning to the data in order to both simplify and identify patterns.  What is a code and how does it work?  What are the different ways of coding data, and when should you use them?  What is a codebook, and why do you need one?  What does the process of data analysis look like?

Chapter 19 goes further into detail on codes and how to use them, particularly the later stages of coding in which our codes are refined, simplified, combined, and organized.  These later rounds of coding are essential to getting the most out of the data we’ve collected.  As students are often overwhelmed with the amount of data (a corpus of interview transcripts typically runs into the hundreds of pages; fieldnotes can easily top that), this chapter will also address time management and provide suggestions for dealing with chaos and reminders that feeling overwhelmed at the analysis stage is part of the process.  By the end of the chapter, you should understand how “findings” are actually found.

The book concludes with a chapter dedicated to the effective presentation of data results.  Chapter 20 covers the many ways that researchers communicate their studies to various audiences (academic, personal, political), what elements must be included in these various publications, and the hallmarks of excellent qualitative research that various audiences will be expecting.  Because qualitative researchers are motivated by understanding and conveying meaning , effective communication is not only an essential skill but a fundamental facet of the entire research project.  Ethnographers must be able to convey a certain sense of verisimilitude , the appearance of true reality.  Those employing interviews must faithfully depict the key meanings of the people they interviewed in a way that rings true to those people, even if the end result surprises them.  And all researchers must strive for clarity in their publications so that various audiences can understand what was found and why it is important.

The book concludes with a short chapter ( chapter 21 ) discussing the value of qualitative research. At the very end of this book, you will find a glossary of terms. I recommend you make frequent use of the glossary and add to each entry as you find examples. Although the entries are meant to be simple and clear, you may also want to paraphrase the definition—make it “make sense” to you, in other words. In addition to the standard reference list (all works cited here), you will find various recommendations for further reading at the end of many chapters. Some of these recommendations will be examples of excellent qualitative research, indicated with an asterisk (*) at the end of the entry. As they say, a picture is worth a thousand words. A good example of qualitative research can teach you more about conducting research than any textbook can (this one included). I highly recommend you select one to three examples from these lists and read them along with the textbook.

A final note on the choice of examples – you will note that many of the examples used in the text come from research on college students.  This is for two reasons.  First, as most of my research falls in this area, I am most familiar with this literature and have contacts with those who do research here and can call upon them to share their stories with you.  Second, and more importantly, my hope is that this textbook reaches a wide audience of beginning researchers who study widely and deeply across the range of what can be known about the social world (from marine resources management to public policy to nursing to political science to sexuality studies and beyond).  It is sometimes difficult to find examples that speak to all those research interests, however. A focus on college students is something that all readers can understand and, hopefully, appreciate, as we are all now or have been at some point a college student.

Recommended Reading: Other Qualitative Research Textbooks

I’ve included a brief list of some of my favorite qualitative research textbooks and guidebooks if you need more than what you will find in this introductory text.  For each, I’ve also indicated if these are for “beginning” or “advanced” (graduate-level) readers.  Many of these books have several editions that do not significantly vary; the edition recommended is merely the edition I have used in teaching and to whose page numbers any specific references made in the text agree.

Barbour, Rosaline. 2014. Introducing Qualitative Research: A Student’s Guide. Thousand Oaks, CA: SAGE.  A good introduction to qualitative research, with abundant examples (often from the discipline of health care) and clear definitions.  Includes quick summaries at the ends of each chapter.  However, some US students might find the British context distracting and can be a bit advanced in some places.  Beginning .

Bloomberg, Linda Dale, and Marie F. Volpe. 2012. Completing Your Qualitative Dissertation . 2nd ed. Thousand Oaks, CA: SAGE.  Specifically designed to guide graduate students through the research process. Advanced .

Creswell, John W., and Cheryl Poth. 2018 Qualitative Inquiry and Research Design: Choosing among Five Traditions .  4th ed. Thousand Oaks, CA: SAGE.  This is a classic and one of the go-to books I used myself as a graduate student.  One of the best things about this text is its clear presentation of five distinct traditions in qualitative research.  Despite the title, this reasonably sized book is about more than research design, including both data analysis and how to write about qualitative research.  Advanced .

Lareau, Annette. 2021. Listening to People: A Practical Guide to Interviewing, Participant Observation, Data Analysis, and Writing It All Up .  Chicago: University of Chicago Press. A readable and personal account of conducting qualitative research by an eminent sociologist, with a heavy emphasis on the kinds of participant-observation research conducted by the author.  Despite its reader-friendliness, this is really a book targeted to graduate students learning the craft.  Advanced .

Lune, Howard, and Bruce L. Berg. 2018. 9th edition.  Qualitative Research Methods for the Social Sciences.  Pearson . Although a good introduction to qualitative methods, the authors favor symbolic interactionist and dramaturgical approaches, which limits the appeal primarily to sociologists.  Beginning .

Marshall, Catherine, and Gretchen B. Rossman. 2016. 6th edition. Designing Qualitative Research. Thousand Oaks, CA: SAGE.  Very readable and accessible guide to research design by two educational scholars.  Although the presentation is sometimes fairly dry, personal vignettes and illustrations enliven the text.  Beginning .

Maxwell, Joseph A. 2013. Qualitative Research Design: An Interactive Approach .  3rd ed. Thousand Oaks, CA: SAGE. A short and accessible introduction to qualitative research design, particularly helpful for graduate students contemplating theses and dissertations. This has been a standard textbook in my graduate-level courses for years.  Advanced .

Patton, Michael Quinn. 2002. Qualitative Research and Evaluation Methods . Thousand Oaks, CA: SAGE.  This is a comprehensive text that served as my “go-to” reference when I was a graduate student.  It is particularly helpful for those involved in program evaluation and other forms of evaluation studies and uses examples from a wide range of disciplines.  Advanced .

Rubin, Ashley T. 2021. Rocking Qualitative Social Science: An Irreverent Guide to Rigorous Research. Stanford : Stanford University Press.  A delightful and personal read.  Rubin uses rock climbing as an extended metaphor for learning how to conduct qualitative research.  A bit slanted toward ethnographic and archival methods of data collection, with frequent examples from her own studies in criminology. Beginning .

Weis, Lois, and Michelle Fine. 2000. Speed Bumps: A Student-Friendly Guide to Qualitative Research . New York: Teachers College Press.  Readable and accessibly written in a quasi-conversational style.  Particularly strong in its discussion of ethical issues throughout the qualitative research process.  Not comprehensive, however, and very much tied to ethnographic research.  Although designed for graduate students, this is a recommended read for students of all levels.  Beginning .

Patton’s Ten Suggestions for Doing Qualitative Research

The following ten suggestions were made by Michael Quinn Patton in his massive textbooks Qualitative Research and Evaluations Methods . This book is highly recommended for those of you who want more than an introduction to qualitative methods. It is the book I relied on heavily when I was a graduate student, although it is much easier to “dip into” when necessary than to read through as a whole. Patton is asked for “just one bit of advice” for a graduate student considering using qualitative research methods for their dissertation.  Here are his top ten responses, in short form, heavily paraphrased, and with additional comments and emphases from me:

• Make sure that a qualitative approach fits the research question. The following are the kinds of questions that call out for qualitative methods or where qualitative methods are particularly appropriate: questions about people’s experiences or how they make sense of those experiences; studying a person in their natural environment; researching a phenomenon so unknown that it would be impossible to study it with standardized instruments or other forms of quantitative data collection.
• Study qualitative research by going to the original sources for the design and analysis appropriate to the particular approach you want to take (e.g., read Glaser and Straus if you are using grounded theory )
• Find a dissertation adviser who understands or at least who will support your use of qualitative research methods. You are asking for trouble if your entire committee is populated by quantitative researchers, even if they are all very knowledgeable about the subject or focus of your study (maybe even more so if they are!)
• Really work on design. Doing qualitative research effectively takes a lot of planning.  Even if things are more flexible than in quantitative research, a good design is absolutely essential when starting out.
• Practice data collection techniques, particularly interviewing and observing. There is definitely a set of learned skills here!  Do not expect your first interview to be perfect.  You will continue to grow as a researcher the more interviews you conduct, and you will probably come to understand yourself a bit more in the process, too.  This is not easy, despite what others who don’t work with qualitative methods may assume (and tell you!)
• Have a plan for analysis before you begin data collection. This is often a requirement in IRB protocols , although you can get away with writing something fairly simple.  And even if you are taking an approach, such as grounded theory, that pushes you to remain fairly open-minded during the data collection process, you still want to know what you will be doing with all the data collected – creating a codebook? Writing analytical memos? Comparing cases?  Having a plan in hand will also help prevent you from collecting too much extraneous data.
• Be prepared to confront controversies both within the qualitative research community and between qualitative research and quantitative research. Don’t be naïve about this – qualitative research, particularly some approaches, will be derided by many more “positivist” researchers and audiences.  For example, is an “n” of 1 really sufficient?  Yes!  But not everyone will agree.
• Do not make the mistake of using qualitative research methods because someone told you it was easier, or because you are intimidated by the math required of statistical analyses. Qualitative research is difficult in its own way (and many would claim much more time-consuming than quantitative research).  Do it because you are convinced it is right for your goals, aims, and research questions.
• Find a good support network. This could be a research mentor, or it could be a group of friends or colleagues who are also using qualitative research, or it could be just someone who will listen to you work through all of the issues you will confront out in the field and during the writing process.  Even though qualitative research often involves human subjects, it can be pretty lonely.  A lot of times you will feel like you are working without a net.  You have to create one for yourself.  Take care of yourself.
• And, finally, in the words of Patton, “Prepare to be changed. Looking deeply at other people’s lives will force you to look deeply at yourself.”
• We will actually spend an entire chapter ( chapter 3 ) looking at this question in much more detail! ↵
• Note that this might have been news to Europeans at the time, but many other societies around the world had also come to this conclusion through observation.  There is often a tendency to equate “the scientific revolution” with the European world in which it took place, but this is somewhat misleading. ↵
• Historians are a special case here.  Historians have scrupulously and rigorously investigated the social world, but not for the purpose of understanding general laws about how things work, which is the point of scientific empirical research.  History is often referred to as an idiographic field of study, meaning that it studies things that happened or are happening in themselves and not for general observations or conclusions. ↵
• Don’t worry, we’ll spend more time later in this book unpacking the meaning of ethnography and other terms that are important here.  Note the available glossary ↵

An approach to research that is “multimethod in focus, involving an interpretative, naturalistic approach to its subject matter.  This means that qualitative researchers study things in their natural settings, attempting to make sense of, or interpret, phenomena in terms of the meanings people bring to them.  Qualitative research involves the studied use and collection of a variety of empirical materials – case study, personal experience, introspective, life story, interview, observational, historical, interactional, and visual texts – that describe routine and problematic moments and meanings in individuals’ lives." ( Denzin and Lincoln 2005:2 ). Contrast with quantitative research .

In contrast to methodology, methods are more simply the practices and tools used to collect and analyze data.  Examples of common methods in qualitative research are interviews , observations , and documentary analysis .  One’s methodology should connect to one’s choice of methods, of course, but they are distinguishable terms.  See also methodology .

A proposed explanation for an observation, phenomenon, or scientific problem that can be tested by further investigation.  The positing of a hypothesis is often the first step in quantitative research but not in qualitative research.  Even when qualitative researchers offer possible explanations in advance of conducting research, they will tend to not use the word “hypothesis” as it conjures up the kind of positivist research they are not conducting.

The foundational question to be addressed by the research study.  This will form the anchor of the research design, collection, and analysis.  Note that in qualitative research, the research question may, and probably will, alter or develop during the course of the research.

An approach to research that collects and analyzes numerical data for the purpose of finding patterns and averages, making predictions, testing causal relationships, and generalizing results to wider populations.  Contrast with qualitative research .

Data collection that takes place in real-world settings, referred to as “the field;” a key component of much Grounded Theory and ethnographic research.  Patton ( 2002 ) calls fieldwork “the central activity of qualitative inquiry” where “‘going into the field’ means having direct and personal contact with people under study in their own environments – getting close to people and situations being studied to personally understand the realities of minutiae of daily life” (48).

The people who are the subjects of a qualitative study.  In interview-based studies, they may be the respondents to the interviewer; for purposes of IRBs, they are often referred to as the human subjects of the research.

The branch of philosophy concerned with knowledge.  For researchers, it is important to recognize and adopt one of the many distinguishing epistemological perspectives as part of our understanding of what questions research can address or fully answer.  See, e.g., constructivism , subjectivism, and  objectivism .

An approach that refutes the possibility of neutrality in social science research.  All research is “guided by a set of beliefs and feelings about the world and how it should be understood and studied” (Denzin and Lincoln 2005: 13).  In contrast to positivism , interpretivism recognizes the social constructedness of reality, and researchers adopting this approach focus on capturing interpretations and understandings people have about the world rather than “the world” as it is (which is a chimera).

The cluster of data-collection tools and techniques that involve observing interactions between people, the behaviors, and practices of individuals (sometimes in contrast to what they say about how they act and behave), and cultures in context.  Observational methods are the key tools employed by ethnographers and Grounded Theory .

Research based on data collected and analyzed by the research (in contrast to secondary “library” research).

The process of selecting people or other units of analysis to represent a larger population. In quantitative research, this representation is taken quite literally, as statistically representative.  In qualitative research, in contrast, sample selection is often made based on potential to generate insight about a particular topic or phenomenon.

A method of data collection in which the researcher asks the participant questions; the answers to these questions are often recorded and transcribed verbatim. There are many different kinds of interviews - see also semistructured interview , structured interview , and unstructured interview .

The specific group of individuals that you will collect data from.  Contrast population.

The practice of being conscious of and reflective upon one’s own social location and presence when conducting research.  Because qualitative research often requires interaction with live humans, failing to take into account how one’s presence and prior expectations and social location affect the data collected and how analyzed may limit the reliability of the findings.  This remains true even when dealing with historical archives and other content.  Who we are matters when asking questions about how people experience the world because we, too, are a part of that world.

The science and practice of right conduct; in research, it is also the delineation of moral obligations towards research participants, communities to which we belong, and communities in which we conduct our research.

An administrative body established to protect the rights and welfare of human research subjects recruited to participate in research activities conducted under the auspices of the institution with which it is affiliated. The IRB is charged with the responsibility of reviewing all research involving human participants. The IRB is concerned with protecting the welfare, rights, and privacy of human subjects. The IRB has the authority to approve, disapprove, monitor, and require modifications in all research activities that fall within its jurisdiction as specified by both the federal regulations and institutional policy.

Research, according to US federal guidelines, that involves “a living individual about whom an investigator (whether professional or student) conducting research:  (1) Obtains information or biospecimens through intervention or interaction with the individual, and uses, studies, or analyzes the information or biospecimens; or  (2) Obtains, uses, studies, analyzes, or generates identifiable private information or identifiable biospecimens.”

One of the primary methodological traditions of inquiry in qualitative research, ethnography is the study of a group or group culture, largely through observational fieldwork supplemented by interviews. It is a form of fieldwork that may include participant-observation data collection. See chapter 14 for a discussion of deep ethnography. 

A form of interview that follows a standard guide of questions asked, although the order of the questions may change to match the particular needs of each individual interview subject, and probing “follow-up” questions are often added during the course of the interview.  The semi-structured interview is the primary form of interviewing used by qualitative researchers in the social sciences.  It is sometimes referred to as an “in-depth” interview.  See also interview and  interview guide .

A method of observational data collection taking place in a natural setting; a form of fieldwork .  The term encompasses a continuum of relative participation by the researcher (from full participant to “fly-on-the-wall” observer).  This is also sometimes referred to as ethnography , although the latter is characterized by a greater focus on the culture under observation.

A research design that employs both quantitative and qualitative methods, as in the case of a survey supplemented by interviews.

An epistemological perspective that posits the existence of reality through sensory experience similar to empiricism but goes further in denying any non-sensory basis of thought or consciousness.  In the social sciences, the term has roots in the proto-sociologist August Comte, who believed he could discern “laws” of society similar to the laws of natural science (e.g., gravity).  The term has come to mean the kinds of measurable and verifiable science conducted by quantitative researchers and is thus used pejoratively by some qualitative researchers interested in interpretation, consciousness, and human understanding.  Calling someone a “positivist” is often intended as an insult.  See also empiricism and objectivism.

A place or collection containing records, documents, or other materials of historical interest; most universities have an archive of material related to the university’s history, as well as other “special collections” that may be of interest to members of the community.

A method of both data collection and data analysis in which a given content (textual, visual, graphic) is examined systematically and rigorously to identify meanings, themes, patterns and assumptions.  Qualitative content analysis (QCA) is concerned with gathering and interpreting an existing body of material.    

A word or short phrase that symbolically assigns a summative, salient, essence-capturing, and/or evocative attribute for a portion of language-based or visual data (Saldaña 2021:5).

Usually a verbatim written record of an interview or focus group discussion.

The primary form of data for fieldwork , participant observation , and ethnography .  These notes, taken by the researcher either during the course of fieldwork or at day’s end, should include as many details as possible on what was observed and what was said.  They should include clear identifiers of date, time, setting, and names (or identifying characteristics) of participants.

The process of labeling and organizing qualitative data to identify different themes and the relationships between them; a way of simplifying data to allow better management and retrieval of key themes and illustrative passages.  See coding frame and  codebook.

A methodological tradition of inquiry and approach to analyzing qualitative data in which theories emerge from a rigorous and systematic process of induction.  This approach was pioneered by the sociologists Glaser and Strauss (1967).  The elements of theory generated from comparative analysis of data are, first, conceptual categories and their properties and, second, hypotheses or generalized relations among the categories and their properties – “The constant comparing of many groups draws the [researcher’s] attention to their many similarities and differences.  Considering these leads [the researcher] to generate abstract categories and their properties, which, since they emerge from the data, will clearly be important to a theory explaining the kind of behavior under observation.” (36).

A detailed description of any proposed research that involves human subjects for review by IRB.  The protocol serves as the recipe for the conduct of the research activity.  It includes the scientific rationale to justify the conduct of the study, the information necessary to conduct the study, the plan for managing and analyzing the data, and a discussion of the research ethical issues relevant to the research.  Protocols for qualitative research often include interview guides, all documents related to recruitment, informed consent forms, very clear guidelines on the safekeeping of materials collected, and plans for de-identifying transcripts or other data that include personal identifying information.

Introduction to Qualitative Research Methods Copyright © 2023 by Allison Hurst is licensed under a Creative Commons Attribution-ShareAlike 4.0 International License , except where otherwise noted.