importance of background of the study in a research

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What is the Background of the Study and How to Write It

What is the Background of the Study in Research? 

The background of the study is the first section of a research paper and gives context surrounding the research topic. The background explains to the reader where your research journey started, why you got interested in the topic, and how you developed the research question that you will later specify. That means that you first establish the context of the research you did with a general overview of the field or topic and then present the key issues that drove your decision to study the specific problem you chose.

Once the reader understands where you are coming from and why there was indeed a need for the research you are going to present in the following—because there was a gap in the current research, or because there is an obvious problem with a currently used process or technology—you can proceed with the formulation of your research question and summarize how you are going to address it in the rest of your manuscript.

Why is the Background of the Study Important?

No matter how surprising and important the findings of your study are, if you do not provide the reader with the necessary background information and context, they will not be able to understand your reasons for studying the specific problem you chose and why you think your study is relevant. And more importantly, an editor who does not share your enthusiasm for your work (because you did not fill them in on all the important details) will very probably not even consider your manuscript worthy of their and the reviewers’ time and will immediately send it back to you.

To avoid such desk rejections , you need to make sure you pique the reader’s interest and help them understand the contribution of your work to the specific field you study, the more general research community, or the public. Introducing the study background is crucial to setting the scene for your readers.

Table of Contents:

• What is “Background Information” in a Research Paper?
• What Should the Background of a Research Paper Include?
• Where Does the Background Section Go in Your Paper?

Background of the Study Structure

Before writing your study background, it is essential to understand what to include. The following elements should all be included in the background and are presented in greater detail in the next section:

• A general overview of the topic and why it is important (overlaps with establishing the “importance of the topic” in the Introduction)
• The current state of the research on the topic or on related topics in the field
• Controversies about current knowledge or specific past studies that undergird your research methodology
• Any claims or assumptions that have been made by researchers, institutions, or politicians that might need to be clarified
• Methods and techniques used in the study or from which your study deviated in some way

Presenting the Study Background

As you begin introducing your background, you first need to provide a general overview and include the main issues concerning the topic. Depending on whether you do “basic” (with the aim of providing further knowledge) or “applied” research (to establish new techniques, processes, or products), this is either a literature review that summarizes all relevant earlier studies in the field or a description of the process (e.g., vote counting) or practice (e.g., diagnosis of a specific disease) that you think is problematic or lacking and needs a solution.

Example s of a general overview

If you study the function of a Drosophila gene, for example, you can explain to the reader why and for whom the study of fly genetics is relevant, what is already known and established, and where you see gaps in the existing literature. If you investigated how the way universities have transitioned into online teaching since the beginning of the Covid-19 pandemic has affected students’ learning progress, then you need to present a summary of what changes have happened around the world, what the effects of those changes have been so far, and where you see problems that need to be addressed. Note that you need to provide sources for every statement and every claim you make here, to establish a solid foundation of knowledge for your own study. 

Describing the current state of knowledge

When the reader understands the main issue(s), you need to fill them in more specifically on the current state of the field (in basic research) or the process/practice/product use you describe (in practical/applied research). Cite all relevant studies that have already reported on the Drosophila gene you are interested in, have failed to reveal certain functions of it, or have suggested that it might be involved in more processes than we know so far. Or list the reports from the education ministries of the countries you are interested in and highlight the data that shows the need for research into the effects of the Corona-19 pandemic on teaching and learning.

Discussing controversies, claims, and assumptions

Are there controversies regarding your topic of interest that need to be mentioned and/or addressed? For example, if your research topic involves an issue that is politically hot, you can acknowledge this here. Have any earlier claims or assumptions been made, by other researchers, institutions, or politicians, that you think need to be clarified?

Mentioning methodologies and approaches

While putting together these details, you also need to mention methodologies : What methods/techniques have been used so far to study what you studied and why are you going to either use the same or a different approach? Are any of the methods included in the literature review flawed in such a way that your study takes specific measures to correct or update? While you shouldn’t spend too much time here justifying your methods (this can be summarized briefly in the rationale of the study at the end of the Introduction and later in the Discussion section), you can engage with the crucial methods applied in previous studies here first.

When you have established the background of the study of your research paper in such a logical way, then the reader should have had no problem following you from the more general information you introduced first to the specific details you added later. You can now easily lead over to the relevance of your research, explain how your work fits into the bigger picture, and specify the aims and objectives of your study. This latter part is usually considered the “ statement of the problem ” of your study. Without a solid research paper background, this statement will come out of nowhere for the reader and very probably raise more questions than you were planning to answer.   

Where does the study background section go in a paper?

Unless you write a research proposal or some kind of report that has a specific “Background” chapter, the background of your study is the first part of your introduction section . This is where you put your work in context and provide all the relevant information the reader needs to follow your rationale. Make sure your background has a logical structure and naturally leads into the statement of the problem at the very end of the introduction so that you bring everything together for the reader to judge the relevance of your work and the validity of your approach before they dig deeper into the details of your study in the methods section .

Consider Receiving Professional Editing Services

Now that you know how to write a background section for a research paper, you might be interested in our AI Text Editor at Wordvice AI. And be sure to receive professional editing services , including academic editing and proofreading , before submitting your manuscript to journals. On the Wordvice academic resources website, you can also find many more articles and other resources that can help you with writing the other parts of your research paper , with making a research paper outline before you put everything together, or with writing an effective cover letter once you are ready to submit.

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How to Write an Effective Background of the Study: A Comprehensive Guide

Table of Contents

The background of the study in a research paper offers a clear context, highlighting why the research is essential and the problem it aims to address.

As a researcher, this foundational section is essential for you to chart the course of your study, Moreover, it allows readers to understand the importance and path of your research.

Whether in academic communities or to the general public, a well-articulated background aids in communicating the essence of the research effectively.

While it may seem straightforward, crafting an effective background requires a blend of clarity, precision, and relevance. Therefore, this article aims to be your guide, offering insights into:

• Understanding the concept of the background of the study.
• Learning how to craft a compelling background effectively.
• Identifying and sidestepping common pitfalls in writing the background.
• Exploring practical examples that bring the theory to life.
• Enhancing both your writing and reading of academic papers.

Keeping these compelling insights in mind, let's delve deeper into the details of the empirical background of the study, exploring its definition, distinctions, and the art of writing it effectively.

What is the background of the study?

The background of the study is placed at the beginning of a research paper. It provides the context, circumstances, and history that led to the research problem or topic being explored.

It offers readers a snapshot of the existing knowledge on the topic and the reasons that spurred your current research.

When crafting the background of your study, consider the following questions.

• What's the context of your research?
• Which previous research will you refer to?
• Are there any knowledge gaps in the existing relevant literature?
• How will you justify the need for your current research?
• Have you concisely presented the research question or problem?

In a typical research paper structure, after presenting the background, the introduction section follows. The introduction delves deeper into the specific objectives of the research and often outlines the structure or main points that the paper will cover.

Together, they create a cohesive starting point, ensuring readers are well-equipped to understand the subsequent sections of the research paper.

While the background of the study and the introduction section of the research manuscript may seem similar and sometimes even overlap, each serves a unique purpose in the research narrative.

Difference between background and introduction

A well-written background of the study and introduction are preliminary sections of a research paper and serve distinct purposes.

Here’s a detailed tabular comparison between the two of them.

What is the relevance of the background of the study?

It is necessary for you to provide your readers with the background of your research. Without this, readers may grapple with questions such as: Why was this specific research topic chosen? What led to this decision? Why is this study relevant? Is it worth their time?

Such uncertainties can deter them from fully engaging with your study, leading to the rejection of your research paper. Additionally, this can diminish its impact in the academic community, and reduce its potential for real-world application or policy influence .

To address these concerns and offer clarity, the background section plays a pivotal role in research papers.

The background of the study in research is important as it:

• Provides context: It offers readers a clear picture of the existing knowledge, helping them understand where the current research fits in.
• Highlights relevance: By detailing the reasons for the research, it underscores the study's significance and its potential impact.
• Guides the narrative: The background shapes the narrative flow of the paper, ensuring a logical progression from what's known to what the research aims to uncover.
• Enhances engagement: A well-crafted background piques the reader's interest, encouraging them to delve deeper into the research paper.
• Aids in comprehension: By setting the scenario, it aids readers in better grasping the research objectives, methodologies, and findings.

How to write the background of the study in a research paper?

The journey of presenting a compelling argument begins with the background study. This section holds the power to either captivate or lose the reader's interest.

An effectively written background not only provides context but also sets the tone for the entire research paper. It's the bridge that connects a broad topic to a specific research question, guiding readers through the logic behind the study.

But how does one craft a background of the study that resonates, informs, and engages?

Here, we’ll discuss how to write an impactful background study, ensuring your research stands out and captures the attention it deserves.

Identify the research problem

The first step is to start pinpointing the specific issue or gap you're addressing. This should be a significant and relevant problem in your field.

A well-defined problem is specific, relevant, and significant to your field. It should resonate with both experts and readers.

Here’s more on how to write an effective research problem .

Provide context

Here, you need to provide a broader perspective, illustrating how your research aligns with or contributes to the overarching context or the wider field of study. A comprehensive context is grounded in facts, offers multiple perspectives, and is relatable.

In addition to stating facts, you should weave a story that connects key concepts from the past, present, and potential future research. For instance, consider the following approach.

• Offer a brief history of the topic, highlighting major milestones or turning points that have shaped the current landscape.
• Discuss contemporary developments or current trends that provide relevant information to your research problem. This could include technological advancements, policy changes, or shifts in societal attitudes.
• Highlight the views of different stakeholders. For a topic like sustainable agriculture, this could mean discussing the perspectives of farmers, environmentalists, policymakers, and consumers.
• If relevant, compare and contrast global trends with local conditions and circumstances. This can offer readers a more holistic understanding of the topic.

Literature review

For this step, you’ll deep dive into the existing literature on the same topic. It's where you explore what scholars, researchers, and experts have already discovered or discussed about your topic.

Conducting a thorough literature review isn't just a recap of past works. To elevate its efficacy, it's essential to analyze the methods, outcomes, and intricacies of prior research work, demonstrating a thorough engagement with the existing body of knowledge.

• Instead of merely listing past research study, delve into their methodologies, findings, and limitations. Highlight groundbreaking studies and those that had contrasting results.
• Try to identify patterns. Look for recurring themes or trends in the literature. Are there common conclusions or contentious points?
• The next step would be to connect the dots. Show how different pieces of research relate to each other. This can help in understanding the evolution of thought on the topic.

By showcasing what's already known, you can better highlight the background of the study in research.

Highlight the research gap

This step involves identifying the unexplored areas or unanswered questions in the existing literature. Your research seeks to address these gaps, providing new insights or answers.

A clear research gap shows you've thoroughly engaged with existing literature and found an area that needs further exploration.

How can you efficiently highlight the research gap?

• Find the overlooked areas. Point out topics or angles that haven't been adequately addressed.
• Highlight questions that have emerged due to recent developments or changing circumstances.
• Identify areas where insights from other fields might be beneficial but haven't been explored yet.

State your objectives

Here, it’s all about laying out your game plan — What do you hope to achieve with your research? You need to mention a clear objective that’s specific, actionable, and directly tied to the research gap.

How to state your objectives?

• List the primary questions guiding your research.
• If applicable, state any hypotheses or predictions you aim to test.
• Specify what you hope to achieve, whether it's new insights, solutions, or methodologies.

Discuss the significance

This step describes your 'why'. Why is your research important? What broader implications does it have?

The significance of “why” should be both theoretical (adding to the existing literature) and practical (having real-world implications).

How do we effectively discuss the significance?

• Discuss how your research adds to the existing body of knowledge.
• Highlight how your findings could be applied in real-world scenarios, from policy changes to on-ground practices.
• Point out how your research could pave the way for further studies or open up new areas of exploration.

Summarize your points

A concise summary acts as a bridge, smoothly transitioning readers from the background to the main body of the paper. This step is a brief recap, ensuring that readers have grasped the foundational concepts.

How to summarize your study?

• Revisit the key points discussed, from the research problem to its significance.
• Prepare the reader for the subsequent sections, ensuring they understand the research's direction.

Include examples for better understanding

Research and come up with real-world or hypothetical examples to clarify complex concepts or to illustrate the practical applications of your research. Relevant examples make abstract ideas tangible, aiding comprehension.

How to include an effective example of the background of the study?

• Use past events or scenarios to explain concepts.
• Craft potential scenarios to demonstrate the implications of your findings.
• Use comparisons to simplify complex ideas, making them more relatable.

Crafting a compelling background of the study in research is about striking the right balance between providing essential context, showcasing your comprehensive understanding of the existing literature, and highlighting the unique value of your research .

While writing the background of the study, keep your readers at the forefront of your mind. Every piece of information, every example, and every objective should be geared toward helping them understand and appreciate your research.

How to avoid mistakes in the background of the study in research?

To write a well-crafted background of the study, you should be aware of the following potential research pitfalls .

• Stay away from ambiguity. Always assume that your reader might not be familiar with intricate details about your topic.
• Avoid discussing unrelated themes. Stick to what's directly relevant to your research problem.
• Ensure your background is well-organized. Information should flow logically, making it easy for readers to follow.
• While it's vital to provide context, avoid overwhelming the reader with excessive details that might not be directly relevant to your research problem.
• Ensure you've covered the most significant and relevant studies i` n your field. Overlooking key pieces of literature can make your background seem incomplete.
• Aim for a balanced presentation of facts, and avoid showing overt bias or presenting only one side of an argument.
• While academic paper often involves specialized terms, ensure they're adequately explained or use simpler alternatives when possible.
• Every claim or piece of information taken from existing literature should be appropriately cited. Failing to do so can lead to issues of plagiarism.
• Avoid making the background too lengthy. While thoroughness is appreciated, it should not come at the expense of losing the reader's interest. Maybe prefer to keep it to one-two paragraphs long.
• Especially in rapidly evolving fields, it's crucial to ensure that your literature review section is up-to-date and includes the latest research.

Example of an effective background of the study

Let's consider a topic: "The Impact of Online Learning on Student Performance." The ideal background of the study section for this topic would be as follows.

In the last decade, the rise of the internet has revolutionized many sectors, including education. Online learning platforms, once a supplementary educational tool, have now become a primary mode of instruction for many institutions worldwide. With the recent global events, such as the COVID-19 pandemic, there has been a rapid shift from traditional classroom learning to online modes, making it imperative to understand its effects on student performance.

Previous studies have explored various facets of online learning, from its accessibility to its flexibility. However, there is a growing need to assess its direct impact on student outcomes. While some educators advocate for its benefits, citing the convenience and vast resources available, others express concerns about potential drawbacks, such as reduced student engagement and the challenges of self-discipline.

This research aims to delve deeper into this debate, evaluating the true impact of online learning on student performance.

Why is this example considered as an effective background section of a research paper?

This background section example effectively sets the context by highlighting the rise of online learning and its increased relevance due to recent global events. It references prior research on the topic, indicating a foundation built on existing knowledge.

By presenting both the potential advantages and concerns of online learning, it establishes a balanced view, leading to the clear purpose of the study: to evaluate the true impact of online learning on student performance.

As we've explored, writing an effective background of the study in research requires clarity, precision, and a keen understanding of both the broader landscape and the specific details of your topic.

From identifying the research problem, providing context, reviewing existing literature to highlighting research gaps and stating objectives, each step is pivotal in shaping the narrative of your research. And while there are best practices to follow, it's equally crucial to be aware of the pitfalls to avoid.

Remember, writing or refining the background of your study is essential to engage your readers, familiarize them with the research context, and set the ground for the insights your research project will unveil.

Drawing from all the important details, insights and guidance shared, you're now in a strong position to craft a background of the study that not only informs but also engages and resonates with your readers.

Now that you've a clear understanding of what the background of the study aims to achieve, the natural progression is to delve into the next crucial component — write an effective introduction section of a research paper. Read here .

Frequently Asked Questions

The background of the study should include a clear context for the research, references to relevant previous studies, identification of knowledge gaps, justification for the current research, a concise overview of the research problem or question, and an indication of the study's significance or potential impact.

The background of the study is written to provide readers with a clear understanding of the context, significance, and rationale behind the research. It offers a snapshot of existing knowledge on the topic, highlights the relevance of the study, and sets the stage for the research questions and objectives. It ensures that readers can grasp the importance of the research and its place within the broader field of study.

The background of the study is a section in a research paper that provides context, circumstances, and history leading to the research problem or topic being explored. It presents existing knowledge on the topic and outlines the reasons that spurred the current research, helping readers understand the research's foundation and its significance in the broader academic landscape.

The number of paragraphs in the background of the study can vary based on the complexity of the topic and the depth of the context required. Typically, it might range from 3 to 5 paragraphs, but in more detailed or complex research papers, it could be longer. The key is to ensure that all relevant information is presented clearly and concisely, without unnecessary repetition.

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What is the Background of a Study and How Should it be Written?

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Table of Contents

The background of a study is one of the most important components of a research paper. The quality of the background determines whether the reader will be interested in the rest of the study. Thus, to ensure that the audience is invested in reading the entire research paper, it is important to write an appealing and effective background. So, what constitutes the background of a study, and how must it be written?

What is the background of a study?

The background of a study is the first section of the paper and establishes the context underlying the research. It contains the rationale, the key problem statement, and a brief overview of research questions that are addressed in the rest of the paper. The background forms the crux of the study because it introduces an unaware audience to the research and its importance in a clear and logical manner. At times, the background may even explore whether the study builds on or refutes findings from previous studies. Any relevant information that the readers need to know before delving into the paper should be made available to them in the background.

How is a background different from the introduction?

The introduction of your research paper is presented before the background. Let’s find out what factors differentiate the background from the introduction.

• The introduction only contains preliminary data about the research topic and does not state the purpose of the study. On the contrary, the background clarifies the importance of the study in detail.
• The introduction provides an overview of the research topic from a broader perspective, while the background provides a detailed understanding of the topic.
• The introduction should end with the mention of the research questions, aims, and objectives of the study. In contrast, the background follows no such format and only provides essential context to the study.

How should one write the background of a research paper?

The length and detail presented in the background varies for different research papers, depending on the complexity and novelty of the research topic. At times, a simple background suffices, even if the study is complex. Before writing and adding details in the background, take a note of these additional points:

• Start with a strong beginning: Begin the background by defining the research topic and then identify the target audience.
• Cover key components: Explain all theories, concepts, terms, and ideas that may feel unfamiliar to the target audience thoroughly.
• Take note of important prerequisites: Go through the relevant literature in detail. Take notes while reading and cite the sources.
• Maintain a balance: Make sure that the background is focused on important details, but also appeals to a broader audience.
• Include historical data: Current issues largely originate from historical events or findings. If the research borrows information from a historical context, add relevant data in the background.
• Explain novelty: If the research study or methodology is unique or novel, provide an explanation that helps to understand the research better.
• Increase engagement: To make the background engaging, build a story around the central theme of the research

Avoid these mistakes while writing the background:

• Ambiguity: Don’t be ambiguous. While writing, assume that the reader does not understand any intricate detail about your research.
• Unrelated themes: Steer clear from topics that are not related to the key aspects of your research topic.
• Poor organization: Do not place information without a structure. Make sure that the background reads in a chronological manner and organize the sub-sections so that it flows well.

Writing the background for a research paper should not be a daunting task. But directions to go about it can always help. At Elsevier Author Services we provide essential insights on how to write a high quality, appealing, and logically structured paper for publication, beginning with a robust background. For further queries, contact our experts now!

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What is the Background of a Study and How to Write It (Examples Included)

Have you ever found yourself struggling to write a background of the study for your research paper? You’re not alone. While the background of a study is an essential element of a research manuscript, it’s also one of the most challenging pieces to write. This is because it requires researchers to provide context and justification for their research, highlight the significance of their study, and situate their work within the existing body of knowledge in the field.  

Despite its challenges, the background of a study is crucial for any research paper. A compelling well-written background of the study can not only promote confidence in the overall quality of your research analysis and findings, but it can also determine whether readers will be interested in knowing more about the rest of the research study.  

In this article, we’ll explore the key elements of the background of a study and provide simple guidelines on how to write one effectively. Whether you’re a seasoned researcher or a graduate student working on your first research manuscript, this post will explain how to write a background for your study that is compelling and informative.  

Table of Contents

What is the background of a study ?  

Typically placed in the beginning of your research paper, the background of a study serves to convey the central argument of your study and its significance clearly and logically to an uninformed audience. The background of a study in a research paper helps to establish the research problem or gap in knowledge that the study aims to address, sets the stage for the research question and objectives, and highlights the significance of the research. The background of a study also includes a review of relevant literature, which helps researchers understand where the research study is placed in the current body of knowledge in a specific research discipline. It includes the reason for the study, the thesis statement, and a summary of the concept or problem being examined by the researcher. At times, the background of a study can may even examine whether your research supports or contradicts the results of earlier studies or existing knowledge on the subject.  

How is the background of a study different from the introduction?  

It is common to find early career researchers getting confused between the background of a study and the introduction in a research paper. Many incorrectly consider these two vital parts of a research paper the same and use these terms interchangeably. The confusion is understandable, however, it’s important to know that the introduction and the background of the study are distinct elements and serve very different purposes.   

• The basic different between the background of a study and the introduction is kind of information that is shared with the readers . While the introduction provides an overview of the specific research topic and touches upon key parts of the research paper, the background of the study presents a detailed discussion on the existing literature in the field, identifies research gaps, and how the research being done will add to current knowledge.  
• The introduction aims to capture the reader’s attention and interest and to provide a clear and concise summary of the research project. It typically begins with a general statement of the research problem and then narrows down to the specific research question. It may also include an overview of the research design, methodology, and scope. The background of the study outlines the historical, theoretical, and empirical background that led to the research question to highlight its importance. It typically offers an overview of the research field and may include a review of the literature to highlight gaps, controversies, or limitations in the existing knowledge and to justify the need for further research.  
• Both these sections appear at the beginning of a research paper. In some cases the introduction may come before the background of the study , although in most instances the latter is integrated into the introduction itself. The length of the introduction and background of a study can differ based on the journal guidelines and the complexity of a specific research study.  

Learn to convey study relevance, integrate literature reviews, and articulate research gaps in the background section. Get your All Access Pack now!    

To put it simply, the background of the study provides context for the study by explaining how your research fills a research gap in existing knowledge in the field and how it will add to it. The introduction section explains how the research fills this gap by stating the research topic, the objectives of the research and the findings – it sets the context for the rest of the paper.   

Where is the background of a study placed in a research paper?  

T he background of a study is typically placed in the introduction section of a research paper and is positioned after the statement of the problem. Researchers should try and present the background of the study in clear logical structure by dividing it into several sections, such as introduction, literature review, and research gap. This will make it easier for the reader to understand the research problem and the motivation for the study.  

So, when should you write the background of your study ? It’s recommended that researchers write this section after they have conducted a thorough literature review and identified the research problem, research question, and objectives. This way, they can effectively situate their study within the existing body of knowledge in the field and provide a clear rationale for their research.  

Creating an effective background of a study structure  

Given that the purpose of writing the background of your study is to make readers understand the reasons for conducting the research, it is important to create an outline and basic framework to work within. This will make it easier to write the background of the study and will ensure that it is comprehensive and compelling for readers.  

While creating a background of the study structure for research papers, it is crucial to have a clear understanding of the essential elements that should be included. Make sure you incorporate the following elements in the background of the study section :   

• Present a general overview of the research topic, its significance, and main aims; this may be like establishing the “importance of the topic” in the introduction.   
• Discuss the existing level of research done on the research topic or on related topics in the field to set context for your research. Be concise and mention only the relevant part of studies, ideally in chronological order to reflect the progress being made.  
• Highlight disputes in the field as well as claims made by scientists, organizations, or key policymakers that need to be investigated. This forms the foundation of your research methodology and solidifies the aims of your study.   
• Describe if and how the methods and techniques used in the research study are different from those used in previous research on similar topics.   

By including these critical elements in the background of your study , you can provide your readers with a comprehensive understanding of your research and its context.  

How to write a background of the study in research papers ?  

Now that you know the essential elements to include, it’s time to discuss how to write the background of the study in a concise and interesting way that engages audiences. The best way to do this is to build a clear narrative around the central theme of your research so that readers can grasp the concept and identify the gaps that the study will address. While the length and detail presented in the background of a study could vary depending on the complexity and novelty of the research topic, it is imperative to avoid wordiness. For research that is interdisciplinary, mentioning how the disciplines are connected and highlighting specific aspects to be studied helps readers understand the research better.   

While there are different styles of writing the background of a study , it always helps to have a clear plan in place. Let us look at how to write a background of study for research papers.    

• Identify the research problem: Begin the background by defining the research topic, and highlighting the main issue or question that the research aims to address. The research problem should be clear, specific, and relevant to the field of study. It should be framed using simple, easy to understand language and must be meaningful to intended audiences.  
• Craft an impactful statement of the research objectives: While writing the background of the study it is critical to highlight the research objectives and specific goals that the study aims to achieve. The research objectives should be closely related to the research problem and must be aligned with the overall purpose of the study.  
• Conduct a review of available literature: When writing the background of the research , provide a summary of relevant literature in the field and related research that has been conducted around the topic. Remember to record the search terms used and keep track of articles that you read so that sources can be cited accurately. Ensure that the literature you include is sourced from credible sources.  
• Address existing controversies and assumptions: It is a good idea to acknowledge and clarify existing claims and controversies regarding the subject of your research. For example, if your research topic involves an issue that has been widely discussed due to ethical or politically considerations, it is best to address them when writing the background of the study .  
• Present the relevance of the study: It is also important to provide a justification for the research. This is where the researcher explains why the study is important and what contributions it will make to existing knowledge on the subject. Highlighting key concepts and theories and explaining terms and ideas that may feel unfamiliar to readers makes the background of the study content more impactful.  
• Proofread to eliminate errors in language, structure, and data shared: Once the first draft is done, it is a good idea to read and re-read the draft a few times to weed out possible grammatical errors or inaccuracies in the information provided. In fact, experts suggest that it is helpful to have your supervisor or peers read and edit the background of the study . Their feedback can help ensure that even inadvertent errors are not overlooked.  

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How to avoid mistakes in writing the background of a study  

While figuring out how to write the background of a study , it is also important to know the most common mistakes authors make so you can steer clear of these in your research paper.   

• Write the background of a study in a formal academic tone while keeping the language clear and simple. Check for the excessive use of jargon and technical terminology that could confuse your readers.   
• Avoid including unrelated concepts that could distract from the subject of research. Instead, focus your discussion around the key aspects of your study by highlighting gaps in existing literature and knowledge and the novelty and necessity of your study.   
• Provide relevant, reliable evidence to support your claims and citing sources correctly; be sure to follow a consistent referencing format and style throughout the paper.   
• Ensure that the details presented in the background of the study are captured chronologically and organized into sub-sections for easy reading and comprehension.  
• Check the journal guidelines for the recommended length for this section so that you include all the important details in a concise manner. 

By keeping these tips in mind, you can create a clear, concise, and compelling background of the study for your research paper. Take this example of a background of the study on the impact of social media on mental health.  

Social media has become a ubiquitous aspect of modern life, with people of all ages, genders, and backgrounds using platforms such as Facebook, Instagram, and Twitter to connect with others, share information, and stay updated on news and events. While social media has many potential benefits, including increased social connectivity and access to information, there is growing concern about its impact on mental health.   Research has suggested that social media use is associated with a range of negative mental health outcomes, including increased rates of anxiety, depression, and loneliness. This is thought to be due, in part, to the social comparison processes that occur on social media, whereby users compare their lives to the idealized versions of others that are presented online.   Despite these concerns, there is also evidence to suggest that social media can have positive effects on mental health. For example, social media can provide a sense of social support and community, which can be beneficial for individuals who are socially isolated or marginalized.   Given the potential benefits and risks of social media use for mental health, it is important to gain a better understanding of the mechanisms underlying these effects. This study aims to investigate the relationship between social media use and mental health outcomes, with a particular focus on the role of social comparison processes. By doing so, we hope to shed light on the potential risks and benefits of social media use for mental health, and to provide insights that can inform interventions and policies aimed at promoting healthy social media use.  

To conclude, the background of a study is a crucial component of a research manuscript and must be planned, structured, and presented in a way that attracts reader attention, compels them to read the manuscript, creates an impact on the minds of readers and sets the stage for future discussions. 

A well-written background of the study not only provides researchers with a clear direction on conducting their research, but it also enables readers to understand and appreciate the relevance of the research work being done.   

Frequently Asked Questions (FAQs) on background of the study

Q: How does the background of the study help the reader understand the research better?

The background of the study plays a crucial role in helping readers understand the research better by providing the necessary context, framing the research problem, and establishing its significance. It helps readers:

• understand the larger framework, historical development, and existing knowledge related to a research topic
• identify gaps, limitations, or unresolved issues in the existing literature or knowledge
• outline potential contributions, practical implications, or theoretical advancements that the research aims to achieve
• and learn the specific context and limitations of the research project

Q: Does the background of the study need citation?

Yes, the background of the study in a research paper should include citations to support and acknowledge the sources of information and ideas presented. When you provide information or make statements in the background section that are based on previous studies, theories, or established knowledge, it is important to cite the relevant sources. This establishes credibility, enables verification, and demonstrates the depth of literature review you’ve done.

Q: What is the difference between background of the study and problem statement?

The background of the study provides context and establishes the research’s foundation while the problem statement clearly states the problem being addressed and the research questions or objectives.

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Learn how to craft a compelling Background of the Study section for your research paper with these 3 essential tips. Improve your academic writing skills and strengthen your research foundation.

Derek Pankaew

Jun 28, 2024

The background of the study is a crucial section in any research paper. It sets the stage for the research by providing context, explaining the significance, and highlighting the gaps that the study aims to fill. Crafting an effective background section can make a significant difference in how your research is perceived and understood. This article will provide three essential tips for writing a compelling background of the study: establishing the context, identifying the research gap, and justifying the significance of your study.

Tip 1: Establish the Context

Establishing the context is the first step in writing the background of a study. This involves providing a broad overview of the research topic, discussing relevant theories and concepts, and highlighting key studies in the field.

Provide a Broad Overview of the Research Topic

Begin the background by defining the research topic. This broad overview helps readers understand what your  study is about and why it is important. Explain the central theme of your research, including the main issues or problems that led to the research. For instance, if your research topic involves an issue in public health, describe the current state of public health, including any prevailing trends, statistics, or significant changes that have occurred over time.

Discuss Relevant Theories and Concepts

Once you have set the stage with a broad overview, delve into the relevant theories and concepts in the literature review section. This section of a research paper should provide a theoretical framework that underpins your study. Discuss major theories that are relevant to your research topic and explain how they relate to your specific research problem or question, providing a solid theoretical base for your study background. This helps to anchor your research within a specific theoretical context, providing a foundation upon which your study in a research paper is built, serving as critical background information.

Highlight Key Studies in the Field

Highlighting key studies is essential for situating your research within the existing body of knowledge. Conduct a literature review to identify significant studies that have been conducted on your research topic. Summarize these studies, focusing on their findings and contributions to the field to enrich the literature review section of your research project. This not only demonstrates your understanding of the existing research but also helps to identify the gaps that your study aims to address, providing a strong background information context.

Tip 2: Identify the Research Gap

Identifying the research gap is a critical component of the background of the study. It involves analyzing existing literature critically, pointing out limitations or unanswered questions in current research, and explaining how your study addresses these gaps.

Analyze Existing Literature Critically

To identify the research gap, you need to analyze the existing literature critically. This involves more than just summarizing previous research; it requires a thorough examination of the strengths and weaknesses of existing studies in the context of your research objectives. Evaluate the methodologies used, the scope of the studies, and the robustness of their findings. This critical analysis will help you to pinpoint areas where further research is needed, thus setting clear research objectives.

Point Out Limitations or Unanswered Questions

Based on your analysis of the literature, identify the limitations or unanswered questions in current research. These could be methodological limitations, gaps in the data, or areas where existing studies have conflicting results. Highlight these gaps clearly, as they form the basis for your specific research problem or question. For example, if previous research has not adequately addressed a specific aspect of your research topic, point this out and explain why it is important to investigate further with a particular research question in mind.

Explain How Your Study Addresses These Gaps

After identifying the research gap, explain how your study aims to address it. Describe the unique approach or methodology that your study employs to fill these gaps, which are often detailed in the literature review section and background information. This section should clearly outline the objectives of your research and how they align with addressing the identified gaps. By doing so, you demonstrate the relevance and importance of your study in advancing the field, which is essential when you write a background.

Tip 3: Justify the Significance of Your Study

Justifying the significance of your study is the final tip for writing an effective background section. This involves explaining the potential impact of your research, connecting your study to real-world applications or problems, and emphasizing the novelty or unique approach of your study mentioned in the introduction section.

Explain the Potential Impact of Your Research

Begin by explaining the potential impact of your research on the background of your study, setting the stage for your research aims. This involves discussing the broader implications of your study and how it contributes to the field of study. Describe how your findings could influence future research, policy-making, or practice. For instance, if your research addresses a significant public health issue, explain how your findings could inform public health policies or interventions.

Connect Your Study to Real-World Applications or Problems

Next, connect your study to real-world applications or problems. This helps to demonstrate the practical relevance of your research, a crucial aspect when you write a research paper to show its significance. Describe specific examples of how your research could be applied in real-world scenarios, illustrating the practical implications in the study background information section. For instance, if your study involves developing a new technology, explain how this technology could be used in industry or by consumers. This connection to real-world applications makes your research more tangible and relevant to a broader audience, demonstrating the potential impact of your research study. When you write a research paper, highlighting these connections can be crucial.

Emphasize the Novelty or Unique Approach of Your Study

Finally, emphasize the novelty or unique approach of your study, which is a key element in the introduction section. Highlight what makes your research different from previous studies and why this is important to understand the research in the context of your research aims. This could involve a novel methodology, a new theoretical perspective, or a unique combination of variables, all contributing to a well-defined research study. By emphasizing the uniqueness of your study, you underscore its contribution to the field and its potential to advance knowledge, specifically addressing a particular research question. This understanding is essential when learning how to write a research study.

In conclusion, writing an effective background for the study is crucial for setting the stage for your research paper. By following these three tips—establishing the context, identifying the research gap, and justifying the significance of your study—you can craft a compelling background section that clearly articulates the importance and relevance of your research. A well-written background not only provides context and justification for your study but also engages your readers and sets the stage for the rest of your research paper.

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What Is Background in a Research Paper?

So you have carefully written your research paper  and probably ran it through your colleagues ten to fifteen times. While there are many elements to a good research article, one of the most important elements for your readers is the background of your study.

What is Background of the Study in Research

The background of your study will provide context to the information discussed throughout the research paper . Background information may include both important and relevant studies. This is particularly important if a study either supports or refutes your thesis.

Why is Background of the Study Necessary in Research?

The background of the study discusses your problem statement, rationale, and research questions. It links  introduction to your research topic  and ensures a logical flow of ideas.  Thus, it helps readers understand your reasons for conducting the study.

Providing Background Information

The reader should be able to understand your topic and its importance. The length and detail of your background also depend on the degree to which you need to demonstrate your understanding of the topic. Paying close attention to the following questions will help you in writing background information:

• Are there any theories, concepts, terms, and ideas that may be unfamiliar to the target audience and will require you to provide any additional explanation?
• Any historical data that need to be shared in order to provide context on why the current issue emerged?
• Are there any concepts that may have been borrowed from other disciplines that may be unfamiliar to the reader and need an explanation?

Related: Ready with the background and searching for more information on journal ranking? Check this infographic on the SCImago Journal Rank today!

Is the research study unique for which additional explanation is needed? For instance, you may have used a completely new method

How to Write a Background of the Study

The structure of a background study in a research paper generally follows a logical sequence to provide context, justification, and an understanding of the research problem. It includes an introduction, general background, literature review , rationale , objectives, scope and limitations , significance of the study and the research hypothesis . Following the structure can provide a comprehensive and well-organized background for your research.

Here are the steps to effectively write a background of the study.

1. Identify Your Audience:

Determine the level of expertise of your target audience. Tailor the depth and complexity of your background information accordingly.

2. Understand the Research Problem:

Define the research problem or question your study aims to address. Identify the significance of the problem within the broader context of the field.

3. Review Existing Literature:

Conduct a thorough literature review to understand what is already known in the area. Summarize key findings, theories, and concepts relevant to your research.

4. Include Historical Data:

Integrate historical data if relevant to the research, as current issues often trace back to historical events.

5. Identify Controversies and Gaps:

Note any controversies or debates within the existing literature. Identify gaps , limitations, or unanswered questions that your research can address.

6. Select Key Components:

Choose the most critical elements to include in the background based on their relevance to your research problem. Prioritize information that helps build a strong foundation for your study.

7. Craft a Logical Flow:

Organize the background information in a logical sequence. Start with general context, move to specific theories and concepts, and then focus on the specific problem.

8. Highlight the Novelty of Your Research:

Clearly explain the unique aspects or contributions of your study. Emphasize why your research is different from or builds upon existing work.

Here are some extra tips to increase the quality of your research background:

Example of a Research Background

Here is an example of a research background to help you understand better.

The above hypothetical example provides a research background, addresses the gap and highlights the potential outcome of the study; thereby aiding a better understanding of the proposed research.

What Makes the Introduction Different from the Background?

Your introduction is different from your background in a number of ways.

• The introduction contains preliminary data about your topic that  the reader will most likely read , whereas the background clarifies the importance of the paper.
• The background of your study discusses in depth about the topic, whereas the introduction only gives an overview.
• The introduction should end with your research questions, aims, and objectives, whereas your background should not (except in some cases where your background is integrated into your introduction). For instance, the C.A.R.S. ( Creating a Research Space ) model, created by John Swales is based on his analysis of journal articles. This model attempts to explain and describe the organizational pattern of writing the introduction in social sciences.

Points to Note

Your background should begin with defining a topic and audience. It is important that you identify which topic you need to review and what your audience already knows about the topic. You should proceed by searching and researching the relevant literature. In this case, it is advisable to keep track of the search terms you used and the articles that you downloaded. It is helpful to use one of the research paper management systems such as Papers, Mendeley, Evernote, or Sente. Next, it is helpful to take notes while reading. Be careful when copying quotes verbatim and make sure to put them in quotation marks and cite the sources. In addition, you should keep your background focused but balanced enough so that it is relevant to a broader audience. Aside from these, your background should be critical, consistent, and logically structured.

Writing the background of your study should not be an overly daunting task. Many guides that can help you organize your thoughts as you write the background. The background of the study is the key to introduce your audience to your research topic and should be done with strong knowledge and thoughtful writing.

The background of a research paper typically ranges from one to two paragraphs, summarizing the relevant literature and context of the study. It should be concise, providing enough information to contextualize the research problem and justify the need for the study. Journal instructions about any word count limits should be kept in mind while deciding on the length of the final content.

The background of a research paper provides the context and relevant literature to understand the research problem, while the introduction also introduces the specific research topic, states the research objectives, and outlines the scope of the study. The background focuses on the broader context, whereas the introduction focuses on the specific research project and its objectives.

When writing the background for a study, start by providing a brief overview of the research topic and its significance in the field. Then, highlight the gaps in existing knowledge or unresolved issues that the study aims to address. Finally, summarize the key findings from relevant literature to establish the context and rationale for conducting the research, emphasizing the need and importance of the study within the broader academic landscape.

The background in a research paper is crucial as it sets the stage for the study by providing essential context and rationale. It helps readers understand the significance of the research problem and its relevance in the broader field. By presenting relevant literature and highlighting gaps, the background justifies the need for the study, building a strong foundation for the research and enhancing its credibility.

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The background of the study is the key to introduce your audience to YOUR research topic.

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Organizing Your Social Sciences Research Paper

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Background information identifies and describes the history and nature of a well-defined research problem with reference to contextualizing existing literature. The background information should indicate the root of the problem being studied, appropriate context of the problem in relation to theory, research, and/or practice , its scope, and the extent to which previous studies have successfully investigated the problem, noting, in particular, where gaps exist that your study attempts to address. Background information does not replace the literature review section of a research paper; it is intended to place the research problem within a specific context and an established plan for its solution.

Fitterling, Lori. Researching and Writing an Effective Background Section of a Research Paper. Kansas City University of Medicine & Biosciences; Creating a Research Paper: How to Write the Background to a Study. DurousseauElectricalInstitute.com; Background Information: Definition of Background Information. Literary Devices Definition and Examples of Literary Terms.

Importance of Having Enough Background Information

Background information expands upon the key points stated in the beginning of your introduction but is not intended to be the main focus of the paper. It generally supports the question, what is the most important information the reader needs to understand before continuing to read the paper? Sufficient background information helps the reader determine if you have a basic understanding of the research problem being investigated and promotes confidence in the overall quality of your analysis and findings. This information provides the reader with the essential context needed to conceptualize the research problem and its significance before moving on to a more thorough analysis of prior research.

Forms of contextualization included in background information can include describing one or more of the following:

• Cultural -- placed within the learned behavior of a specific group or groups of people.
• Economic -- of or relating to systems of production and management of material wealth and/or business activities.
• Gender -- located within the behavioral, cultural, or psychological traits typically associated with being self-identified as male, female, or other form of  gender expression.
• Historical -- the time in which something takes place or was created and how the condition of time influences how you interpret it.
• Interdisciplinary -- explanation of theories, concepts, ideas, or methodologies borrowed from other disciplines applied to the research problem rooted in a discipline other than the discipline where your paper resides.
• Philosophical -- clarification of the essential nature of being or of phenomena as it relates to the research problem.
• Physical/Spatial -- reflects the meaning of space around something and how that influences how it is understood.
• Political -- concerns the environment in which something is produced indicating it's public purpose or agenda.
• Social -- the environment of people that surrounds something's creation or intended audience, reflecting how the people associated with something use and interpret it.
• Temporal -- reflects issues or events of, relating to, or limited by time. Concerns past, present, or future contextualization and not just a historical past.

Background information can also include summaries of important research studies . This can be a particularly important element of providing background information if an innovative or groundbreaking study about the research problem laid a foundation for further research or there was a key study that is essential to understanding your arguments. The priority is to summarize for the reader what is known about the research problem before you conduct the analysis of prior research. This is accomplished with a general summary of the foundational research literature [with citations] that document findings that inform your study's overall aims and objectives.

NOTE: Research studies cited as part of the background information of your introduction should not include very specific, lengthy explanations. This should be discussed in greater detail in your literature review section. If you find a study requiring lengthy explanation, consider moving it to the literature review section.

ANOTHER NOTE: In some cases, your paper's introduction only needs to introduce the research problem, explain its significance, and then describe a road map for how you are going to address the problem; the background information basically forms the introduction part of your literature review. That said, while providing background information is not required, including it in the introduction is a way to highlight important contextual information that could otherwise be hidden or overlooked by the reader if placed in the literature review section.

YET ANOTHER NOTE: In some research studies, the background information is described in a separate section after the introduction and before the literature review. This is most often done if the topic is especially complex or requires a lot of context in order to fully grasp the significance of the research problem. Most college-level research papers do not require this unless required by your professor. However, if you find yourself needing to write more than a couple of pages [double-spaced lines] to provide the background information, it can be written as a separate section to ensure the introduction is not too lengthy.

Background of the Problem Section: What do you Need to Consider? Anonymous. Harvard University; Hopkins, Will G. How to Write a Research Paper. SPORTSCIENCE, Perspectives/Research Resources. Department of Physiology and School of Physical Education, University of Otago, 1999; Green, L. H. How to Write the Background/Introduction Section. Physics 499 Powerpoint slides. University of Illinois; Pyrczak, Fred. Writing Empirical Research Reports: A Basic Guide for Students of the Social and Behavioral Sciences . 8th edition. Glendale, CA: Pyrczak Publishing, 2014; Stevens, Kathleen C. “Can We Improve Reading by Teaching Background Information?.” Journal of Reading 25 (January 1982): 326-329; Woodall, W. Gill. Writing the Background and Significance Section. Senior Research Scientist and Professor of Communication. Center on Alcoholism, Substance Abuse, and Addictions. University of New Mexico.

Structure and Writing Style

Providing background information in the introduction of a research paper serves as a bridge that links the reader to the research problem . Precisely how long and in-depth this bridge should be is largely dependent upon how much information you think the reader will need to know in order to fully understand the problem being discussed and to appreciate why the issues you are investigating are important.

From another perspective, the length and detail of background information also depends on the degree to which you need to demonstrate to your professor how much you understand the research problem. Keep this in mind because providing pertinent background information can be an effective way to demonstrate that you have a clear grasp of key issues, debates, and concepts related to your overall study.

The structure and writing style of your background information can vary depending upon the complexity of your research and/or the nature of the assignment. However, in most cases it should be limited to only one to two paragraphs in your introduction.

Given this, here are some questions to consider while writing this part of your introduction :

• Are there concepts, terms, theories, or ideas that may be unfamiliar to the reader and, thus, require additional explanation?
• Are there historical elements that need to be explored in order to provide needed context, to highlight specific people, issues, or events, or to lay a foundation for understanding the emergence of a current issue or event?
• Are there theories, concepts, or ideas borrowed from other disciplines or academic traditions that may be unfamiliar to the reader and therefore require further explanation?
• Is there a key study or small set of studies that set the stage for understanding the topic and frames why it is important to conduct further research on the topic?
• Y our study uses a method of analysis never applied before;
• Your study investigates a very esoteric or complex research problem;
• Your study introduces new or unique variables that need to be taken into account ; or,
• Your study relies upon analyzing unique texts or documents, such as, archival materials or primary documents like diaries or personal letters that do not represent the established body of source literature on the topic?

Almost all introductions to a research problem require some contextualizing, but the scope and breadth of background information varies depending on your assumption about the reader's level of prior knowledge . However, despite this assessment, background information should be brief and succinct and sets the stage for the elaboration of critical points or in-depth discussion of key issues in the literature review section of your paper.

Writing Tip

Background Information vs. the Literature Review

Incorporating background information into the introduction is intended to provide the reader with critical information about the topic being studied, such as, highlighting and expanding upon foundational studies conducted in the past, describing important historical events that inform why and in what ways the research problem exists, defining key components of your study [concepts, people, places, phenomena] and/or placing the research problem within a particular context. Although introductory background information can often blend into the literature review portion of the paper, essential background information should not be considered a substitute for a comprehensive review and synthesis of relevant research literature.

Hart, Cris. Doing a Literature Review: Releasing the Social Science Research Imagination . Thousand Oaks, CA: Sage, 1998; Pyrczak, Fred. Writing Empirical Research Reports: A Basic Guide for Students of the Social and Behavioral Sciences . 8th edition. Glendale, CA: Pyrczak Publishing, 2014.

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How to Write the Background of a Study

• Research Process

The background to a study sets the scene . It lays out the “state of the art”. It tells your reader about other research done on the topic in question, via useful review papers and other summaries of the literature.

Updated on May 5, 2023

The background to your study, sometimes called the ‘state of the art’ (especially in grant writing), sets the scene for a paper. This section shows readers why your research is important, relevant, and why they should continue reading. You must hook them in with a great background to your study, which is part of the overall introduction to your research paper.

In higher impact articles, such as those published in Nature or Science (which is what we are all aiming for, after all …), the study background is t he middle section of an essentially three-part introduction . This section is framed by a presentation of ‘the question’ (first part of the introduction) and a quick explanation of ‘what this paper will do’ (the third part of the introduction).

The introduction of a research paper should be “shaped” like an upside down triangle: 

Start broad. Set the scene with a large-scale general research area [e.g., why doing a PhD erases your writing skills (ha ha) or mental health in teenagers and why this is such a widespread global issue] and then focus down to the question your research addresses (e.g., how can writing skills be improved in PhD students, or brain scans and how these can be used in treatment).

Read on to learn more about framing your next research paper with a well-written and researched background section.

What is the background of a study?

The background to a study sets the scene . It lays out the “state of the art”. It tells your reader about other research done on the topic in question, via useful review papers and other summaries of the literature. 

A background is not a literature review: No one wants to read endless citations back-to-back in this section. You don’t need to list all the papers you’ve read, or all the work done in the past on this topic. 

Set the scene and frame your question in the context of the literature. Seek out review articles in particular. The aim of this section is to build on what has come before so your reader will be armed with all the information they need to understand the remainder of your article, and why - in context - the aims of your study are important.

How to write the background to your research paper

Cater to your audience.

It’s important to frame your background to the right audience.

The background of your study needs to be pitched differently depending on your target journal. A more subject-area specific journal (e.g. Journal of Brain Studies ) will be read by specialists in your field. Generally, less information to set up the paper in a wider context and less background information will be required. Your readers are already experts on the topic in question .

However, if you are aiming your paper at a more general audience (a journal like Nature or Science , for example) then you're going to need to explain more in your background. A reader of a specialized journal will know about the neocortex within the brain and where this is located, but a general reader will need you to set things up more.

Readers are always the most important people in research publishing, after all: If you want your work to be read, used, and cited (and therefore drive up your H-index as well as your institution’s ranking) you’ll need a well-pitched background of your study.

What is included in the background of a study?

Remember this section sits in the middle of the introduction. Here’s a handy template for what to include:

• Existing research on the area of study (not everything, but a broad overview. Aim to cite review papers if you can). Start this section with preliminary data and then build it out;
• Mention any controversies around your topic (either that you’ve identified, or that have been picked up by earlier work. Check the discussion sections of recent articles for pointers here);
• Any gaps in existing research?, and;
• How will your study fill these gaps? State your research methodologies. Any further research that needs to be done?

Aim for one paragraph , or a series of short paragraphs within one section. The last two of the topics outlined above can be short, just one or two sentences. These are there to hook the reader in and to frame your background so that the text leads into the final section of the introduction where you explain ‘What your paper is going to do’.

Simple really.

And finally…some thoughts

I used to get really bogged down with article writing, especially the shape of the introduction.

Here’s a trick to keep in mind: Remember that the average length of an academic research paper published in a peer reviewed journal is around 4,000 - 5,000 words - not too long. 

This means that you're likely going to be aiming for an article of about this length the next time you sit down to write: Not too many words for an effective and well-structured introduction. You’ve got about 1,500 - 2,000 words maximum. And aim to keep it short (this will be enforced by word count limits, especially in higher impact journals like Nature and Science ). Editors at these journals are trained to cut down your writing to make sure your research fits in.

Less is more, in other words.

Keeping tight word count limits in mind means you can’t write an expansive, flowing background to your study that goes off in all directions and covers a huge amount of ground. Keep an eye on our tips for what to include, cite review papers, and keep your readers interested in the question your paper seeks to address.

A well written background to your study will ensure your paper gets read all the way through to the end. Can’t ask for more than that!

The AJE Team

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Tips for Writing an Effective Background of the Study

The Background of the Study is an integral part of any research paper that sets the context and the stage for the research presented in the paper. It's the section that provides a detailed context of the study by explaining the problem under investigation, the gaps in existing research that the study aims to fill, and the relevance of the study to the research field. It often incorporates aspects of the existing literature and gives readers an understanding of why the research is necessary and the theoretical framework that it is grounded in.

The Background of the Study holds a significant position in the process of research. It serves as the scaffold upon which the entire research project is built. It helps the reader understand the problem, its significance, and how your research will contribute to the existing body of knowledge. A well-articulated background can provide a clear roadmap for your study and assist others in understanding the direction and value of your research. Without it, readers may struggle to grasp the purpose and importance of your work.

The aim of this blog post is to guide budding researchers, students, and academicians on how to craft an effective Background of the Study section for their research paper. It is designed to provide practical tips, highlight key components, and elucidate common mistakes to avoid. By the end of this blog post, readers should have a clear understanding of how to construct a compelling background that successfully contextualizes their research, highlights its significance, and sets a clear path for their investigation.

Understanding the background of the study

The Background of the Study in a research context refers to a section of your research paper that discloses the basis and reasons behind the conduction of the study. It sets the broader context for your research by presenting the problem that your study intends to address, giving a brief overview of the subject domain, and highlighting the existing gaps in knowledge. This section also presents the theoretical or conceptual framework and states the research objectives, and often includes the research question or hypothesis . The Background of the Study gives your readers a deeper understanding of the purpose, importance, and direction of your study.

How it fits into the overall structure of a research paper

The Background of the Study typically appears after the introduction and before the literature review in the overall structure of a research paper. It acts as a bridge between the general introduction, where the topic is initially presented, and the more specific aspects of the paper such as the literature review, methodology , results , and discussion. It provides necessary information to help readers understand the relevance and value of the study in a wider context, before zooming in to specific details of your research.

Difference between the background of the study, introduction, and literature review

Now that we understand the role of the Background of the Study within a research paper, let's delve deeper to differentiate it from two other crucial components of the paper - the Introduction and the Literature Review.

• Background of the Study: This section provides a comprehensive context for the research, including a statement of the problem , the theoretical or conceptual framework, the gap that the study intends to fill, and the overall significance of the research. It guides the reader from a broad understanding of the research context to the specifics of your study.
• Introduction: This is the first section of the research paper that provides a broad overview of the topic , introduces the research question or hypothesis , and briefly mentions the methodology used in the study. It piques the reader's interest and gives them a reason to continue reading the paper.
• Literature Review: This section presents an organized summary of the existing research related to your study. It helps identify what we already know and what we do not know about the topic, thereby establishing the necessity for your research. The literature review allows you to demonstrate how your study contributes to and extends the existing body of knowledge.

While these three sections may overlap in some aspects, each serves a unique purpose and plays a critical role in the research paper.

Components of the background of the study

Statement of the problem.

This is the issue or situation that your research is intended to address. It should be a clear, concise declaration that explains the problem in detail, its context, and the negative impacts if it remains unresolved. This statement also explains why there's a need to study the problem, making it crucial for defining the research objectives.

Importance of the study

In this component, you outline the reasons why your research is significant. How does it contribute to the existing body of knowledge? Does it provide insights into a particular issue, offer solutions to a problem, or fill gaps in existing research? Clarifying the importance of your study helps affirm its value to your field and the larger academic community.

Relevant previous research and literature

Present an overview of the major studies and research conducted on the topic. This not only shows that you have a broad understanding of your field, but it also allows you to highlight the knowledge gaps that your study aims to fill. It also helps establish the context of your study within the larger academic dialogue.

Theoretical framework

The theoretical framework is the structure that can hold or support a theory of a research study. It presents the theories, concepts, or ideas which are relevant to the study and explains how these theories apply to your research. It helps to connect your findings to the broader constructs and theories in your field.

Research questions or hypotheses

These are the specific queries your research aims to answer or the predictions you are testing. They should be directly aligned with your problem statement and clearly set out what you hope to discover through your research.

Potential implications of the research

This involves outlining the potential applications of your research findings in your field and possibly beyond. What changes could your research inspire? How might it influence future studies? By explaining this, you underscore the potential impact of your research and its significance in a broader context.

How to write a comprehensive background of the study

Identify and articulate the problem statement.

To successfully identify and articulate your problem statement, consider the following steps:

• Start by clearly defining the problem your research aims to solve. The problem should be specific and researchable.
• Provide context for the problem. Where does it arise? Who or what is affected by it?
• Clearly articulate why the problem is significant. Is it a new issue, or has it been a long-standing problem in your field? How does it impact the broader field or society at large?
• Express the potential adverse effects if the problem remains unresolved. This can help underscore the urgency or importance of your research.
• Remember, while your problem statement should be comprehensive, aim for conciseness. You want to communicate the gravity of the issue in a precise and clear manner.

Conduct and summarize relevant literature review

A well-executed literature review is fundamental for situating your study within the broader context of existing research. Here's how you can approach it:

• Begin by conducting a comprehensive search for existing research that is relevant to your problem statement. Make use of academic databases, scholarly journals, and other credible sources of research.
• As you read these studies, pay close attention to their key findings, research methodologies, and any gaps in the research that they've identified. These elements will be crucial in the summary of your literature review.
• Make an effort to analyze, rather than just list, the studies. This means drawing connections between different research findings, contrasting methodologies, and identifying overarching trends or conflicts in the field.
• When summarizing the literature review, focus on synthesis . Explain how these studies relate to each other and how they collectively relate to your own research. This could mean identifying patterns, themes, or gaps that your research aims to address.

Describe the theoretical framework

The theoretical framework of your research is crucial as it grounds your work in established concepts and provides a lens through which your results can be interpreted. Here's how to effectively describe it:

• Begin by identifying the theories, ideas, or models upon which your research is based. These may come from your literature review or your understanding of the subject matter.
• Explain these theories or concepts in simple terms, bearing in mind that your reader may not be familiar with them. Be sure to define any technical terms or jargon that you use.
• Make connections between these theories and your research. How do they relate to your study? Do they inform your research questions or hypotheses?
• Show how these theories guide your research methodology and your analysis. For instance, do they suggest certain methods for data collection or specific ways of interpreting your data?
• Remember, your theoretical framework should act as the "lens" through which your results are viewed, so it needs to be relevant and applicable to your study.

Formulate your research questions or hypotheses

Crafting well-defined research questions or hypotheses is a crucial step in outlining the scope of your research. Here's how you can effectively approach this process:

• Begin by establishing the specific questions your research aims to answer. If your study is more exploratory in nature, you may formulate research questions. If it is more explanatory or confirmatory, you may state hypotheses.
• Ensure that your questions or hypotheses are researchable. They should be specific, clear, and measurable with the methods you plan to use.
• Check that your research questions or hypotheses align with your problem statement and research objectives. They should be a natural extension of the issues outlined in your background of the study.
• Finally, remember that well-crafted research questions or hypotheses will guide your research design and help structure your entire paper. They act as the anchors around which your research revolves.

Highlight the potential implications and significance of your research

To conclude your Background of the Study, it's essential to highlight the potential implications and significance of your work. Here's how to do it effectively:

• Start by providing a clear explanation of your research's potential implications. This could relate to the advancement of theoretical knowledge or practical applications in the real world.
• Discuss the importance of your research within the context of your field. How does it contribute to the existing body of knowledge? Does it challenge current theories or practices?
• Highlight how your research could influence future studies. Could it open new avenues of inquiry? Does it suggest a need for further research in certain areas?
• Finally, consider the practical applications of your research. How could your findings be used in policy-making, business strategies, educational practices, or other real-world scenarios?
• Always keep in mind that demonstrating the broader impact of your research increases its relevance and appeal to a wider audience, extending beyond the immediate academic circle.

Following these guidelines can help you effectively highlight the potential implications and significance of your research, thereby strengthening the impact of your study.

Practical tips for writing the background of the study

Keeping the section concise and focused.

Maintain clarity and brevity in your writing. While you need to provide sufficient detail to set the stage for your research, avoid unnecessary verbosity. Stay focused on the main aspects related to your research problem, its context, and your study's contribution.

Ensuring the background aligns with your research questions or hypotheses

Ensure a clear connection between your background and your research questions or hypotheses. Your problem statement, review of relevant literature, theoretical framework, and the identified gap in research should logically lead to your research questions or hypotheses.

Citing your sources correctly

Always attribute the ideas, theories, and research findings of others appropriately to avoid plagiarism . Correct citation not only upholds academic integrity but also allows your readers to access your sources if they wish to explore them in depth. The citation style may depend on your field of study or the requirements of the journal or institution.

Bridging the gap between existing research and your study

Identify the gap in existing research that your study aims to fill and make it explicit. Show how your research questions or hypotheses emerged from this identified gap. This helps to position your research within the broader academic conversation and highlights the unique contribution of your study.

Avoiding excessive jargon

While technical terms are often unavoidable in academic writing, use them sparingly and make sure to define any necessary jargon for your reader. Your Background of the Study should be understandable to people outside your field as well. This will increase the accessibility and impact of your research.

Common mistakes to avoid while writing the background of the study

Being overly verbose or vague.

While it's important to provide sufficient context, avoid being overly verbose in your descriptions. Also, steer clear of vague or ambiguous phrases. The Background of the Study should be clear, concise, and specific, giving the reader a precise understanding of the study's purpose and context.

Failing to relate the background to the research problem

The entire purpose of the Background of the Study is to set the stage for your research problem. If it doesn't directly relate to your problem statement, research questions, or hypotheses, it may confuse the reader. Always ensure that every element of the background ties back to your study.

Neglecting to mention important related studies

Not mentioning significant related studies is another common mistake. The Background of the Study section should give a summary of the existing literature related to your research. Omitting key pieces of literature can give the impression that you haven't thoroughly researched the topic.

Overusing technical jargon without explanation

While certain technical terms may be necessary, overuse of jargon can make your paper inaccessible to readers outside your immediate field. If you need to use technical terms, make sure you define them clearly. Strive for clarity and simplicity in your writing as much as possible.

Not citing sources or citing them incorrectly

Academic integrity is paramount in research writing. Ensure that every idea, finding, or theory that is not your own is properly attributed to its original source. Neglecting to cite, or citing incorrectly, can lead to accusations of plagiarism and can discredit your research. Always follow the citation style guide relevant to your field.

Writing an effective Background of the Study is a critical step in crafting a compelling research paper. It serves to contextualize your research, highlight its significance, and present the problem your study seeks to address. Remember, your background should provide a comprehensive overview of the current state of research, identify gaps in existing literature, and indicate how your research will fill these gaps. Keep your writing concise, focused, and jargon-free, making sure to correctly cite all sources. Avoiding common mistakes and adhering to the strategies outlined in this post will help you develop a robust and engaging background for your study. As you embark on your research journey, remember that the Background of the Study sets the stage for your entire research project, so investing time and effort into crafting it effectively will undoubtedly pay dividends in the end.

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In a research paper, what is the background of study?

Research papers should include a background of study statement that provides context for the study. Read the article and learn more about it!

Unless you provide the background information needed for the reader to understand your choice of the subject and why your study is important, they will not be able to grasp the significance of the findings of your research, regardless of how significant and fascinating they are. 

Research papers should include a background of study statement that provides context for the study. A reader’s interest in the rest of the study is determined by the quality of the background. It is therefore imperative to write an engaging and effective background. How should a study’s background be written, and how should it be presented?

What is the background of study in the research paper?

The background of a study outlines how your research began, your interest in the subject, and the development of your study question. In other words, you should provide a broad overview of the research that you performed, followed by a discussion of what motivated you to choose the particular problem that you studied. 

Your topic should be clearly understood by the reader. Whether and to what extent you need to explain your background depends on what you are writing about. 

A research paper’s background section

The background of a research paper acts as the first element readers will notice; so it is important that it is informative and fascinating enough to get them interested in reading further. In the background, the volume and the specifics vary according to the research paper, particularly if the topic is complex or novel. 

Complex studies can sometimes be simplified by a simple background. Reviewing previous literature on the topic of your study is typically part of your research background. After identifying the gaps in existing knowledge, you should explain how your study will fill them.

The difference between the background of the study and the introduction section

There are a number of ways in which your introduction differs from your background. In the introduction, you provide preliminary information about the paper that is likely to be studied by the reader, but in the background section, you explain why the paper is relevant. 

In your study’s background, you discuss the topic in great detail, in contrast to the introduction, which provides an overall view of the topic. You should conclude your introduction with reasons for conducting research, objectives, and research goals, not your background, other than when it is incorporated into the introduction.

Here are the steps to writing a background of study

• Defining the research topic and identifying the target audience is the best way to start the background.
• Provide a detailed discussion of all concepts, terminology, keywords, and information that may feel new to the intended audience.
• Examine the relevant literature in depth to learn more about the essential requirements. 
• Read carefully and make notes. Cite your sources when you are done.
• Be sure to strike a balance between emphasizing key points, as well as communicating to a wide audience.
• History is a significant source of current issues. Add relevant data in the background if your research relies on historical information.
• Provide an explanation to help people understand the research if it is groundbreaking or novel.
• Develop a compelling narrative around the research theme to increase engagement. Don’t forget to add the necessary infographics.

Here are some things to avoid in a study’s background

In the case of your research paper, when you established the background in an organized manner, you would have been able to lead the reader seamlessly throughout. Nevertheless, you should be careful as well, here are a few points to keep in mind.

• Avoid unclear language at all costs. Consider your reader as unaware of any complex details about your research while writing.
• Avoid writing an excessively long or short background. Write concisely while not forgetting to include everything that is important.  
• Don’t devote time to topics that don’t relate to the main thrust of the research.
• Putting information without a structure is a disorganized approach. A chronology should be followed for the background, and subsections should be ordered logically.
• Be sure to cite every source.

For more information on how to write research articles and papers, please visit our blog . 

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About Aayushi Zaveri

Aayushi Zaveri majored in biotechnology engineering. She is currently pursuing a master's degree in Bioentrepreneurship from Karolinska Institute. She is interested in health and diseases, global health, socioeconomic development, and women's health. As a science enthusiast, she is keen in learning more about the scientific world and wants to play a part in making a difference.

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Writing Research Background

Research background is a brief outline of the most important studies that have been conducted so far presented in a chronological order. Research background part in introduction chapter can be also headed ‘Background of the Study.” Research background should also include a brief discussion of major theories and models related to the research problem.

Specifically, when writing research background you can discuss major theories and models related to your research problem in a chronological order to outline historical developments in the research area.  When writing research background, you also need to demonstrate how your research relates to what has been done so far in the research area.

Research background is written after the literature review. Therefore, literature review has to be the first and the longest stage in the research process, even before the formulation of research aims and objectives, right after the selection of the research area. Once the research area is selected, the literature review is commenced in order to identify gaps in the research area.

Research aims and objectives need to be closely associated with the elimination of this gap in the literature. The main difference between background of the study and literature review is that the former only provides general information about what has been done so far in the research area, whereas the latter elaborates and critically reviews previous works.

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The importance of crafting a good introduction to scholarly research: strategies for creating an effective and impactful opening statement

Mohsen tavakol.

1 Medical Education Centre, School of Medicine, The University of Nottingham, UK

David O'Brien

Introduction.

The introduction section is arguably one of the most critical elements of a written piece of research work, often setting the tone for the remainder of any dissertation or research article. The primary purpose of an introduction is to provide the reader with a clear understanding of the research question, in addition to the scope, rationale, aims and objectives of the study. This ensures the reader can more easily comprehend the context of the research, which will consequently help them better interpret and evaluate the study results. One could liken an introduction to a trailer for a movie, where the plot of the film (the research topic) is introduced by setting the scene (outlining the significance of the topic) and enticing you to watch the full movie (understanding the research and its importance).

Despite this, our experience suggests that students frequently pay insufficient attention to the introduction section of their dissertation or omit elements which we consider essential to address. This editorial aims to help researchers appreciate the importance of a comprehensive dissertation introduction in medical education research and learn how to effectively manage this key section of their work.  Although it focuses purely on the introduction section of a written research submission, readers interested in learning more about the other primary steps of the research process are encouraged to read AMEE Guide No. 90 1 , 2 textbooks on research methods and both consult and seek constructive feedback from colleagues with expertise in research methods and writing for publication.

Here we aim to provide the reader with a simple structure of how best to construct the introduction for a dissertation and recommend that this should typically include the following essential components and principles.

Background to the research topic

The purpose of providing background information in an introduction is to supply the context and other essential information concerning the research topic, and thus allow the reader to understand the significance of the specific research question and where it sits within the broader field of study. This aids the reader to better understand how the research question contributes to the existing body of knowledge and why it is, necessary to investigate this specific aspect further. For example, suppose the study concerns the effectiveness of simulation-based training in medical education. In this case, the broader field of the study may include relevant areas such as medical simulation, medical education research, health care education, standardised patients, simulation-based training, and curriculum development based on simulation training. After providing the reader with an understanding of the context and relevance of the topic of interest, the researcher must then establish a theoretical or conceptual framework. This underpins the study topic in order that the reader can understand how any research questions and objectives are formulated. It is important to distinguish between these two frameworks. A theoretical framework describes the rationale for applying a particular theory to provide support and structure for the topic being studied. In the absence of an applicable theory, a conceptual framework substantiates the significance of a particular problem, context or phenomenon within a specific area of the study by illustrating its relevance and connection to research topic. 3 A conceptual framework highlights the importance of a research topic by showing how it relates to the larger body of knowledge in a particular field. Here is an example to demonstrate the use of a theoretical framework in a research context.

When considering Social Cognitive Theory (SCT), one of the key constructs is self-efficacy, as described by Albert Bandura, 4 and refers to the belief that a person has it within their own ability to accomplish a specific task successfully. This is not related to what a person does, but more how they perceive their ability to use these skills. So, based on this construct of self-efficacy, a researcher may formulate a research hypothesis; that examiners with higher self-efficacy in OSCEs will demonstrate improved performance in subsequent exams compared to those with lower self-efficacy. Now the researcher is in a position to identify the fundamental concepts of the research, i.e., self-efficacy (personal factors), examiner performance (behavioural factors) and examination conditions and examiner scaffolding support (environmental factors). Identifying key concepts helps the researcher find the relationship between these, and develop appropriate research questions, e.g., 1) How does an examiner's self-efficacy in OSCEs affect their ability to assess students in subsequent exams? 2) How does the support provided to examiners and exam conditions influence the link between self-efficacy and examiner performance in OSCEs? 3) Do examiners with high self-efficacy provide fairer scores than those with low self-efficacy in OSCEs? By having a theoretical framework, researchers can establish a foundation for their research and provide a clear picture of the relationship between the key concepts involved in the study. Researchers must also provide any conceptual and operational definitions for key concepts or variables that will be used in the study. Clearly defining key concepts and variables in the background section of a dissertation can also help establish the significance of the research question and its relevance to the broader field of study. As the name implies, a conceptual definition refers to a variable's meaning in a conceptual, abstract, or theoretical sense. Conceptual definitions are often used to describe concepts which cannot be directly measured, such as active learning, rote learning, inter-professional learning, inter-professional education, or constructs such as clinical performance. Conversely, operational definitions define the steps researchers must take in order to collect data to measure a phenomenon or concept. 5 For example, clinical performance can be considered a conceptual construct but may also be defined operationally as the ability of students to pass 12 out of 16 stations of an OSCE. The researcher having already pre-specified specific the criteria for classifying students as pass/fail in order to determine the ability of students to perform clinically. This operational definition provides a clear method for evaluating and measuring student ability, which can then be used to give feedback and guide further learning or to establish clear expectations for students and provide a basis for evaluating and assessing their performance. In general, it can be beneficial for medical education programs to define aspects such as clinical performance operationally in this way in rather than conceptually, especially if there is a need to ensure that students meet a required standard of competence and are prepared for the demands of real-world clinical practice. These definitions can also then be used to establish the methods and criteria by which the variables of the study will subsequently be measured or altered.

Citing the existing literature to support the research aim

A literature review is the process of critically evaluating existing research and utilising it to inform and guide the research proposal under investigation. Taking this approach enables researchers to ensure that their research is not only grounded in, but also contributes meaningfully to, any existing knowledge as a whole. Critically reviewing the literature provides evidence and justification for any research and is essential when formulating a hypothesis, question, or study objectives. In addition, and perhaps most importantly, it helps identify any gaps or inconsistencies in the existing knowledge base. Determining the knowledge gap is critical in justifying the necessity for our research and advancing knowledge. A comprehensive literature review also helps establish the theoretical or conceptual frameworks to ground any subsequent research, providing researchers with guidance and direction on how best to conduct their future studies. Understanding from the literature what has worked previously and what may pose challenges or limitations assists researchers when exploring the best methods and techniques for answering new research questions. To clarify, consider a hypothetical study in which researchers wish to examine the effectiveness of a specific educational intervention in medical students to improve patient safety. Based on the existing literature, let's assume that researchers learned that most studies had only focused on short-term outcomes rather than long-term ones. The long-term effects of any intervention in medical students on patient safety therefore remain uncertain. Researchers may therefore wish to consider conducting longitudinal studies months after interventions have been carried out, rather than simply repeating research based on short-term outcomes, in order to address the current knowledge gap. A review of existing literature may highlight hitherto previously unconsidered logistical difficulties in conducting longitudinal studies in this area that the researcher may need to be aware of.

Stating the significance of the research

More than simply reporting the existing research, one of the key objectives in any literature review is to summarise and synthesise existing research on the intended topic in order to analyse the significance of the research in question. In this process, diverse ideas can be merged to form fresh new perspectives. Any gaps, limitations, or controversies in medical education can be identified, and potential future benefits and implications of the proposed research explained to the reader. Based on any potential impact or perceived importance, the introduction provides an excellent opportunity for the researcher to affirm the significance of the research study and why it should be conducted.

By way of an example, the significance of a study concerning feedback given to examiners for Objective Structured Clinical Examinations (OSCEs) is used to illustrate this point further. The potential significance of this research lies in improving the validity and reliability of OSCE scores in medical education. As a result of reviewing different types of feedback given to examiners, the research may assist in identifying the most effective strategies for improving the quality of OSCEs in medical education. By providing new insights into how feedback can improve the reliability and validity of OSCE results, the research could also contribute to the broader knowledge of assessment in general. This may result in the development of more accurate and robust medical education assessments, which in turn may potentially enhance delivery of healthcare and improve patient outcomes and safety. It may also address the current challenges and gaps in medical education assessment by providing evidence-based approaches for improving OSCE quality.

Formulating Research Questions and Objectives

Researchers formulate research questions and objectives based on the topic they are seeking to address. As noted previously, these will have already been derived as a result of a comprehensive literature review of any existing knowledge and based on a theoretical or conceptual framework. Furthermore, in medical education, the literature review provides researchers with the opportunity to formulate new research questions or research objectives to address any gaps or limitations in the existing literature and add something new to the current body of knowledge. Research questions and objectives should be stated clearly, being both specific, and measurable. These should then guide the subsequent selection of appropriate research methods, data collection and any subsequent analytical process. Clear, focused, and rigorous research questions and objectives will ensure the study is well-designed and make a valuable contribution to the existing body of knowledge.

Qualitative research questions should be open-ended and exploratory rather than focused on a specific hypothesis or proposition. It is common for qualitative studies to focus on understanding how and why certain phenomena occur, rather than simply describing what has occurred. These should be formulated to elicit rich, detailed, and context-specific data that can provide insights into the experiences, perspectives, and meanings of the participants. In contrast, quantitative research questions are more specific and are designed to test a particular hypothesis or relationship. In medical education, it is imperative to emphasise the importance of both qualitative and quantitative research questions when it comes to generating new knowledge. Combining both quantitative and qualitative research methods (mixed methods) can be particularly powerful in providing a more comprehensive understanding of any phenomena under study. Assume again that we are examining the effectiveness of feedback on the performance of medical students and adopt a mixed-methods approach using a combination of qualitative and quantitative research methods. A quantitative research question may be, what is the impact of feedback on the performance of medical students as measured by OSCE mark? How the experience of receiving feedback on performance contributes to the future professional development of medical students is a more qualitative research question. This combination of quantitative and qualitative research questions will provide an in depth understanding of the effectiveness of feedback on medical student performance. It is important to note that in qualitative research methods particularly, there can be a wide variety of research question types. For example, grounded theory researchers may ask so-called "process questions", such as 'how do students interpret and use the feedback they are given?' Phenomenologists, on the other hand, are concerned with lived experience of research subjects and frequently ask questions looking to understand the "meaning" of any such experience, often aiming to attribute feelings to this experience, for example, ‘how do students feel when they receive feedback?’ Ethnographers look to understand how culture contributes to an experience, and may ask more "descriptive questions" 5 for example, ‘how does the culture within a specific medical school affect students receiving feedback on their performance?’

For ease of reference, the key points we recommended are considered in any dissertation introduction are summarised below:

1.       Set the context for the research

2.       Establish a theoretical or conceptual framework to support your study

3.       Define key variables both conceptually and theoretically

4.       Critically appraise relevant papers during the literature review

5.       Review previous studies to identify and define the knowledge gap by assessing what has already been studied and what areas remain unexplored

6.       Clearly articulate the rationale behind your study, emphasising its importance in the intended field

7.       Clearly define your research objectives, questions, and hypotheses

Conclusions

Whilst crafting a research introduction may seem a challenging and time-consuming task, it is well worth the effort to convey your research clearly and engage potential readers. Providing sufficient background information on the research topic, conducting a comprehensive review of the existing research, determining the knowledge gap, understanding any limitations or controversies in the topic of interest, before then exploring any theoretical or conceptual frameworks to develop the research concepts, research questions and methodology are fundamental steps. Articulating any conceptual and operational definitions of key concepts and clearly defining any key terms, including explanations of how these will be used in the study is also paramount to a good introduction. It is essential to clearly present the rationale behind the research and why this is significant, clarifying what it adds to the existing body of knowledge in medical education and exploring any potential future implications. Lastly, it is vital to ensure that any research questions are clearly stated and are open-ended and exploratory in the case of qualitative studies, or specific and measurable in the case of quantitative studies.

We feel that observing these basic principles and adhering to these few simple steps will hopefully set the stage for a highly successful piece of research and will certainly go some way to achieving a favourable editorial outcome for possible subsequent publication of the work.

Conflict of Interest

The authors declare that they have no conflict of interest.

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Home » Significance of the Study – Examples and Writing Guide

Significance of the Study – Examples and Writing Guide

Table of Contents

Significance of the Study

Definition:

Significance of the study in research refers to the potential importance, relevance, or impact of the research findings. It outlines how the research contributes to the existing body of knowledge, what gaps it fills, or what new understanding it brings to a particular field of study.

In general, the significance of a study can be assessed based on several factors, including:

• Originality : The extent to which the study advances existing knowledge or introduces new ideas and perspectives.
• Practical relevance: The potential implications of the study for real-world situations, such as improving policy or practice.
• Theoretical contribution: The extent to which the study provides new insights or perspectives on theoretical concepts or frameworks.
• Methodological rigor : The extent to which the study employs appropriate and robust methods and techniques to generate reliable and valid data.
• Social or cultural impact : The potential impact of the study on society, culture, or public perception of a particular issue.

Types of Significance of the Study

The significance of the Study can be divided into the following types:

Theoretical Significance

Theoretical significance refers to the contribution that a study makes to the existing body of theories in a specific field. This could be by confirming, refuting, or adding nuance to a currently accepted theory, or by proposing an entirely new theory.

Practical Significance

Practical significance refers to the direct applicability and usefulness of the research findings in real-world contexts. Studies with practical significance often address real-life problems and offer potential solutions or strategies. For example, a study in the field of public health might identify a new intervention that significantly reduces the spread of a certain disease.

Significance for Future Research

This pertains to the potential of a study to inspire further research. A study might open up new areas of investigation, provide new research methodologies, or propose new hypotheses that need to be tested.

How to Write Significance of the Study

Here’s a guide to writing an effective “Significance of the Study” section in research paper, thesis, or dissertation:

• Background : Begin by giving some context about your study. This could include a brief introduction to your subject area, the current state of research in the field, and the specific problem or question your study addresses.
• Identify the Gap : Demonstrate that there’s a gap in the existing literature or knowledge that needs to be filled, which is where your study comes in. The gap could be a lack of research on a particular topic, differing results in existing studies, or a new problem that has arisen and hasn’t yet been studied.
• State the Purpose of Your Study : Clearly state the main objective of your research. You may want to state the purpose as a solution to the problem or gap you’ve previously identified.
• Contributes to the existing body of knowledge.
• Addresses a significant research gap.
• Offers a new or better solution to a problem.
• Impacts policy or practice.
• Leads to improvements in a particular field or sector.
• Identify Beneficiaries : Identify who will benefit from your study. This could include other researchers, practitioners in your field, policy-makers, communities, businesses, or others. Explain how your findings could be used and by whom.
• Future Implications : Discuss the implications of your study for future research. This could involve questions that are left open, new questions that have been raised, or potential future methodologies suggested by your study.

Significance of the Study in Research Paper

The Significance of the Study in a research paper refers to the importance or relevance of the research topic being investigated. It answers the question “Why is this research important?” and highlights the potential contributions and impacts of the study.

The significance of the study can be presented in the introduction or background section of a research paper. It typically includes the following components:

• Importance of the research problem: This describes why the research problem is worth investigating and how it relates to existing knowledge and theories.
• Potential benefits and implications: This explains the potential contributions and impacts of the research on theory, practice, policy, or society.
• Originality and novelty: This highlights how the research adds new insights, approaches, or methods to the existing body of knowledge.
• Scope and limitations: This outlines the boundaries and constraints of the research and clarifies what the study will and will not address.

Suppose a researcher is conducting a study on the “Effects of social media use on the mental health of adolescents”.

The significance of the study may be:

“The present study is significant because it addresses a pressing public health issue of the negative impact of social media use on adolescent mental health. Given the widespread use of social media among this age group, understanding the effects of social media on mental health is critical for developing effective prevention and intervention strategies. This study will contribute to the existing literature by examining the moderating factors that may affect the relationship between social media use and mental health outcomes. It will also shed light on the potential benefits and risks of social media use for adolescents and inform the development of evidence-based guidelines for promoting healthy social media use among this population. The limitations of this study include the use of self-reported measures and the cross-sectional design, which precludes causal inference.”

Significance of the Study In Thesis

The significance of the study in a thesis refers to the importance or relevance of the research topic and the potential impact of the study on the field of study or society as a whole. It explains why the research is worth doing and what contribution it will make to existing knowledge.

For example, the significance of a thesis on “Artificial Intelligence in Healthcare” could be:

• With the increasing availability of healthcare data and the development of advanced machine learning algorithms, AI has the potential to revolutionize the healthcare industry by improving diagnosis, treatment, and patient outcomes. Therefore, this thesis can contribute to the understanding of how AI can be applied in healthcare and how it can benefit patients and healthcare providers.
• AI in healthcare also raises ethical and social issues, such as privacy concerns, bias in algorithms, and the impact on healthcare jobs. By exploring these issues in the thesis, it can provide insights into the potential risks and benefits of AI in healthcare and inform policy decisions.
• Finally, the thesis can also advance the field of computer science by developing new AI algorithms or techniques that can be applied to healthcare data, which can have broader applications in other industries or fields of research.

Significance of the Study in Research Proposal

The significance of a study in a research proposal refers to the importance or relevance of the research question, problem, or objective that the study aims to address. It explains why the research is valuable, relevant, and important to the academic or scientific community, policymakers, or society at large. A strong statement of significance can help to persuade the reviewers or funders of the research proposal that the study is worth funding and conducting.

Here is an example of a significance statement in a research proposal:

Title : The Effects of Gamification on Learning Programming: A Comparative Study

Significance Statement:

This proposed study aims to investigate the effects of gamification on learning programming. With the increasing demand for computer science professionals, programming has become a fundamental skill in the computer field. However, learning programming can be challenging, and students may struggle with motivation and engagement. Gamification has emerged as a promising approach to improve students’ engagement and motivation in learning, but its effects on programming education are not yet fully understood. This study is significant because it can provide valuable insights into the potential benefits of gamification in programming education and inform the development of effective teaching strategies to enhance students’ learning outcomes and interest in programming.

Examples of Significance of the Study

Here are some examples of the significance of a study that indicates how you can write this into your research paper according to your research topic:

Research on an Improved Water Filtration System : This study has the potential to impact millions of people living in water-scarce regions or those with limited access to clean water. A more efficient and affordable water filtration system can reduce water-borne diseases and improve the overall health of communities, enabling them to lead healthier, more productive lives.

Study on the Impact of Remote Work on Employee Productivity : Given the shift towards remote work due to recent events such as the COVID-19 pandemic, this study is of considerable significance. Findings could help organizations better structure their remote work policies and offer insights on how to maximize employee productivity, wellbeing, and job satisfaction.

Investigation into the Use of Solar Power in Developing Countries : With the world increasingly moving towards renewable energy, this study could provide important data on the feasibility and benefits of implementing solar power solutions in developing countries. This could potentially stimulate economic growth, reduce reliance on non-renewable resources, and contribute to global efforts to combat climate change.

Research on New Learning Strategies in Special Education : This study has the potential to greatly impact the field of special education. By understanding the effectiveness of new learning strategies, educators can improve their curriculum to provide better support for students with learning disabilities, fostering their academic growth and social development.

Examination of Mental Health Support in the Workplace : This study could highlight the impact of mental health initiatives on employee wellbeing and productivity. It could influence organizational policies across industries, promoting the implementation of mental health programs in the workplace, ultimately leading to healthier work environments.

Evaluation of a New Cancer Treatment Method : The significance of this study could be lifesaving. The research could lead to the development of more effective cancer treatments, increasing the survival rate and quality of life for patients worldwide.

When to Write Significance of the Study

The Significance of the Study section is an integral part of a research proposal or a thesis. This section is typically written after the introduction and the literature review. In the research process, the structure typically follows this order:

• Title – The name of your research.
• Abstract – A brief summary of the entire research.
• Introduction – A presentation of the problem your research aims to solve.
• Literature Review – A review of existing research on the topic to establish what is already known and where gaps exist.
• Significance of the Study – An explanation of why the research matters and its potential impact.

In the Significance of the Study section, you will discuss why your study is important, who it benefits, and how it adds to existing knowledge or practice in your field. This section is your opportunity to convince readers, and potentially funders or supervisors, that your research is valuable and worth undertaking.

Advantages of Significance of the Study

The Significance of the Study section in a research paper has multiple advantages:

• Establishes Relevance: This section helps to articulate the importance of your research to your field of study, as well as the wider society, by explicitly stating its relevance. This makes it easier for other researchers, funders, and policymakers to understand why your work is necessary and worth supporting.
• Guides the Research: Writing the significance can help you refine your research questions and objectives. This happens as you critically think about why your research is important and how it contributes to your field.
• Attracts Funding: If you are seeking funding or support for your research, having a well-written significance of the study section can be key. It helps to convince potential funders of the value of your work.
• Opens up Further Research: By stating the significance of the study, you’re also indicating what further research could be carried out in the future, based on your work. This helps to pave the way for future studies and demonstrates that your research is a valuable addition to the field.
• Provides Practical Applications: The significance of the study section often outlines how the research can be applied in real-world situations. This can be particularly important in applied sciences, where the practical implications of research are crucial.
• Enhances Understanding: This section can help readers understand how your study fits into the broader context of your field, adding value to the existing literature and contributing new knowledge or insights.

Limitations of Significance of the Study

The Significance of the Study section plays an essential role in any research. However, it is not without potential limitations. Here are some that you should be aware of:

• Subjectivity: The importance and implications of a study can be subjective and may vary from person to person. What one researcher considers significant might be seen as less critical by others. The assessment of significance often depends on personal judgement, biases, and perspectives.
• Predictability of Impact: While you can outline the potential implications of your research in the Significance of the Study section, the actual impact can be unpredictable. Research doesn’t always yield the expected results or have the predicted impact on the field or society.
• Difficulty in Measuring: The significance of a study is often qualitative and can be challenging to measure or quantify. You can explain how you think your research will contribute to your field or society, but measuring these outcomes can be complex.
• Possibility of Overstatement: Researchers may feel pressured to amplify the potential significance of their study to attract funding or interest. This can lead to overstating the potential benefits or implications, which can harm the credibility of the study if these results are not achieved.
• Overshadowing of Limitations: Sometimes, the significance of the study may overshadow the limitations of the research. It is important to balance the potential significance with a thorough discussion of the study’s limitations.
• Dependence on Successful Implementation: The significance of the study relies on the successful implementation of the research. If the research process has flaws or unexpected issues arise, the anticipated significance might not be realized.

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How To Write Significance of the Study (With Examples) 

Whether you’re writing a research paper or thesis, a portion called Significance of the Study ensures your readers understand the impact of your work. Learn how to effectively write this vital part of your research paper or thesis through our detailed steps, guidelines, and examples.

Related: How to Write a Concept Paper for Academic Research

Table of Contents

What is the significance of the study.

The Significance of the Study presents the importance of your research. It allows you to prove the study’s impact on your field of research, the new knowledge it contributes, and the people who will benefit from it.

Related: How To Write Scope and Delimitation of a Research Paper (With Examples)

Where Should I Put the Significance of the Study?

The Significance of the Study is part of the first chapter or the Introduction. It comes after the research’s rationale, problem statement, and hypothesis.

Related: How to Make Conceptual Framework (with Examples and Templates)

Why Should I Include the Significance of the Study?

The purpose of the Significance of the Study is to give you space to explain to your readers how exactly your research will be contributing to the literature of the field you are studying 1 . It’s where you explain why your research is worth conducting and its significance to the community, the people, and various institutions.

How To Write Significance of the Study: 5 Steps

Below are the steps and guidelines for writing your research’s Significance of the Study.

1. Use Your Research Problem as a Starting Point

Your problem statement can provide clues to your research study’s outcome and who will benefit from it 2 .

Ask yourself, “How will the answers to my research problem be beneficial?”. In this manner, you will know how valuable it is to conduct your study. 

Let’s say your research problem is “What is the level of effectiveness of the lemongrass (Cymbopogon citratus) in lowering the blood glucose level of Swiss mice (Mus musculus)?”

Discovering a positive correlation between the use of lemongrass and lower blood glucose level may lead to the following results:

• Increased public understanding of the plant’s medical properties;
• Higher appreciation of the importance of lemongrass  by the community;
• Adoption of lemongrass tea as a cheap, readily available, and natural remedy to lower their blood glucose level.

Once you’ve zeroed in on the general benefits of your study, it’s time to break it down into specific beneficiaries.

2. State How Your Research Will Contribute to the Existing Literature in the Field

Think of the things that were not explored by previous studies. Then, write how your research tackles those unexplored areas. Through this, you can convince your readers that you are studying something new and adding value to the field.

3. Explain How Your Research Will Benefit Society

In this part, tell how your research will impact society. Think of how the results of your study will change something in your community. 

For example, in the study about using lemongrass tea to lower blood glucose levels, you may indicate that through your research, the community will realize the significance of lemongrass and other herbal plants. As a result, the community will be encouraged to promote the cultivation and use of medicinal plants.

4. Mention the Specific Persons or Institutions Who Will Benefit From Your Study

Using the same example above, you may indicate that this research’s results will benefit those seeking an alternative supplement to prevent high blood glucose levels.

5. Indicate How Your Study May Help Future Studies in the Field

You must also specifically indicate how your research will be part of the literature of your field and how it will benefit future researchers. In our example above, you may indicate that through the data and analysis your research will provide, future researchers may explore other capabilities of herbal plants in preventing different diseases.

Tips and Warnings

• Think ahead . By visualizing your study in its complete form, it will be easier for you to connect the dots and identify the beneficiaries of your research.
• Write concisely. Make it straightforward, clear, and easy to understand so that the readers will appreciate the benefits of your research. Avoid making it too long and wordy.
• Go from general to specific . Like an inverted pyramid, you start from above by discussing the general contribution of your study and become more specific as you go along. For instance, if your research is about the effect of remote learning setup on the mental health of college students of a specific university , you may start by discussing the benefits of the research to society, to the educational institution, to the learning facilitators, and finally, to the students.
• Seek help . For example, you may ask your research adviser for insights on how your research may contribute to the existing literature. If you ask the right questions, your research adviser can point you in the right direction.
• Revise, revise, revise. Be ready to apply necessary changes to your research on the fly. Unexpected things require adaptability, whether it’s the respondents or variables involved in your study. There’s always room for improvement, so never assume your work is done until you have reached the finish line.

Significance of the Study Examples

This section presents examples of the Significance of the Study using the steps and guidelines presented above.

Example 1: STEM-Related Research

Research Topic: Level of Effectiveness of the Lemongrass ( Cymbopogon citratus ) Tea in Lowering the Blood Glucose Level of Swiss Mice ( Mus musculus ).

Significance of the Study .

This research will provide new insights into the medicinal benefit of lemongrass ( Cymbopogon citratus ), specifically on its hypoglycemic ability.

Through this research, the community will further realize promoting medicinal plants, especially lemongrass, as a preventive measure against various diseases. People and medical institutions may also consider lemongrass tea as an alternative supplement against hyperglycemia. 

Moreover, the analysis presented in this study will convey valuable information for future research exploring the medicinal benefits of lemongrass and other medicinal plants.  

Example 2: Business and Management-Related Research

Research Topic: A Comparative Analysis of Traditional and Social Media Marketing of Small Clothing Enterprises.

Significance of the Study:

By comparing the two marketing strategies presented by this research, there will be an expansion on the current understanding of the firms on these marketing strategies in terms of cost, acceptability, and sustainability. This study presents these marketing strategies for small clothing enterprises, giving them insights into which method is more appropriate and valuable for them. 

Specifically, this research will benefit start-up clothing enterprises in deciding which marketing strategy they should employ. Long-time clothing enterprises may also consider the result of this research to review their current marketing strategy.

Furthermore, a detailed presentation on the comparison of the marketing strategies involved in this research may serve as a tool for further studies to innovate the current method employed in the clothing Industry.

Example 3: Social Science -Related Research.

Research Topic:  Divide Et Impera : An Overview of How the Divide-and-Conquer Strategy Prevailed on Philippine Political History.

Significance of the Study :

Through the comprehensive exploration of this study on Philippine political history, the influence of the Divide et Impera, or political decentralization, on the political discernment across the history of the Philippines will be unraveled, emphasized, and scrutinized. Moreover, this research will elucidate how this principle prevailed until the current political theatre of the Philippines.

In this regard, this study will give awareness to society on how this principle might affect the current political context. Moreover, through the analysis made by this study, political entities and institutions will have a new approach to how to deal with this principle by learning about its influence in the past.

In addition, the overview presented in this research will push for new paradigms, which will be helpful for future discussion of the Divide et Impera principle and may lead to a more in-depth analysis.

Example 4: Humanities-Related Research

Research Topic: Effectiveness of Meditation on Reducing the Anxiety Levels of College Students.

Significance of the Study: 

This research will provide new perspectives in approaching anxiety issues of college students through meditation. 

Specifically, this research will benefit the following:

 Community – this study spreads awareness on recognizing anxiety as a mental health concern and how meditation can be a valuable approach to alleviating it.

Academic Institutions and Administrators – through this research, educational institutions and administrators may promote programs and advocacies regarding meditation to help students deal with their anxiety issues.

Mental health advocates – the result of this research will provide valuable information for the advocates to further their campaign on spreading awareness on dealing with various mental health issues, including anxiety, and how to stop stigmatizing those with mental health disorders.

Parents – this research may convince parents to consider programs involving meditation that may help the students deal with their anxiety issues.

Students will benefit directly from this research as its findings may encourage them to consider meditation to lower anxiety levels.

Future researchers – this study covers information involving meditation as an approach to reducing anxiety levels. Thus, the result of this study can be used for future discussions on the capabilities of meditation in alleviating other mental health concerns.

Frequently Asked Questions

1. what is the difference between the significance of the study and the rationale of the study.

Both aim to justify the conduct of the research. However, the Significance of the Study focuses on the specific benefits of your research in the field, society, and various people and institutions. On the other hand, the Rationale of the Study gives context on why the researcher initiated the conduct of the study.

Let’s take the research about the Effectiveness of Meditation in Reducing Anxiety Levels of College Students as an example. Suppose you are writing about the Significance of the Study. In that case, you must explain how your research will help society, the academic institution, and students deal with anxiety issues through meditation. Meanwhile, for the Rationale of the Study, you may state that due to the prevalence of anxiety attacks among college students, you’ve decided to make it the focal point of your research work.

2. What is the difference between Justification and the Significance of the Study?

In Justification, you express the logical reasoning behind the conduct of the study. On the other hand, the Significance of the Study aims to present to your readers the specific benefits your research will contribute to the field you are studying, community, people, and institutions.

Suppose again that your research is about the Effectiveness of Meditation in Reducing the Anxiety Levels of College Students. Suppose you are writing the Significance of the Study. In that case, you may state that your research will provide new insights and evidence regarding meditation’s ability to reduce college students’ anxiety levels. Meanwhile, you may note in the Justification that studies are saying how people used meditation in dealing with their mental health concerns. You may also indicate how meditation is a feasible approach to managing anxiety using the analysis presented by previous literature.

3. How should I start my research’s Significance of the Study section?

– This research will contribute… – The findings of this research… – This study aims to… – This study will provide… – Through the analysis presented in this study… – This study will benefit…

Moreover, you may start the Significance of the Study by elaborating on the contribution of your research in the field you are studying.

4. What is the difference between the Purpose of the Study and the Significance of the Study?

The Purpose of the Study focuses on why your research was conducted, while the Significance of the Study tells how the results of your research will benefit anyone.

Suppose your research is about the Effectiveness of Lemongrass Tea in Lowering the Blood Glucose Level of Swiss Mice . You may include in your Significance of the Study that the research results will provide new information and analysis on the medical ability of lemongrass to solve hyperglycemia. Meanwhile, you may include in your Purpose of the Study that your research wants to provide a cheaper and natural way to lower blood glucose levels since commercial supplements are expensive.

5. What is the Significance of the Study in Tagalog?

In Filipino research, the Significance of the Study is referred to as Kahalagahan ng Pag-aaral.

• Draft your Significance of the Study. Retrieved 18 April 2021, from http://dissertationedd.usc.edu/draft-your-significance-of-the-study.html
• Regoniel, P. (2015). Two Tips on How to Write the Significance of the Study. Retrieved 18 April 2021, from https://simplyeducate.me/2015/02/09/significance-of-the-study/

Written by Jewel Kyle Fabula

in Career and Education , Juander How

Jewel Kyle Fabula

Jewel Kyle Fabula is a Bachelor of Science in Economics student at the University of the Philippines Diliman. His passion for learning mathematics developed as he competed in some mathematics competitions during his Junior High School years. He loves cats, playing video games, and listening to music.

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How to Write the Background of the Study in Research (Part 1)

Background of the Study in Research: Definition and the Core Elements it Contains

Before we embark on a detailed discussion on how to write the background of the study of your proposed research or thesis, it is important to first discuss its meaning and the core elements that it should contain. This is obviously because understanding the nature of the background of the study in research and knowing exactly what to include in it allow us to have both greater control and clear direction of the writing process.

So, what really is the background of the study and what are the core elements that it should contain?

The background of the study, which usually forms the first section of the introduction to a research paper or thesis, provides the overview of the study. In other words, it is that section of the research paper or thesis that establishes the context of the study. Its main function is to explain why the proposed research is important and essential to understanding the main aspects of the study.

The background of the study, therefore, is the section of the research paper or thesis that identifies the problem or gap of the study that needs to addressed and justifies the need for conducting the study. It also articulates the main goal of the study and the thesis statement, that is, the main claim or argument of the paper.

Given this brief understanding of the background of the study, we can anticipate what readers or thesis committee members expect from it. As we can see, the background of the study should contain the following major points:

1) brief discussion on what is known about the topic under investigation; 2) An articulation of the research gap or problem that needs to be addressed; 3) What the researcher would like to do or aim to achieve in the study ( research goal); 4) The thesis statement, that is, the main argument or contention of the paper (which also serves as the reason why the researcher would want to pursue the study); 5) The major significance or contribution of the study to a particular discipline; and 6) Depending on the nature of the study, an articulation of the hypothesis of the study.

Thus, when writing the background of the study, you should plan and structure it based on the major points just mentioned. With this, you will have a clear picture of the flow of the tasks that need to be completed in writing this section of your research or thesis proposal.

Now, how do you go about writing the background of the study in your proposed research or thesis?

The next lessons will address this question.

How to Write the Opening Paragraphs of the Background of the Study?

To begin with, let us assume that you already have conducted a preliminary research on your chosen topic, that is, you already have read a lot of literature and gathered relevant information for writing the background of your study. Let us also assume that you already have identified the gap of your proposed research and have already developed the research questions and thesis statement. If you have not yet identified the gap in your proposed research, you might as well go back to our lesson on how to identify a research gap.

So, we will just put together everything that you have researched into a background of the study (assuming, again, that you already have the necessary information). But in this lesson, let’s just focus on writing the opening paragraphs.

It is important to note at this point that there are different styles of writing the background of the study. Hence, what I will be sharing with you here is not just “the” only way of writing the background of the study. As a matter of fact, there is no “one-size-fits-all” style of writing this part of the research or thesis. At the end of the day, you are free to develop your own. However, whatever style it would be, it always starts with a plan which structures the writing process into stages or steps. The steps that I will share with below are just some of the most effective ways of writing the background of the study in research.

So, let’s begin.

It is always a good idea to begin the background of your study by giving an overview of your research topic. This may include providing a definition of the key concepts of your research or highlighting the main developments of the research topic.

Let us suppose that the topic of your study is the “lived experiences of students with mathematical anxiety”.

Here, you may start the background of your study with a discussion on the meaning, nature, and dynamics of the term “mathematical anxiety”. The reason for this is too obvious: “mathematical anxiety” is a highly technical term that is specific to mathematics. Hence, this term is not readily understandable to non-specialists in this field.

So, you may write the opening paragraph of your background of the study with this:

“Mathematical anxiety refers to the individual’s unpleasant emotional mood responses when confronted with a mathematical situation.”

Since you do not invent the definition of the term “mathematical anxiety”, then you need to provide a citation to the source of the material from which you are quoting. For example, you may now say:

“Mathematical anxiety refers to the individual’s unpleasant emotional mood responses when confronted with a mathematical situation (Eliot, 2020).”

And then you may proceed with the discussion on the nature and dynamics of the term “mathematical anxiety”. You may say:

“Lou (2019) specifically identifies some of the manifestations of this type of anxiety, which include, but not limited to, depression, helplessness, nervousness and fearfulness in doing mathematical and numerical tasks.”

After explaining to your readers the meaning, nature, and dynamics (as well as some historical development if you wish to) of the term “mathematical anxiety”, you may now proceed to showing the problem or gap of the study. As you may already know, the research gap is the problem that needs to be addressed in the study. This is important because no research activity is possible without the research gap.

Let us suppose that your research problem or gap is: “Mathematical anxiety can negatively affect not just the academic achievement of the students but also their future career plans and total well-being. Also, there are no known studies that deal with the mathematical anxiety of junior high school students in New Zealand.” With this, you may say:

“If left unchecked, as Shapiro (2019) claims, this problem will expand and create a total avoidance pattern on the part of the students, which can be expressed most visibly in the form of cutting classes and habitual absenteeism. As we can see, this will negatively affect the performance of students in mathematics. In fact, the study conducted by Luttenberger and Wimmer (2018) revealed that the outcomes of mathematical anxiety do not only negatively affect the students’ performance in math-related situations but also their future career as professionals. Without a doubt, therefore, mathematical anxiety is a recurring problem for many individuals which will negatively affect the academic success and future career of the student.”

Now that you already have both explained the meaning, nature, and dynamics of the term “mathematical anxiety” and articulated the gap of your proposed research, you may now state the main goal of your study. You may say:

“Hence, it is precisely in this context that the researcher aims to determine the lived experiences of those students with mathematical anxiety. In particular, this proposed thesis aims to determine the lived experiences of the junior high school students in New Zealand and identify the factors that caused them to become disinterested in mathematics.”

Please note that you should not end the first paragraph of your background of the study with the articulation of the research goal. You also need to articulate the “thesis statement”, which usually comes after the research goal. As is well known, the thesis statement is the statement of your argument or contention in the study. It is more of a personal argument or claim of the researcher, which specifically highlights the possible contribution of the study. For example, you may say:

“The researcher argues that there is a need to determine the lived experiences of these students with mathematical anxiety because knowing and understanding the difficulties and challenges that they have encountered will put the researcher in the best position to offer some alternatives to the problem. Indeed, it is only when we have performed some kind of a ‘diagnosis’ that we can offer practicable solutions to the problem. And in the case of the junior high school students in New Zealand who are having mathematical anxiety, determining their lived experiences as well as identifying the factors that caused them to become disinterested in mathematics are the very first steps in addressing the problem.”

If we combine the bits and pieces that we have written above, we can now come up with the opening paragraphs of your background of the study, which reads:

As we can see, we can find in the first paragraph 5 essential elements that must be articulated in the background of the study, namely:

1) A brief discussion on what is known about the topic under investigation; 2) An articulation of the research gap or problem that needs to be addressed; 3) What the researcher would like to do or aim to achieve in the study (research goal); 4) The thesis statement , that is, the main argument or claim of the paper; and 5) The major significance or contribution of the study to a particular discipline. So, that’s how you write the opening paragraphs of your background of the study. The next lesson will talk about writing the body of the background of the study.

How to Write the Body of the Background of the Study?

If we liken the background of the study to a sitting cat, then the opening paragraphs that we have completed in the previous lesson would just represent the head of the cat.

This means we still have to write the body (body of the cat) and the conclusion (tail). But how do we write the body of the background of the study? What should be its content?

Truly, this is one of the most difficult challenges that fledgling scholars faced. Because they are inexperienced researchers and didn’t know what to do next, they just wrote whatever they wished to write. Fortunately, this is relatively easy if they know the technique.

One of the best ways to write the body of the background of the study is to attack it from the vantage point of the research gap. If you recall, when we articulated the research gap in the opening paragraphs, we made a bold claim there, that is, there are junior high school students in New Zealand who are experiencing mathematical anxiety. Now, you have to remember that a “statement” remains an assumption until you can provide concrete proofs to it. This is what we call the “epistemological” aspect of research. As we may already know, epistemology is a specific branch of philosophy that deals with the validity of knowledge. And to validate knowledge is to provide concrete proofs to our statements. Hence, the reason why we need to provide proofs to our claim that there are indeed junior high school students in New Zealand who are experiencing mathematical anxiety is the obvious fact that if there are none, then we cannot proceed with our study. We have no one to interview with in the first. In short, we don’t have respondents.

The body of the background of the study, therefore, should be a presentation and articulation of the proofs to our claim that indeed there are junior high school students in New Zealand who are experiencing mathematical anxiety. Please note, however, that this idea is true only if you follow the style of writing the background of the study that I introduced in this course.

So, how do we do this?

One of the best ways to do this is to look for literature on mathematical anxiety among junior high school students in New Zealand and cite them here. However, if there are not enough literature on this topic in New Zealand, then we need to conduct initial interviews with these students or make actual classroom observations and record instances of mathematical anxiety among these students. But it is always a good idea if we combine literature review with interviews and actual observations.

Assuming you already have the data, then you may now proceed with the writing of the body of your background of the study. For example, you may say:

“According to records and based on the researcher’s firsthand experience with students in some junior high schools in New Zealand, indeed, there are students who lost interest in mathematics. For one, while checking the daily attendance and monitoring of the students, it was observed that some of them are not always attending classes in mathematics but are regularly attending the rest of the required subjects.”

After this sentence, you may insert some literature that will support this position. For example, you may say:

“As a matter of fact, this phenomenon is also observed in the work of Estonanto. In his study titled ‘Impact of Math Anxiety on Academic Performance in Pre-Calculus of Senior High School’, Estonanto (2019) found out that, inter alia, students with mathematical anxiety have the tendency to intentionally prioritize other subjects and commit habitual tardiness and absences.”

Then you may proceed saying:

“With this initial knowledge in mind, the researcher conducted initial interviews with some of these students. The researcher learned that one student did not regularly attend his math subject because he believed that he is not good in math and no matter how he listens to the topic he will not learn.”

Then you may say:

“Another student also mentioned that she was influenced by her friends’ perception that mathematics is hard; hence, she avoids the subject. Indeed, these are concrete proofs that there are some junior high school students in New Zealand who have mathematical anxiety. As already hinted, “disinterest” or the loss of interest in mathematics is one of the manifestations of a mathematical anxiety.”

If we combine what we have just written above, then we can have the first two paragraphs of the body of our background of the study. It reads:

“According to records and based on the researcher’s firsthand experience with students in some junior high schools in New Zealand, indeed there are students who lost interest in mathematics. For one, while checking the daily attendance and monitoring of the students, it was observed that some of them are not always attending classes in mathematics but are regularly attending the rest of the required subjects. As a matter of fact, this phenomenon is also observed in the work of Estonanto. In his study titled ‘Impact of Math Anxiety on Academic Performance in Pre-Calculus of Senior High School’, Estonanto (2019) found out that, inter alia, students with mathematical anxiety have the tendency to intentionally prioritize other subjects and commit habitual tardiness and absences.

With this initial knowledge in mind, the researcher conducted initial interviews with some of these students. The researcher learned that one student did not regularly attend his math subject because he believed that he is not good in math and no matter how he listens to the topic he will not learn. Another student also mentioned that she was influenced by her friends’ perception that mathematics is hard; hence, she avoids the subject. Indeed, these are concrete proofs that there are some junior high school students in New Zealand who have mathematical anxiety. As already hinted, “disinterest” or the loss of interest in mathematics is one of the manifestations of a mathematical anxiety.”

And then you need validate this observation by conducting another round of interview and observation in other schools. So, you may continue writing the body of the background of the study with this:

“To validate the information gathered from the initial interviews and observations, the researcher conducted another round of interview and observation with other junior high school students in New Zealand.”

“On the one hand, the researcher found out that during mathematics time some students felt uneasy; in fact, they showed a feeling of being tensed or anxious while working with numbers and mathematical problems. Some were even afraid to seat in front, while some students at the back were secretly playing with their mobile phones. These students also show remarkable apprehension during board works like trembling hands, nervous laughter, and the like.”

Then provide some literature that will support your position. You may say:

“As Finlayson (2017) corroborates, emotional symptoms of mathematical anxiety involve feeling of helplessness, lack of confidence, and being nervous for being put on the spot. It must be noted that these occasionally extreme emotional reactions are not triggered by provocative procedures. As a matter of fact, there are no personally sensitive questions or intentional manipulations of stress. The teacher simply asked a very simple question, like identifying the parts of a circle. Certainly, this observation also conforms with the study of Ashcraft (2016) when he mentions that students with mathematical anxiety show a negative attitude towards math and hold self-perceptions about their mathematical abilities.”

And then you proceed:

“On the other hand, when the class had their other subjects, the students show a feeling of excitement. They even hurried to seat in front and attentively participating in the class discussion without hesitation and without the feeling of being tensed or anxious. For sure, this is another concrete proof that there are junior high school students in New Zealand who have mathematical anxiety.”

To further prove the point that there indeed junior high school students in New Zealand who have mathematical anxiety, you may solicit observations from other math teachers. For instance, you may say:

“The researcher further verified if the problem is also happening in other sections and whether other mathematics teachers experienced the same observation that the researcher had. This validation or verification is important in establishing credibility of the claim (Buchbinder, 2016) and ensuring reliability and validity of the assertion (Morse et al., 2002). In this regard, the researcher attempted to open up the issue of math anxiety during the Departmentalized Learning Action Cell (LAC), a group discussion of educators per quarter, with the objective of ‘Teaching Strategies to Develop Critical Thinking of the Students’. During the session, one teacher corroborates the researcher’s observation that there are indeed junior high school students in New Zealand who have mathematical anxiety. The teacher pointed out that truly there were students who showed no extra effort in mathematics class in addition to the fact that some students really avoided the subject. In addition, another math teacher expressed her frustrations about these students who have mathematical anxiety. She quipped: “How can a teacher develop the critical thinking skills or ability of the students if in the first place these students show avoidance and disinterest in the subject?’.”

Again, if we combine what we have just written above, then we can now have the remaining parts of the body of the background of the study. It reads:

So, that’s how we write the body of the background of the study in research . Of course, you may add any relevant points which you think might amplify your content. What is important at this point is that you now have a clear idea of how to write the body of the background of the study.

How to Write the Concluding Part of the Background of the Study?

Since we have already completed the body of our background of the study in the previous lesson, we may now write the concluding paragraph (the tail of the cat). This is important because one of the rules of thumb in writing is that we always put a close to what we have started.

It is important to note that the conclusion of the background of the study is just a rehashing of the research gap and main goal of the study stated in the introductory paragraph, but framed differently. The purpose of this is just to emphasize, after presenting the justifications, what the study aims to attain and why it wants to do it. The conclusion, therefore, will look just like this:

“Given the above discussion, it is evident that there are indeed junior high school students in New Zealand who are experiencing mathematical anxiety. And as we can see, mathematical anxiety can negatively affect not just the academic achievement of the students but also their future career plans and total well-being. Again, it is for this reason that the researcher attempts to determine the lived experiences of those junior high school students in New Zealand who are experiencing a mathematical anxiety.”

If we combine all that we have written from the very beginning, the entire background of the study would now read:

If we analyze the background of the study that we have just completed, we can observe that in addition to the important elements that it should contain, it has also addressed other important elements that readers or thesis committee members expect from it.

On the one hand, it provides the researcher with a clear direction in the conduct of the study. As we can see, the background of the study that we have just completed enables us to move in the right direction with a strong focus as it has set clear goals and the reasons why we want to do it. Indeed, we now exactly know what to do next and how to write the rest of the research paper or thesis.

On the other hand, most researchers start their research with scattered ideas and usually get stuck with how to proceed further. But with a well-written background of the study, just as the one above, we have decluttered and organized our thoughts. We have also become aware of what have and have not been done in our area of study, as well as what we can significantly contribute in the already existing body of knowledge in this area of study.

Please note, however, as I already mentioned previously, that the model that I have just presented is only one of the many models available in textbooks and other sources. You are, of course, free to choose your own style of writing the background of the study. You may also consult your thesis supervisor for some guidance on how to attack the writing of your background of the study.

Lastly, and as you may already know, universities around the world have their own thesis formats. Hence, you should follow your university’s rules on the format and style in writing your research or thesis. What is important is that with the lessons that you learned in this course, you can now easily write the introductory part of your thesis, such as the background of the study.

Background of the Study

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The background of the study provides a comprehensive overview of the research problem, including the context , significance, and gaps in existing knowledge. It sets the stage for the research by outlining the historical, theoretical, and practical aspects that have led to the current investigation, highlighting the importance of addressing the identified issues.

What is the Background of a Study? 

The background of a study provides context by explaining the research problem, highlighting gaps in existing knowledge, and establishing the study’s significance. It sets the stage for the research objective , offering a foundation for understanding the study’s purpose and relevance within the broader academic discourse.

Background of the Study Format

The background of the study is a foundational section in any research paper or thesis . Here is a structured format to follow:

1. Introduction

• Briefly introduce the topic and its relevance.
• Mention the research problem or question.

2. Contextual Framework

• Provide historical background.
• Discuss relevant theories and models.
• Explain the practical context.

3. Literature Review

• Summarize key studies related to the topic.
• Highlight significant findings and their implications.
• Identify gaps in the existing literature.

4. Rationale

• Explain why the study is necessary.
• Discuss the significance and potential impact.
• Justify the research focus and scope.

5. Objectives and Research Questions

• State the primary objective of the study.
• List the specific research questions.

6. Conclusion

• Summarize the importance of the background.
• Emphasize how it sets the stage for the research.

Introduction The increasing incidence of climate change and its effects on global agriculture has raised significant concerns among researchers. This study focuses on the impact of climate change on crop yields. Contextual Framework Historically, agricultural practices have adapted to gradual climate changes. However, recent rapid shifts have outpaced these adaptations, necessitating urgent research. Theoretical models of climate adaptation provide a foundation for understanding these changes. Literature Review Recent studies show mixed results on the extent of climate change impacts on agriculture. While some regions experience reduced yields, others report minimal changes. These discrepancies highlight the need for a focused study on regional impacts. Rationale This research is crucial for developing strategies to mitigate adverse effects on agriculture. Understanding specific regional impacts can help tailor interventions, making this study highly significant for policymakers and farmers. Objectives and Research Questions To assess the impact of climate change on crop yields in the Midwest. What are the main climate factors affecting agriculture in this region? How can farmers adapt to these changes effectively? Conclusion The background of the study underscores its relevance and importance, providing a solid foundation for the research. By addressing identified gaps, this study aims to contribute valuable insights into climate change adaptation strategies in agriculture.

Background of the Study Examples

Impact of social media on academic performance, effects of urbanization on local ecosystems, role of nutrition in early childhood development.

More Background of the Study Examples

• Online Learning and Reading Skills
• Mindfulness at Work
• Parental Role in Preventing Childhood Obesity
• Green Building and Energy Efficiency
• Peer Tutoring in High Schools
• Remote Work and Work-Life Balance
• Technology in Healthcare

Background of the Study in Research Example

Background of the Study in Qualitative Research Example

Importance of Background of the Study

The background of the study is essential for several reasons:

• Context Establishment : It sets the stage for the research by outlining the historical, theoretical, and practical contexts.
• Literature Review : It provides a summary of existing literature, highlighting what is already known and identifying gaps in knowledge.
• Research Justification : It explains why the study is necessary, showcasing its relevance and significance.
• Research Direction : It guides the research questions and objectives, ensuring the study is focused and coherent.
• Foundation for Methodology : It lays the groundwork for the research methodology, explaining the choice of methods and approaches.
• Informing Stakeholders : It helps stakeholders understand the importance and potential impact of the research.

How is the Background of a Study Different From the Introduction?

The background of a study and the introduction serve distinct but complementary purposes in a research paper. Here’s how they differ:

• Provides detailed context for the research problem.
• Explains the historical, theoretical, and practical background of the topic.
• Identifies gaps in existing knowledge that the study aims to fill.
• Includes a comprehensive literature review.
• Discusses relevant theories, models, and previous research findings.
• Sets the stage for the study by explaining why it is important and necessary.
• Typically more detailed and longer than the introduction.
• Provides in-depth information to help readers understand the broader context of the research.

Introduction

• Introduces the topic and the research problem in a concise manner.
• Captures the reader’s interest and sets the stage for the rest of the paper.
• States the research objectives, questions, and sometimes hypotheses.
• Brief overview of the topic and its significance.
• Clear statement of the research problem.
• Outline of the study’s objectives and research questions.
• May include a brief mention of the methodology and scope.
• Typically shorter and more succinct than the background.
• Provides a snapshot of what the study is about without going into detailed literature review or theoretical background.

Example to Illustrate the Difference

Introduction Example : The rapid growth of social media usage among students has raised concerns about its impact on academic performance. This study aims to investigate how social media influences students’ grades and study habits. By examining different platforms and usage patterns, the research seeks to provide insights into whether social media acts as a distraction or a beneficial tool for learning. Background of the Study Example : Social media has transformed communication and information sharing, particularly among young people. Historically, educational environments have seen various technological impacts, from the introduction of computers to the widespread use of the internet. Theories of digital learning suggest both positive and negative effects of technology on education. Previous studies have shown mixed results; some indicate that social media can enhance collaborative learning and resource access, while others point to decreased academic performance due to distraction. Despite these findings, there is limited research on the long-term effects of specific social media platforms on academic outcomes. This study addresses these gaps by exploring how different types of social media usage impact student performance, aiming to provide a nuanced understanding of this contemporary issue.

Where is the Background of a Study Placed in a Research Paper? 

The background of a study is typically placed within the Introduction section of a research paper, but it can also be a separate section immediately following the introduction. Here’s a more detailed breakdown of where the background of the study can be placed:

Within the Introduction

• In many research papers, the background of the study is woven into the introduction. It provides context and justification for the research problem, leading up to the statement of the research objectives and questions.
• Starts with a general introduction to the topic.
• Provides background information and context.
• Reviews relevant literature and identifies gaps.
• States the research problem, objectives, and questions.

As a Separate Section

• In more detailed or longer research papers, the background of the study can be a standalone section that comes immediately after the introduction. This allows for a more comprehensive presentation of the context, literature review, and theoretical framework.
• Introduction : Briefly introduces the topic and states the research problem.
• Background of the Study : Provides detailed context, literature review, theoretical background, and justification for the research.
• Research Objectives and Questions : Clearly states the aims and specific questions the research seeks to answer.

How to Write a Background of the Study

Writing a background of the study involves providing a comprehensive overview of the research problem, context, and significance. Here’s a step-by-step guide on how to write an effective background of the study:

Introduce the Topic

Begin with a General Introduction : Start by introducing the broad topic to give readers an overview of the field. Example : “Social media has revolutionized communication and information sharing in the digital age.”

Provide Context

Historical Background : Explain the historical development of the topic. Example : “Historically, communication technologies have significantly influenced educational practices, from the introduction of the internet to the advent of mobile learning.” Theoretical Framework : Mention relevant theories and models. Example : “Theories such as social constructivism and digital learning provide a basis for understanding how students interact and learn through social media.”

Review Relevant Literature

Summarize Key Studies : Provide a summary of significant studies related to your topic. Example : “Previous research has shown mixed results regarding the impact of social media on academic performance. Some studies suggest that social media can be a distraction, leading to lower grades, while others indicate it can enhance learning through collaboration.” Identify Gaps in Knowledge : Highlight gaps or inconsistencies in the existing literature. Example : “Despite extensive research, there is limited understanding of the long-term effects of specific social media platforms on student performance.”

Explain the Rationale

Justify the Need for the Study : Explain why your study is necessary and important. Example : “Assessing the impact of social media on academic performance is crucial for developing effective educational strategies and policies. This study aims to fill the existing knowledge gaps by providing detailed insights into how different platforms affect student learning outcomes.”

State the Research Objectives and Questions

List the Objectives : Clearly state the main objectives of your study. Example : “The primary objectives of this study are to analyze the relationship between social media usage and academic performance and to identify the most and least beneficial platforms for students.” Pose Research Questions : Include specific research questions that guide your study. Example : “What are the main factors influencing the impact of social media on academic performance? How can students balance social media use and academic responsibilities?”

Conclude with the Importance of the Study

Summarize the Significance : Emphasize how your study will contribute to the field. Example : “This study’s findings will provide valuable insights into the role of social media in education, informing educators and policymakers on how to leverage these tools effectively to enhance student learning outcomes.”

How to avoid mistakes in writing the Background of a Study 

Avoiding mistakes in writing the background of a study involves careful planning, thorough research, and attention to detail. Here are some tips to help you avoid common mistakes:

1. Lack of Clarity and Focus

• Example : If your research is about the impact of social media on student performance, don’t delve into unrelated topics like general internet usage unless directly relevant.

2. Insufficient Literature Review

• Example : Use databases like Google Scholar, PubMed, or your institution’s library to find peer-reviewed articles and credible sources.

3. Overwhelming with Too Much Information

• Example : Summarize key studies and avoid detailed descriptions of every study you come across.

4. Failure to Identify Gaps in Knowledge

• Example : “While several studies have explored social media’s impact on general communication skills, few have examined its specific effects on academic performance among high school students.”

5. Lack of Theoretical Framework

• Example : “The study is grounded in social constructivism, which suggests that learning occurs through social interactions, making it relevant to examine how social media platforms facilitate these interactions.”

6. Inadequate Justification for the Study

• Example : “Understanding the impact of social media on academic performance is crucial for developing effective educational strategies and policies.”

7. Poor Organization and Structure

• Example : Use clear headings like “Introduction,” “Contextual Framework,” “Literature Review,” “Rationale,” and “Research Objectives and Questions.”

8. Using Jargon and Complex Language

• Example : Instead of “The pedagogical implications of digital media necessitate a paradigmatic shift,” say “Digital media impacts teaching methods, requiring changes in how we educate.”

9. Ignoring the Research Objectives and Questions

• Example : “This background review highlights the need to investigate how different social media platforms affect high school students’ study habits, directly addressing the research questions outlined.”

10. Neglecting to Update References

• Example : Instead of relying solely on sources from over a decade ago, incorporate recent studies that reflect current trends and findings.

What is the background of the study?

The background of the study provides context, explains the research problem, reviews relevant literature, and identifies gaps the study aims to fill.

Why is the background of the study important?

It establishes the context and significance of the research, justifies the study, and helps readers understand the broader academic landscape and gaps the research addresses.

How does the background of the study differ from the introduction?

The background provides detailed context and literature review, while the introduction briefly presents the research problem, objectives, and significance.

What should be included in the background of the study?

Include historical context, theoretical framework, literature review, gaps in knowledge, and the rationale for the study.

Where is the background of the study placed in a research paper?

It is typically integrated within the introduction or presented as a separate section following the introduction.

How long should the background of the study be?

The length varies, but it should be detailed enough to provide context and justification, typically a few paragraphs to several pages.

How do you write a strong background of the study?

Conduct thorough research, organize logically, include relevant theories and studies, identify gaps, and justify the research’s importance.

Can the background of the study include preliminary data?

Yes, including preliminary data can strengthen the background by demonstrating initial findings and supporting the research rationale.

How do you identify gaps in the literature?

Conduct a comprehensive literature review, compare findings, and note inconsistencies, unexplored areas, or outdated research that your study will address.

Should the background of the study be written in chronological order?

Not necessarily. Organize logically by themes, concepts, or research gaps rather than strictly chronologically to provide a coherent context for your study.

Text prompt

• Instructive
• Professional

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Get science-backed answers as you write with Paperpal's Research feature

How to Write an Abstract in Research Papers (with Examples)

An abstract in research papers is a keyword-rich summary usually not exceeding 200-350 words. It can be considered the “face” of research papers because it creates an initial impression on the readers. While searching databases (such as PubMed) for research papers, a title is usually the first selection criterion for readers. If the title matches their search criteria, then the readers read the abstract, which sets the tone of the paper. Titles and abstracts are often the only freely available parts of research papers on journal websites. The pdf versions of full articles need to be purchased. Journal reviewers are often provided with only the title and abstract before they agree to review the complete paper. [ 1]  

Abstracts in research papers provide readers with a quick insight into what the paper is about to help them decide whether they want to read it further or not. Abstracts are the main selling points of articles and therefore should be carefully drafted, accurately highlighting the important aspects. [ 2]  

This article will help you identify the important components and provide tips on how to write an abstract in research papers effectively

What is an Abstract?  

An abstract in research papers can be defined as a synopsis of the paper. It should be clear, direct, self-contained, specific, unbiased, and concise. These summaries are published along with the complete research paper and are also submitted to conferences for consideration for presentation.  

Abstracts are of four types and journals can follow any of these formats: [ 2]  

• Structured  
• Unstructured  
• Descriptive  
• Informative  

Structured abstracts are used by most journals because they are more organized and have clear sections, usually including introduction/background; objective; design, settings, and participants (or materials and methods); outcomes and measures; results; and conclusion. These headings may differ based on the journal or the type of paper. Clinical trial abstracts should include the essential items mentioned in the CONSORT (Consolidated Standards Of Reporting Trials) guidelines.  

Figure 1. Structured abstract example [3] 

Unstructured abstracts are common in social science, humanities, and physical science journals. They usually have one paragraph and no specific structure or subheadings. These abstracts are commonly used for research papers that don’t report original work and therefore have a more flexible and narrative style.  

Figure 2. Unstructured abstract example [3] 

Descriptive abstracts are short (75–150 words) and provide an outline with only the most important points of research papers. They are used for shorter articles such as case reports, reviews, and opinions where space is at a premium, and rarely for original investigations. These abstracts don’t present the results but mainly list the topics covered.  

Here’s a sample abstract . [ 4]  

“Design of a Radio-Based System for Distribution Automation”  

A new survey by the Maryland Public Utilities Commission suggests that utilities have not effectively explained to consumers the benefits of smart meters. The two-year study of 86,000 consumers concludes that the long-term benefits of smart meters will not be realized until consumers understand the benefits of shifting some of their power usage to off-peak hours in response to the data they receive from their meters. The study presents recommendations for utilities and municipal governments to improve customer understanding of how to use the smart meters effectively.  

Keywords: smart meters, distribution systems, load, customer attitudes, power consumption, utilities  

Informative abstracts (structured or unstructured) give a complete detailed summary, including the main results, of the research paper and may or may not have subsections.   

Figure 3. Informative abstract example [5] 

Purpose of Abstracts in Research    

Abstracts in research have two main purposes—selection and indexing. [ 6,7]  

• Selection : Abstracts allow interested readers to quickly decide the relevance of a paper to gauge if they should read it completely.   
• Indexing : Most academic journal databases accessed through libraries enable you to search abstracts, allowing for quick retrieval of relevant articles and avoiding unnecessary search results. Therefore, abstracts must necessarily include the keywords that researchers may use to search for articles.  

Thus, a well-written, keyword-rich abstract can p ique readers’ interest and curiosity and help them decide whether they want to read the complete paper. It can also direct readers to articles of potential clinical and research interest during an online search.  

Contents of Abstracts in Research  

Abstracts in research papers summarize the main points of an article and are broadly categorized into four or five sections. Here are some details on how to write an abstract .   

Introduction/Background and/or Objectives  

This section should provide the following information:  

• What is already known about the subject?  
• What is not known about the subject or what does the study aim to investigate?  

The hypothesis or research question and objectives should be mentioned here. The Background sets the context for the rest of the paper and its length should be short so that the word count could be saved for the Results or other information directly pertaining to the study. The objective should be written in present or past simple tense.  

Examples:  

The antidepressant efficacy of desvenlafaxine (DV) has been established in 8-week, randomized controlled trials. The present study examined the continued efficacy of DV across 6 months of maintenance treatment . [ 1]  

Objective: To describe gastric and breast cancer risk estimates for individuals with CDH1 variants.  

Design, Setting, and Participants (or Materials and Methods)  

This section should provide information on the processes used and should be written in past simple tense because the process is already completed.  

A few important questions to be answered include:  

• What was the research design and setting?  
• What was the sample size and how were the participants sampled?  
• What treatments did the participants receive?  
• What were the data collection and data analysis dates?  
• What was the primary outcome measure?  

Hazard ratios (HRs) were estimated for each cancer type and used to calculate cumulative risks and risks per decade of life up to age 80 years.  

This section, written in either present or past simple tense, should be the longest and should describe the main findings of the study. Here’s an example of how descriptive the sentences should be:  

Avoid: Response rates differed significantly between diabetic and nondiabetic patients.  

Better: The response rate was higher in nondiabetic than in diabetic patients (49% vs 30%, respectively; P<0.01).  

This section should include the following information:  

• Total number of patients (included, excluded [exclusion criteria])  
• Primary and secondary outcomes, expressed in words, and supported by numerical data  
• Data on adverse outcomes  

Example: [ 8]  

In total, 10.9% of students were reported to have favorable study skills. The minimum score was found for preparation for examination domain. Also, a significantly positive correlation was observed between students’ study skills and their Grade Point Average (GPA) of previous term (P=0.001, r=0.269) and satisfaction with study skills (P=0.001, r=0.493).  

Conclusions  

Here, authors should mention the importance of their findings and also the practical and theoretical implications, which would benefit readers referring to this paper for their own research. Present simple tense should be used here.  

Examples: [ 1,8]  

The 9.3% prevalence of bipolar spectrum disorders in students at an arts university is substantially higher than general population estimates. These findings strengthen the oft-expressed hypothesis linking creativity with affective psychopathology.  

The findings indicated that students’ study skills need to be improved. Given the significant relationship between study skills and GPA, as an index of academic achievement, and satisfaction, it is necessary to promote the students’ study skills. These skills are suggested to be reinforced, with more emphasis on weaker domains.  

When to Write an Abstract  

In addition to knowing how to write an abstract , you should also know when to write an abstract . It’s best to write abstracts once the paper is completed because this would make it easier for authors to extract relevant parts from every section.  

Abstracts are usually required for: [ 7]    

• submitting articles to journals  
• applying for research grants   
• writing book proposals  
• completing and submitting dissertations  
• submitting proposals for conference papers  

Mostly, the author of the entire work writes the abstract (the first author, in works with multiple authors). However, there are professional abstracting services that hire writers to draft abstracts of other people’s work.   

How to Write an Abstract (Step-by-Step Process)  

Here are some key steps on how to write an abstract in research papers: [ 9]  

• Write the abstract after you’ve finished writing your paper.  
• Select the major objectives/hypotheses and conclusions from your Introduction and Conclusion sections.  
• Select key sentences from your Methods section.  
• Identify the major results from the Results section.  
• Paraphrase or re-write the sentences selected in steps 2, 3, and 4 in your own words into one or two paragraphs in the following sequence: Introduction/Objective, Methods, Results, and Conclusions. The headings may differ among journals, but the content remains the same.  
• Ensure that this draft does not contain: a.   new information that is not present in the paper b.   undefined abbreviations c.   a discussion of previous literature or reference citations d.   unnecessary details about the methods used  
• Remove all extra information and connect your sentences to ensure that the information flows well, preferably in the following order: purpose; basic study design, methodology and techniques used; major findings; summary of your interpretations, conclusions, and implications. Use section headings for structured abstracts.  
• Ensure consistency between the information presented in the abstract and the paper.  
• Check to see if the final abstract meets the guidelines of the target journal (word limit, type of abstract, recommended subheadings, etc.) and if all the required information has been included.  

Choosing Keywords for Abstracts  

Keywords [ 2] are the important and repeatedly used words and phrases in research papers and can help indexers and search engines find papers relevant to your requirements. Easy retrieval would help in reaching a wider audience and eventually gain more citations. In the fields of medicine and health, keywords should preferably be chosen from the Medical Subject Headings (MeSH) list of the US National Library of Medicine because they are used for indexing. These keywords need to be different from the words in the main title (automatically used for indexing) but can be variants of the terms/phrases used in the title, abstract, and the main text. Keywords should represent the content of your manuscript and be specific to your subject area.  

Basic tips for authors [ 10,11]  

• Read through your paper and highlight key terms or phrases that are most relevant and frequently used in your field, to ensure familiarity.  
• Several journals provide instructions about the length (eg, 3 words in a keyword) and maximum number of keywords allowed and other related rules. Create a list of keywords based on these instructions and include specific phrases containing 2 to 4 words. A longer string of words would yield generic results irrelevant to your field.  
• Use abbreviations, acronyms, and initializations if these would be more familiar.  
• Search with your keywords to ensure the results fit with your article and assess how helpful they would be to readers.  
• Narrow down your keywords to about five to ten, to ensure accuracy.  
• Finalize your list based on the maximum number allowed.  

  Few examples: [ 12]  

Important Tips for Writing an Abstract  

Here are a few tips on how to write an abstract to ensure that your abstract is complete, concise, and accurate. [ 1,2]  

• Write the abstract last.  
• Follow journal-specific formatting guidelines or Instructions to Authors strictly to ensure acceptance for publication.  
• Proofread the final draft meticulously to avoid grammatical or typographical errors.  
• Ensure that the terms or data mentioned in the abstract are consistent with the main text.  
• Include appropriate keywords at the end.

Do not include:  

• New information  
• Text citations to references  
• Citations to tables and figures  
• Generic statements  
• Abbreviations unless necessary, like a trial or study name  

Key Takeaways    

Here’s a quick snapshot of all the important aspects of how to write an abstract . [2]

• An abstract in research is a summary of the paper and describes only the main aspects. Typically, abstracts are about 200-350 words long.  
• Abstracts are of four types—structured, unstructured, descriptive, and informative.  
• Abstracts should be simple, clear, concise, independent, and unbiased (present both favorable and adverse outcomes).  
• They should adhere to the prescribed journal format, including word limits, section headings, number of keywords, fonts used, etc.  
• The terminology should be consistent with the main text.   
• Although the section heading names may differ for journals, every abstract should include a background and objective, analysis methods, primary results, and conclusions.  
• Nonstandard abbreviations, references, and URLs shouldn’t be included.  
• Only relevant and specific keywords should be used to ensure focused searches and higher citation frequency.  
• Abstracts should be written last after completing the main paper.  

Frequently Asked Questions   

Q1. Do all journals have different guidelines for abstracts?  

A1. Yes, all journals have their own specific guidelines for writing abstracts; a few examples are given in the following table. [ 6,13,14,15]  

Q2. What are the common mistakes to avoid when writing an abstract?  

A2. Listed below are a few mistakes that authors may make inadvertently while writing abstracts.  

• Copying sentences from the paper verbatim  

An abstract is a summary, which should be created by paraphrasing your own work or writing in your own words. Extracting sentences from every section and combining them into one paragraph cannot be considered summarizing.  

• Not adhering to the formatting guidelines  

Journals have special instructions for writing abstracts, such as word limits and section headings. These should be followed strictly to avoid rejections.  

• Not including the right amount of details in every section  

Both too little and too much information could discourage readers. For instance, if the Background has very little information, the readers may not get sufficient context to appreciate your research. Similarly, incomplete information in the Methods and a text-heavy Results section without supporting numerical data may affect the credibility of your research.  

• Including citations, standard abbreviations, and detailed measurements  

Typically, abstracts shouldn’t include these elements—citations, URLs, and abbreviations. Only nonstandard abbreviations are allowed or those that would be more familiar to readers than the expansions.  

• Including new information  

Abstracts should strictly include only the same information mentioned in the main text. Any new information should first be added to the text and then to the abstract only if necessary or if permitted by the word limit.  

• Not including keywords  

Keywords are essential for indexing and searching and should be included to increase the frequency of retrieval and citation.  

Q3. What is the difference between abstracts in research papers and conference abstracts? [16]  

A3. The table summarizes the main differences between research and conference abstracts.  

  Thus, abstracts are essential “trailers” that can market your research to a wide audience. The better and more complete the abstract the more are the chances of your paper being read and cited. By following our checklist and ensuring that all key elements are included, you can create a well-structured abstract that summarizes your paper accurately.  

References  

• Andrade C. How to write a good abstract for a scientific paper or conference presentation. Indian J Psychiatry . 2011; 53(2):172-175. Accessed June 14, 2024. https://www.ncbi.nlm.nih.gov/pmc/articles/PMC3136027/  
• Tullu MS. Writing the title and abstract for a research paper: Being concise, precise, and meticulous is the key. 2019; 13(Suppl 1): S12-S17. Accessed June 14, 2024. https://www.ncbi.nlm.nih.gov/pmc/articles/PMC6398294/  
• Zawia J. Writing an Academic Paper? Get to know Abstracts vs. Structured Abstracts. Medium. Published October 16, 2023. Accessed June 16, 2024. https://medium.com/@jamala.zawia/writing-an-academic-paper-get-to-know-abstracts-vs-structured-abstracts-11ed86888367  
• Markel M and Selber S. Technical Communication, 12 th edition. 2018; pp. 482. Bedford/St Martin’s.  
• Abstracts. Arkansas State University. Accessed June 17, 2024. https://www.astate.edu/a/global-initiatives/online/a-state-online-services/online-writing-center/resources/How%20to%20Write%20an%20Abstract1.pdf  
• AMA Manual of Style. 11 th edition. Oxford University Press.  
• Writing an Abstract. The University of Melbourne. Accessed June 16, 2024. https://services.unimelb.edu.au/__data/assets/pdf_file/0007/471274/Writing_an_Abstract_Update_051112.pdf  
• 10 Good Abstract Examples that will Kickstart Your Brain. Kibin Essay Writing Blog. Published April 5, 2017. Accessed June 17, 2024. https://www.kibin.com/essay-writing-blog/10-good-abstract-examples/  
• A 10-step guide to make your research paper abstract more effective. Editage Insights. Published October 16, 2013. Accessed June 17, 2024. https://www.editage.com/insights/a-10-step-guide-to-make-your-research-paper-abstract-more-effective  
• Using keywords to write your title and abstract. Taylor & Francis Author Services. Accessed June 15, 2024. https://authorservices.taylorandfrancis.com/publishing-your-research/writing-your-paper/using-keywords-to-write-title-and-abstract/  
• How to choose and use keywords in research papers. Paperpal by Editage blog. Published March 10, 2023. Accessed June 17, 2024. https://paperpal.com/blog/researcher-resources/phd-pointers/how-to-choose-and-use-keywords-in-research-papers  
• Title, abstract and keywords. Springer. Accessed June 16, 2024. https://www.springer.com/it/authors-editors/authorandreviewertutorials/writing-a-journal-manuscript/title-abstract-and-keywords/10285522  
• Abstract and keywords guide. APA Style, 7 th edition. Accessed June 18, 2024. https://apastyle.apa.org/instructional-aids/abstract-keywords-guide.pdf  
• Abstract guidelines. American Society for Microbiology. Accessed June 18, 2024. https://asm.org/events/asm-microbe/present/abstract-guidelines  
• Guidelines for conference abstracts. The Lancet. Accessed June 16, 2024. https://www.thelancet.com/pb/assets/raw/Lancet/pdfs/Abstract_Guidelines_2013.pdf  
• Is a conference abstract the same as a paper abstract? Global Conference Alliance, Inc. Accessed June 18, 2024. https://globalconference.ca/is-a-conference-abstract-the-same-as-a-paper-abstract/  

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• Should You Use AI Tools like ChatGPT for Academic Writing?
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Drugs Like Ozempic Could Lower Cancer Risks, Study Suggests

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A class of diabetes and weight loss drugs that includes Novo Nordisk’s Ozempic and Eli Lilly’s Mounjaro could also help protect against a variety of cancers, according to new research published Friday, adding to mounting evidence the injections offer numerous additional health benefits as pressure builds for insurers and public health providers to cover the popular medication in spite of persistent shortages and cost concerns .

Weight loss and diabetes drugs like Ozempic could reduce the risk of cancer in some type 2 diabetes ... [+] patients.

Glucagon-like peptide receptor agonists, a class of drugs often known as GLP-1s or GLP-1RAs, were associated with a “significant risk reduction” for 10 different cancers when used to treat type 2 diabetes compared to insulin, according to new research published in JAMA Oncology.

The findings come from an analysis of the electronic health records of 1.7 million U.S. patients over 15 years who were prescribed GLP-1RAs, insulins or metformin for type 2 diabetes — all help control blood sugar — between 2005 to 2018, though it did not specify which drugs were examined.

GLP-1 drugs, which mimic the action of a gut hormone and can help control blood sugar, include popular obesity and diabetes treatments like Ozempic and Wegovy (brand names for semaglutide), Mounjaro and Zepbound (or tirzepatide), Victoza and Saxenda (liraglutide) and Trulicity (dulaglutide).

Semaglutide was only authorized for medical use towards the end of the study timeline and tirzepatide was not approved until much later, though findings for some drugs can give an indication for what might happen with closely related drugs.

All of the 13 cancers studied are considered obesity-associated cancers as excess body fat has been linked to a greater risk of developing them and worse prognosis among patients who do.

GLP-1RAs were linked to a greatly reduced risk of developing esophageal, colorectal, endometrial, gallbladder, kidney, liver, ovarian, and pancreatic cancers, as well as meningioma and multiple myeloma, compared to patients taking insulin.

There was no firm evidence for a lower risk for developing the obesity-associated cancers compared to patients taking metformin for their diabetes, however, though the researchers said there were promising but statistically insignificant indications of a lower risk for gallbladder and colorectal cancer.

Surprising Fact

While GLP-1RAs were associated with a decreased risk for most obesity-associated cancers studied compared to other standard diabetes treatments, the researchers said drugs were also associated with a risk of developing some cancers. Compared to patients on metformin, patients taking GLP-1RAs had a higher risk of kidney cancers, the researchers said, though the risk was also lower than patients taking insulin. There have been no previous reports of kidney cancers associated with using GLP-1s, which are known to have direct effect on kidney function and have been linked to lower rates of kidney disease. Nevertheless, the researchers said the findings should be followed up for “full evaluation” and suggest the need for continuous monitoring of patients being treated with GLP-1RAs. There was also no significant reduction in the risk of developing thyroid cancer for patients taking GLP-1RAs compared to insulins, the researchers said. This finding adds weight to existing research highlighting concerns the drugs are associated with an increased risk of developing thyroid cancer and support warnings on drug packages advising caution among patients with endocrine or thyroid problems.

What We Don’t Know

The study was observational in nature and therefore can only determine relationships, not cause and effect. It’s possible the reduction in risk for obesity-associated cancers comes from the weight loss and diabetes control afforded by such medications, as these are both issues linked to higher risks of cancers, or from some action of the drug itself or another thing entirely. Given the data available, the researchers said the study doesn’t consider “newer and possibly more effective antidiabetic and weight loss agents,” which could show even more pronounced effects, as well as those with multihormone agonist activities that are increasingly coming to market (tirzepatide, for example, is a multihormone agonist).

Key Background

These results add to a growing pile of research suggesting the health benefits of popular weight loss and diabetes injections extend far beyond control of the conditions they were brought to market for, which themselves are implicated in a variety of physical and mental health problems. These data will be crucial to helping companies maintain an edge over competitors racing to bring their first products to market and will add heft to arguments the drugs should be funded by insurers, employers and public health authorities dragging their heels on coverage. A myriad of other conditions are being explored by drugmakers, including sleep apnea , addiction, anxiety, Parkinson’s and fatty liver disease and Novo Nordisk has already secured convincing enough data to add cardiovascular disease to Wegovy’s label.

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Evaluating AI Literacy in Academic Libraries: A Survey Study with a Focus on U.S. Employees

Leo S. Lo *

This survey investigates artificial intelligence (AI) literacy among academic library employees, predominantly in the United States, with a total of 760 respondents. The findings reveal a modest self-rated understanding of AI concepts, limited hands-on experience with AI tools, and notable gaps in discussing ethical implications and collaborating on AI projects. Despite recognizing the benefits, readiness for implementation appears low among participants. Respondents emphasize the need for comprehensive training and the establishment of ethical guidelines. The study proposes a framework defining core components of AI literacy tailored for libraries. The results offer insights to guide professional development and policy formulation as libraries increasingly integrate AI into their services and operations.

Introduction

In a world increasingly dictated by algorithms, artificial intelligence (AI) is not merely a technological phenomenon, it is a transformative force that redefines our intellectual, social, and professional landscapes (McKinsey and Company, 2023). The rapid integration of AI in our everyday lives has profound implications for higher education, a sector entrusted with preparing individuals to navigate, contribute to, and thrive in this AI-driven era. From personalized learning environments to automated administrative tasks, AI’s influence in higher education is omnipresent and its potential boundless. However, this potential can only be harnessed effectively if those at the frontline of academia—our educators, researchers, administrators, and, notably, academic library employees—are equipped with the necessary AI literacy (UNESCO, 2021). Without an understanding of AI’s principles, capabilities, and ethical considerations, higher education risks falling prey to AI’s pitfalls rather than leveraging its benefits.

The potential risks and benefits underscore a pressing need to scrutinize and elevate AI literacy within the higher education community—a task that begins with understanding its current state. As facilitators of information and knowledge, academic library employees stand at the crossroads of this AI revolution, making their AI literacy an imperative, not a choice, for the future of higher education.

AI Literacy: Context and Background

In an era marked by exponential growth in digital technology, the concept of literacy has evolved beyond traditional reading and writing skills to encompass a wide array of digital competencies. One such competency, which is gaining critical importance in higher education, is AI literacy. With AI systems beginning to permeate every facet of university operations—from learning management systems to research analytics—the ability to understand and navigate these AI tools has become an essential skill for academic library employees.

AI literacy, a subset of digital literacy, specifically pertains to understanding AI’s principles, applications, and ethical considerations. It involves not only the ability to use AI tools effectively, but also the capacity to evaluate their outputs critically, to understand their underlying mechanisms, and to contemplate their ethical and societal implications. AI literacy is not just for computer professionals; as Lo (2023b) and Cetindamar et al. (2022) emphasize, operationalizing AI literacy for non-specialists is essential.

The significance of AI literacy in higher education is underscored by several contemporary trends and challenges. Companies and governments globally are engaged in fierce competition to stay at the forefront of AI integration. Concurrently, the rapid proliferation of AI is giving rise to a host of ethical and privacy concerns that require informed stewardship (Cox, 2022). Furthermore, the COVID-19 pandemic has accelerated the digital transformation of higher education, leading to an increased reliance on AI technologies for remote learning and operations. This reliance further points to the necessity of AI literacy among academic library employees, who play a pivotal role in facilitating online learning and research.

As artificial intelligence proliferates across higher education, developing AI literacy is increasingly recognized as a priority to prepare students, faculty, staff, and administrators to harness AI’s potential, while mitigating risks (Ng et al., 2021). Hervieux and Wheatley’s (2021) 2019 study (n=163) found that academic librarians require more training regarding artificial intelligence and its potential applications in libraries. The U.S. Department of Education’s recent report (2023) on AI emphasizes the growing importance of AI literacy for educators and students, highlighting the necessity of understanding and integrating AI technologies in educational settings. This report aligns with the broader discourse on AI literacy and emphasizes the need to equip library professionals with skills needed to evaluate and utilize AI tools effectively (Lo, 2023a).

While efforts to promote AI literacy are growing, the required content for different target groups remains ambigu­ous. Some promising measurement tools have been proposed, such as Pinski and Benlian’s (2023) multidimensional scale assessing perceived knowledge of AI technology, processes, collaboration, and design. However, further validation of AI literacy assessments is required. Developing rigorous definitions and measurements is crucial for implementing effective AI literacy initiatives.

Ridley and Pawlick-Potts (2021) put forth the concept of algorithmic literacy, involving understanding algorithms and their influence, recognizing their uses, assessing their impacts, and positioning individuals as active agents rather than passive recipients of algorithmic decision-making. They propose libraries can contribute to algorithmic literacy by integrating it into information literacy education and supporting explainable AI.

Ocaña-Fernández et al. (2019) argued curriculum and skills training changes are critical to prepare students and faculty for an AI future, though also warn about digital inequality issues. Laupichler et al.’s (2022) scoping review reveals efforts to teach foundational AI literacy to non-specialists are still in formative stages. Proposed essential skills vary considerably across frameworks, and robust evaluations of AI literacy programs are lacking. Findings indicate that carefully designed AI literacy courses show promise for knowledge gains; however, research substantiating appropriate frameworks, core competencies and effective instructional approaches for diverse audiences remains an open need.

Within libraries, Heck et al. (2019) discussed the interplay of information literacy and AI. They propose that AI could aid information literacy teaching through timely feedback and tracking skill development, but note that common evaluation approaches would need establishing first. Information literacy empowers learners to actively engage with, not just passively consume from, AI systems. Lo (2023c) proposed a framework to utilize prompt engineering to enhance information literacy and critical thinking skills.

Oliphant (2015) examined intelligent agents for library reference services. The analysis found they rapidly retrieve information but lack human evaluation abilities. Findings suggest librarians will need to guide users in critically evaluating AI-generated results, indicating that information literacy instruction remains crucial. Furthermore, Lund et al. (2023) discuss the ethical implications of using large language models, such as ChatGPT, in scholarly publishing, emphasizing the need for ethical considerations and the potential impact of AI on research practices.

While research is still emerging, initial findings highlight the need for rigorous, tailored AI literacy initiatives encompassing technical skills, critical perspectives, and ethical considerations. As AI becomes further entwined with education and work, developing validated frameworks, assessments, and instructional approaches to enhance multidimensional AI literacy across contexts and roles is an urgent priority. This study seeks to contribute by investigating AI literacy specifically among academic library employees.

Purpose of the Study

The rapid pace of AI development and integration in higher education heightens the need to address this research gap. As AI continues to evolve and permeate further into academic libraries, the demand for AI-literate library employees will only increase. Failure to understand the current state of AI literacy, and to identify the gaps, could result in a significant skills deficit that would impedes the effective utilization of AI in academic libraries.

In light of this, the purpose of this study is to embark on an investigation of AI literacy among academic library employees. The study seeks to answer the following critical research questions:

• What is the current level of AI literacy among academic library employees?
• What gaps exist in their AI literacy, and how can these gaps be addressed through professional development and training programs?
• What are their perceptions of generative AI, and what implications do they foresee for the library profession?

By addressing these questions, this study aims to fill a research gap and provide insights that can inform policy and practice in higher education. It strives to shed light on the competencies that academic library employees possess, identify the gaps that need to be addressed, and propose strategies for enhancing AI literacy among this essential group of higher education professionals.

Theoretic Framework

The Technological Pedagogical Content Knowledge (TPACK) framework developed by Mishra and Koehler (2006) serves as the theoretical foundation for this study. TPACK has also been advocated as a useful decision-making structure for librarians evaluating instructional technologies (Sobel & Grotti, 2013).

Mishra and Koehler (2006) explain that TPACK involves flexible, context-specific application of technology, pedagogy, and content knowledge. It goes beyond isolated knowledge of the concepts to an integrated understanding. TPACK development requires moving past viewing technology as an “add-on” and focusing on the connections between technology, content, and pedagogy in particular educational contexts.

In the context of this study, the researcher applied the TPACK framework to examine AI literacy specifically among academic library professionals. The three key components of the TPACK framework are interpreted as:

• Technological Knowledge (TK)—Knowledge about AI itself, including its principles, capabilities, and limitations. This encompasses understanding AI as a technology and its potential applications in library settings.
• Pedagogical Knowledge (PK)—Knowledge about how AI can be used to enhance library services and facilitate learning. This relates to understanding how AI can be integrated into library services to improve user experience, streamline operations, and support learning.
• Content Knowledge (CK)—Knowledge about the library’s content and services. This involves perceiving the potential impact of AI on the library’s content and services, and how AI can enhance their management and delivery.

This tailored application of the TPACK framework will allow a multidimensional assessment of AI literacy among academic library employees. It facilitates examining employees’ understanding of AI as a technology (TK), perceptions of how AI can enhance library services (PK), and the potential impact of AI on the library’s content and services (CK).

Significance of the Study

The significance of this study lies in its potential to contribute to academic library policy, practice, and theory in several ways. Firstly, it utilizes the TPACK framework to evaluate AI literacy among academic library employees, identifying competencies, gaps, and necessary strategies. This insight is crucial for designing effective professional development programs, as well as for resource allocation. Secondly, it adds to the discourse on digital literacy in higher education by specifically focusing on AI literacy, aiding in understanding its role and implications. Thirdly, the study provides insights into the ethical, practical, and opportunity dimensions of AI technology integration in libraries, informing best practices and guidelines for its responsible use. Lastly, by applying the TPACK framework to AI literacy in libraries, the study expands its theoretical applications and offers a robust basis for future research in technology integration in academic settings.

Methodology

Research design.

This study employs a survey-based approach to explore AI literacy among academic library employees, chosen for its ability to quickly gather extensive data across a geographically diverse group. The method aligns with the TPACK framework, highlighting the integration of technological, pedagogical, and content knowledge. Surveys facilitate the collection of standardized data, allowing for comparisons across different roles and demographics. This design is particularly effective for descriptive research in higher education, making it suitable for assessing the current state of AI literacy in academic libraries.

Participants

The researcher utilized a comprehensive approach to recruit a diverse group of academic library employees for the survey. This involved posting on professional listservs across various roles and regions in librarianship (Appendix A), as well directly contacting directors of prominent library associations: the Association of Research Libraries (ARL), the Greater Western Library Alliance (GWLA), and the New Mexico Consortium of Academic Libraries (NMCAL). These organizations represent a broad spectrum of academic libraries in terms of size, location, and type. The directors were requested to share the survey with their staff, thus ensuring a wide-reaching and representative sample for the study.

Data Collection

Data collection was facilitated through a custom-designed survey instrument, which was built and administered using the Qualtrics platform (Appendix B). The survey itself was developed to address the study’s research questions and was structured into four main sections, each focusing on a specific aspect of AI literacy among academic library employees.

The first section sought to capture respondents’ understanding and knowledge of AI, including their familiarity with AI concepts and terminology. The second section focused on respondents’ practical skills and experiences with AI tools and applications in professional settings. The third section aimed to identify areas of AI literacy where respondents felt less confident, signaling potential gaps in knowledge or skills that could be addressed through professional development initiatives. Finally, the last section explored respondents’ perspectives on the ethical implications and challenges presented by AI technologies in the library context.

The survey employed a mix of question types to engage respondents and capture nuanced data. These included Likert-scale questions, multiple choice, and open-ended questions. Prior to the full-scale administration, the survey was pilot-tested with a small group of academic library employees to ensure clarity, relevance, and appropriateness of the questions.

The survey questions were designed to tap into different dimensions of the TPACK framework. For instance, questions asking about practical experiences with AI tools and self-identified areas of improvement indirectly assess the intersection of technological and pedagogical knowledge (TPK), as they relate to AI.

Upon finalizing the survey, an invitation to participate, along with a link to the survey, was distributed via the listservs and direct outreach methods. The survey remained open for two weeks, with reminders sent out at regular intervals to maximize the response rate.

Limitations

While the study offers insights into AI literacy among academic library employees, it is crucial to acknowledge its limitations. Firstly, given the survey’s self-report nature, the findings may be subject to social desirability bias, where respondents might have over- or under-estimated their knowledge or skills in AI.

Secondly, despite best efforts to reach a wide range of academic library employees, the sample may not be entirely representative of the population. The voluntary nature of participation, coupled with the distribution methods used, may have skewed the sample towards those with an existing interest or engagement in AI.

Moreover, while the use of professional listservs and direct outreach to library directors helped widen our reach, this strategy might have excluded those academic library employees who are less active, or not included, in these communication channels. The inclusion of Canadian libraries through the Association of Research Libraries suggests a small number of non-U.S. respondents.

Finally, the rapidly evolving nature of AI and its applications in libraries means that our findings provide a snapshot at a specific point in time. As AI continues to advance and integrate more deeply into academic libraries, the landscape of AI literacy among library employees is likely to shift, necessitating ongoing research in this area.

These limitations, while important to note, do not invalidate our findings. Instead, they offer points of consideration for interpreting the results and highlight areas for future research to build on our understanding of AI literacy among academic library employees.

Results and Analysis

Descriptive statistics.

The survey drew a diverse response: 760 participants started the survey, 605 completed it. The participants represented a cross-section of the academic library landscape, with the majority (45.20%) serving in Research Universities. A significant proportion also hailed from institutions offering both graduate and undergraduate programs (29.64%) and undergraduate-focused Colleges or Universities (10.76%). Community Colleges and specialized professional schools (e.g., Law, Medical) were represented as well, albeit to a lesser extent.

Over half of the respondents (61.25%) were from libraries affiliated with the Association of Research Libraries (ARL), signifying an extensive representation from research-intensive institutions. Respondents were predominantly from larger academic institutions. Those serving in institutions with enrollments of 30,000 or more made up the largest group (30.67%), closely followed by those in institutions with enrollments ranging from 10,000 to 29,999 (34.66%).

As for professional roles, the survey drew heavily from the library specialists or professionals (60.99%) who directly support the academic community’s research, learning, and teaching needs. Middle (20.00%) and senior (9.09%) management personnel were also well-represented, providing a leadership perspective to the survey insights.

Most of the respondents were primarily involved in Reference and Research Services (25.17%) or Library Instruction and Information Literacy (24.34%)—two areas integral to the academic support infrastructure.

In terms of professional experience, participants exhibited a broad range, from novices with less than a year’s experience (2.81%) to seasoned veterans with over 20 years in the field (22.68%).

The survey group was highly educated, with most holding a master’s degree in library and information science (65.51%), and a significant number having completed a doctoral degree or a master’s in another field.

The survey also collected demographic information. A substantial majority identified as female (71.97%), and the largest age group was 35–44 years (27.97%). While the majority identified as White (76.11%), other ethnicities, including Asian, Black or African American, and Hispanic or Latino, were also represented.

This diverse participant profile offers a broad-based view of AI literacy in the academic library landscape, setting the stage for insightful findings and discussions.

RQ 1 AI Literacy Levels

At a broad level, participants expressed a modest understanding of AI concepts and principles, with a significant portion rating their knowledge at an average level. However, the number of respondents professing a high understanding of AI was quite small, revealing a potential area for further training and education.

A similar pattern was observed when participants were queried about their understanding of generative AI specifically. This suggests that while librarians have begun to grasp AI and its potential, there is a considerable scope for growth in terms of knowledge and implementation (Figure 1).

Regarding the familiarity with AI tools, most participants had a moderate level of experience (30.94%). Only a handful of participants reported a high level of familiarity (3.87%), signaling an opportunity for more hands-on training with these tools.

In examining the prevalence of AI usage in the library sector, the researcher found a varied landscape. While some technologies have found significant adoption, others remain relatively unused. Notably, Chatbots and text or data mining tools were the most widely used AI technologies.

Participants’ understanding of specific AI concepts followed a similar trend. More straightforward concepts such as Machine Learning and Natural Language Processing had a higher average rating, whereas complex areas like Deep Learning and Generative Adversarial Networks were less understood. This trend underscores the need for targeted educational programs on AI in library settings.

Notably, there was almost a nine percent drop in responses from the previous questions to the questions that asked about the more technical aspects of AI. This could signify a gap in knowledge or comfort level with these topics among the participants.

In the professional sphere, AI tools have yet to become a staple in library work. The majority of participants do not frequently use these tools, with 41.79% never using generative AI tools and 28.01% using them less than once a month. This might be attributed to a lack of familiarity, resources, or perceived need. However, for those who do use them, text generation and research assistance are the primary use cases.

Concerns about ethical issues, quality, and accuracy of generated content, as well as data privacy, were prevalent among the participants. This finding indicates that while there’s interest in AI technologies, the perceived challenges are significant barriers to full implementation and adoption.

In their personal lives, AI tools have yet to make a significant impact among the participants. The majority (63.98%) reported using these tools either ‘less than once a month’ or ‘never.’ This could potentially reflect the current state of AI integration in non-professional or leisurely activities, and may change as AI continues to permeate our everyday lives.

A chi-square test of independence was performed to examine the relation between the position of the respondent and the understanding of AI concepts and principles. The relation between these variables was significant, χ 2 (16, N = 760) = 26.31, p = .05. This means that the understanding of AI concepts and principles varies depending on the position of the respondent.

The distributions suggest that—while there is a significant association between the position of the respondent and their understanding of AI concepts and principles—the majority of respondents across all positions have a moderate understanding of AI. However, there are differences in the proportions of respondents who rate their understanding as high or very high, with Senior Management and Middle Management having higher proportions than the other groups.

There is also a significant relation between the area of academic librarianship and the understanding of AI concepts and principles, χ²(36, N = 760) = 68.64, p = .00084. This means that the understanding of AI concepts and principles varies depending on the area of academic librarianship. The distributions show that there are differences in the proportions of respondents who rate their understanding as high or very high, with Administration or management and Library Instruction and Information Literacy having higher proportions than the other groups.

Furthermore, a Chi-Square test shows that the relation between the payment for a premium version of at least one of the AI tools and the understanding of AI concepts and principles is significant, χ²(4, N = 539) = 85.42, p < .001. The distributions suggest that respondents who have paid for a premium version of at least one of the AI tools have a higher understanding of AI concepts and principles compared to those who have not. This could be because those who have paid for a premium version of an AI tool are more likely to use AI in their work or personal life, which could enhance their understanding of AI. Alternatively, those with a higher understanding of AI might be more likely to see the value in paying for a premium version of an AI tool.

It’s important to note that these findings are based on the respondents’ self-rated understanding of AI, which may not accurately reflect their actual understanding. Further research could involve assessing the respondents’ understanding of AI through objective measures. Additionally, other factors not considered in this analysis, such as the respondent’s educational background, years of experience, and exposure to AI in their work, could also influence their understanding of AI.

RQ2 Identifying Gaps

In this section, the researcher delved deeper into the gaps in knowledge and confidence among academic library professionals regarding AI applications. These gaps highlight the urgent need for targeted professional development and training in AI literacy.

Confidence Levels in Various Aspects of AI

The survey data pointed to moderate levels of confidence across a spectrum of AI-related tasks, indicating room for growth and learning. For evaluating ethical implications of using AI, a modest 30.12% of respondents felt somewhat confident (levels 4 and 5 combined), while 29.50% were not confident (levels 1 and 2 combined), and the largest group (39.38%) remained neutral.

Discussing AI integration revealed similar patterns. Here, 31.1% reported high confidence, 34.85% expressed low confidence, and the remaining 33.06% were neutral. These distributions suggest an overall hesitation or lack of assurance in discussing and ethically implementing AI, potentially indicative of inadequate training or exposure to these topics.

When it came to collaborating on AI-related projects, fewer respondents (31.39%) felt confident, while 40.16% reported low confidence, and 28.46% chose a neutral stance. This might point to the necessity of not only individual proficiency in AI but also the need for collaborative skills and shared understanding among teams working with AI.

Troubleshooting AI tools and applications emerged as the most significant gap, with 69.76% rating their confidence as low and only 10.9% expressing high confidence. This highlights an essential area for targeted training, as troubleshooting is a fundamental aspect of successful technology implementation.

Reflecting on Professional Development and Training in AI

Approximately one-third of survey participants have engaged in AI-focused professional development, showcasing several key themes:

• Modes of Training: Librarians access training via various formats, including webinars, workshops, and self-guided learning. Online options are popular, providing accessibility for diverse professionals.
• AI Tools and Applications: Training sessions mainly introduce tools like ChatGPT and others, with an emphasis on functionality and applications in academia.
• Ethical Implications: Sessions often address ethical concerns such as bias and privacy, and the potential misuse of ‘black box’ AI models.
• Integration into Librarian Workflows: Programs explore AI’s integration into library work, including instruction, cataloging, and citation analysis.
• AI Literacy: There is a recurring focus on understanding and teaching AI concepts, tied to broader information literacy discussions.
• AI in Instruction: Training includes using AI tools in library instruction and understanding its impacts on academic integrity.
• Community of Practice: Responses highlight collaborative learning, suggesting a communal approach to understanding AI’s challenges and opportunities.
• Self-guided Learning: Some librarians actively pursue independent learning opportunities, reflecting a proactive stance on AI professional development.

The findings emphasize the multifaceted nature of AI in libraries, underlining the need for ongoing, comprehensive professional development. This includes addressing both technical and ethical aspects, equipping librarians with practical AI skills, and fostering a supportive community of practice.

A Chi-square test examining the relationship between the respondents’ positions and their participation in any training focused on generative AI (χ²(4, N = 595) = 26.72, p < .001) indicates a significant association. Upon examining the data, the proportion of respondents who have participated in training or professional development programs focused on generative AI is highest among those in Senior Management (47.27%), followed by Specialist or Professional (37.40%), Middle Management (29.75%), and Other (16.67%). The proportion is lowest among Support Staff or Administrative (3.70%).

This suggests that individuals in higher positions, such as Senior Management and Specialist or Professional roles, are more likely to have participated in training or professional development programs focused on generative AI. This could be due to a variety of reasons, such as these roles potentially requiring a more in-depth understanding of AI and its applications, or these individuals having more access to resources and opportunities for such training. On the other hand, Support Staff or Administrative personnel are less likely to have participated in such programs, which could be due to less perceived need or fewer opportunities for training in these roles.

These findings highlight the importance of providing access to training and professional development opportunities focused on AI across all roles in an organization, not just those in higher positions or those directly involved in AI-related tasks. This could help ensure a more widespread understanding and utilization of AI across the organization.

Despite these efforts, many participants did not feel adequately prepared to utilize generative AI tools professionally. A notable 62.91% disagreed to some extent with the statement: “I feel adequately prepared to use generative AI tools in my professional work as a librarian,” underscoring the need for more effective training programs.

Interestingly, the areas identified for further training weren’t just about understanding the basics of AI. Participants showed a clear demand for advanced understanding of AI concepts and techniques (13.53%), familiarity with AI tools and applications in libraries (14.21%), and addressing privacy and data security concerns related to generative AI (14.36%). This suggests that librarians are looking to move beyond a basic understanding and are keen to engage more deeply with AI.

Preferred formats for professional development opportunities leaned towards remote and flexible learning opportunities, such as online courses or webinars (26.02%) and self-paced learning modules (22.44%). This preference reflects the current trend towards digital and remote learning, providing a clear direction for future training programs.

Notably, almost half of the participants (43.99%) rated the need for academic librarians to receive training on AI tools and applications within the next twelve months as ‘extremely important.’ This emphasis on urgency indicates a significant and immediate gap to be addressed.

In summary, a deeper analysis of the data reveals a landscape where academic librarians possess moderate to low confidence in understanding, discussing, and handling AI-related tasks, despite some exposure to professional development in AI. This finding indicates the need for more comprehensive, in-depth, and accessible AI training programs. By addressing these knowledge gaps, the library community can effectively embrace AI’s potential and navigate its challenges.

RQ 3 Perceptions

The comprehensive results of our survey, as illustrated in Table 7, offer a detailed portrait of librarians’ perceptions towards the integration of generative AI tools in library services and operations.

When considering the potential benefits of AI, the responses indicate a degree of ambivalence, with 35.88% choosing a neutral stance. However, when we combine the categories of those who ‘agree’ and ‘strongly agree,’ we see that a significant portion, 49.84%, view AI as beneficial to a certain extent. Similarly, on the question of the importance of investment in AI, there is a notable inclination towards agreement, with 46.87% agreeing that investment is important to some degree.

However, this optimism is juxtaposed with concerns about readiness. When asked how prepared they feel to adopt generative AI tools within the forthcoming year, 70.03% of respondents (those who ‘strongly disagree’ or ‘disagree’) admit a lack of preparedness. This suggests that despite recognizing the potential value of AI, there are considerable obstacles to be overcome before implementation becomes feasible.

The uncertainty surrounding AI’s impact on libraries in the short-term further illuminates this complexity. A significant proportion of librarians (36.09%) chose a neutral response when asked to predict the impact of AI on academic libraries within the next twelve months. Nonetheless, there is a considerable group (41.06% who ‘agree’ or ‘strongly agree’) who foresee significant short-term impact.

A key finding from the survey was the collective recognition of the urgency to address ethical and privacy issues tied to AI usage. In fact, 74.34% of respondents, spanning ‘agree’ and ‘strongly agree,’ underscored the urgent need to address potential ethical and privacy concerns related to AI, highlighting the weight of responsibility librarians feel in maintaining the integrity of their services in the age of AI (Figure 2).

The qualitative responses provide a rich understanding of the perceptions of generative AI among library professionals and the implications they foresee for the library profession. The responses were categorized into several key themes, each of which is discussed below with relevant quotes from the respondents.

Ethical and Privacy Concerns

A significant theme that emerged from the responses was the ethical and privacy concerns associated with the use of generative AI tools in libraries. Respondents expressed apprehension about potential misuse of data and violations of privacy. As one respondent noted, “Library leaders should not rush to implement AI tools without listening to their in-house experts and operational managers.” Another respondent cautioned, “We need to be cautious about adopting technologies or practices within our own workflows that pose significant ethical questions, privacy concerns.”

Need for Education and Training

The need for education and training on AI for librarians was another prevalent theme. Respondents emphasized the importance of understanding AI tools and their implications before implementing them. One respondent suggested: “quickly education on AI is needed for librarians. As with anything else, there will be early adopters and then a range of adoption over time.” Another respondent highlighted the need for an AI specialist, stating, “I also think it would be valuable to have an AI librarian, someone who can be a resource for the rest of the staff.”

Potential for Misuse

Respondents expressed concern about the potential for misuse of AI tools, such as generating false citations or over-reliance on AI systems. They emphasized the importance of critical thinking skills, and cautioned against replacing human judgment and learning processes with AI. As one respondent put it, “Critical thinking skills and learning processes are vital and should not be replaced by AI.” Another respondent warned: “there are potential risks from misuse such as false citations being provided or too much dependence on systems.”

Concerns about Implementation

Several respondents expressed doubts about the ability of libraries to quickly and effectively implement AI tools. They cited issues such as frequent updates and refinements to AI tools, the need for significant investment, and the potential for AI to be used in ways that do not benefit the library or its users. One respondent noted, “the concern I have with AI tools is the frequent updates and refinements that occur. For libraries with small staff size, it seems daunting to keep up.”

Role of AI in Libraries

Some respondents suggested specific ways in which AI could be used in libraries, such as for collection development, instruction, and answering frequently asked questions. However, they also cautioned against viewing AI as a panacea for all library challenges. One respondent stated: “using them for FAQs will be more useful than answering a complicated reference question.”

Concerns about AI’s Impact on the Profession

Some respondents expressed concern that the use of AI could lead to job displacement or a devaluation of the human elements of librarianship. They suggested that AI should be used to complement, not replace, human librarians. One respondent expressed that, “I could see a future where only top research institutions have human reference librarians as a concierge service.”

Need for Critical Evaluation

Respondents emphasized the need for critical evaluation of AI tools, including understanding their limitations and potential biases. They suggested that libraries should not rush to implement AI without fully understanding its implications. One respondent advised: “the framing of AI usage as a forgone conclusion is concerning. It’s a tool, not a solution, and should not be implemented without due consideration.”

AI Literacy

Some respondents suggested that libraries have a role to play in teaching AI literacy to students and other library users. They emphasized the importance of understanding how AI tools work and how to use them responsibly. One respondent stated: “I think we need to teach AI literacy to students.” Another respondent echoed this sentiment, saying, “it is essential that we prepare our students to use generative AI tools responsibly.”

The perceptions of generative AI among library professionals are multifaceted, encompassing both the potential benefits and challenges of these technologies. While there is recognition of the potential of AI to enhance library services, there is also a strong emphasis on the need for ethical considerations, education and training, critical evaluation, and responsible use of these tools. The implications for the library profession are significant, with concerns about job displacement, the need for new skills and roles, and the potential for changes in library practices and services. These findings highlight the need for ongoing dialogue and research on the use of generative AI in libraries.

While library employees acknowledge the potential advantages of AI in library services, they also express concerns regarding readiness, and emphasize the urgency to address ethical and privacy considerations. These findings indicate the need for support systems, training, and resources to address readiness gaps, alongside rigorous discussion, and guidelines to navigate ethical and privacy issues as libraries explore the possibilities of AI integration.

Discussions

The survey results cast light on the current state of artificial intelligence literacy, training needs, and perceptions within the academic library community. The findings reveal a landscape of recognition for the potential of AI technologies, yet, simultaneously, a lack of in-depth understanding and preparedness for their adoption.

A detailed examination of the data reveals that a considerable number of library professionals self-assess their understanding of AI as sitting around, or below, the middle. While this does suggest a basic level of familiarity with AI concepts and principles, it likely falls short of the proficiency required to navigate the rapidly evolving AI landscape confidently and competently. This gap in understanding holds implications for the library field as AI continues to infiltrate various sectors and increasingly permeates library services and operations.

Moreover, an analysis of the familiarity of library professionals with AI tools lends further credence to this call for more comprehensive AI education initiatives. An understanding of AI extends beyond mere theoretical comprehension—it necessitates hands-on familiarity with AI tools and the ability to use and apply them in practice. Direct interaction with AI technologies provides an avenue for library professionals to bolster their practical understanding and thus equip them to incorporate these tools into their work more effectively.

However, formulating training initiatives that address these gaps is a multifaceted task. The AI usage in libraries is as diverse as the scope of AI applications themselves. From customer service chatbots, and text or data mining tools, to advanced technologies like neural networks and deep learning systems—each offers unique applications and therefore requires distinct expertise and understanding. Accordingly, training programs must be flexible and comprehensive, encompassing the full range of potential AI applications while also delving deep enough to provide a solid grasp of each specific tool’s functionality and potential uses.

The study also sheds light on the varying degrees of understanding across different AI concepts. Participants generally exhibited a higher level of comprehension for simpler AI concepts. However, their understanding waned when it came to more complex concepts, often the bedrock of cutting-edge AI applications. This variation in comprehension underscores the need for a stratified approach to AI education. Such an approach could start with foundational concepts and gradually progress towards more advanced topics, providing a scaffold on which a deeper understanding of AI can be built.

Addressing the AI literacy gap in the library sector thus requires a concerted approach—one that offers comprehensive and layered educational strategies that bolster both theoretical understanding and practical familiarity with AI. The aim should not only be to impart knowledge, but to empower library professionals to confidently navigate the AI landscape, to adopt and adapt AI technologies in their work effectively and—crucially —responsibly. Through such training and professional development initiatives, libraries can harness the potential of AI, ensuring they continue to be at the forefront of technological advancements.

As the focus shifts to the professional use of AI tools in libraries, the data reveal that their adoption is not yet commonplace. The use of AI tools—such as text generation and research assistance—are most reported, reflecting the immediate utility these technologies offer to librarians. However, a significant proportion of participants do not frequently use AI tools, indicating barriers to adoption. These barriers could include a lack of understanding or familiarity with these tools, a perceived lack of necessity for their use, or limitations in resources necessary for implementation and maintenance. To overcome these barriers, the field may need more than just providing education and resources. Demonstrating the tangible benefits and efficiencies AI tools can bring to library work could play a pivotal role in their wider adoption.

The data show a strong enthusiasm among librarians for professional development related to AI. While introductory training modalities are popular, the findings reveal a demand for more advanced, hands-on training. This need aligns with the complexity and rapid evolution of AI technologies, which require a deeper understanding to be fully leveraged in library contexts.

Furthermore, the findings highlight the importance of ethical considerations and the potential benefits of fostering communities of practice in AI training. With the increasing integration of AI technology into library services, the issues related to AI ethics will likely become more complex. Proactively addressing these concerns through in-depth, focused training can help libraries continue to serve as ethical stewards of information. Communities of practice provide a platform for shared learning, mutual support, and the pooling of resources, equipping librarians to better navigate the intricacies of AI integration.

Importantly, the data show that the diversity in librarians’ roles and contexts necessitates a tailored approach to AI training. Libraries differ in their services, target audiences, resources, and strategic goals, and so do their AI training needs. A one-size-fits-all approach to AI training may fall short. Future AI training could therefore take these variations into account, offering specialized tracks or modules catering to specific roles or institutional contexts.

Likewise, the perceptions surrounding the use of generative AI tools in libraries are intricate and multifaceted. While the potential benefits of AI are acknowledged and the importance of investing in its implementation recognized, there is also a pronounced lack of readiness to adopt these tools. This readiness gap could stem from various factors, such as a lack of technical skills, insufficient funding, or institutional resistance. Future research should delve into these possibilities to better understand and address this gap.

Library professionals express uncertainty about the short-term implications of AI for libraries. This could reflect the novelty of these technologies and a lack of clear use cases, or it could echo the experiences of early adopters. The findings also emphasize a heightened sense of urgency in addressing the ethical and privacy concerns associated with AI technologies. These concerns underline the necessity for ongoing dialogue, education, and policy development around AI use in libraries.

Conclusions and Future Directions

The results reveal an intricate landscape of AI understanding, usage, and perception in the library field. While the benefits of AI tools are acknowledged, a comprehensive understanding and readiness to implement these technologies remain less than ideal. This reality underlines the pressing need for an investment in targeted educational strategies and ongoing professional development initiatives.

Crucially, the wide variance in AI literacy, understanding of AI concepts, and hands-on familiarity with AI tools among library professionals points towards the need for a stratified and tailored approach to AI education. Future training programs must aim beyond just knowledge acquisition—they must equip library professionals with the capabilities to apply AI technologies in their roles effectively, ethically, and responsibly. Ethical and privacy concerns emerged as significant considerations in the adoption of AI technologies in libraries. Our findings reinforce the crucial role that libraries have historically played, and must continue to play, in advocating for ethical information practices.

The readiness gap in AI adoption uncovered by the study suggests a disconnect between understanding the potential of AI and the ability to harness it effectively. This invites a deeper investigation into potential barriers, including technical proficiency, resource allocation, and institutional culture, among others.

Framework and Key Competencies

This study presents a framework for defining AI literacy in academic libraries, encapsulating seven key competencies:

• Understanding AI System Capabilities and Limitations: Recognizing what AI can and cannot do, knowing its strengths and weaknesses.
• Identifying and Evaluating AI Use Cases: Discovering and assessing potential AI applications in library settings.
• Utilizing AI Tools Effectively and Appropriately: Applying AI technologies in library operations.
• Critically Assessing AI Quality, Biases, and Ethics: Evaluating AI for accuracy, fairness, and ethical considerations.
• Engaging in Informed AI Discussions and Collaborations: Participating knowledgeably in conversations and cooperative efforts involving AI.
• Recognizing Data Privacy and Security Issues: Understanding and addressing concerns related to data protection and security in AI systems.
• Anticipating AI’s Impacts on Library Stakeholders: Preparing for how AI will affect library users and staff.

This multidimensional definition of AI literacy for libraries provides a foundation for developing comprehensive training programs and curricula. For instance, the need to understand AI system capabilities and limitations highlighted in the definition indicates that introductory AI education should provide a solid grounding in how common AI technologies like machine learning work, where they excel, and their constraints. This conceptual comprehension equips librarians to set realistic expectations when evaluating or implementing AI.

The definition also accentuates that gaining practical skills to use AI tools appropriately should be a core training component. Hands-on learning focused on identifying appropriate applications, utilizing AI technologies effectively, and critically evaluating outputs can empower librarians to harness AI purposefully.

Moreover, emphasizing critical perspectives and ethical considerations reflects that AI training for librarians should move beyond technical proficiency. Incorporating modules examining biases, privacy implications, misinformation risks, and societal impacts is key for fostering responsible AI integration.

Likewise, the collaborative dimension of the definition demonstrates that cultivating soft skills for productive AI discussions and teamwork should be part of the curriculum. AI literacy has an important social element that training programs need to nurture.

Overall, this definition provides a skills framework that can inform multipronged, context-sensitive AI training tailored to librarians’ diverse needs. It constitutes an actionable guide for developing AI curricula and professional development that advance both technical and social aspects of AI literacy.

Future Research

Based on the findings and limitations of the current study, the following are specific recommendations for future research:

• Longitudinal Studies: This study provides a snapshot of AI literacy among academic library employees at a specific point in time. Future research could conduct longitudinal studies to track changes in AI literacy over time, which would provide insights into the effectiveness of interventions and the evolution of AI literacy in the library profession.
• Comparative Studies: This study focused on academic library employees. Future research could conduct comparative studies to examine AI literacy among different types of library employees (e.g., public library employees, school library employees), or among library employees in different countries. Such studies could provide insights into the factors that influence AI literacy and the strategies that are effective in different contexts.
• Intervention Studies: This study identified the need for education and training on AI. Future research could design and evaluate interventions aimed at enhancing AI literacy among library employees. Such studies could provide evidence-based recommendations for the development of training programs and resources.
• Ethical Considerations: This study highlighted ethical concerns about the use of AI in libraries. Future research could delve deeper into these ethical issues, examining the perspectives of different stakeholders (e.g., library users, library administrators) and exploring strategies for addressing these concerns.
• Impact of AI on Library Services: This study explored library employees’ perceptions of the potential impact of AI on library services. Future research could examine the actual impact of AI on library services, assessing the effectiveness of AI in enhancing user experience, streamlining operations, and supporting learning.

By pursuing these avenues for future research, we can continue to deepen our understanding of AI literacy in the library profession, inform strategies for enhancing AI literacy, and promote the effective and ethical use of AI in libraries.

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Mishra, P. (2019). Considering contextual knowledge: The TPACK diagram gets an upgrade. Journal of Digital Learning in Teacher Education , 35(2), 76–78. https://doi.org/10.1080/21532974.2019.1588611

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Ocaña-Fernández, Y., Valenzuela-Fernández, L., & Garro-Aburto, L. (2019). Artificial intelligence and its implications in higher education. Propósitos y Representaciones , 7(2), 536–568. https://doi.org/10.20511/pyr2019.v7n2.274

Oliphant, T. (2015). Social media and web 2.0 in information literacy education in libraries: New directions for self-directed learning in the digital age. Journal of Information Literacy , 9(2), 37–49.

Pinski, M., & Benlian, A. (2023). AI literacy—Towards measuring human competency in artificial intelligence. Proceedings of the 56th Hawaii International Conference on System Sciences, 165–174. https://doi.org/10.24251/HICSS.2023.012

Ridley, M., & Pawlick-Potts, D. (2021). Algorithmic literacy and the role for libraries. Information Technology and Libraries , 40(2), 1–15. https://doi.org/10.6017/ital.v40i2.12963

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U.S. Department of Education. (2023). (rep.). Artificial Intelligence and the Future of Teaching and Learning: Insights and Recommendations . Retrieved from https://www2.ed.gov/documents/ai-report/ai-report.pdf .

Appendix A. Recruitment—Listservs

• American Indian Library Association (AILA)
• American Libraries Association (ALA) Members
• Asian Pacific American Librarians Association (APALA)
• □ Members
• □ University Libraries Section
• □ Distance and Online Learning Section
• □ Instruction Section
• Association of Research Libraries (ARL) Directors Listserv
• Black Caucus American Library Association (BCALA)
• Chinese American Librarians Association (CALA)
• Greater Western Library Alliance (GWLA) Directors’ listserv
• Minnesota Institute Graduates (MIECL)
• New Mexico Consortium of Academic Libraries (NMCAL) Directors’ Listserv

Appendix B. AI and Academic Librarianship

Survey flow.

Standard: Block 1 (1 Question)

Block: Knowledge and Familiarity (12 Questions)

Standard: Perceived Competence and Gaps in AI Literacy (5 Questions)

Standard: Training on Generative AI for Librarians (6 Questions)

Standard: Desired Use of Generative AI in Libraries (7 Questions)

Standard: Demographic (10 Questions)

Standard: End of Survey (1 Question)

Start of Block: Block 1

Q1.1 Introduction

Dr. Leo Lo from the University of New Mexico is conducting a research project. You are invited to participate in a research study aiming to assess AI literacy among academic library employees, identify gaps in AI literacy that require further professional development and training, and understand the differences in AI literacy levels across different roles and demographic factors. Before you begin the survey, please read this Informed Consent Form carefully. Your participation in this study is voluntary, and you may choose to withdraw at any time without any consequences.

Artificial Intelligence (AI) refers to the development of computer systems and software that can perform tasks that would typically require human intelligence. These tasks may include problem-solving, learning, understanding natural language, recognizing patterns, perception, and decision-making

You are being asked to participate based of the following inclusion and exclusion criteria:

Inclusion Criteria:

• Currently employed as an employee in a college or university library setting.
• Willing and able to provide informed consent for participation in the study.

The Exclusion Criteria are as Follows:

• Librarian employees working in non-academic library settings (e.g., public libraries, school libraries, special libraries).
• Individuals who are not currently library employees or who are employed in non-library roles within academic institutions.

The purpose of this study is to evaluate the current AI literacy levels of academic librarians and identify areas where further training and development may be needed. The findings will help inform the design of targeted professional development programs and contribute to the understanding of AI literacy in the library profession.

If you agree to participate in this study, you will be asked to complete an online survey that will take approximately 15–20 minutes to complete. The survey includes questions about your AI knowledge, familiarity with AI tools and applications, perceived competence in using AI, and your opinions on training needs.

Potential Risks and Discomforts

There are no known risks or discomforts associated with participating in this study. Some questions might cause minor discomfort due to self-reflection, but you are free to skip any questions you prefer not to answer. Benefits While there are no direct benefits to you for participating in this study, your responses will help contribute to a better understanding of AI literacy among academic librarians and inform the development of relevant professional training programs.

Confidentiality

Your responses will be anonymous, and no personally identifiable information will be collected. Data will be stored securely on password-protected devices or encrypted cloud storage services, with access limited to the research team. The results of this study will be reported in aggregate form, and no individual responses will be identifiable. Your information collected for this project will NOT be used or shared for future research, even if we remove the identifiable information like your name.

Voluntary Participation and Withdrawal

Your participation in this study is voluntary, and you may choose to withdraw at any time without any consequences. Please note that if you decide to withdraw from the study, the data that has already been collected from you will be kept and used. This is necessary to maintain the integrity of the study and ensure that the data collected is reliable and valid.

Contact Information

If you have any questions or concerns about this study, please contact the principal investigator, Leo Lo, at [email protected] . If you have questions regarding your rights as a research participant, or about what you should do in case of any harm to you, or if you want to obtain information or offer input, please contact the UNM Office of the IRB (OIRB) at (505) 277-2644 or irb.unm.edu

By clicking “I agree” below, you acknowledge that you have read and understood the information provided above, had an opportunity to ask questions, and voluntarily agree to participate.

I agree (1)

I do not agree (2)

Skip To: End of Survey If Q1.1 = I do not agree

End of Block: Block 1

Start of Block: Knowledge and Familiarity

Q2.1 Artificial Intelligence

(AI) refers to the development of computer systems and software that can perform tasks that would typically require human intelligence. These tasks may include problem-solving, learning, understanding natural language, recognizing patterns, perception, and decision-making

Please rate your overall understanding of AI concepts and principles (using a Likert scale, e.g., 1 = very low, 5 = very high)

Q2.2 On a scale of 1 to 5, how would you rate your understanding of generative AI ? (1 = not at all knowledgeable, 5 = extremely knowledgeable)

Q2.3 Rate your familiarity with generative AI tools (e.g., ChatGPT, DALL-E, etc.) (using a Likert scale, e.g., 1 = not familiar, 5 = very familiar)

Q2.4 Which of the following AI technologies or applications have you encountered or used in your role as an academic librarian? (Select all that apply)

• □ Chatbots (1)
• □ Text or data mining tools (2)
• □ Recommender systems (3)
• □ Image or object recognition (4)
• □ Automated content summarization (5)
• □ Sentiment analysis (6)
• □ Speech recognition or synthesis (7)
• □ Other(please specify) (8) __________________________________________________

Q2.5 For each of the following AI concepts, indicate your understanding of the concept by selecting the appropriate response.

Q2.6 Which of the following generative AI tools have you used at least a few times? (Select all that apply)

• □ Text generation (e.g., ChatGPT) (1)
• □ Image generation (e.g., DALL-E, Mid Journey) (2)
• □ Music generation (e.g., OpenAI’s MuseNet) (3)
• □ Video generation (e.g. Synthesia) (4)
• □ Presentation generation (e.g. Tome) (5)
• □ Voice generation (e.g. Murf) (6)
• □ Data synthesis for research purposes (7)
• □ Other (please specify) (8) __________________________________________________

Display This Question:

If If Which of the following generative AI tools have you used at least a few times? (Select all that a… q://QID5/SelectedChoicesCount Is Greater Than 0

Q2.7 Have you ever paid for a premium version of at least one of the AI tools (for example, ChatGPT Plus; or Mid Journey subscription plan, etc.)

Q2.8 How frequently do you use generative AI tools in your professional work? (Select one)

Several times per week (2)

A few times per month (4)

Monthly (5)

Less than once a month (6)

Q2.9 For what purposes do you use generative AI tools in your professional work? (Select all that apply)

• □ Content creation (e.g., blog posts, social media updates) (1)
• □ Research assistance (e.g., literature reviews, data synthesis) (2)
• □ Data analysis or visualization (3)
• □ Cataloging or metadata generation (4)
• □ User support or assistance (e.g., chatbots, virtual reference) (5)
• □ Other (please specify) (6) __________________________________________________

Q2.10 On a scale of 1 to 5, how would you rate how reliable  generative AI tools have been in fulfilling your professional needs? (1 = not at all reliable, 5 = extremely reliable) 

Please explain your choice. 

1 (1) __________________________________________________

2 (2) __________________________________________________

3 (3) __________________________________________________

4 (4) __________________________________________________

5 (5) __________________________________________________

Q2.11 What level of concern do you have for the following potential challenges in implementing generative AI technologies in academic libraries? (Rate each challenge on a scale of 1 to 5, where 1 = not at all concerned and 5 = extremely concerned)

Q2.12 How frequently do you use generative AI tools in your personal life ? (Select one)

End of Block: Knowledge and Familiarity

Start of Block: Perceived Competence and Gaps in AI Literacy

Q3.1 On a scale of 1 to 5, how confident are you in your ability to evaluate the ethical implications of using AI in your library? (1 = not at all confident, 5 = extremely confident)

Q3.2 On a scale of 1 to 5, how confident are you in your ability to participate in discussions about AI integration within your library? (1 = not at all confident, 5 = extremely confident)

Q3.3 On a scale of 1 to 5, how confident are you in your ability to collaborate with colleagues on AI-related projects in your library? (1 = not at all confident, 5 = extremely confident)

Q3.4 On a scale of 1 to 5, how confident are you in your ability to troubleshoot issues related to AI tools and applications used in your library? (1 = not at all confident, 5 = extremely confident)

Q3.5 On a scale of 1 to 5, how confident are you in your ability to provide guidance to library users about AI resources and tools ? (1 = not at all confident, 5 = extremely confident)

End of Block: Perceived Competence and Gaps in AI Literacy

Start of Block: Training on Generative AI for Librarians

Q4.1 Have you ever participated in any training or professional development programs focused on generative AI?

If Q4.1 = Yes

Q4.2 Please briefly describe the nature and content of the training or professional development program(s) you attended.

________________________________________________________________

Q4.3 To what extent do you agree or disagree with the following statement: “ I feel adequately prepared to use generative AI tools in my professional work as a librarian .” (1 = strongly disagree, 5 = strongly agree)

Q4.4 In which of the following areas do you feel the need for additional training or professional development related to AI? (Select all that apply)

• □ Basic understanding of AI concepts and terminology (1)
• □ Advanced understanding of AI concepts and techniques (2)
• □ Familiarity with AI tools and applications in libraries (3)
• □ Ethical considerations of AI in libraries (4)
• □ Collaborating on AI-related projects (5)
• □ Addressing privacy and data security concerns related to generative AI (6)
• □ Troubleshooting AI tools and applications (7)
• □ Providing guidance to library users about AI resources (8)
• □ Other (please specify) (9) __________________________________________________

Q4.5 What types of professional development opportunities related to AI would be most beneficial to you? (Select all that apply)

• □ Online courses or webinars (1)
• □ In-person workshops or seminars (2)
• □ Conference presentations or panel discussions (3)
• □ Self-paced learning modules (4)
• □ Mentoring or coaching (5)
• □ Peer learning groups or communities of practice (6)
• □ Other (please specify) (7) __________________________________________________

Q4.6 How important do you think it is for academic librarians to receive training on generative AI tools and applications in the next 12 months ? (1 = not at all important, 5 = extremely important)

End of Block: Training on Generative AI for Librarians

Start of Block: Desired Use of Generative AI in Libraries

Q5.1 To what extent do you agree or disagree with the following statement: “ I believe generative AI tools have the potential to benefit library services and operations .” (1 = strongly disagree, 5 = strongly agree)

Q5.2 How important do you think it is for your library to invest in the exploration and implementation of generative AI tools ? (1 = not at all important, 5 = extremely important)

Q5.3 If you have any additional thoughts or suggestions on how your library could or should use (or not use) generative AI tools, please share them here.

Q5.4 How soon do you think your library should prioritize implementing generative AI tools and applications? (Select one)

Immediately (1)

Within the next 6 months (2)

Within the next year (3)

Within the next 2–3 years (4)

More than 3 years from now (5)

Not a priority at all (6)

Q5.5 In your opinion, how prepared is your library to adopt generative AI tools and applications in the next 12 months? (1 = not at all prepared, 5 = extremely prepared)

Q5.6 To what extent do you think generative AI tools and applications will have a significant impact on academic libraries within the next 12 months ? (1 = no impact, 5 = major impact)

Q5.7 How urgent do you feel it is for your library to address the potential ethical and privacy concerns related to the use of generative AI tools and applications? (1 = not at all urgent, 5 = extremely urgent)

End of Block: Desired Use of Generative AI in Libraries

Start of Block: Demographic

Q6.1 In which type of academic institution is your library located? (Select one)

Community college (1)

College or university (primarily undergraduate) (2)

College or university (graduate and undergraduate) (3)

Research university (4)

Specialized or professional school (e.g., law, medical) (5)

Other (please specify) (6) __________________________________________________

Q6.2 Is your library an ARL member library?

Q6.3 Approximately how many students are enrolled at your institution? (Select one)

Fewer than 1,000 (1)

1,000–4,999 (2)

5,000–9,999 (3)

10,000–19,999 (4)

20,000–29,999 (5)

30,000 or more (6)

Q6.4 What is your current role or position in your organization? (Select one)

Senior management (e.g. Director, Dean, associate dean/director) (1)

Middle management (e.g. department head, supervisor, coordinator) (2)

Specialist or professional (e.g., librarian, analyst, consultant) (3)

Support staff or administrative (4)

Other (please specify) (5) __________________________________________________

Q6.5 In which area of academic librarianship do you primarily work? (Select one)

Administration or management (1)

Reference and research services (2)

Technical services (e.g., acquisitions, cataloging, metadata) (3)

Collection development and management (4)

Library instruction and information literacy (5)

Electronic resources and digital services (6)

Systems and IT services (7)

Archives and special collections (8)

Outreach, marketing, and communications (9)

Other (please specify) (10) __________________________________________________

Q6.6 How many years of experience do you have as a library employee?

Less than 1 year (1)

1–5 years (2)

6–10 years (3)

11–15 years (4)

16–20 years (5)

More than 20 years (6)

Q6.7 What is the highest level of education you have completed? (Select one)

High school diploma or equivalent (1)

Some college or associate degree (2)

Bachelor’s degree (3)

Master’s degree in library and information science (e.g., MLIS, MSLS) (4)

Master’s degree in another field (5)

Doctoral degree (e.g., PhD, EdD) (6)

Other (please specify) (7) __________________________________________________

Q6.8 What is your gender? (Select one)

Non-binary / third gender (3)

Prefer not to say (4)

Q6.9 What is your age range?

Under 25 (1)

65 and above (5)

Q6.10 How do you describe your ethnicity? (Select one or more)

• □ American Indian or Alaskan Native (1)
• □ Asian (2)
• □ Black or African American (3)
• □ Hawaiian or Other Pacific Islander (4)
• □ Hispanic or Latino (5)
• □ White (6)
• □ Prefer not to say (7)
• □ Other (8) __________________________________________________

End of Block: Demographic

Start of Block: End of Survey

Q7.1 Thank you for participating in our survey!

Your input is incredibly valuable to us and will contribute to our understanding of AI literacy among academic librarians. We appreciate the time and effort you have taken to share your experiences and opinions. The information gathered will help inform future professional development opportunities and address potential gaps in AI knowledge and skills.

We will carefully analyze the responses and share the findings with the academic library community. If you have any further comments or questions about the survey, please do not hesitate to contact us at [email protected].

Once again, thank you for your contribution to this important research. Your insights will help shape the future of AI in academic libraries.

Best regards,

University of New Mexico

End of Block: End of Survey

* Leo S. Lo is Dean, College of University Libraries and Learning Sciences at the University of New Mexico, email: [email protected] . ©2024 Leo S. Lo, Attribution-NonCommercial (https://creativecommons.org/licenses/by-nc/4.0/) CC BY-NC.

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• Open access
• Published: 05 July 2024

Exploring the ecological security evaluation of water resources in the Yangtze River Basin under the background of ecological sustainable development

• Jie-Rong Zhou 1   na1 ,
• Xiao-Qing Li 1   na1 ,
• Xin Yu 1 , 2 ,
• Tian-Cheng Zhao 1 &
• Wen-Xi Ruan 3  

Scientific Reports volume  14 , Article number:  15475 ( 2024 ) Cite this article

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• Environmental social sciences

The Yangtze River (hereafter referred to as the YZR), the largest river in China, is of paramount importance for ensuring water resource security. The Yangtze River Basin (hereafter referred to as the YRB) is one of the most densely populated areas in China, and complex human activities have a significant impact on the ecological security of water resources. Therefore, this paper employs theories related to ecological population evolution and the Driving Force-Pressure-State-Impact-Response (DPSIR) model to construct an indicator system for the ecological security of water resources in the YRB. The report evaluates the ecological security status of water resources in each province of the YRB from 2010 to 2019, clarifies the development trend of its water resource ecological security, and proposes corresponding strategies for regional ecological security and coordinated economic development. According to the results of the ecological population evolution competition model, the overall indicator of the ecological security of water resources in the YRB continues to improve, with the safety level increasing annually. Maintaining sound management of water resources in the YRB is crucial for sustainable socioeconomic development. To further promote the ecological security of water resources in the YRB and the coordinated development of the regional economy, this paper proposes policy suggestions such as promoting the continuous advancement of sustainable development projects, actively adjusting industrial structure, continuously enhancing public environmental awareness, and actively participating in international ecological construction and seeking cooperation among multiple departments.

Introduction

Water is the primary resource for sustaining living organisms and also an important contributor to the ecological environment and the global economy. However, the current status of water resources is facing formidable challenges owing to rapid global population growth, sustained economic development, and extreme climatic conditions triggered by climate change. According to reports from the World Economic Forum and the United Nations, currently, over 2 billion people worldwide inhabit water-scarce regions, a figure projected to increase to as much as 3.5 billion by the year 2025. Approximately a quarter of the global population is confronting a “water stress” crisis, with water scarcity issues gradually becoming commonplace, defying prior expectations 1 . The report assessed the water risks in almost 200 countries and regions. Seventeen regions and countries around the world consume more than 80% of the available water supply, putting them at risk of experiencing severe water scarcity. The scarcity, uneven distribution, and deteriorating environmental quality of water resources have emerged as significant impediments to human sustainable development and societal progress, posing severe threats to water resource security across various regions. Consequently, there is an urgent imperative to engage in interdisciplinary research and foster collaborative innovation to devise scientifically sound water resource management strategies, thereby advancing the societal attainment of sustainable development goals.

Water resources are a strategic asset for ensuring economic and social development. Water is not only a fundamental element for human survival but also a crucial guarantee for economic and social development. If industry is the foundation of the national economy, then water is its “lifeblood”, essential for the development of all industries. As the largest river in China, the YZR originates from the Qinghai‒Tibet Plateau, traverses three major economic zones, and finally flows into the East China Sea. The YZR the world’s third-longest river and also has the widest basin area in China, accounting for approximately 36% of the country's total water resources. Thus, it is one of China’s most critical rivers. The YZR runs through eleven regions, including an autonomous region, eight provinces, and two municipalities directly under the central government, namely, Qinghai Province, the Tibet Autonomous Region, Yunnan Province, Sichuan Province, Hunan Province, Hubei Province, Jiangxi Province, Anhui Province, Jiangsu Province, Chongqing Municipality, and Shanghai Municipality. Due to the complex terrain and low population density in the Tibet Autonomous Region, human activities in the area have a relatively minor impact on water resource ecological security. Considering the integrity of administrative divisions, this paper selects ten provinces (municipalities), namely, Qinghai, Yunnan, Sichuan, Hunan, Hubei, Jiangxi, Anhui, Jiangsu, Chongqing, and Shanghai, as the research area, representing the YRB as the research object. The YRB currently has hundreds of millions of residents, meaning that the supply and demand of water resources in the basin are crucial for people’s livelihoods and industrial and agricultural production. As one of the most economically developed regions in China, the YRB has important economic centres and industrial bases. The rational utilization and management of water resources are crucial for the economic development of this region. Assessing the security of water resources in the YRB is the foundation for ensuring high-quality development in this area. To actively address the challenges posed by water security issues and achieve sustainable development, it is essential to prioritize and resolve water security challenges 2 .

By investigating research progress on water resource security both domestically and internationally, it has been found that the majority of studies primarily focus on the ecological system aspect, while a minority are based on the social attributes of water resources. Particularly within the realm of human–water relationships 3 , research examining the impact of socioeconomic factors on water resource ecological security from temporal and spatial perspectives is relatively limited. This study introduces the Lotka–Volterra biological concept to explore the competitive or symbiotic relationships between two populations concerning ecological resources within the same temporal and spatial context. Here, we assume that the changes in socioeconomic factors have an impact on the ecological security of water resources, and at the same time, the continuous improvement of water resource ecological security is also a sign of the advancement of socioeconomic development. The two mutually influence each other. Meanwhile, the water resource ecosystem possesses a certain degree of resilience, meaning that it can recover to a certain level through natural restoration or human intervention after being damaged to a certain extent. Building upon this foundation, the DPSIR model is employed to establish a symbiotic assessment index system for socioeconomic factors and water resources. The entropy weight method was utilized to calculate the weights of the indicators. Furthermore, the Lotka–Volterra coexistence model was employed to conduct an in-depth evaluation of the ecological security of water resources in the YRB from 2010 to 2019. The results indicate that during the period of 2010–2015, the ecological security status of water resources in the YRB was highly sensitive and even approached a dangerous state. However, with national governance and policy adjustments, the ecological security of water resources in the YRB has shown a trend of orderly recovery, currently stabilizing at a state of security or near-security. Nevertheless, challenges still exist in the management of water resource ecological security. It is vital not only to maintain and protect the YRB but also to further research and safeguard other water source areas. In summary, future efforts to govern and maintain the ecological security of water resources will be arduous, requiring the collaborative participation and governance of multiple stakeholders. Establishing a sound management system and calling for concerted efforts from the entire society to protect the YZR are crucial. Active participation in comprehensive ecological security protection projects in the YRB is essential. This lays the groundwork for constructing a healthier and more sustainable water resource ecological security management system.

Research progress at domestic and abroad

Interspecific competition model foundation—logistic model.

The logistic curve, also known as the “S-shaped curve, ” is a graphical representation of the growth pattern of a population 4 . This logistic growth model was constructed by Verhulst 5 . The logistic model describes the development of many phenomena in nature, showing continuous growth within a certain period 6 . Generally, in the initial stages of species development, the population grows rapidly. After a certain period, the growth rate reaches its peak. Due to internal factors, the rate gradually slows until it no longer increases, reaching a stable state at the limit. This process of changing population size is referred to as a finite growth process, namely, the logistic growth process. According to the research results of scholars such as Haibo et al. 7 , Lingyun and Jun 8 , and Tao 9 , the basic interspecies competition model, the logistic model, is represented by the following equation:

The constant \({\upgamma } > 0\) in the equation represents the self-intrinsic growth rate of the population, indicating the maximum growth rate of a single population without external environmental limitations. This variable reflects the difference between the average birth rate and the average death rate of individuals in a population who are not subjected to external inhibitory effects. This constant reveals the intrinsic growth characteristics of a species population. The parameter K reflects the abundance of available resources within an ecosystem. When the population size K of a species equals K, the population will no longer grow. Therefore, the K value represents the maximum number of individuals of a species that the ecosystem environment can accommodate, also known as the carrying capacity.

According to the logistic equation, we can observe that the relative growth rate of a population is proportional to the remaining resource capacity in the ecological system environment. When the remaining resources are abundant, the relative growth rate of the species population is high. This phenomenon, where the rate of population growth slows as population density gradually increases, is known as density-dependent regulation. As the ecological system capacity K approaches infinity, the growth rate of the population approaches exponential growth, and this change in the population growth curve is known as the logistic curve.

Lotka–Volterra ecological model

In 1925, Lotka introduced a significant model in his research titled “Elements of Physical Biology”, the predator‒prey interaction model. This model quantitatively elucidates the interactions between organisms 10 . In 1926, Volterra, in his study “Variazionie fluttuazioni del numero d’individui in specie animali conviventi,” described the population dynamics of two interacting species in the biological realm 11 . These contributions laid the theoretical foundation for interspecific competition models and significantly influenced the development of modern ecological competition theories.

The interactions between species can be classified into three main types: competitive relationships, predator–prey relationships, and mutualistic cooperation relationships 12 . The Lotka–Volterra model was initially developed to describe predator‒prey relationships. However, with the increasingly widespread application of differential equation theory, this ecological model has evolved to encompass a broader range of applicability.

• DPSIR model

In 1993, the research group OECD innovatively proposed the DPSIR model, which is the “driving force-pressure-state-influence-response” model based on previous research models and has since been widely promoted in policy-making and research. Combining the characteristics of both the DSR (Driving Force-State-Response) and PSR frameworks, the DPSIR model effectively reflects causal relationships within systems, integrating elements such as resources, development, environment, and human health. As a result, it is considered a suitable method for evaluating watershed ecological security.

Consistent with the PSR framework, the DPSIR model organizes information and relevant indicators based on causal relationships with the aim of establishing a chain of causality: driving force (D)-pressure (P)-state (S)-impact (I)-response (R). In this context, “Driving Force (D)” primarily refers to potential factors reflecting changes in the health of the water cycle system, such as socioeconomic and population growth. “Pressure (P)” mainly refers to the impacts on the structure and functioning of the water cycle system, such as the utilization of water resources. “State (S)” represents changes in the water cycle system resulting from the combined effects of driving forces and pressures, serving as the starting point for impact and response analysis. “Impact (I)” reflects the effects of the hydrological cycle system on human health and social development. “Response (R)” refers to the feedback provided by the water cycle system to driving forces and pressures.

This model describes the causal chain between activities conducted by humans and the water environment, illustrating the mutually constraining and influencing processes between the two. It can encompass elements such as society, economy, and environment to indicate the threats posed by social, economic, and human activities to watershed ecological security. It can also utilize response indicators to demonstrate the feedback of the environment to society resulting from human activities and their impacts, as shown in Fig.  1 13 .

DPSIR model framework.

Overview of water resource ecological security

Water resources are a vital strategic asset for sustainable development and a key factor influencing human survival and socioeconomic development. The security of water resources is intricately linked to national economies and social stability 14 , 15 , 16 , 17 , 18 . As the population and economy grow rapidly, as well as due to the influence of climate change, water scarcity and deterioration of the water environment have become increasingly prevalent, posing a critical constraint to human survival and development 19 . Currently, research on water resource ecological security issues primarily revolves around the following three aspects.

The first aspect involves the evaluation of the water resources carrying capacity (hereafter referred to as the WRCC) and vulnerability.

Regarding the WRCC, some studies consider that the WRCC implies the need for water resources to sustain a healthy societal system 20 . Other researchers argue that the WRCC is the maximum threshold for sustaining human activities 21 .

In terms of calculation methods, various quantification methods for the WRCC have gradually emerged. For example, Qu and Fan 22 considered the available water volume in water demand, national economic sectors and the ecological environment. They employed the traditional trend approach to obtain the population and development scales of industry and agriculture. Zhou Fulei adopted the entropy weight method, an objective weight determination method, to determine the weights of each evaluation indicator, utilized the analytic hierarchy process (AHP) to adjust the weights, constructed composite weights, and then used the TOPSIS model to evaluate the water resources carrying capacity of Qingdao city from 2015 to 2021 23 . Ma et al. 24 and Xiong et al. 25 analysed and evaluated the WRCC using the entropy weight method and provided suggestions for regional sustainable development. Wang et al. 26 , under the traditional TOPSIS model, used an improved structural entropy weighting method to determine the weights of evaluation indicators. They then constructed a grey-weighted TOPSIS model using a grey correlation matrix to specifically evaluate the current state of the agricultural WRCC in Anhui Province. Zhang X and Duan X combined the weights obtained from the entropy and CRITIC methods using the geometric mean method. They applied these combined weights to a model integrating grey relational analysis (GRA), the technique for order preference by similarity to an ideal solution (TOPSIS), and the coupling coordination degree model (CCDM) to calculate the evaluation value of the water resource carrying capacity 27 . Zhang and Tan 28 and Fu et al. 29 separately used optimization models and projection tracking models to evaluate the WRCC in their study areas and conducted comprehensive assessments of the regional WRCC. Gong and Jin 30 , Meng et al. 31 , Wang et al. 32 , and Gao et al. 33 applied fuzzy comprehensive evaluation methods to assess the influencing factors of the WRCC by establishing a fuzzy comprehensive evaluation matrix. On this basis, they analysed the factors affecting the WRCC and evaluated and predicted the future carrying capacity of water resources in the study area. Additionally, other methods have been employed, such as multidimensional regulation 34 , neural network genetic algorithms 35 , 36 , multi-index evaluation models 37 , and nonparametric analysis models 38 .

Ait-Aoudia and Berezowska-Azzag 39 conducted an assessment of the WRCC to analyse the balance between domestic demand and water supply. To assess the WRCC of specific regions, the assessment factors were determined by evaluating the relevant factors of water usage and availability. The conceptual framework for assessing the capacity of water resources was developed based on the supply–demand relationship. Yan et al. 40 focused on the previous decade’s regional water resource data of Anhui Province in China. They constructed a framework for the Driving Force-Pressure-State-Impact-Response Management (DPSIRM) model and conducted a comprehensive evaluation of the WRCC using the entropy weight method and variable weight theory. Based on the derived comprehensive evaluation values and incorporating the modified Gray–Markov combined forecasting, they made predictions about the local WRCC for the coming years. In 2020, Zhengqian 41 discussed the concept and research methods of regional WRCC. The research methodology has evolved from a singular and static approach to a dynamic, multilevel, and comprehensive study with various indicators. Jiajun et al. 42 , starting from a systemic perspective, studied the coordinated development relationships among China’s economy, social development, ecological environment, and water resources. They applied the WRCC Comprehensive Evaluation Model, calculating the comprehensive evaluation index for specific years based on relevant data. This allowed them to describe the WRCC status of provinces and regions in China, providing a comprehensive analysis and evaluation of China’s WRCC. Ren et al. 43 introduced the concept of biological metabolism to the regional WRCC and proposed the theory of regional water resource metabolism. Additionally, they established an evaluation indicator system for the WRCC considering regional water resource characteristics, socioeconomic systems, and sustainable development principles.

Raskin et al. 44 assessed the extent of water resource security by using the proportion of water extraction relative to the total water resources, defined as the water resource vulnerability index. Rui 45 constructed a water resource vulnerability model based on the theory of mutation series. They utilized the principles of mutation series to redefine grading standards and assessed the vulnerability status of water resources in Shanxi Province from 2004 to 2016. The aim was to offer technical assistance for the scientific management of water resources.

The second aspect involves the measurement of the sustainable utilization and efficiency of regional water resources.

Over the last few years, numerous domestic researchers have actively conducted research on the sustainable utilization of water resources, focusing primarily on two aspects:

First, research on evaluation indicator systems for the sustainable utilization of water resources should be conducted. Li Zhijun, Xiang Yang, and others addressed the lack of connection between water resource ecology and socioeconomic development in traditional water resource ecological footprint methods. They introduced the water resource ecological benefit ratio and analysed the water resource security and sustainable development status through an improved water resource energy value ecological footprint method 46 . Zhang et al. 47 established a fuzzy comprehensive evaluation model based on entropy weight, providing recommendations for the sustainable utilization of water resources in Guangxi Province. Liu Miliang, aiming for sustainable development, quantitatively analysed the current situation and influencing factors. Based on the DPSIR model, they established an evaluation system for the sustainable utilization of water resources 48 .

Second, in terms of evaluation methods and research on the sustainable utilization of water resources, Yunling et al. 49 constructed an evaluation indicator system for the WRCC to assess the comprehensive water resource carrying status in Hebei Province. Xuexiu et al. 50 , based on both domestic and international research on water resource pressure theory, analysed the connotation of water resource pressure, introduced commonly used methods for water resource pressure evaluation, and provided a comprehensive overview and comparative analysis of water resource pressure evaluation methods from aspects such as calculation principles, processes, and applications. Guohua et al. 51 established an entropy-based fuzzy comprehensive evaluation model of water resource allocation harmony and evaluated the water resource allocation status of various districts and counties in Xi’an city. Shiklomanov 52 used indicators such as available water resources, industrial and agricultural water usage, and household water consumption to assess water resource security.

The SBM-DEA model was used by Deng et al. 53 to appraise the efficiency of water resource utilization across nearly all provinces in China. They proposed factors influencing water resource utilization efficiency, including the added value of the agricultural sector, per capita water usage, the output-to-pollution ratio of polluting units, and import–export dependency. Yaguai and Lingyan 54 employed a two-stage model combining superefficiency DEA and Tobit to assess water resource efficiency in China from 2004 to 2014. They analysed regional differences and influencing factors. Mei et al. 55 separately used stochastic frontier analysis and data envelopment analysis to measure the absolute and relative efficiencies of water resource utilization in 14 cities in Liaoning Province. They employed a kernel density estimation model to analyse the dynamic evolution patterns of water resource utilization efficiency. Xiong et al. 56 adopted an iterative correction approach to modify and apply water resource utilization efficiency evaluation models based on single assessment methods such as entropy, mean square deviation, and deviation methods.

The third aspect involves investigating the relationship between water resource security and other societal systems.

Shanshan et al. 57 laid the foundation for the rational construction of an urbanization and water resource indicator system. Through the establishment of a dynamic coupled model, they conducted an analytical study on the harmonized development trends between the urbanization system and the water resource system in Beijing. Wei 58 utilized a coordination degree model to explore the coupling relationship between the quality of new urbanization and water resource security in Guangdong Province. Caizhi and Xiaodong 59 combining coupled scheduling models with exploratory spatial data analysis and conducted an analysis of the security conditions and spatial correlations among water resources, energy, and food in China. Additionally, Xia et al. 60 employed the Mann–Kendal test method to study the degrees of matching between water resources and socioeconomic development in six major geographical regions of China.

A review of the relevant literature reveals that scholars have explored the issues of water resource ecological security and regional socioeconomic development from various perspectives and fields, which is one of the urgent problems to be addressed in the current process of social development. These research findings not only have learning and reference significance but also provide insights for the writing of this paper.

Summarizing the achievements of previous research, the essence of water resource security evaluation mainly includes three aspects: ensuring water quantity, sustainability, and water quality. Evaluation methods include principal component analysis, fuzzy comprehensive evaluation methods, analytic hierarchy processes, and system dynamics modelling methods, among others, among which the analytic hierarchy process has certain advantages in addressing multilevel problems and is widely used in constructing multilevel analysis models. Therefore, this paper introduces the Lotka–Volterra biological concept and continues to explore this topic further. It can effectively combine the relationships between indicators and weights and study the competition or symbiotic relationship between two populations competing for ecological resources in the same time and space context 61 . Drawing from the DPSIR model, this study devises a comprehensive evaluation framework to assess the interdependence of socioeconomic factors and water resources. Through the application of the entropy weight method, this study determines the relative importance of various indices within this framework. Employing the Lotka–Volterra symbiotic model, this research scrutinizes and quantifies the ecological security status of water resources in the YRB from 2010 to 2019. The overarching objective is to furnish technical insights that can catalyse efforts to enhance the ecological security of regional water resources.

Methodology

• Lotka–Volterra symbiosis model

In the 1940s, A. J. Lotka and V. Volterra jointly introduced the Lotka–Volterra model 62 , which serves as a method for studying the relationships between biological populations. Its basic form is as follows:

In the given equation, \({\text{N}}_{1} \left( {\text{t}} \right), {\text{N}}_{2} \left( {\text{t}} \right)\) denote the populations of species \({\text{S}}_{1}\) and \({\text{S}}_{2}\) , respectively. \({\text{K}}_{1}\) and \({\text{K}}_{2}\) represent the carrying capacities of populations \({\text{S}}_{1}\) and \({\text{S}}_{2}\) in their respective environments. \({\text{r}}_{1}\) and \({\text{r}}_{2}\) represent the growth rates of populations \({\text{S}}_{1}\) and \({\text{S}}_{2}\) , respectively. \(\alpha\) denotes the competitive intensity coefficient of species \({\text{S}}_{2}\) on species \({\text{S}}_{1}\) , while \(\beta\) represents the competitive intensity coefficient of species \({\text{S}}_{1}\) on species \({\text{S}}_{2}\) .

By replacing the socioeconomic relationships within the entire YRB with the provinces within the basin, the Lotka–Volterra model is introduced into the regional water resource ecological security assessment. This allows for the construction of a symbiotic model between socioeconomic factors and water resources within the YRB. The specific formula is as follows:

In the equation, \({\text{F}}\left( {\text{k}} \right)\) denotes the comprehensive socioeconomic development status, \({\text{E}}\left( {\text{k}} \right)\) signifies the comprehensive development status of water resources, \({\text{C}}\) represents the ecological environment, \({\text{r}}_{{\text{F}}}\) signifies the socioeconomic growth rate, \({\text{r}}_{{\text{E}}}\) represents the growth rate of water resources, \(\alpha\) denotes the coefficient of water resources’ impact on the socioeconomy, and \(\beta\) denotes the coefficient of the impact of the socioeconomy on water resources. Therefore, solving for the coefficients \(\alpha\) and \(\beta\) in the model is essential for examining the interaction between the socioeconomy and water resources. The specific steps for solving the equation are as follows.

Discretizing Eqs. ( 4 ), ( 5 ) yields:

The solution is:

Different values of \(\alpha\) and \(\beta\) correspond to different symbiotic relationships between the socioeconomy and water resources, as illustrated in Fig.  2 .

Symbiotic model between the socioeconomic and water resources in the YRB.

Construction of the DPSIR model and indicator system

To construct a water resource ecological security index system for the 10 provinces in the YRB, this paper is based on the research of relevant scholars and introduces the DPSIR model to evaluate water resource ecological security. This model was proposed to describe the concept of environmental systems and the structure of complex cause-and-effect relationships by the European Environment Agency (EEA) in 1999. It is mainly applied in assessments of ecological security, regional sustainable development, and water resource ecological security.

The establishment of the DPSIR model in this paper is illustrated in Fig.  3 .

DPSIR model.

Generally, the driver (D) in the socioeconomic system tends to improve the environmental and resource states (S), while the economic pressure (P) tends to disrupt the resource and environmental states (S). The states of resources and the environment contribute essential production materials to the socioeconomic system. Simultaneously, drivers (D) and pressures (P) reflect two different aspects of socioeconomic development. Therefore, these factors can indicate the level of socioeconomic development. Based on these definitions, the following indicators are selected to assess the DPSIR model for water resource ecological security. The weights of various indicators calculated through the entropy weight method are presented in Table 1 . A more significant role played by the corresponding indicator in the comprehensive assessment of regional ecological security will have a greater weight.

On this basis, the socioeconomic stress index \({\text{S}}_{{\text{F}}} \left( {\text{k}} \right)\) and water resource stress index \({\text{S}}_{{\text{E}}} \left( {\text{k}} \right)\) are defined as follows:

The comprehensive index between socioeconomic and water resources, also called the symbiosis index \({\text{S}}\left( {\text{k}} \right)\) , is calculated as follows:

According to Eq. ( 14 ), \({\text{S}}\left( {\text{k}} \right) \in \left[ { - \sqrt 2 ,\sqrt 2 } \right]\) , a larger value of A indicates that the symbiotic state between the socioeconomy and water resources is better; conversely, a smaller value of A indicates that the symbiotic state between the two is worse.

The water resources force index can illustrate the direction of the socioeconomic impact on water resources, and the symbiotic index can illustrate the magnitude of the socioeconomic impact on water resources. Therefore, these two indices serve as the basis for evaluating the water resource security status. Formula ( 14 ) implies that the symbiotic index \({\text{S}}\left( {\text{k}} \right)\) falls within the range of \(\left[ { - \sqrt 2 ,\sqrt 2 } \right]\) . A larger numerical value indicates a better symbiotic relationship between the two subsystems, while a smaller value suggests a poorer symbiotic relationship. However, the relationship between the symbiotic index and regional ecological security is not straightforward. Regional ecological security must be judged according to specific criteria grounded in both the measure of symbiosis \({\text{S}}\left( {\text{k}} \right)\) and the ecological force index \({\text{S}}_{{\text{E}}} \left( {\text{k}} \right)\) . This approach comprehensively characterizes the ecological security of the YRB urban agglomeration. In our study, a two-dimensional symbiotic model of socioeconomic–natural ecology is employed to depict the evolution of ecological security under dual-characteristic indices.

Within this model, ecological security is divided into six regions that progress in a sequential manner, conforming to the progressive law of ecological security evolution. In the safe zone, the socioeconomic and natural ecological systems mutually benefit, and both experience robust development. In the subsafe zone, although the natural ecological system is still in a growing state, this occurs at the expense of socioeconomic development, leading to an unstable ecological security status. If the socioeconomic system continues to suffer damage, it falls into the sensitive zone, where the harm to the socioeconomic system outweighs the benefits to the natural ecological system. If this condition persists, both systems enter a state of competition, resulting in harm to both, and they are situated in the danger zone. In unfavourable zones, the socioeconomic system gains weak benefits, while the natural economy suffers damage. If humanity recognizes this situation and takes measures to improve the environment, it may transition from the unfavourable zone to the cautious zone, leading to an improvement in ecological security and potential entry into the safe zone. For ease of analysis and based on the relevant literature 63 , following expert discussions, this study classifies ecological security into six categories corresponding to six ecological security early warning levels, as shown in Table 2 .

Discrimination of water resource ecological security levels

The YZR originates from the Qinghai‒Tibet Plateau, considered the “Roof of the World,” traversing three major economic regions before ultimately flowing into the East China Sea. For our study area, we selected the eight provinces and two municipalities through which the YZR flows. These regions are Shanghai, Jiangsu, Anhui, Jiangxi, Hubei, Hunan, Chongqing, Sichuan, Yunnan, and Qinghai. In the subsequent text, they will be referred to collectively as the YRB. The data for this study primarily originate from statistical yearbooks, water resource bulletins, and development reports spanning the years 2010 to 2019.

According to the criteria for water resource security status presented in Table 2 , the corresponding information is summarized in Table 3 for the years 2011 to 2018, indicating the water resource security status in the YRB during this period. It is observed that from 2011 to 2018, the water resources security status in the YRB initially experienced a decline but later recovered to a secure level. In recent years, the country has not only emphasized economic development but also placed significant importance on environmental protection. Rapid industrial development in earlier years led to an exacerbation of water pollution issues. However, the government promptly recognized this problem and implemented a series of measures to address water pollution. Stringent controls were also imposed on industrial water usage. Consequently, the water resource status quickly returned to a level considered safe.

The water resource security evaluation values obtained using the entropy method range from 0 to 1. Ideally, a value closer to 1 indicates a better water resource security situation, while a value closer to 0 suggests a poorer water resource security situation.

After standardizing the processed data, we can plug them into Eq. ( 15 ) to sequentially obtain the basic indices for socioeconomic, ecological environment, and water resource security in the YRB. The specific process involves substituting the basic indices for socioeconomic, ecological environment, and water resource ecological security into Eqs. ( 12 )–( 14 ). This approach yields comprehensive indices, including the socioeconomic stress index, water resource stress index, and symbiotic degree index. These indices serve as the basis for evaluating the water resource security status in the assessment region, with the water resource stress index and symbiotic degree index being the key indicators.

In the equation, f i represents the comprehensive level of water resource ecological security, \({\text{x}}_{{\text{i}}}^{\prime }\) signifies the standardized values obtained from the original data, and \({\text{w}}_{{\text{i}}}\) denotes the weights assigned to each indicator. When the value of f i falls between 0 and 1, the closer the value is to 1, the better the ecological security of water resources. In contrast, it shows a poorer ecological security status. Similarly, according to this equation, the classification of water resource ecological security can be divided into six categories: 0–0.16 denotes a dangerous state, 0.16–0.32 indicates a deteriorating state, 0.32–0.48 signifies a sensitive state, 0.48–0.64 represents a vigilant state, 0.64–0.8 implies a subsecure state, and 0.8–1.0 corresponds to a safe state. Different levels of water resource ecological security entail varying relationships with the national economy and society. For specific characteristics corresponding to each security level, please refer to Table 4 .

Informed consent statement

Informed consent was obtained from all subjects involved in the study.

Evaluation of water resource ecological security levels in the Yangtze River Basin

Overall, the evaluation values of water resource security in the YRB from 2010 to 2019 showed a fluctuating upwards trend (refer to Table 5 ). From 2010 to 2013, the evaluation values fluctuated between 0.2 and 0.4, reaching the lowest level at Grade V. In 2011, the evaluation value was only 0.2201, indicating that during this period, the water resources in the YRB were in an unsafe state, resulting in water scarcity. These results indicate that economic and social development are not being met on a sustainable basis at the watershed scale. In 2014, the water resource security evaluation value for the YRB reached 0.4243, classified as Grade III. Subsequently, there was a significant upwards trend, with the evaluation value reaching 0.6746 in 2017, which was classified as Grade II, indicating a relatively secure state. These results suggest that the water resources of the YRB appeared to be more secure than they were before, and the YRB could essentially fulfil the requirements for sustainable economic and social development at the national level. This upwards trend continued, reaching 0.7215 in 2019. From 2010 to 2019, the water resource security status in the YRB improved from Grade V to Grade II, demonstrating significant improvement. However, it has not yet reached Grade I, indicating that there is still room for improvement in the future.

The DPSIR model was used to analyse the reasons for the improvement in the ecological security of water resources in the YRB based on five criteria. Table 5 shows that the evaluation values for driving forces significantly increased from 2010 to 2019, while the values for pressure and response slightly increased, and those for state and impact fluctuated, resulting in a slight overall improvement. Specifically, the evaluation values for driving forces fluctuated from 0.0543 to 0.2370, indicating the significant contributions of indicators such as per capita GDP, the proportion of primary industry, population density, and the urbanization rate to the enhancement of water resource security. The assurance provided by economic and social development for water resource security is evident. The evaluation value for pressure fluctuated from 0.0403 to 0.1149, suggesting a reduction in pressure on water resources from economic development, agricultural and industrial production, and residents' lifestyles, leading to a decrease in basin water pollution and an alleviation of water quality deterioration. The response increased from 0.0527 to 0.1665, indicating relatively significant growth. These results suggest that measures taken by the government and society to address water resource issues have been effective, resulting in improvements in both the quantity and quality of water resources and an enhancement of water resource security levels. The evaluation value for impact fluctuated from 0.0261 to 0.0349, indicating a standardized industrial wastewater discharge volume and an improvement in water resource security conditions. The evaluation value for state initially decreased from 0.1633 to a minimum of 0.0656 before increasing to approximately 0.17. These results suggest that, considering indicators such as per capita sewage discharge and per capita water consumption, the status of water resources initially declined but gradually improved after governance measures were implemented.

In summary, from 2010 to 2019, the improvement in water resource security in the YRB can be attributed mainly to the enhancement of driving forces and response indicators. Economic and social development has provided ample assurance for water resource security, while water resources have imposed constraints on economic and social development to a certain extent. In the YRB, the current governance of water resources has reached a relatively high level, making it challenging to achieve significant breakthroughs in the future. The efficiency of water use in the existing industrial structure is difficult to substantially improve. Therefore, adjusting the industrial structure to enhance water resource security is a future research focus. These findings align with the conclusions of other domestic scholars. For instance, a study by Xiaotao and Fa-wen 64 revealed that water consumption per unit of production energy and agricultural production in the YRB contributed the same proportion of GDP. They argued that future water conservation efforts should focus on adjusting industrial structures and developing water-saving technologies. Another study by Wang Hao revealed that the water resource utilization efficiency in the YRB was second only to that in the Beijing-Tianjin-Hebei region 65 . These authors suggested that the potential for mitigating the contradiction between water supply and demand through deep water conservation is limited.

According to the above methods and steps, further calculations were conducted to determine the water resource ecological security status of each province in the YRB from 2010 to 2019, as shown in Tables 6 and 7 . Information gleaned from Tables 6 and 7 suggests that the overall improvement in the water resource ecological security status of each province in the YRB from 2010 to 2019 was significant. There was a discernible improvement from 2014 to 2015, with a clear boundary line. Before 2015, the water resources in most areas were relatively sensitive, and some regions even experienced deterioration. However, after 2015, almost all areas reached subsafe or safe states.

Calculation results of the water resource security status of each province in the YRB from 2010 to 2019.

Trends in water resource ecological security in the Yangtze River Basin

According to Eq. ( 15 ), and by empirically examining the ecological status of water resources in the YRB from 2010 to 2019, the comprehensive levels of the ecological environment, socioeconomic development, and water resources in ten provinces of the YRB were obtained, as shown in Fig.  4 .

Development of the basic indices in the YRB.

The information gleaned from Table 4 suggests that the economic development in the YRB from 2010 to 2019 showed a positive trend, increasing from 0.09 to 0.35. This increase is attributed to the favourable current economic development environment and robust support from national directives. Policies such as the 2013 “Guiding Opinions on Building China’s New Economic Support Belt Based on the Yangtze River”, the 2018 speech at the Symposium on Deepening the Development of the YZR Economic Belt, the “Development Plan for the Huaihe River Ecological Economic Belt”, and the 2019 “Outline of the Development Plan for the Regional Integration of the Yangtze River Delta” have played crucial roles in driving industrial restructuring and achieving quality economic development in the YRB.

The ecological environment comprehensive level in the YRB exhibited a fluctuating development trend from 2010 to 2019, resembling an “M” shape, increasing from 0.24 to 0.37 with a relatively small amplitude. Ecological civilization construction, as a fundamental national policy, has provided important guidance for the economic development of the YRB. This development includes intensified efforts in the treatment of industrial pollutants and urban wastewater, along with increased levels of regional afforestation and greenery. Notably, significant improvements were observed in indicators such as per capita park green space, the urban green space ratio, and the harmless disposal of waste in the YRB in 2015.

The comprehensive level of water resources in the YRB increased slightly from 0.19 to 0.20 from 2010 to 2019. Although there was an upwards trend, the magnitude of the increase was minimal, indicating an unfavourable water resource status in the YRB. The primary factor in this slight increase is the accelerated consumption of water resources. As a part of the ecological environment, a decrease in the comprehensive level of water resources is also an important factor restricting the overall improvement of the ecological environment. In future development, the YRB should leverage favourable national policies to promote breakthrough development in the regional economy. Simultaneously, efforts should be intensified towards the protection and management of regional water resources and the ecological environment, striving to enhance the comprehensive level of water resources and the ecological environment.

Based on the previously calculated comprehensive socioeconomic, ecological environment, and water resource levels, the stress indices for socioeconomic and water resources, as well as the symbiotic index for the YRB during the years 2010–2019, were computed, and the results are presented in Fig.  5 .

Development status of comprehensive indices in the YRB.

Figure  5 clearly shows that, except for the years 2012, 2014, and 2016, the impact of water resources on the socioeconomy remained consistently positive, indicating that during this period, water resources positively contributed to economic growth. The water resources force index has been consistently positive in recent years, signifying the promotion by socioeconomic development, with a relatively minor hindrance from socioeconomic development during this period. The symbiotic index values between the two factors were 1.05, 1.24, 1.40, 1.26, and 1.07 in the years 2011, 2013, 2015, 2017, and 2018, respectively, reaching an optimal state of mutual benefit and symbiosis. However, a slight decline was observed in subsequent years, suggesting the need for further improvement.

Spatial pattern analysis of water resource ecological security in the Yangtze River Basin

Using the ArcGIS10.4 tool, which is provided by the Environmental Systems Research Institute, Inc (commonly known as ESRI), several representative years were selected to visualize the ecological security status of water resources in the YRB. The computational results are visualized in Figs.  6 , 7 and 8 .

Ecological security status of water resources in the YRB in 2011(map were generated with software ArcMap10.4 http://www.esri.com/ ).

According to the division standards for administrative regions along the YZR in 2014, the YRB studied in this paper can be categorized into three main regions: the upper, middle, and lower reaches. The upper reach includes three provinces: Qinghai, Sichuan, and Yunnan. The middle reach comprises four provinces and municipalities: Chongqing, Hunan, Hubei, and Jiangxi. The lower reach consists of three provinces and municipalities: Anhui, Jiangsu, and Shanghai.

Figures  6 , 7 and 8 show that from 2011 to 2019, the overall ecological security status of water resources in the YRB transitioned from “deteriorating,” “sensitive,” and “vigilant” states to “subsecure” and “safe” states. The range of comprehensive evaluation values for water resource ecological security (hereafter referred to as evaluation values) increased from 0.16–0.64 to 0.64–1.

As illustrated in Fig.  6 , notable disparities were present in the distribution of the ecological security status of water resources among provinces and municipalities in the YRB, with the ecological security status of water resources in the upper and lower reaches of the YZR notably superior to that in the middle reaches. The data indicate that the water resource utilization efficiency levels in the upper and lower reaches of the YZR were greater than that in the middle reaches in 2011, exhibiting a pattern of high efficiency at both ends and lower efficiency in the middle. Regions with high comprehensive water resource utilization efficiency are mainly concentrated in the upper and lower reaches of the YZR.

Although the upstream regions have limited economic strength, they also have relatively fewer water-intensive industries. Meanwhile, these regions actively respond to green development policies and prioritize energy conservation and environmental protection industries. Underdeveloped regions can also achieve higher water resource efficiency by controlling total water consumption and improving the output of water per unit used.

The areas with low comprehensive utilization efficiency of water resources are primarily concentrated in the middle reaches of the YZR, where the proportions of traditional industries such as steel, chemicals, and nonferrous metals are relatively large, leading to high industrial water consumption and consequently the lowest efficiency in water resource utilization. Provinces such as Hunan and Hubei, with large populations and rapid economic development, exhibit high demands for water resources, resulting in increased regional water resource consumption and persistently high per capita sewage discharge indicators.

The downstream regions of the YZR boast strong economic progress, with high levels of industrial technological innovation and governance capabilities. This region exhibits the highest level of economic development, which can drive improvements in the utilization efficiency of water resources. Consequently, Shanghai and Jiangsu provinces have the highest water resource utilization efficiency. As a result, the ecological security status of water resources in Shanghai has improved rapidly.

As shown in Fig.  7 , in 2015, the overall ecological security status of water resources notably improved in the YRB. The fundamental reason for this improvement is that in recent years, regions across the basin have recognized the importance of the ecological environment for overall development. They have gradually undertaken regional industrial restructuring and upgrading and accelerated urbanization and simultaneously emphasized the preservation of water resources and the environment. The three major regions exhibit regional disparities in water resource utilization efficiency due to differences in geographical environment, economic foundation, and industrial structure. In terms of the total water consumption of each province and municipality, agricultural water usage accounts for more than half of the total water consumption, which is significantly greater than the water usage in the industrial, domestic, and ecological sectors. However, compared to other industries' output values, the overall water resource utilization efficiency in agriculture is lower. Therefore, regions with greater proportions of primary industry output tend to have lower water resource utilization efficiency.

Ecological security status of water resources in the YRB in 2015(map were generated with software ArcMap10.4 http://www.esri.com/ ).

The industrialization level in the upstream regions is relatively low, with relatively outdated production technologies. As industrialization progresses, the negative impact on water resources' ecological security is gradually increasing. The industrialization in the middle and lower reaches of the YZR has reached relatively high levels. Control measures have been gradually implemented to manage the resource consumption and environmental pollution generated during the industrial development process. With advancements in technology, the negative impact on water resource ecological security is gradually diminishing. Among these provinces, Hunan Province and Hubei Province in the middle reaches of the YZR experienced the greatest increases in water resource ecological security status, transitioning from “deteriorating” to “subsecure.” The regions in the middle reaches emphasize considering the resource and environmental carrying capacity to ensure the coordination between water resource allocation and regional sustainable development, achieving rational distribution and efficient utilization of water resources within the region.

The lower reaches of the YZR are characterized by developed economies, advanced technologies, and high levels of both urbanization efficiency and water resource efficiency, maintaining harmonious development. This region exhibits the strongest economic development and hosts the highly integrated YZR Delta urban agglomeration. With a solid foundation in secondary and tertiary industries, high levels of technological innovation, and openness, the overall ecological security status of water resources in this region is at a relatively high level.

Across the provinces and municipalities in the YRB, efforts have been intensified to control the discharge of pollutants such as phosphorus, leading to reduced pollutant emissions and improved water quality. Moreover, improvements in water resource allocation have been made, reducing the risks associated with pollution factors through increased water volume and dilution effects, thereby ensuring the supply and safety of drinking water downstream of Shanghai. The stable proportion of GDP in the YZR Economic Belt indicates a balanced relationship between economic development and the ecological protection of water resources. While maintaining economic growth, downstream cities also prioritize environmental protection and water resource management.

Figure  8 clearly shows that the overall ecological security status of water resources in the YRB has been developing at an accelerated pace, trending towards overall coordinated development by 2019, with mutual promotion between socioeconomic and water resources. This trend can be attributed to various factors. This positive influence is exemplified in agricultural water use efficiency, which has improved in recent years due to various factors, such as changes in agricultural production methods, organizational structures, cropping patterns, and water-saving practices. As a result, the negative impact of the proportion of the output value of the primary industry on water resource efficiency has been mitigated.

Ecological security status of water resources in the YRB in 2019(map were generated with software ArcMap10.4 http://www.esri.com/ ).

However, despite efforts, China still faces serious water pollution issues, with poor water environmental quality and significant pollution discharge loads from industrial, agricultural, and domestic sources. These factors pose severe challenges to the ecological security of water resources. To address these challenges, China has formulated a series of plans aimed at strengthening water pollution prevention and control and ensuring national water resource ecological security. These plans were officially announced and implemented after 2015.

Based on the analysis results, each province and city in the YRB should embrace a people-centred approach to new urbanization and the scientific development concept of water resource protection and utilization. While focusing on promoting new urbanization construction, efforts should be intensified to enhance ecological environmental protection and explore new paths for coordinated regional economic development and resource utilization. Provinces and cities should rely on the golden waterway of the YZR to establish cross-regional and cross-provincial basin cooperation mechanisms and long-term mechanisms, actively promoting coordinated development among the three major regions of the YRB.

Against the backdrop of the global environmental crisis, the Lancang-Mekong River, as Asia’s largest transboundary river, also faces certain water security issues. Specifically, the “status” of water resources is relatively low, as manifested by the polluted state of the water quality of the river. Additionally, factors such as the uneven distribution of precipitation within the year and the weakness of storage facilities such as wetlands and reservoirs contribute to seasonal water shortages and serious water disasters in the basin. Moreover, the response levels of basin countries are limited, and there is room for improvement in the level of water resource management. Countries in the Lancang-Mekong River Basin are in a stage of rapid economic and social development, and population growth, economic activities, and changes in land use (such as urbanization) will have direct or indirect impacts on water resources in the basin. The Ganges River Basin faces similar ecological and environmental problems. In recent years, India’s economic prosperity and urbanization process have had significant impacts on the Ganges River Basin. Soil erosion and insufficient drinking water under population pressure have plagued the people of the Ganges River Basin. Additionally, the serious problem of surface water pollution caused by the discharge of industrial and domestic wastewater has led to a certain degree of land salinization.

Climate change, land use, human consumption of water resources, and government management of water resources are all factors that can directly or indirectly affect the water security situation in a region. Given that the Lancang-Mekong River spans China and five Southeast Asian countries, its water resource ecological security is particularly influenced by socioeconomic factors. Therefore, we believe that the methods we propose are equally applicable to the evaluation of water resource ecological security in this basin. By introducing the Lotka–Volterra symbiotic model and using the DPSIR model to construct a system of evaluation indicators for the symbiosis between socioeconomic factors and water resources in the study area, this system will help us to thoroughly assess the water resource ecological security of the Lancang-Mekong River Basin and provide a scientific basis for the implementation of region-specific water security strategies. These approaches are highly important for promoting regional sustainable development and maintaining basin ecological security.

Research has revealed that over a decade ago, the water resource ecological security status in the YRB initially fell within a relatively poor range. However, with close attention from the government and the implementation of various regulations, as well as active participation from the public in protecting the YZR, the water resource ecological security status in the YRB has improved rapidly. It is now generally maintained at levels of safety or near safety, with prospects for further improvement in the future. Comprehensive analysis of data from 2010 to 2019 revealed continuous trends in improvement in water resource security. To further enhance water resource security, we propose the following recommendations:

The industrial structure should be adjusted to achieve sustainable utilization of water resources. Governments should strongly support the green economy and environmental protection industries by providing tax incentives for enterprises, encouraging them to invest in water resource management and protection projects. By establishing corresponding financial funds and reward mechanisms, more social forces can be guided to participate, achieving a mutually beneficial outcome for water resource security and economic development. The Chinese government has called for all citizens to actively respond to carbon peak and carbon neutrality strategies and has formulated specific and feasible emission reduction plans. Enterprises are encouraged to adopt clean production technologies to improve resource utilization efficiency and achieve carbon emission reduction goals. There should be a focus on strengthening sewage resource utilization, integrating atypical water sources into unified water resource allocation, and encouraging locations with the necessary conditions to fully utilize unconventional water sources. Water-deficient cities should actively expand the scale and scope of recycled water utilization. The principles of demand-driven supply, water quality division, and local utilization should be followed to promote the use of recycled water in industrial production, municipal miscellaneous use, land greening, ecological replenishment, and other areas.

Focusing on agricultural water use and preventing water source pollution. As one of the main rice-producing regions in China, to further enhance water resource security in the YRB, agricultural measures should be taken. With respect to water conservation, water-saving irrigation techniques combined with smart irrigation systems should be adopted to achieve precise irrigation and improve water resource utilization efficiency. Moreover, enhancing rainwater collection and utilization by establishing rainwater collection systems and storing water for agricultural irrigation can effectively utilize rainwater resources and alleviate irrigation pressure during the dry season.

Agricultural pesticide use is also an issue that cannot be ignored. Excessive use and improper handling of pesticides can often lead to serious water pollution, posing a threat to the water resource security of the YRB. To address this issue, we need to strengthen pesticide use management, promote scientific pesticide application techniques, reduce excessive pesticide use, raise farmers' environmental awareness to prevent pesticide waste from being directly discharged into water bodies, and strengthen water quality monitoring and treatment to promptly detect and address pesticide pollution problems.

Improve people’s education level and strengthen environmental awareness. As people's living standards and education levels improve, concerns about ecological water security have increased, and higher demands are being placed on water safety and quality. The incomplete assessment and mismanagement of water resources, coupled with wasteful practices, have led to water resources becoming uncontrollable variables. Recognizing, measuring, and expressing the value of water and incorporating it into decision-making processes are particularly important against the backdrop of increasingly scarce water resources, population growth, and the pressures of climate change. It is essential to achieve sustainable and equitable water resource management and meet the development goals of the United Nations' 2030 Agenda.

Actively participate in international ecological construction. According to Maximo Torero of the FAO, strengthening water resource protection and management requires enhanced cooperation among countries, the integration of various stakeholders' interests, multipronged approaches, and the consideration of social, economic, and environmental factors. It also involves a focus on technology, legal frameworks, and overall policy environments. We recommend that governments actively engage in international cooperation projects, sharing experiences and technologies in managing water resources in the YRB while drawing lessons from successful ecological initiatives in other countries. Such cross-border collaboration can foster global ecological sustainability, address global environmental issues collectively, share innovative technologies and research achievements, and achieve global governance of ecological environments.

Data availability

Our data is sourced from the provincial data in the China Statistical Yearbooks from 2011 to 2019 published by the National Bureau of Statistics of China ( https://www.stats.gov.cn/sj/ndsj/ ), as well as the Water Resources Bulletins ( http://www.mwr.gov.cn/sj/tjgb/szygb/ ). Figures  6 , 7 , and 8 were created by us using ArcGIS 10.4 software, which is provided by the Environmental Systems Research Institute, Inc. (commonly known as ESRI). Our vector boundary data and the Yangtze River data are sourced from the National Catalogue Service For Geographic Information ( www.webmap.cn ), using the 1:1,000,000 public version of basic geographic information data (2021). The tiled data is processed according to GB/T 13989-2012 “National Fundamental Scale Topographic Map Tiling and Numbering”.

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This research was supported by the Project of Social Science Foundation of Jiangsu Province (No. 22TQC005).

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Nanjing Xiaozhuang University, Nanjing, 211171, Jiangsu, China

Jie-Rong Zhou, Xiao-Qing Li, Xin Yu & Tian-Cheng Zhao

School of Information Management, Nanjing University, Nanjing, 210023, Jiangsu, China

Wageningen University and Research, 6700 AA, Wageningen, The Netherlands

Wen-Xi Ruan

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The impact of evidence-based nursing leadership in healthcare settings: a mixed methods systematic review

• Maritta Välimäki 1 , 2 ,
• Shuang Hu 3 ,
• Tella Lantta 1 ,
• Kirsi Hipp 1 , 4 ,
• Jaakko Varpula 1 ,
• Jiarui Chen 3 ,
• Gaoming Liu 5 ,
• Yao Tang 3 ,
• Wenjun Chen 3 &
• Xianhong Li 3  

BMC Nursing volume  23 , Article number:  452 ( 2024 ) Cite this article

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Metrics details

The central component in impactful healthcare decisions is evidence. Understanding how nurse leaders use evidence in their own managerial decision making is still limited. This mixed methods systematic review aimed to examine how evidence is used to solve leadership problems and to describe the measured and perceived effects of evidence-based leadership on nurse leaders and their performance, organizational, and clinical outcomes.

We included articles using any type of research design. We referred nurses, nurse managers or other nursing staff working in a healthcare context when they attempt to influence the behavior of individuals or a group in an organization using an evidence-based approach. Seven databases were searched until 11 November 2021. JBI Critical Appraisal Checklist for Quasi-experimental studies, JBI Critical Appraisal Checklist for Case Series, Mixed Methods Appraisal Tool were used to evaluate the Risk of bias in quasi-experimental studies, case series, mixed methods studies, respectively. The JBI approach to mixed methods systematic reviews was followed, and a parallel-results convergent approach to synthesis and integration was adopted.

Thirty-one publications were eligible for the analysis: case series ( n  = 27), mixed methods studies ( n  = 3) and quasi-experimental studies ( n  = 1). All studies were included regardless of methodological quality. Leadership problems were related to the implementation of knowledge into practice, the quality of nursing care and the resource availability. Organizational data was used in 27 studies to understand leadership problems, scientific evidence from literature was sought in 26 studies, and stakeholders’ views were explored in 24 studies. Perceived and measured effects of evidence-based leadership focused on nurses’ performance, organizational outcomes, and clinical outcomes. Economic data were not available.

Conclusions

This is the first systematic review to examine how evidence is used to solve leadership problems and to describe its measured and perceived effects from different sites. Although a variety of perceptions and effects were identified on nurses’ performance as well as on organizational and clinical outcomes, available knowledge concerning evidence-based leadership is currently insufficient. Therefore, more high-quality research and clinical trial designs are still needed.

Trail registration

The study was registered (PROSPERO CRD42021259624).

Peer Review reports

Global health demands have set new roles for nurse leaders [ 1 ].Nurse leaders are referred to as nurses, nurse managers, or other nursing staff working in a healthcare context who attempt to influence the behavior of individuals or a group based on goals that are congruent with organizational goals [ 2 ]. They are seen as professionals “armed with data and evidence, and a commitment to mentorship and education”, and as a group in which “leaders innovate, transform, and achieve quality outcomes for patients, health care professionals, organizations, and communities” [ 3 ]. Effective leadership occurs when team members critically follow leaders and are motivated by a leader’s decisions based on the organization’s requests and targets [ 4 ]. On the other hand, problems caused by poor leadership may also occur, regarding staff relations, stress, sickness, or retention [ 5 ]. Therefore, leadership requires an understanding of different problems to be solved using synthesizing evidence from research, clinical expertise, and stakeholders’ preferences [ 6 , 7 ]. If based on evidence, leadership decisions, also referred as leadership decision making [ 8 ], could ensure adequate staffing [ 7 , 9 ] and to produce sufficient and cost-effective care [ 10 ]. However, nurse leaders still rely on their decision making on their personal [ 11 ] and professional experience [ 10 ] over research evidence, which can lead to deficiencies in the quality and safety of care delivery [ 12 , 13 , 14 ]. As all nurses should demonstrate leadership in their profession, their leadership competencies should be strengthened [ 15 ].

Evidence-informed decision-making, referred to as evidence appraisal and application, and evaluation of decisions [ 16 ], has been recognized as one of the core competencies for leaders [ 17 , 18 ]. The role of evidence in nurse leaders’ managerial decision making has been promoted by public authorities [ 19 , 20 , 21 ]. Evidence-based management, another concept related to evidence-based leadership, has been used as the potential to improve healthcare services [ 22 ]. It can guide nursing leaders, in developing working conditions, staff retention, implementation practices, strategic planning, patient care, and success of leadership [ 13 ]. Collins and Holton [ 23 ] in their systematic review and meta-analysis examined 83 studies regarding leadership development interventions. They found that leadership training can result in significant improvement in participants’ skills, especially in knowledge level, although the training effects varied across studies. Cummings et al. [ 24 ] reviewed 100 papers (93 studies) and concluded that participation in leadership interventions had a positive impact on the development of a variety of leadership styles. Clavijo-Chamorro et al. [ 25 ] in their review of 11 studies focused on leadership-related factors that facilitate evidence implementation: teamwork, organizational structures, and transformational leadership. The role of nurse managers was to facilitate evidence-based practices by transforming contexts to motivate the staff and move toward a shared vision of change.

As far as we are aware, however, only a few systematic reviews have focused on evidence-based leadership or related concepts in the healthcare context aiming to analyse how nurse leaders themselves uses evidence in the decision-making process. Young [ 26 ] targeted definitions and acceptance of evidence-based management (EBMgt) in healthcare while Hasanpoor et al. [ 22 ] identified facilitators and barriers, sources of evidence used, and the role of evidence in the process of decision making. Both these reviews concluded that EBMgt was of great importance but used limitedly in healthcare settings due to a lack of time, a lack of research management activities, and policy constraints. A review by Williams [ 27 ] showed that the usage of evidence to support management in decision making is marginal due to a shortage of relevant evidence. Fraser [ 28 ] in their review further indicated that the potential evidence-based knowledge is not used in decision making by leaders as effectively as it could be. Non-use of evidence occurs and leaders base their decisions mainly on single studies, real-world evidence, and experts’ opinions [ 29 ]. Systematic reviews and meta-analyses rarely provide evidence of management-related interventions [ 30 ]. Tate et al. [ 31 ] concluded based on their systematic review and meta-analysis that the ability of nurse leaders to use and critically appraise research evidence may influence the way policy is enacted and how resources and staff are used to meet certain objectives set by policy. This can further influence staff and workforce outcomes. It is therefore important that nurse leaders have the capacity and motivation to use the strongest evidence available to effect change and guide their decision making [ 27 ].

Despite of a growing body of evidence, we found only one review focusing on the impact of evidence-based knowledge. Geert et al. [ 32 ] reviewed literature from 2007 to 2016 to understand the elements of design, delivery, and evaluation of leadership development interventions that are the most reliably linked to outcomes at the level of the individual and the organization, and that are of most benefit to patients. The authors concluded that it is possible to improve individual-level outcomes among leaders, such as knowledge, motivation, skills, and behavior change using evidence-based approaches. Some of the most effective interventions included, for example, interactive workshops, coaching, action learning, and mentoring. However, these authors found limited research evidence describing how nurse leaders themselves use evidence to support their managerial decisions in nursing and what the outcomes are.

To fill the knowledge gap and compliment to existing knowledgebase, in this mixed methods review we aimed to (1) examine what leadership problems nurse leaders solve using an evidence-based approach and (2) how they use evidence to solve these problems. We also explored (3) the measured and (4) perceived effects of the evidence-based leadership approach in healthcare settings. Both qualitative and quantitative components of the effects of evidence-based leadership were examined to provide greater insights into the available literature [ 33 ]. Together with the evidence-based leadership approach, and its impact on nursing [ 34 , 35 ], this knowledge gained in this review can be used to inform clinical policy or organizational decisions [ 33 ]. The study is registered (PROSPERO CRD42021259624). The methods used in this review were specified in advance and documented in a priori in a published protocol [ 36 ]. Key terms of the review and the search terms are defined in Table  1 (population, intervention, comparison, outcomes, context, other).

In this review, we used a mixed methods approach [ 37 ]. A mixed methods systematic review was selected as this approach has the potential to produce direct relevance to policy makers and practitioners [ 38 ]. Johnson and Onwuegbuzie [ 39 ] have defined mixed methods research as “the class of research in which the researcher mixes or combines quantitative and qualitative research techniques, methods, approaches, concepts or language into a single study.” Therefore, we combined quantitative and narrative analysis to appraise and synthesize empirical evidence, and we held them as equally important in informing clinical policy or organizational decisions [ 34 ]. In this review, a comprehensive synthesis of quantitative and qualitative data was performed first and then discussed in discussion part (parallel-results convergent design) [ 40 ]. We hoped that different type of analysis approaches could complement each other and deeper picture of the topic in line with our research questions could be gained [ 34 ].

Inclusion and exclusion criteria

Inclusion and exclusion criteria of the study are described in Table  1 .

Search strategy

A three-step search strategy was utilized. First, an initial limited search with #MEDLINE was undertaken, followed by analysis of the words used in the title, abstract, and the article’s key index terms. Second, the search strategy, including identified keywords and index terms, was adapted for each included data base and a second search was undertaken on 11 November 2021. The full search strategy for each database is described in Additional file 1 . Third, the reference list of all studies included in the review were screened for additional studies. No year limits or language restrictions were used.

Information sources

The database search included the following: CINAHL (EBSCO), Cochrane Library (academic database for medicine and health science and nursing), Embase (Elsevier), PsycINFO (EBSCO), PubMed (MEDLINE), Scopus (Elsevier) and Web of Science (academic database across all scientific and technical disciplines, ranging from medicine and social sciences to arts and humanities). These databases were selected as they represent typical databases in health care context. Subject headings from each of the databases were included in the search strategies. Boolean operators ‘AND’ and ‘OR’ were used to combine the search terms. An information specialist from the University of Turku Library was consulted in the formation of the search strategies.

Study selection

All identified citations were collated and uploaded into Covidence software (Covidence systematic review software, Veritas Health Innovation, Melbourne, Australia www.covidence.org ), and duplicates were removed by the software. Titles and abstracts were screened and assessed against the inclusion criteria independently by two reviewers out of four, and any discrepancies were resolved by the third reviewer (MV, KH, TL, WC). Studies meeting the inclusion criteria were retrieved in full and archived in Covidence. Access to one full-text article was lacking: the authors for one study were contacted about the missing full text, but no full text was received. All remaining hits of the included studies were retrieved and assessed independently against the inclusion criteria by two independent reviewers of four (MV, KH, TL, WC). Studies that did not meet the inclusion criteria were excluded, and the reasons for exclusion were recorded in Covidence. Any disagreements that arose between the reviewers were resolved through discussions with XL.

Assessment of methodological quality

Eligible studies were critically appraised by two independent reviewers (YT, SH). Standardized critical appraisal instruments based on the study design were used. First, quasi-experimental studies were assessed using the JBI Critical Appraisal Checklist for Quasi-experimental studies [ 44 ]. Second, case series were assessed using the JBI Critical Appraisal Checklist for Case Series [ 45 ]. Third, mixed methods studies were appraised using the Mixed Methods Appraisal Tool [ 46 ].

To increase inter-reviewer reliability, the review agreement was calculated (SH) [ 47 ]. A kappa greater than 0.8 was considered to represent a high level of agreement (0–0.1). In our data, the agreement was 0.75. Discrepancies raised between two reviewers were resolved through discussion and modifications and confirmed by XL. As an outcome, studies that met the inclusion criteria were proceeded to critical appraisal and assessed as suitable for inclusion in the review. The scores for each item and overall critical appraisal scores were presented.

Data extraction

For data extraction, specific tables were created. First, study characteristics (author(s), year, country, design, number of participants, setting) were extracted by two authors independently (JC, MV) and reviewed by TL. Second, descriptions of the interventions were extracted by two reviewers (JV, JC) using the structure of the TIDIeR (Template for Intervention Description and Replication) checklist (brief name, the goal of the intervention, material and procedure, models of delivery and location, dose, modification, adherence and fidelity) [ 48 ]. The extractions were confirmed (MV).

Third, due to a lack of effectiveness data and a wide heterogeneity between study designs and presentation of outcomes, no attempt was made to pool the quantitative data statistically; the findings of the quantitative data were presented in narrative form only [ 44 ]. The separate data extraction tables for each research question were designed specifically for this study. For both qualitative (and a qualitative component of mixed-method studies) and quantitative studies, the data were extracted and tabulated into text format according to preplanned research questions [ 36 ]. To test the quality of the tables and the data extraction process, three authors independently extracted the data from the first five studies (in alphabetical order). After that, the authors came together to share and determine whether their approaches of the data extraction were consistent with each other’s output and whether the content of each table was in line with research question. No reason was found to modify the data extraction tables or planned process. After a consensus of the data extraction process was reached, the data were extracted in pairs by independent reviewers (WC, TY, SH, GL). Any disagreements that arose between the reviewers were resolved through discussion and with a third reviewer (MV).

Data analysis

We were not able to conduct a meta-analysis due to a lack of effectiveness data based on clinical trials. Instead, we used inductive thematic analysis with constant comparison to answer the research question [ 46 , 49 ] using tabulated primary data from qualitative and quantitative studies as reported by the original authors in narrative form only [ 47 ]. In addition, the qualitizing process was used to transform quantitative data to qualitative data; this helped us to convert the whole data into themes and categories. After that we used the thematic analysis for the narrative data as follows. First, the text was carefully read, line by line, to reveal topics answering each specific review question (MV). Second, the data coding was conducted, and the themes in the data were formed by data categorization. The process of deriving the themes was inductive based on constant comparison [ 49 ]. The results of thematic analysis and data categorization was first described in narrative format and then the total number of studies was calculated where the specific category was identified (%).

Stakeholder involvement

The method of reporting stakeholders’ involvement follows the key components by [ 50 ]: (1) people involved, (2) geographical location, (3) how people were recruited, (4) format of involvement, (5) amount of involvement, (6) ethical approval, (7) financial compensation, and (8) methods for reporting involvement.

In our review, stakeholder involvement targeted nurses and nurse leader in China. Nurse Directors of two hospitals recommended potential participants who received a personal invitation letter from researchers to participate in a discussion meeting. Stakeholders’ participation was based on their own free will. Due to COVID-19, one online meeting (1 h) was organized (25 May 2022). Eleven participants joined the meeting. Ethical approval was not applied and no financial compensation was offered. At the end of the meeting, experiences of stakeholders’ involvement were explored.

The meeting started with an introductory presentation with power points. The rationale, methods, and preliminary review results were shared with the participants [ 51 ].The meeting continued with general questions for the participants: (1) Are you aware of the concepts of evidence-based practice or evidence-based leadership?; (2) How important is it to use evidence to support decisions among nurse leaders?; (3) How is the evidence-based approach used in hospital settings?; and (4) What type of evidence is currently used to support nurse leaders’ decision making (e.g. scientific literature, organizational data, stakeholder views)?

Two people took notes on the course and content of the conversation. The notes were later transcripted in verbatim, and the key points of the discussions were summarised. Although answers offered by the stakeholders were very short, the information was useful to validate the preliminary content of the results, add the rigorousness of the review, and obtain additional perspectives. A recommendation of the stakeholders was combined in the Discussion part of this review increasing the applicability of the review in the real world [ 50 ]. At the end of the discussion, the value of stakeholders’ involvement was asked. Participants shared that the experience of participating was unique and the topic of discussion was challenging. Two authors of the review group further represented stakeholders by working together with the research team throughout the review study.

Search results

From seven different electronic databases, 6053 citations were identified as being potentially relevant to the review. Then, 3133 duplicates were removed by an automation tool (Covidence: www.covidence.org ), and one was removed manually. The titles and abstracts of 3040 of citations were reviewed, and a total of 110 full texts were included (one extra citation was found on the reference list but later excluded). Based on the eligibility criteria, 31 studies (32 hits) were critically appraised and deemed suitable for inclusion in the review. The search results and selection process are presented in the PRISMA [ 52 ] flow diagram Fig.  1 . The full list of references for included studies can be find in Additional file 2 . To avoid confusion between articles of the reference list and studies included in the analysis, the studies included in the review are referred inside the article using the reference number of each study (e.g. ref 1, ref 2).

Search results and study selection and inclusion process [ 52 ]

Characteristics of included studies

The studies had multiple purposes, aiming to develop practice, implement a new approach, improve quality, or to develop a model. The 31 studies (across 32 hits) were case series studies ( n  = 27), mixed methods studies ( n  = 3) and a quasi-experimental study ( n  = 1). All studies were published between the years 2004 and 2021. The highest number of papers was published in year 2020.

Table  2 describes the characteristics of included studies and Additional file 3 offers a narrative description of the studies.

Methodological quality assessment

Quasi-experimental studies.

We had one quasi-experimental study (ref 31). All questions in the critical appraisal tool were applicable. The total score of the study was 8 (out of a possible 9). Only one response of the tool was ‘no’ because no control group was used in the study (see Additional file 4 for the critical appraisal of included studies).

Case series studies . A case series study is typically defined as a collection of subjects with common characteristics. The studies do not include a comparison group and are often based on prevalent cases and on a sample of convenience [ 53 ]. Munn et al. [ 45 ] further claim that case series are best described as observational studies, lacking experimental and randomized characteristics, being descriptive studies, without a control or comparator group. Out of 27 case series studies included in our review, the critical appraisal scores varied from 1 to 9. Five references were conference abstracts with empirical study results, which were scored from 1 to 3. Full reports of these studies were searched in electronic databases but not found. Critical appraisal scores for the remaining 22 studies ranged from 1 to 9 out of a possible score of 10. One question (Q3) was not applicable to 13 studies: “Were valid methods used for identification of the condition for all participants included in the case series?” Only two studies had clearly reported the demographic of the participants in the study (Q6). Twenty studies met Criteria 8 (“Were the outcomes or follow-up results of cases clearly reported?”) and 18 studies met Criteria 7 (“Q7: Was there clear reporting of clinical information of the participants?”) (see Additional file 4 for the critical appraisal of included studies).

Mixed-methods studies

Mixed-methods studies involve a combination of qualitative and quantitative methods. This is a common design and includes convergent design, sequential explanatory design, and sequential exploratory design [ 46 ]. There were three mixed-methods studies. The critical appraisal scores for the three studies ranged from 60 to 100% out of a possible 100%. Two studies met all the criteria, while one study fulfilled 60% of the scored criteria due to a lack of information to understand the relevance of the sampling strategy well enough to address the research question (Q4.1) or to determine whether the risk of nonresponse bias was low (Q4.4) (see Additional file 4 for the critical appraisal of included studies).

Intervention or program components

The intervention of program components were categorized and described using the TiDier checklist: name and goal, theory or background, material, procedure, provider, models of delivery, location, dose, modification, and adherence and fidelity [ 48 ]. A description of intervention in each study is described in Additional file 5 and a narrative description in Additional file 6 .

Leadership problems

In line with the inclusion criteria, data for the leadership problems were categorized in all 31 included studies (see Additional file 7 for leadership problems). Three types of leadership problems were identified: implementation of knowledge into practice, the quality of clinical care, and resources in nursing care. A narrative summary of the results is reported below.

Implementing knowledge into practice

Eleven studies (35%) aimed to solve leadership problems related to implementation of knowledge into practice. Studies showed how to support nurses in evidence-based implementation (EBP) (ref 3, ref 5), how to engage nurses in using evidence in practice (ref 4), how to convey the importance of EBP (ref 22) or how to change practice (ref 4). Other problems were how to facilitate nurses to use guideline recommendations (ref 7) and how nurses can make evidence-informed decisions (ref 8). General concerns also included the linkage between theory and practice (ref 1) as well as how to implement the EBP model in practice (ref 6). In addition, studies were motivated by the need for revisions or updates of protocols to improve clinical practice (ref 10) as well as the need to standardize nursing activities (ref 11, ref 14).

The quality of the care

Thirteen (42%) focused on solving problems related to the quality of clinical care. In these studies, a high number of catheter infections led a lack of achievement of organizational goals (ref 2, ref 9). A need to reduce patient symptoms in stem cell transplant patients undergoing high-dose chemotherapy (ref 24) was also one of the problems to be solved. In addition, the projects focused on how to prevent pressure ulcers (ref 26, ref 29), how to enhance the quality of cancer treatment (ref 25) and how to reduce the need for invasive constipation treatment (ref 30). Concerns about patient safety (ref 15), high fall rates (ref 16, ref 19), dissatisfaction of patients (ref 16, ref 18) and nurses (ref 16, ref 30) were also problems that had initiated the projects. Studies addressed concerns about how to promote good contingency care in residential aged care homes (ref 20) and about how to increase recognition of human trafficking problems in healthcare (ref 21).

Resources in nursing care

Nurse leaders identified problems in their resources, especially in staffing problems. These problems were identified in seven studies (23%), which involved concerns about how to prevent nurses from leaving the job (ref 31), how to ensure appropriate recruitment, staffing and retaining of nurses (ref 13) and how to decrease nurses’ burden and time spent on nursing activities (ref 12). Leadership turnover was also reported as a source of dissatisfaction (ref 17); studies addressed a lack of structured transition and training programs, which led to turnover (ref 23), as well as how to improve intershift handoff among nurses (ref 28). Optimal design for new hospitals was also examined (ref 27).

Main features of evidence-based leadership

Out of 31 studies, 17 (55%) included all four domains of an evidence-based leadership approach, and four studies (13%) included evidence of critical appraisal of the results (see Additional file 8 for the main features of evidence-based Leadership) (ref 11, ref 14, ref 23, ref 27).

Organizational evidence

Twenty-seven studies (87%) reported how organizational evidence was collected and used to solve leadership problems (ref 2). Retrospective chart reviews (ref 5), a review of the extent of specific incidents (ref 19), and chart auditing (ref 7, ref 25) were conducted. A gap between guideline recommendations and actual care was identified using organizational data (ref 7) while the percentage of nurses’ working time spent on patient care was analyzed using an electronic charting system (ref 12). Internal data (ref 22), institutional data, and programming metrics were also analyzed to understand the development of the nurse workforce (ref 13).

Surveys (ref 3, ref 25), interviews (ref 3, ref 25) and group reviews (ref 18) were used to better understand the leadership problem to be solved. Employee opinion surveys on leadership (ref 17), a nurse satisfaction survey (ref 30) and a variety of reporting templates were used for the data collection (ref 28) reported. Sometimes, leadership problems were identified by evidence facilitators or a PI’s team who worked with staff members (ref 15, ref 17). Problems in clinical practice were also identified by the Nursing Professional Council (ref 14), managers (ref 26) or nurses themselves (ref 24). Current practices were reviewed (ref 29) and a gap analysis was conducted (ref 4, ref 16, ref 23) together with SWOT analysis (ref 16). In addition, hospital mission and vision statements, research culture established and the proportion of nursing alumni with formal EBP training were analyzed (ref 5). On the other hand, it was stated that no systematic hospital-specific sources of data regarding job satisfaction or organizational commitment were used (ref 31). In addition, statements of organizational analysis were used on a general level only (ref 1).

Scientific evidence identified

Twenty-six studies (84%) reported the use of scientific evidence in their evidence-based leadership processes. A literature search was conducted (ref 21) and questions, PICO, and keywords were identified (ref 4) in collaboration with a librarian. Electronic databases, including PubMed (ref 14, ref 31), Cochrane, and EMBASE (ref 31) were searched. Galiano (ref 6) used Wiley Online Library, Elsevier, CINAHL, Health Source: Nursing/Academic Edition, PubMed, and the Cochrane Library while Hoke (ref 11) conducted an electronic search using CINAHL and PubMed to retrieve articles.

Identified journals were reviewed manually (ref 31). The findings were summarized using ‘elevator speech’ (ref 4). In a study by Gifford et al. (ref 9) evidence facilitators worked with participants to access, appraise, and adapt the research evidence to the organizational context. Ostaszkiewicz (ref 20) conducted a scoping review of literature and identified and reviewed frameworks and policy documents about the topic and the quality standards. Further, a team of nursing administrators, directors, staff nurses, and a patient representative reviewed the literature and made recommendations for practice changes.

Clinical practice guidelines were also used to offer scientific evidence (ref 7, ref 19). Evidence was further retrieved from a combination of nursing policies, guidelines, journal articles, and textbooks (ref 12) as well as from published guidelines and literature (ref 13). Internal evidence, professional practice knowledge, relevant theories and models were synthesized (ref 24) while other study (ref 25) reviewed individual studies, synthesized with systematic reviews or clinical practice guidelines. The team reviewed the research evidence (ref 3, ref 15) or conducted a literature review (ref 22, ref 28, ref 29), a literature search (ref 27), a systematic review (ref 23), a review of the literature (ref 30) or ‘the scholarly literature was reviewed’ (ref 18). In addition, ‘an extensive literature review of evidence-based best practices was carried out’ (ref 10). However, detailed description how the review was conducted was lacking.

Views of stakeholders

A total of 24 studies (77%) reported methods for how the views of stakeholders, i.e., professionals or experts, were considered. Support to run this study was received from nursing leadership and multidisciplinary teams (ref 29). Experts and stakeholders joined the study team in some cases (ref 25, ref 30), and in other studies, their opinions were sought to facilitate project success (ref 3). Sometimes a steering committee was formed by a Chief Nursing Officer and Clinical Practice Specialists (ref 2). More specifically, stakeholders’ views were considered using interviews, workshops and follow-up teleconferences (ref 7). The literature review was discussed with colleagues (ref 11), and feedback and support from physicians as well as the consensus of staff were sought (ref 16).

A summary of the project findings and suggestions for the studies were discussed at 90-minute weekly meetings by 11 charge nurses. Nurse executive directors were consulted over a 10-week period (ref 31). An implementation team (nurse, dietician, physiotherapist, occupational therapist) was formed to support the implementation of evidence-based prevention measures (ref 26). Stakeholders volunteered to join in the pilot implementation (ref 28) or a stakeholder team met to determine the best strategy for change management, shortcomings in evidence-based criteria were discussed, and strategies to address those areas were planned (ref 5). Nursing leaders, staff members (ref 22), ‘process owners (ref 18) and program team members (ref 18, ref 19, ref 24) met regularly to discuss the problems. Critical input was sought from clinical educators, physicians, nutritionists, pharmacists, and nurse managers (ref 24). The unit director and senior nursing staff reviewed the contents of the product, and the final version of clinical pathways were reviewed and approved by the Quality Control Commission of the Nursing Department (ref 12). In addition, two co-design workshops with 18 residential aged care stakeholders were organized to explore their perspectives about factors to include in a model prototype (ref 20). Further, an agreement of stakeholders in implementing continuous quality services within an open relationship was conducted (ref 1).

Critical appraisal

In five studies (16%), a critical appraisal targeting the literature search was carried out. The appraisals were conducted by interns and teams who critiqued the evidence (ref 4). In Hoke’s study, four areas that had emerged in the literature were critically reviewed (ref 11). Other methods were to ‘critically appraise the search results’ (ref 14). Journal club team meetings (ref 23) were organized to grade the level and quality of evidence and the team ‘critically appraised relevant evidence’ (ref 27). On the other hand, the studies lacked details of how the appraisals were done in each study.

The perceived effects of evidence-based leadership

Perceived effects of evidence-based leadership on nurses’ performance.

Eleven studies (35%) described perceived effects of evidence-based leadership on nurses’ performance (see Additional file 9 for perceived effects of evidence-based leadership), which were categorized in four groups: awareness and knowledge, competence, ability to understand patients’ needs, and engagement. First, regarding ‘awareness and knowledge’, different projects provided nurses with new learning opportunities (ref 3). Staff’s knowledge (ref 20, ref 28), skills, and education levels improved (ref 20), as did nurses’ knowledge comprehension (ref 21). Second, interventions and approaches focusing on management and leadership positively influenced participants’ competence level to improve the quality of services. Their confidence level (ref 1) and motivation to change practice increased, self-esteem improved, and they were more positive and enthusiastic in their work (ref 22). Third, some nurses were relieved that they had learned to better handle patients’ needs (ref 25). For example, a systematic work approach increased nurses’ awareness of the patients who were at risk of developing health problems (ref 26). And last, nurse leaders were more engaged with staff, encouraging them to adopt the new practices and recognizing their efforts to change (ref 8).

Perceived effects on organizational outcomes

Nine studies (29%) described the perceived effects of evidence-based leadership on organizational outcomes (see Additional file 9 for perceived effects of evidence-based leadership). These were categorized into three groups: use of resources, staff commitment, and team effort. First, more appropriate use of resources was reported (ref 15, ref 20), and working time was more efficiently used (ref 16). In generally, a structured approach made implementing change more manageable (ref 1). On the other hand, in the beginning of the change process, the feedback from nurses was unfavorable, and they experienced discomfort in the new work style (ref 29). New approaches were also perceived as time consuming (ref 3). Second, nurse leaders believed that fewer nursing staff than expected left the organization over the course of the study (ref 31). Third, the project helped staff in their efforts to make changes, and it validated the importance of working as a team (ref 7). Collaboration and support between the nurses increased (ref 26). On the other hand, new work style caused challenges in teamwork (ref 3).

Perceived effects on clinical outcomes

Five studies (16%) reported the perceived effects of evidence-based leadership on clinical outcomes (see Additional file 9 for perceived effects of evidence-based leadership), which were categorized in two groups: general patient outcomes and specific clinical outcomes. First, in general, the project assisted in connecting the guideline recommendations and patient outcomes (ref 7). The project was good for the patients in general, and especially to improve patient safety (ref 16). On the other hand, some nurses thought that the new working style did not work at all for patients (ref 28). Second, the new approach used assisted in optimizing patients’ clinical problems and person-centered care (ref 20). Bowel management, for example, received very good feedback (ref 30).

The measured effects of evidence-based leadership

The measured effects on nurses’ performance.

Data were obtained from 20 studies (65%) (see Additional file 10 for measured effects of evidence-based leadership) and categorized nurse performance outcomes for three groups: awareness and knowledge, engagement, and satisfaction. First, six studies (19%) measured the awareness and knowledge levels of participants. Internship for staff nurses was beneficial to help participants to understand the process for using evidence-based practice and to grow professionally, to stimulate for innovative thinking, to give knowledge needed to use evidence-based practice to answer clinical questions, and to make possible to complete an evidence-based practice project (ref 3). Regarding implementation program of evidence-based practice, those with formal EBP training showed an improvement in knowledge, attitude, confidence, awareness and application after intervention (ref 3, ref 11, ref 20, ref 23, ref 25). On the contrary, in other study, attitude towards EBP remained stable ( p  = 0.543). and those who applied EBP decreased although no significant differences over the years ( p  = 0.879) (ref 6).

Second, 10 studies (35%) described nurses’ engagement to new practices (ref 5, ref 6, ref 7, ref 10, ref 16, ref 17, ref 18, ref 21, ref 25, ref 27). 9 studies (29%) studies reported that there was an improvement of compliance level of participants (ref 6, ref 7, ref 10, ref 16, ref 17, ref 18, ref 21, ref 25, ref 27). On the contrary, in DeLeskey’s (ref 5) study, although improvement was found in post-operative nausea and vomiting’s (PONV) risk factors documented’ (2.5–63%), and ’risk factors communicated among anaesthesia and surgical staff’ (0–62%), the improvement did not achieve the goal. The reason was a limited improvement was analysed. It was noted that only those patients who had been seen by the pre-admission testing nurse had risk assessments completed. Appropriate treatment/prophylaxis increased from 69 to 77%, and from 30 to 49%; routine assessment for PONV/rescue treatment 97% and 100% was both at 100% following the project. The results were discussed with staff but further reasons for a lack of engagement in nursing care was not reported.

And third, six studies (19%) reported nurses’ satisfaction with project outcomes. The study results showed that using evidence in managerial decisions improved nurses’ satisfaction and attitudes toward their organization ( P  < 0.05) (ref 31). Nurses’ overall job satisfaction improved as well (ref 17). Nurses’ satisfaction with usability of the electronic charting system significantly improved after introduction of the intervention (ref 12). In handoff project in seven hospitals, improvement was reported in all satisfaction indicators used in the study although improvement level varied in different units (ref 28). In addition, positive changes were reported in nurses’ ability to autonomously perform their job (“How satisfied are you with the tools and resources available for you treat and prevent patient constipation?” (54%, n  = 17 vs. 92%, n  = 35, p  < 0.001) (ref 30).

The measured effects on organizational outcomes

Thirteen studies (42%) described the effects of a project on organizational outcomes (see Additional file 10 for measured effects of evidence-based leadership), which were categorized in two groups: staff compliance, and changes in practices. First, studies reported improved organizational outcomes due to staff better compliance in care (ref 4, ref 13, ref 17, ref 23, ref 27, ref 31). Second, changes in organization practices were also described (ref 11) like changes in patient documentation (ref 12, ref 21). Van Orne (ref 30) found a statistically significant reduction in the average rate of invasive medication administration between pre-intervention and post-intervention ( p  = 0.01). Salvador (ref 24) also reported an improvement in a proactive approach to mucositis prevention with an evidence-based oral care guide. On the contrary, concerns were also raised such as not enough time for new bedside report (ref 16) or a lack of improvement of assessment of diabetic ulcer (ref 8).

The measured effects on clinical outcomes

A variety of improvements in clinical outcomes were reported (see Additional file 10 for measured effects of evidence-based leadership): improvement in patient clinical status and satisfaction level. First, a variety of improvement in patient clinical status was reported. improvement in Incidence of CAUTI decreased 27.8% between 2015 and 2019 (ref 2) while a patient-centered quality improvement project reduced CAUTI rates to 0 (ref 10). A significant decrease in transmission rate of MRSA transmission was also reported (ref 27) and in other study incidences of CLABSIs dropped following of CHG bathing (ref 14). Further, it was possible to decrease patient nausea from 18 to 5% and vomiting to 0% (ref 5) while the percentage of patients who left the hospital without being seen was below 2% after the project (ref 17). In addition, a significant reduction in the prevalence of pressure ulcers was found (ref 26, ref 29) and a significant reduction of mucositis severity/distress was achieved (ref 24). Patient falls rate decreased (ref 15, ref 16, ref 19, ref 27).

Second, patient satisfaction level after project implementation improved (ref 28). The scale assessing healthcare providers by consumers showed improvement, but the changes were not statistically significant. Improvement in an emergency department leadership model and in methods of communication with patients improved patient satisfaction scores by 600% (ref 17). In addition, new evidence-based unit improved patient experiences about the unit although not all items improved significantly (ref 18).

Stakeholder involvement in the mixed-method review

To ensure stakeholders’ involvement in the review, the real-world relevance of our research [ 53 ], achieve a higher level of meaning in our review results, and gain new perspectives on our preliminary findings [ 50 ], a meeting with 11 stakeholders was organized. First, we asked if participants were aware of the concepts of evidence-based practice or evidence-based leadership. Responses revealed that participants were familiar with the concept of evidence-based practice, but the topic of evidence-based leadership was totally new. Examples of nurses and nurse leaders’ responses are as follows: “I have heard a concept of evidence-based practice but never a concept of evidence-based leadership.” Another participant described: “I have heard it [evidence-based leadership] but I do not understand what it means.”

Second, as stakeholder involvement is beneficial to the relevance and impact of health research [ 54 ], we asked how important evidence is to them in supporting decisions in health care services. One participant described as follows: “Using evidence in decisions is crucial to the wards and also to the entire hospital.” Third, we asked how the evidence-based approach is used in hospital settings. Participants expressed that literature is commonly used to solve clinical problems in patient care but not to solve leadership problems. “In [patient] medication and care, clinical guidelines are regularly used. However, I am aware only a few cases where evidence has been sought to solve leadership problems.”

And last, we asked what type of evidence is currently used to support nurse leaders’ decision making (e.g. scientific literature, organizational data, stakeholder views)? The participants were aware that different types of information were collected in their organization on a daily basis (e.g. patient satisfaction surveys). However, the information was seldom used to support decision making because nurse leaders did not know how to access this information. Even so, the participants agreed that the use of evidence from different sources was important in approaching any leadership or managerial problems in the organization. Participants also suggested that all nurse leaders should receive systematic training related to the topic; this could support the daily use of the evidence-based approach.

To our knowledge, this article represents the first mixed-methods systematic review to examine leadership problems, how evidence is used to solve these problems and what the perceived and measured effects of evidence-based leadership are on nurse leaders and their performance, organizational, and clinical outcomes. This review has two key findings. First, the available research data suggests that evidence-based leadership has potential in the healthcare context, not only to improve knowledge and skills among nurses, but also to improve organizational outcomes and the quality of patient care. Second, remarkably little published research was found to explore the effects of evidence-based leadership with an efficient trial design. We validated the preliminary results with nurse stakeholders, and confirmed that nursing staff, especially nurse leaders, were not familiar with the concept of evidence-based leadership, nor were they used to implementing evidence into their leadership decisions. Our data was based on many databases, and we screened a large number of studies. We also checked existing registers and databases and found no registered or ongoing similar reviews being conducted. Therefore, our results may not change in the near future.

We found that after identifying the leadership problems, 26 (84%) studies out of 31 used organizational data, 25 (81%) studies used scientific evidence from the literature, and 21 (68%) studies considered the views of stakeholders in attempting to understand specific leadership problems more deeply. However, only four studies critically appraised any of these findings. Considering previous critical statements of nurse leaders’ use of evidence in their decision making [ 14 , 30 , 31 , 34 , 55 ], our results are still quite promising.

Our results support a previous systematic review by Geert et al. [ 32 ], which concluded that it is possible to improve leaders’ individual-level outcomes, such as knowledge, motivation, skills, and behavior change using evidence-based approaches. Collins and Holton [ 23 ] particularly found that leadership training resulted in significant knowledge and skill improvements, although the effects varied widely across studies. In our study, evidence-based leadership was seen to enable changes in clinical practice, especially in patient care. On the other hand, we understand that not all efforts to changes were successful [ 56 , 57 , 58 ]. An evidence-based approach causes negative attitudes and feelings. Negative emotions in participants have also been reported due to changes, such as discomfort with a new working style [ 59 ]. Another study reported inconvenience in using a new intervention and its potential risks for patient confidentiality. Sometimes making changes is more time consuming than continuing with current practice [ 60 ]. These findings may partially explain why new interventions or program do not always fully achieve their goals. On the other hand, Dubose et al. [ 61 ] state that, if prepared with knowledge of resistance, nurse leaders could minimize the potential negative consequences and capitalize on a powerful impact of change adaptation.

We found that only six studies used a specific model or theory to understand the mechanism of change that could guide leadership practices. Participants’ reactions to new approaches may be an important factor in predicting how a new intervention will be implemented into clinical practice. Therefore, stronger effort should be put to better understanding the use of evidence, how participants’ reactions and emotions or practice changes could be predicted or supported using appropriate models or theories, and how using these models are linked with leadership outcomes. In this task, nurse leaders have an important role. At the same time, more responsibilities in developing health services have been put on the shoulders of nurse leaders who may already be suffering under pressure and increased burden at work. Working in a leadership position may also lead to role conflict. A study by Lalleman et al. [ 62 ] found that nurses were used to helping other people, often in ad hoc situations. The helping attitude of nurses combined with structured managerial role may cause dilemmas, which may lead to stress. Many nurse leaders opt to leave their positions less than 5 years [ 63 ].To better fulfill the requirements of health services in the future, the role of nurse leaders in evidence-based leadership needs to be developed further to avoid ethical and practical dilemmas in their leadership practices.

It is worth noting that the perceived and measured effects did not offer strong support to each other but rather opened a new venue to understand the evidence-based leadership. Specifically, the perceived effects did not support to measured effects (competence, ability to understand patients’ needs, use of resources, team effort, and specific clinical outcomes) while the measured effects could not support to perceived effects (nurse’s performance satisfaction, changes in practices, and clinical outcomes satisfaction). These findings may indicate that different outcomes appear if the effects of evidence-based leadership are looked at using different methodological approach. Future study is encouraged using well-designed study method including mixed-method study to examine the consistency between perceived and measured effects of evidence-based leadership in health care.

There is a potential in nursing to support change by demonstrating conceptual and operational commitment to research-based practices [ 64 ]. Nurse leaders are well positioned to influence and lead professional governance, quality improvement, service transformation, change and shared governance [ 65 ]. In this task, evidence-based leadership could be a key in solving deficiencies in the quality, safety of care [ 14 ] and inefficiencies in healthcare delivery [ 12 , 13 ]. As WHO has revealed, there are about 28 million nurses worldwide, and the demand of nurses will put nurse resources into the specific spotlight [ 1 ]. Indeed, evidence could be used to find solutions for how to solve economic deficits or other problems using leadership skills. This is important as, when nurses are able to show leadership and control in their own work, they are less likely to leave their jobs [ 66 ]. On the other hand, based on our discussions with stakeholders, nurse leaders are not used to using evidence in their own work. Further, evidence-based leadership is not possible if nurse leaders do not have access to a relevant, robust body of evidence, adequate funding, resources, and organizational support, and evidence-informed decision making may only offer short-term solutions [ 55 ]. We still believe that implementing evidence-based strategies into the work of nurse leaders may create opportunities to protect this critical workforce from burnout or leaving the field [ 67 ]. However, the role of the evidence-based approach for nurse leaders in solving these problems is still a key question.

Limitations

This study aimed to use a broad search strategy to ensure a comprehensive review but, nevertheless, limitations exist: we may have missed studies not included in the major international databases. To keep search results manageable, we did not use specific databases to systematically search grey literature although it is a rich source of evidence used in systematic reviews and meta-analysis [ 68 ]. We still included published conference abstract/proceedings, which appeared in our scientific databases. It has been stated that conference abstracts and proceedings with empirical study results make up a great part of studies cited in systematic reviews [ 69 ]. At the same time, a limited space reserved for published conference publications can lead to methodological issues reducing the validity of the review results [ 68 ]. We also found that the great number of studies were carried out in western countries, restricting the generalizability of the results outside of English language countries. The study interventions and outcomes were too different across studies to be meaningfully pooled using statistical methods. Thus, our narrative synthesis could hypothetically be biased. To increase transparency of the data and all decisions made, the data, its categorization and conclusions are based on original studies and presented in separate tables and can be found in Additional files. Regarding a methodological approach [ 34 ], we used a mixed methods systematic review, with the core intention of combining quantitative and qualitative data from primary studies. The aim was to create a breadth and depth of understanding that could confirm to or dispute evidence and ultimately answer the review question posed [ 34 , 70 ]. Although the method is gaining traction due to its usefulness and practicality, guidance in combining quantitative and qualitative data in mixed methods systematic reviews is still limited at the theoretical stage [ 40 ]. As an outcome, it could be argued that other methodologies, for example, an integrative review, could have been used in our review to combine diverse methodologies [ 71 ]. We still believe that the results of this mixed method review may have an added value when compared with previous systematic reviews concerning leadership and an evidence-based approach.

Our mixed methods review fills the gap regarding how nurse leaders themselves use evidence to guide their leadership role and what the measured and perceived impact of evidence-based leadership is in nursing. Although the scarcity of controlled studies on this topic is concerning, the available research data suggest that evidence-based leadership intervention can improve nurse performance, organizational outcomes, and patient outcomes. Leadership problems are also well recognized in healthcare settings. More knowledge and a deeper understanding of the role of nurse leaders, and how they can use evidence in their own managerial leadership decisions, is still needed. Despite the limited number of studies, we assume that this narrative synthesis can provide a good foundation for how to develop evidence-based leadership in the future.

Implications

Based on our review results, several implications can be recommended. First, the future of nursing success depends on knowledgeable, capable, and strong leaders. Therefore, nurse leaders worldwide need to be educated about the best ways to manage challenging situations in healthcare contexts using an evidence-based approach in their decisions. This recommendation was also proposed by nurses and nurse leaders during our discussion meeting with stakeholders.

Second, curriculums in educational organizations and on-the-job training for nurse leaders should be updated to support general understanding how to use evidence in leadership decisions. And third, patients and family members should be more involved in the evidence-based approach. It is therefore important that nurse leaders learn how patients’ and family members’ views as stakeholders are better considered as part of the evidence-based leadership approach.

Future studies should be prioritized as follows: establishment of clear parameters for what constitutes and measures evidence-based leadership; use of theories or models in research to inform mechanisms how to effectively change the practice; conducting robust effectiveness studies using trial designs to evaluate the impact of evidence-based leadership; studying the role of patient and family members in improving the quality of clinical care; and investigating the financial impact of the use of evidence-based leadership approach within respective healthcare systems.

Data availability

The authors obtained all data for this review from published manuscripts.

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Acknowledgements

We want to thank the funding bodies, the Finnish National Agency of Education, Asia Programme, the Department of Nursing Science at the University of Turku, and Xiangya School of Nursing at the Central South University. We also would like to thank the nurses and nurse leaders for their valuable opinions on the topic.

The work was supported by the Finnish National Agency of Education, Asia Programme (grant number 26/270/2020) and the University of Turku (internal fund 26003424). The funders had no role in the study design and will not have any role during its execution, analysis, interpretation of the data, decision to publish, or preparation of the manuscript.

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Maritta Välimäki, Tella Lantta, Kirsi Hipp & Jaakko Varpula

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Xiangya Nursing, School of Central South University, Changsha, 410013, China

Shuang Hu, Jiarui Chen, Yao Tang, Wenjun Chen & Xianhong Li

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Contributions

Study design: MV, XL. Literature search and study selection: MV, KH, TL, WC, XL. Quality assessment: YT, SH, XL. Data extraction: JC, MV, JV, WC, YT, SH, GL. Analysis and interpretation: MV, SH. Manuscript writing: MV. Critical revisions for important intellectual content: MV, XL. All authors read and approved the final manuscript.

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Differences between the original protocol

We modified criteria for the included studies: we included published conference abstracts/proceedings, which form a relatively broad knowledge base in scientific knowledge. We originally planned to conduct a survey with open-ended questions followed by a face-to-face meeting to discuss the preliminary results of the review. However, to avoid extra burden in nurses due to COVID-19, we decided to limit the validation process to the online discussion only.

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Välimäki, M., Hu, S., Lantta, T. et al. The impact of evidence-based nursing leadership in healthcare settings: a mixed methods systematic review. BMC Nurs 23 , 452 (2024). https://doi.org/10.1186/s12912-024-02096-4

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