how to start an essay with a question examples

How to Write an Essay Introduction (with Examples)   

The introduction of an essay plays a critical role in engaging the reader and providing contextual information about the topic. It sets the stage for the rest of the essay, establishes the tone and style, and motivates the reader to continue reading. 

Table of Contents

What is an essay introduction , what to include in an essay introduction, how to create an essay structure , step-by-step process for writing an essay introduction , how to write an essay introduction paragraph with paperpal – step -by -step, how to write a hook for your essay , how to include background information , how to write a thesis statement .

• Argumentative Essay Introduction Example: 
• Expository Essay Introduction Example 

Literary Analysis Essay Introduction Example

Check and revise – checklist for essay introduction , key takeaways , frequently asked questions .

An introduction is the opening section of an essay, paper, or other written work. It introduces the topic and provides background information, context, and an overview of what the reader can expect from the rest of the work. 1 The key is to be concise and to the point, providing enough information to engage the reader without delving into excessive detail. 

The essay introduction is crucial as it sets the tone for the entire piece and provides the reader with a roadmap of what to expect. Here are key elements to include in your essay introduction: 

• Hook : Start with an attention-grabbing statement or question to engage the reader. This could be a surprising fact, a relevant quote, or a compelling anecdote. 
• Background information : Provide context and background information to help the reader understand the topic. This can include historical information, definitions of key terms, or an overview of the current state of affairs related to your topic. 
• Thesis statement : Clearly state your main argument or position on the topic. Your thesis should be concise and specific, providing a clear direction for your essay. 

Before we get into how to write an essay introduction, we need to know how it is structured. The structure of an essay is crucial for organizing your thoughts and presenting them clearly and logically. It is divided as follows: 2  

• Introduction:  The introduction should grab the reader’s attention with a hook, provide context, and include a thesis statement that presents the main argument or purpose of the essay.  
• Body:  The body should consist of focused paragraphs that support your thesis statement using evidence and analysis. Each paragraph should concentrate on a single central idea or argument and provide evidence, examples, or analysis to back it up.  
• Conclusion:  The conclusion should summarize the main points and restate the thesis differently. End with a final statement that leaves a lasting impression on the reader. Avoid new information or arguments. 

Here’s a step-by-step guide on how to write an essay introduction: 

• Start with a Hook : Begin your introduction paragraph with an attention-grabbing statement, question, quote, or anecdote related to your topic. The hook should pique the reader’s interest and encourage them to continue reading. 
• Provide Background Information : This helps the reader understand the relevance and importance of the topic. 
• State Your Thesis Statement : The last sentence is the main argument or point of your essay. It should be clear, concise, and directly address the topic of your essay. 
• Preview the Main Points : This gives the reader an idea of what to expect and how you will support your thesis. 
• Keep it Concise and Clear : Avoid going into too much detail or including information not directly relevant to your topic. 
• Revise : Revise your introduction after you’ve written the rest of your essay to ensure it aligns with your final argument. 

Unsure of how to start your essay introduction? Leverage Paperpal’s Generative AI templates to provide a base for your essay introduction. Here’s an example of an essay outline generated by Paperpal.  

Use the generated essay outline as your base for the introduction. If you’re stuck writing, you can use Paperpal’s Predictive AI writing features to continue writing. 

Use Paperpal’s Preditive AI writing features to maintain your writing flow

This is one of the key steps in how to write an essay introduction. Crafting a compelling hook is vital because it sets the tone for your entire essay and determines whether your readers will stay interested. A good hook draws the reader in and sets the stage for the rest of your essay.  

• Avoid Dry Fact : Instead of simply stating a bland fact, try to make it engaging and relevant to your topic. For example, if you’re writing about the benefits of exercise, you could start with a startling statistic like, “Did you know that regular exercise can increase your lifespan by up to seven years?” 
• Avoid Using a Dictionary Definition : While definitions can be informative, they’re not always the most captivating way to start an essay. Instead, try to use a quote, anecdote, or provocative question to pique the reader’s interest. For instance, if you’re writing about freedom, you could begin with a quote from a famous freedom fighter or philosopher. 
• Do Not Just State a Fact That the Reader Already Knows : This ties back to the first point—your hook should surprise or intrigue the reader. For Here’s an introduction paragraph example, if you’re writing about climate change, you could start with a thought-provoking statement like, “Despite overwhelming evidence, many people still refuse to believe in the reality of climate change.” 

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Including background information in the introduction section of your essay is important to provide context and establish the relevance of your topic. When writing the background information, you can follow these steps: 

• Start with a General Statement:  Begin with a general statement about the topic and gradually narrow it down to your specific focus. For example, when discussing the impact of social media, you can begin by making a broad statement about social media and its widespread use in today’s society, as follows: “Social media has become an integral part of modern life, with billions of users worldwide.” 
• Define Key Terms : Define any key terms or concepts that may be unfamiliar to your readers but are essential for understanding your argument. 
• Provide Relevant Statistics:  Use statistics or facts to highlight the significance of the issue you’re discussing. For instance, “According to a report by Statista, the number of social media users is expected to reach 4.41 billion by 2025.” 
• Discuss the Evolution:  Mention previous research or studies that have been conducted on the topic, especially those that are relevant to your argument. Mention key milestones or developments that have shaped its current impact. You can also outline some of the major effects of social media. For example, you can briefly describe how social media has evolved, including positives such as increased connectivity and issues like cyberbullying and privacy concerns. 
• Transition to Your Thesis:  Use the background information to lead into your thesis statement, which should clearly state the main argument or purpose of your essay. For example, “Given its pervasive influence, it is crucial to examine the impact of social media on mental health.” 

A thesis statement is a concise summary of the main point or claim of an essay, research paper, or other type of academic writing. It appears near the end of the introduction. Here’s how to write a thesis statement: 

• Identify the topic:  Start by identifying the topic of your essay. For example, if your essay is about the importance of exercise for overall health, your topic is “exercise.” 
• State your position:  Next, state your position or claim about the topic. This is the main argument or point you want to make. For example, if you believe that regular exercise is crucial for maintaining good health, your position could be: “Regular exercise is essential for maintaining good health.” 
• Support your position:  Provide a brief overview of the reasons or evidence that support your position. These will be the main points of your essay. For example, if you’re writing an essay about the importance of exercise, you could mention the physical health benefits, mental health benefits, and the role of exercise in disease prevention. 
• Make it specific:  Ensure your thesis statement clearly states what you will discuss in your essay. For example, instead of saying, “Exercise is good for you,” you could say, “Regular exercise, including cardiovascular and strength training, can improve overall health and reduce the risk of chronic diseases.” 

Examples of essay introduction 

Here are examples of essay introductions for different types of essays: 

Argumentative Essay Introduction Example:  

Topic: Should the voting age be lowered to 16? 

“The question of whether the voting age should be lowered to 16 has sparked nationwide debate. While some argue that 16-year-olds lack the requisite maturity and knowledge to make informed decisions, others argue that doing so would imbue young people with agency and give them a voice in shaping their future.” 

Expository Essay Introduction Example  

Topic: The benefits of regular exercise 

“In today’s fast-paced world, the importance of regular exercise cannot be overstated. From improving physical health to boosting mental well-being, the benefits of exercise are numerous and far-reaching. This essay will examine the various advantages of regular exercise and provide tips on incorporating it into your daily routine.” 

Text: “To Kill a Mockingbird” by Harper Lee 

“Harper Lee’s novel, ‘To Kill a Mockingbird,’ is a timeless classic that explores themes of racism, injustice, and morality in the American South. Through the eyes of young Scout Finch, the reader is taken on a journey that challenges societal norms and forces characters to confront their prejudices. This essay will analyze the novel’s use of symbolism, character development, and narrative structure to uncover its deeper meaning and relevance to contemporary society.” 

• Engaging and Relevant First Sentence : The opening sentence captures the reader’s attention and relates directly to the topic. 
• Background Information : Enough background information is introduced to provide context for the thesis statement. 
• Definition of Important Terms : Key terms or concepts that might be unfamiliar to the audience or are central to the argument are defined. 
• Clear Thesis Statement : The thesis statement presents the main point or argument of the essay. 
• Relevance to Main Body : Everything in the introduction directly relates to and sets up the discussion in the main body of the essay. 

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Writing a strong introduction is crucial for setting the tone and context of your essay. Here are the key takeaways for how to write essay introduction: 3  

• Hook the Reader : Start with an engaging hook to grab the reader’s attention. This could be a compelling question, a surprising fact, a relevant quote, or an anecdote. 
• Provide Background : Give a brief overview of the topic, setting the context and stage for the discussion. 
• Thesis Statement : State your thesis, which is the main argument or point of your essay. It should be concise, clear, and specific. 
• Preview the Structure : Outline the main points or arguments to help the reader understand the organization of your essay. 
• Keep it Concise : Avoid including unnecessary details or information not directly related to your thesis. 
• Revise and Edit : Revise your introduction to ensure clarity, coherence, and relevance. Check for grammar and spelling errors. 
• Seek Feedback : Get feedback from peers or instructors to improve your introduction further. 

The purpose of an essay introduction is to give an overview of the topic, context, and main ideas of the essay. It is meant to engage the reader, establish the tone for the rest of the essay, and introduce the thesis statement or central argument.  

An essay introduction typically ranges from 5-10% of the total word count. For example, in a 1,000-word essay, the introduction would be roughly 50-100 words. However, the length can vary depending on the complexity of the topic and the overall length of the essay.

An essay introduction is critical in engaging the reader and providing contextual information about the topic. To ensure its effectiveness, consider incorporating these key elements: a compelling hook, background information, a clear thesis statement, an outline of the essay’s scope, a smooth transition to the body, and optional signposting sentences.  

The process of writing an essay introduction is not necessarily straightforward, but there are several strategies that can be employed to achieve this end. When experiencing difficulty initiating the process, consider the following techniques: begin with an anecdote, a quotation, an image, a question, or a startling fact to pique the reader’s interest. It may also be helpful to consider the five W’s of journalism: who, what, when, where, why, and how.   For instance, an anecdotal opening could be structured as follows: “As I ascended the stage, momentarily blinded by the intense lights, I could sense the weight of a hundred eyes upon me, anticipating my next move. The topic of discussion was climate change, a subject I was passionate about, and it was my first public speaking event. Little did I know , that pivotal moment would not only alter my perspective but also chart my life’s course.” 

Crafting a compelling thesis statement for your introduction paragraph is crucial to grab your reader’s attention. To achieve this, avoid using overused phrases such as “In this paper, I will write about” or “I will focus on” as they lack originality. Instead, strive to engage your reader by substantiating your stance or proposition with a “so what” clause. While writing your thesis statement, aim to be precise, succinct, and clear in conveying your main argument.  

To create an effective essay introduction, ensure it is clear, engaging, relevant, and contains a concise thesis statement. It should transition smoothly into the essay and be long enough to cover necessary points but not become overwhelming. Seek feedback from peers or instructors to assess its effectiveness. 

References  

• Cui, L. (2022). Unit 6 Essay Introduction.  Building Academic Writing Skills . 
• West, H., Malcolm, G., Keywood, S., & Hill, J. (2019). Writing a successful essay.  Journal of Geography in Higher Education ,  43 (4), 609-617. 
• Beavers, M. E., Thoune, D. L., & McBeth, M. (2023). Bibliographic Essay: Reading, Researching, Teaching, and Writing with Hooks: A Queer Literacy Sponsorship. College English, 85(3), 230-242. 

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How to Start an Essay: 13 Engaging Strategies

ThoughtCo / Hugo Lin

• Ph.D., Rhetoric and English, University of Georgia
• M.A., Modern English and American Literature, University of Leicester
• B.A., English, State University of New York

There are countless ways to start an essay effectively. A solid introductory paragraph both informs and motivates. It lets readers know what your piece is about and it encourages them to keep reading.

For folks new to learning how to start an essay, here are 13 introductory strategies accompanied by examples from a wide range of professional writers.

State Your Thesis Briefly and Directly

One straightforward way to begin is to get right to the point. But avoid making your thesis a bald announcement, such as "This essay is about...". 

"It is time, at last, to speak the truth about Thanksgiving, and the truth is this. Thanksgiving is really not such a terrific holiday...." (Michael J. Arlen, "Ode to Thanksgiving." The Camera Age: Essays on Television . Penguin, 1982)

Pose a Question Related to Your Subject

A thought-provoking way to start an essay is by asking a relevant question that needs to be unpacked. Follow up the question with an answer, or an invitation for your readers to answer the question.

"What is the charm of necklaces? Why would anyone put something extra around their neck and then invest it with special significance? A necklace doesn't afford warmth in cold weather, like a scarf, or protection in combat, like chain mail; it only decorates. We might say, it borrows meaning from what it surrounds and sets off, the head with its supremely important material contents, and the face, that register of the soul. When photographers discuss the way in which a photograph reduces the reality it represents, they mention not only the passage from three dimensions to two, but also the selection of a point de vue that favors the top of the body rather than the bottom, and the front rather than the back. The face is the jewel in the crown of the body, and so we give it a setting." (Emily R. Grosholz, "On Necklaces." Prairie Schooner , Summer 2007)

State an Interesting Fact About Your Subject

Leading with a fact that draws readers in immediately can grab their attention effectively.

" The peregrine falcon was brought back from the brink of extinction by a ban on DDT, but also by a peregrine falcon mating hat invented by an ornithologist at Cornell University. If you cannot buy this, Google it. Female falcons had grown dangerously scarce. A few wistful males nevertheless maintained a sort of sexual loitering ground. The hat was imagined, constructed, and then forthrightly worn by the ornithologist as he patrolled this loitering ground, singing, Chee-up! Chee-up! and bowing like an overpolite Japanese Buddhist trying to tell somebody goodbye...." (David James Duncan, "Cherish This Ecstasy." The Sun , July 2008)

Present Your Thesis as a Recent Discovery or Revelation

"I've finally figured out the difference between neat people and sloppy people. The distinction is, as always, moral. Neat people are lazier and meaner than sloppy people." (Suzanne Britt Jordan, "Neat People vs. Sloppy People." Show and Tell . Morning Owl Press, 1983)

Briefly Describe the Primary Setting of Your Essay

"It was in Burma, a sodden morning of the rains. A sickly light, like yellow tinfoil, was slanting over the high walls into the jail yard. We were waiting outside the condemned cells, a row of sheds fronted with double bars, like small animal cages. Each cell measured about ten feet by ten and was quite bare within except for a plank bed and a pot of drinking water. In some of them brown silent men were squatting at the inner bars, with their blankets draped round them. These were the condemned men, due to be hanged within the next week or two." (George Orwell, "A Hanging," 1931)

Recount an Incident That Dramatizes Your Subject

Sharing an incident from your life or history in general is an impactful way to start an essay.

"One October afternoon three years ago while I was visiting my parents, my mother made a request I dreaded and longed to fulfill. She had just poured me a cup of Earl Grey from her Japanese iron teapot, shaped like a little pumpkin; outside, two cardinals splashed in the birdbath in the weak Connecticut sunlight. Her white hair was gathered at the nape of her neck, and her voice was low. “Please help me get Jeff’s pacemaker turned off,” she said, using my father’s first name. I nodded, and my heart knocked." (Katy Butler, "What Broke My Father's Heart." The New York Times Magazine , June 18, 2010)

Use the Narrative Strategy of Delay

The narrative strategy of delay allows you to put off identifying your subject just long enough to pique your readers' interest without frustrating them. 

"They woof. Though I have photographed them before, I have never heard them speak, for they are mostly silent birds. Lacking a syrinx, the avian equivalent of the human larynx, they are incapable of song. According to field guides the only sounds they make are grunts and hisses, though the Hawk Conservancy in the United Kingdom reports that adults may utter a croaking coo and that young black vultures, when annoyed, emit a kind of immature snarl...." (Lee Zacharias, "Buzzards." Southern Humanities Review , 2007)

Use the Historical Present Tense

An effective way to start an essay is to use historical present tense to relate an incident from the past as if it were happening now. 

"Ben and I are sitting side by side in the very back of his mother’s station wagon. We face glowing white headlights of cars following us, our sneakers pressed against the back hatch door. This is our joy—his and mine—to sit turned away from our moms and dads in this place that feels like a secret, as though they are not even in the car with us. They have just taken us out to dinner, and now we are driving home. Years from this evening, I won’t actually be sure that this boy sitting beside me is named Ben. But that doesn’t matter tonight. What I know for certain right now is that I love him, and I need to tell him this fact before we return to our separate houses, next door to each other. We are both five." (Ryan Van Meter, "First." The Gettysburg Review , Winter 2008)

Briefly Describe a Process That Leads Into Your Subject

"I like to take my time when I pronounce someone dead. The bare-minimum requirement is one minute with a stethoscope pressed to someone’s chest, listening for a sound that is not there; with my fingers bearing down on the side of someone’s neck, feeling for an absent pulse; with a flashlight beamed into someone’s fixed and dilated pupils, waiting for the constriction that will not come. If I’m in a hurry, I can do all of these in sixty seconds, but when I have the time, I like to take a minute with each task." (Jane Churchon, "The Dead Book." The Sun , February 2009)

Reveal a Secret or Make a Candid Observation

"I spy on my patients. Ought not a doctor to observe his patients by any means and from any stance, that he might the more fully assemble evidence? So I stand in doorways of hospital rooms and gaze. Oh, it is not all that furtive an act. Those in bed need only look up to discover me. But they never do." ( Richard Selzer , "The Discus Thrower." Confessions of a Knife . Simon & Schuster, 1979)

Open with a Riddle, Joke, or Humorous Quotation

A fun way to start an essay is to use a riddle , joke, or humorous quotation that reveals something about your subject. 

" Q: What did Eve say to Adam on being expelled from the Garden of Eden? A: 'I think we're in a time of transition.' The irony of this joke is not lost as we begin a new century and anxieties about social change seem rife. The implication of this message, covering the first of many periods of transition, is that change is normal; there is, in fact, no era or society in which change is not a permanent feature of the social landscape...." (Betty G. Farrell, Family: The Making of an Idea, an Institution, and a Controversy in American Culture . Westview Press, 1999)

Offer a Contrast Between Past and Present

"As a child, I was made to look out the window of a moving car and appreciate the beautiful scenery, with the result that now I don't care much for nature. I prefer parks, ones with radios going chuckawaka chuckawaka and the delicious whiff of bratwurst and cigarette smoke." (Garrison Keillor, "Walking Down The Canyon." Time , July 31, 2000)

Offer a Contrast Between Image and Reality

A compelling way to start an essay is with a contrast between a common misconception and the opposing truth. 

"They aren’t what most people think they are. Human eyes, touted as ethereal objects by poets and novelists throughout history, are nothing more than white spheres, somewhat larger than your average marble, covered by a leather-like tissue known as sclera and filled with nature’s facsimile of Jell-O. Your beloved’s eyes may pierce your heart, but in all likelihood they closely resemble the eyes of every other person on the planet. At least I hope they do, for otherwise he or she suffers from severe myopia (near-sightedness), hyperopia (far-sightedness), or worse...." (John Gamel, "The Elegant Eye." Alaska Quarterly Review , 2009)

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• 50 Argumentative Essay Topics
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• How to Write a Narrative Essay or Speech (With Topic Ideas)
• Writing an Opinion Essay

• If you are writing in a new discipline, you should always make sure to ask about conventions and expectations for introductions, just as you would for any other aspect of the essay. For example, while it may be acceptable to write a two-paragraph (or longer) introduction for your papers in some courses, instructors in other disciplines, such as those in some Government courses, may expect a shorter introduction that includes a preview of the argument that will follow.  
• In some disciplines (Government, Economics, and others), it’s common to offer an overview in the introduction of what points you will make in your essay. In other disciplines, you will not be expected to provide this overview in your introduction.  
• Avoid writing a very general opening sentence. While it may be true that “Since the dawn of time, people have been telling love stories,” it won’t help you explain what’s interesting about your topic.  
• Avoid writing a “funnel” introduction in which you begin with a very broad statement about a topic and move to a narrow statement about that topic. Broad generalizations about a topic will not add to your readers’ understanding of your specific essay topic.  
• Avoid beginning with a dictionary definition of a term or concept you will be writing about. If the concept is complicated or unfamiliar to your readers, you will need to define it in detail later in your essay. If it’s not complicated, you can assume your readers already know the definition.  
• Avoid offering too much detail in your introduction that a reader could better understand later in the paper.
• picture_as_pdf Introductions

How To Start An Essay (With 20 Great Examples)

Facing a blank page and unsure how to start your essay? Crafting a compelling essay isn’t innate for everyone. While it’s about presenting clear ideas, even top students can struggle. For many, meeting deadlines or ensuring quality becomes daunting, leading them to consult professionals like do my essay cheap . These experts whip up top-tier essays swiftly. A standout essay can elevate your academic status, with the introduction being the pivotal hook. Many opt to hire essay writers for that impeccable start. But crafting an engaging intro is doable. Want to captivate your readers immediately? Or impress academic panels? If the task still feels daunting, there’s always the option to buy assignments online for guaranteed quality. But let’s explore ways to start an essay on your own.

How to start your essay? – The most straightforward advice

How to begin your essay – the lengthier and more appropriate advice, but regardless of the  format of the essay , the introduction should still have these basic ingredients:, how long should an essay introduction be.

It all depends on the overall length of your essay. If it’s a standard, five-paragraph  college essay , the introduction should only take one paragraph or 60-80 words. But if you’re writing something longer, for example, a five-page interpretation of a literary work, the introduction could take two to three paragraphs or 120-150 words. You can measure the length using a simple word counter but don’t obsess too much about the number. The crucial thing is to say what you need to say and impact the reader.

The aim of the introductory paragraph

If you truly want to learn how to begin an essay, there are three best ways to do it:, 20 great examples and tips on how to start an essay:, 1. describe a setting and start with an emotional punch, 2. start with a deeply personal story from your childhood, 3. create a mysterious atmosphere.

“Moths that fly by day are not properly to be called moths; they do not excite that pleasant sense of dark autumn nights and ivy-blossom which the commonest yellow-underwing asleep in the shadow of the curtain never fails to rouse in us.” – Virginia Woolf – Death of the Moth

4. Throw the reader straight into the middle of the events

5. start with universal questions of life and death, 6. start with a question and then answer it, 7. start with irony.

“In Moulmein, in Lower Burma, I was hated by large numbers of people – the only time in my life that I have been important enough for this to happen to me.” – George Orwell – Shooting an Elephant

8. Begin by creating great expectations of what’s to come (use the introduction as bait)

9. start with a puzzle (notice how you start to wonder who is she talking about in this introduction), 10. start with dark humor, 11. start with an unusual question that will pull the readers in, 12. commence by taking the reader into the world of mystery and awe, 13. state your thesis at the very beginning – be clear about it, 14. start with the obvious that’s not so obvious after all, 15. be unpredictable and highly intellectual.

“Once, in a dry season, I wrote in large letters across two pages of a notebook that innocence ends when one is stripped of the delusion that one likes oneself. Although now, some years later, I marvel that a mind on the outs with itself should have nonetheless made painstaking record of its every tremor, I recall with embarrassing clarity the flavor of those particular ashes. It was a matter of misplaced self-respect.” – Joan Didion – On Self Respect

16. Get straight to the point

17. start in a deeply emotional, poetic manner, 18. begin by describing the place and circumstances in great detail, 19. start by presenting an original idea (frame it in a way that the reader never considered before).

“Saints should always be judged guilty until they are proved innocent, but the tests that have to be applied to them are not, of course, the same in all cases. In Gandhi’s case the questions one feels inclined to ask are: to what extent was Gandhi moved by vanity — by the consciousness of himself as a humble, naked old man, sitting on a praying mat and shaking empires by sheer spiritual power — and to what extent did he compromise his principles by entering politics, which of their nature are inseparable from coercion and fraud?” – George Orwell – Reflections on Gandhi

20. Be clear-headed and approach the subject as objectively as possible

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How to Start a College Essay Perfectly

College Essays

If you've been sitting in front of a blank screen, unsure of exactly how to start a personal statement for college, then believe me—I feel your pain. A great college essay introduction is key to making your essay stand out, so there's a lot of pressure to get it right.

Luckily, being able to craft the perfect beginning for your admissions essay is just like many other writing skills— something you can get better at with practice and by learning from examples.

In this article, I'll walk you through exactly how to start a college essay. We'll cover what makes a great personal statement introduction and how the first part of your essay should be structured. We'll also look at several great examples of essay beginnings and explain why they work, how they work, and what you can learn from them.

What Is the College Essay Introduction For?

Before we talk about how to start a college essay, let's discuss the role of the introduction. Just as your college essay is your chance to introduce yourself to the admissions office of your target college, your essay's beginning is your chance to introduce your writing.

Wait, Back Up—Why Do Colleges Want Personal Statements?

In general, college essays make it easier to get to know the parts of you not in your transcript —these include your personality, outlook on life, passions, and experiences.

You're not writing for yourself but for a very specific kind of reader. Picture it: your audience is an admissions officer who has read thousands and thousands of essays. This person is disposed to be friendly and curious, but if she hasn't already seen it all she's probably seen a good portion of it.

Your essay's job is to entertain and impress this person, and to make you memorable so you don't merely blend into the sea of other personal statements. Like all attempts at charm, you must be slightly bold and out of the ordinary—but you must also stay away from crossing the line into offensiveness or bad taste.

What Role Does the Introduction Play in a College Essay?

The personal statement introduction is basically the wriggly worm that baits the hook to catch your reader. It's vital to grab attention from the get-go—the more awake and eager your audience is, the more likely it is that what you say will really land.

How do you go about crafting an introduction that successfully hooks your reader? Let's talk about how to structure the beginning of your college essay.

How to Structure a Personal Statement Introduction

To see how the introduction fits into an essay, let's look at the big structural picture first and then zoom in.

College Essay Structure Overview

Even though they're called essays, personal statements are really more like a mix of a short story and a philosophy or psychology class that's all about you.

Usually, how this translates is that you start with a really good (and very short) story about something arresting, unusual, or important that happened to you. This is not to say that the story has to be about something important or unusual in the grand scheme of things—it just has to be a moment that stands out to you as defining in some way, or an explanation of why you are the way you are . You then pivot to an explanation of why this story is an accurate illustration of one of your core qualities, values, or beliefs.

The story typically comes in the first half of the essay, and the insightful explanation comes second —but, of course, all rules were made to be broken, and some great essays flip this more traditional order.

College Essay Introduction Components

Now, let's zero in on the first part of the college essay. What are the ingredients of a great personal statement introduction? I'll list them here and then dissect them one by one in the next section:

• A killer first sentence: This hook grabs your readers' attention and whets their appetite for your story.
• A vivid, detailed story that illustrates your eventual insight: To make up for how short your story will be, you must insert effective sensory information to immerse the reader.
• An insightful pivot toward the greater point you're making in your essay: This vital piece of the essay connects the short story part to the part where you explain what the experience has taught you about yourself, how you've matured, and how it has ultimately shaped you as a person.

How to Write a College Essay Introduction

Here's a weird secret that's true for most written work: just because it'll end up at the beginning doesn't mean you have to write it first. For example, in this case, you can't know what your killer first sentence will be until you've figured out the following details:

• The story you want to tell
• The point you want that story to make
• The trait/maturity level/background about you that your essay will reveal

So my suggestion is to work in reverse order! Writing your essay will be much easier if you can figure out the entirety of it first and then go back and work out exactly how it should start.

This means that before you can craft your ideal first sentence, the way the short story experience of your life will play out on the page, and the perfect pivoting moment that transitions from your story to your insight, you must work out a general idea about which life event you will share and what you expect that life event to demonstrate to the reader about you and the kind of person you are.

If you're having trouble coming up with a topic, check out our guide on brainstorming college essay ideas . It might also be helpful to read our guides to specific application essays, such as picking your best Common App prompt and writing a perfect University of California personal statement .

In the next sections of this article, I'll talk about how to work backwards on the introduction, moving from bigger to smaller elements: starting with the first section of the essay in general and then honing your pivot sentence and your first sentence.

How to Write the First Section of Your College Essay

In a 500-word essay, this section will take up about the first half of the essay and will mostly consist of a brief story that illuminates a key experience, an important character trait, a moment of transition or transformation, or a step toward maturity.

Once you've figured out your topic and zeroed in on the experience you want to highlight in the beginning of your essay, here are 2 great approaches to making it into a story:

• Talking it out, storyteller style (while recording yourself): Imagine that you're sitting with a group of people at a campfire, or that you're stuck on a long flight sitting next to someone you want to befriend. Now tell that story. What does someone who doesn't know you need to know in order for the story to make sense? What details do you need to provide to put them in the story with you? What background information do they need in order to understand the stakes or importance of the story?
• Record yourself telling your story to friends and then chatting about it: What do they need clarified? What questions do they have? Which parts of your story didn't make sense or follow logically for them? Do they want to know more, or less? Is part of your story interesting to them but not interesting to you? Is a piece of your story secretly boring, even though you think it's interesting?

Later, as you listen to the recorded story to try to get a sense of how to write it, you can also get a sense of the tone with which you want to tell your story. Are you being funny as you talk? Sad? Trying to shock, surprise, or astound your audience? The way you most naturally tell your story is the way you should write it.

After you've done this storyteller exercise, write down the salient points of what you learned. What is the story your essay will tell? What is the point about your life, point of view, or personality it will make? What tone will you tell it with? Sketch out a detailed outline so that you can start filling in the pieces as we work through how to write the introductory sections.

How to Write the First Sentence of Your College Essay

In general, your essay's first sentence should be either a mini-cliffhanger that sets up a situation the reader would like to see resolved, or really lush scene-setting that situates your audience in a place and time they can readily visualize. The former builds expectations and evokes curiosity, and the latter stimulates the imagination and creates a connection with the author. In both cases, you hit your goal of greater reader engagement.

Now, I'm going to show you how these principles work for all types of first sentences, whether in college essays or in famous works of fiction.

First Sentence Idea 1: Line of Quoted Direct Speech

"Mum, I'm gay." ( Ahmad Ashraf '17 for Connecticut College )

The experience of coming out is raw and emotional, and the issue of LGBTQ rights is an important facet of modern life. This three-word sentence immediately sums up an enormous background of the personal and political.

"You can handle it, Matt," said Mr. Wolf, my fourth-grade band teacher, as he lifted the heavy tuba and put it into my arms. ( Matt Coppo '07 for Hamilton College )

This sentence conjures up a funny image—we can immediately picture the larger adult standing next to a little kid holding a giant tuba. It also does a little play on words: "handle it" can refer to both the literal tuba Matt is being asked to hold and the figurative stress of playing the instrument.

First Sentence Idea 2: Punchy Short Sentence With One Grabby Detail

I live alone—I always have since elementary school. ( Kevin Zevallos '16 for Connecticut College )

This opener definitely makes us want to know more. Why was he alone? Where were the protective grown-ups who surround most kids? How on earth could a little kid of 8-10 years old survive on his own?

I have old hands. ( First line from a student in Stanford's class of 2012 )

There's nothing but questions here. What are "old" hands? Are they old-looking? Arthritic? How has having these hands affected the author?

There was no possibility of taking a walk that day. (Charlotte Bronte, Jane Eyre )

There's immediately a feeling of disappointment and the stifled desire for action here. Who wanted to go for a walk? And why was this person being prevented from going?

First Sentence Idea 3: Lyrical, Adjective-Rich Description of a Setting

We met for lunch at El Burrito Mexicano, a tiny Mexican lunch counter under the Red Line "El" tracks. ( Ted Mullin '06 for Carleton College )

Look at how much specificity this sentence packs in less than 20 words. Each noun and adjective is chosen for its ability to convey yet another detail. "Tiny" instead of "small" gives readers a sense of being uncomfortably close to other people and sitting at tables that don't quite have enough room for the plates. "Counter" instead of "restaurant" lets us immediately picture this work surface, the server standing behind it, and the general atmosphere. "Under the tracks" is a location deeply associated with being run down, borderline seedy, and maybe even dangerous.

Maybe it's because I live in Rhinelander, Wisconsin, where Brett Favre draws more of a crowd on Sunday than any religious service, cheese is a staple food, it's sub-zero during global warming, current "fashions" come three years after they've hit it big with the rest of the world, and where all children by the age of ten can use a 12-gauge like it's their job. ( Riley Smith '12 for Hamilton College )

This sentence manages to hit every stereotype about Wisconsin held by outsiders—football, cheese, polar winters, backwardness, and guns—and this piling on gives us a good sense of place while also creating enough hyperbole to be funny. At the same time, the sentence raises the tantalizing question: maybe what is because of Wisconsin?

High, high above the North Pole, on the first day of 1969, two professors of English Literature approached each other at a combined velocity of 1200 miles per hour. (David Lodge, Changing Places )

This sentence is structured in the highly specific style of a math problem, which makes it funny. However, at the heart of this sentence lies a mystery that grabs the reader's interest: why on earth would these two people be doing this?

First Sentence Idea 4: Counterintuitive Statement

To avoid falling into generalities with this one, make sure you're really creating an argument or debate with your counterintuitive sentence. If no one would argue with what you've said, then you aren't making an argument. ("The world is a wonderful place" and "Life is worth living" don't make the cut.)

If string theory is really true, then the entire world is made up of strings, and I cannot tie a single one. ( Joanna '18 for Johns Hopkins University )

There's a great switch here from the sub-microscopic strings that make up string theory to the actual physical strings you can tie in real life. This sentence hints that the rest of the essay will continue playing with linked, albeit not typically connected, concepts.

All children, except one, grow up. (J. M. Barrie, Peter Pan )

In just six words, this sentence upends everything we think we know about what happens to human beings.

First Sentence Idea 5: The End—Making the Rest of the Essay a Flashback

I've recently come to the realization that community service just isn't for me. ( Kyla '19 for Johns Hopkins University )

This seems pretty bold—aren't we supposed to be super into community service? Is this person about to declare herself to be totally selfish and uncaring about the less fortunate? We want to know the story that would lead someone to this kind of conclusion.

Many years later, as he faced the firing squad, Colonel Aureliano Buendía was to remember that distant afternoon when his father took him to discover ice. (Gabriel García Márquez, One Hundred Years of Solitude )

So many amazing details here. Why is the Colonel being executed? What does "discovering" ice entail? How does he go from ice-discoverer to military commander of some sort to someone condemned to capital punishment?

First Sentence Idea 6: Direct Question to the Reader

To work well, your question should be especially specific, come out of left field, or pose a surprising hypothetical.

How does an agnostic Jew living in the Diaspora connect to Israel? ( Essay #3 from Carleton College's sample essays )

This is a thorny opening, raising questions about the difference between being an ethnic Jew and practicing the religion of Judaism, and the obligations of Jews who live outside of Israel to those who live in Israel and vice versa. There's a lot of meat to this question, setting up a philosophically interesting, politically important, and personally meaningful essay.

While traveling through the daily path of life, have you ever stumbled upon a hidden pocket of the universe? ( First line from a student in Stanford's class of 2012 )

There's a dreamy and sci-fi element to this first sentence, as it tries to find the sublime ("the universe") inside the prosaic ("daily path of life").

First Sentence Idea 7: Lesson You Learned From the Story You're Telling

One way to think about how to do this kind of opening sentence well is to model it on the morals that ended each Aesop's fable . The lesson you learned should be slightly surprising (not necessarily intuitive) and something that someone else might disagree with.

Perhaps it wasn't wise to chew and swallow a handful of sand the day I was given my first sandbox, but it seemed like a good idea at the time. ( Meagan Spooner '07 for Hamilton College )

The best part of this hilarious sentence is that even in retrospect, eating a handful of sand is only possibly an unwise idea—a qualifier achieved through that great "perhaps." So does that mean it was wise in at least some way to eat the sand? The reader wants to know more.

All happy families are alike; each unhappy family is unhappy in its own way. (Leo Tolstoy, Anna Karenina )

This immediately sets readers to mentally flip through every unhappy family they've ever known to double-check the narrator's assertion. Did he draw the right conclusion here? How did he come to this realization? The implication that he will tell us all about some dysfunctional drama also has a rubbernecking draw.

How to Write a Pivot Sentence in Your College Essay

This is the place in your essay where you go from small to big—from the life experience you describe in detail to the bigger point this experience illustrates about your world and yourself.

Typically, the pivot sentence will come at the end of your introductory section, about halfway through the essay. I say sentence, but this section could be more than one sentence (though ideally no longer than two or three).

So how do you make the turn? Usually you indicate in your pivot sentence itself that you are moving from one part of the essay to another. This is called signposting, and it's a great way to keep readers updated on where they are in the flow of the essay and your argument.

Here are three ways to do this, with real-life examples from college essays published by colleges.

Pivot Idea 1: Expand the Time Frame

In this pivot, you gesture out from the specific experience you describe to the overarching realization you had during it. Think of helper phrases such as "that was the moment I realized" and "never again would I."

Suddenly, two things simultaneously clicked. One was the lock on the door. (I actually succeeded in springing it.) The other was the realization that I'd been in this type of situation before. In fact, I'd been born into this type of situation. ( Stephen '19 for Johns Hopkins University )

This is a pretty great pivot, neatly connecting the story Stephen's been telling (about having to break into a car on a volunteering trip) and his general reliance on his own resourcefulness and ability to roll with whatever life throws at him. It's a double bonus that he accomplishes the pivot with a play on the word "click," which here means both the literal clicking of the car door latch and the figurative clicking his brain does. Note also how the pivot crystallizes the moment of epiphany through the word "suddenly," which implies instant insight.

But in that moment I realized that the self-deprecating jokes were there for a reason. When attempting to climb the mountain of comedic success, I didn't just fall and then continue on my journey, but I fell so many times that I befriended the ground and realized that the middle of the metaphorical mountain made for a better campsite. Not because I had let my failures get the best of me, but because I had learned to make the best of my failures. (Rachel Schwartzbaum '19 for Connecticut College)

This pivot similarly focuses on a "that moment" of illuminated clarity. In this case, it broadens Rachel's experience of stage fright before her standup comedy sets to the way she has more generally not allowed failures to stop her progress—and has instead been able to use them as learning experiences. Not only does she describe her humor as "self-deprecating," but she also demonstrates what she means with that great "befriended the ground" line.

It was on this first educational assignment that I realized how much could be accomplished through an animal education program—more, in some cases, than the aggregate efforts of all of the rehabilitators. I found that I had been naive in my assumption that most people knew as much about wildlife as I did, and that they shared my respect for animals. ( J.P. Maloney '07 for Hamilton College )

This is another classically constructed pivot, as J.P. segues from his negative expectations about using a rehabilitated wild owl as an educational animal to his understanding of how much this kind of education could contribute to forming future environmentalists and nature lovers. The widening of scope happens at once as we go from a highly specific "first educational assignment" to the more general realization that "much" could be accomplished through these kinds of programs.

Pivot Idea 2: Link the Described Experience With Others

In this pivot, you draw a parallel between the life event that you've been describing in your very short story and other events that were similar in some significant way. Helpful phrases include "now I see how x is really just one of the many x 's I have faced," "in a way, x is a good example of the x -like situations I see daily," and "and from then on every time I ..."

This state of discovery is something I strive for on a daily basis. My goal is to make all the ideas in my mind fit together like the gears of a Swiss watch. Whether it's learning a new concept in linear algebra, talking to someone about a programming problem, or simply zoning out while I read, there is always some part of my day that pushes me towards this place of cohesion: an idea that binds together some set of the unsolved mysteries in my mind. ( Aubrey Anderson '19 for Tufts University )

After cataloging and detailing the many interesting thoughts that flow through her brain in a specific hour, Aubrey uses the pivot to explain that this is what every waking hour is like for her "on a daily basis." She loves learning different things and finds a variety of fields fascinating. And her pivot lets us know that her example is a demonstration of how her mind works generally.

This was the first time I've been to New Mexico since he died. Our return brought so much back for me. I remembered all the times we'd visited when I was younger, certain events highlighted by the things we did: Dad haggling with the jewelry sellers, his minute examination of pots at a trading post, the affection he had for chilies. I was scared that my love for the place would be tainted by his death, diminished without him there as my guide. That fear was part of what kept my mother and me away for so long. Once there, though, I was relieved to realize that Albuquerque still brings me closer to my father. ( Essay #1 from Carleton College's sample essays )

In this pivot, one very painful experience of visiting a place filled with sorrowful memories is used as a way to think about "all the other times" the author had been to New Mexico. The previously described trip after the father's death pivots into a sense of the continuity of memory. Even though he is no longer there to "guide," the author's love for the place itself remains.

Pivot Idea 3: Extract and Underline a Trait or Value

In this type of pivot, you use the experience you've described to demonstrate its importance in developing or zooming in on one key attribute. Here are some ways to think about making this transition: "I could not have done it without characteristic y , which has helped me through many other difficult moments," or "this is how I came to appreciate the importance of value z, both in myself and in those around me."

My true reward of having Stanley is that he opened the door to the world of botany. I would never have invested so much time learning about the molecular structure or chemical balance of plants if not for taking care of him. ( Michaela '19 for Johns Hopkins University )

In this tongue-in-cheek essay in which Michaela writes about Stanley, a beloved cactus, as if "he" has human qualities and is her child, the pivot explains what makes this plant so meaningful to its owner. Without having to "take care of him," Michaela "would never have invested so much time learning" about plant biology. She has a deep affinity for the natural sciences and attributes her interest at least partly to her cactus.

By leaving me free to make mistakes and chase wild dreams, my father was always able to help ground me back in reality. Personal responsibilities, priorities and commitments are all values that are etched into my mind, just as they are within my father's. ( Olivia Rabbitt '16 for Connecticut College )

In Olivia's essay about her father's role in her life, the pivot discusses his importance by explaining his deep impact on her values. Olivia has spent the story part of her essay describing her father's background and their relationship. Now, she is free to show how without his influence, she would not be so strongly committed to "personal responsibilities, priorities and commitments."

College Essay Introduction Examples

We've collected many examples of college essays published by colleges and offered a breakdown of how several of them are put together . Now, let's check out a couple of examples of actual college essay beginnings to show you how and why they work.

Sample Intro 1

A blue seventh place athletic ribbon hangs from my mantel. Every day, as I walk into my living room, the award mockingly congratulates me as I smile. Ironically, the blue seventh place ribbon resembles the first place ribbon in color; so, if I just cover up the tip of the seven, I may convince myself that I championed the fourth heat. But, I never dare to wipe away the memory of my seventh place swim; I need that daily reminder of my imperfection. I need that seventh place.

Two years ago, I joined the no-cut swim team. That winter, my coach unexpectedly assigned me to swim the 500 freestyle. After stressing for hours about swimming 20 laps in a competition, I mounted the blocks, took my mark, and swam. Around lap 14, I looked around at the other lanes and did not see anyone. "I must be winning!" I thought to myself. However, as I finally completed my race and lifted my arms up in victory to the eager applause of the fans, I looked up at the score board. I had finished my race in last place. In fact, I left the pool two minutes after the second-to-last competitor, who now stood with her friends, wearing all her clothes.

(From "The Unathletic Department" by Meghan '17 for Johns Hopkins University )

Why Intro Sample 1 Works

Here are some of the main reasons that this essay's introduction is super effective.

#1: It's Got a Great First Sentence

The sentence is short but still does some scene setting with the descriptive "blue" and the location "from my mantel." It introduces a funny element with "seventh place"—why would that bad of a showing even get a ribbon? It dangles information just out of reach, making the reader want to know more: what was this an award for? Why does this definitively non-winning ribbon hang in such a prominent place of pride?

#2: It Has Lots of Detail

In the intro, we get physical actions: "cover up the tip," "mounted the blocks," "looked around at the other lanes," "lifted my arms up," and "stood with her friends, wearing all her clothes." We also get words conveying emotion: "mockingly congratulates me as I smile," "unexpectedly assigned," and "stressing for hours." Finally, we get descriptive specificity in the precise word choice: "from my mantel" and "my living room" instead of simply "in my house," and "lap 14" instead of "toward the end of the race."

#3: It Explains the Stakes

Even though everyone can imagine the lap pool, not everyone knows exactly what the "500 freestyle" race is. Meghan elegantly explains the difficulty by describing herself freaking out over "swimming 20 laps in a competition," which helps us to picture the swimmer going back and forth many times.

#4: It Has Great Storytelling

We basically get a sports commentary play-by-play here. Even though we already know the conclusion—Meghan came in 7th—she still builds suspense by narrating the race from her point of view as she was swimming it. She's nervous for a while, and then she starts the race.

Close to the end, she starts to think everything is going well ("I looked around at the other lanes and did not see anyone. 'I must be winning!' I thought to myself."). Everything builds to an expected moment of great triumph ("I finally completed my race and lifted my arms up in victory to the eager applause of the fans") but ends in total defeat ("I had finished my race in last place").

Not only that, but the mildly clichéd sports hype is hilariously undercut by reality ("I left the pool two minutes after the second-to-last competitor, who now stood with her friends, wearing all her clothes").

#5: It Uses a Pivot Sentence

This essay uses the time expansion method of pivoting: "But, I never dare to wipe away the memory of my seventh place swim; I need that daily reminder of my imperfection. I need that seventh place." Coming last in the race was something that happened once, but the award is now an everyday experience of humility.

The rest of the essay explores what it means for Meghan to constantly see this reminder of failure and to transform it into a sense of acceptance of her imperfections. Notice also that in this essay, the pivot comes before the main story, helping us "hear" the narrative in the way she wants us to.

Sample Intro 2

"Biogeochemical. It's a word, I promise!" There are shrieks and shouts in protest and support. Unacceptable insults are thrown, degrees and qualifications are questioned, I think even a piece of my grandmother's famously flakey parantha whizzes past my ear. Everyone is too lazy to take out a dictionary (or even their phones) to look it up, so we just hash it out. And then, I am crowned the victor, a true success in the Merchant household. But it is fleeting, as the small, glossy, plastic tiles, perfectly connected to form my winning word, are snatched out from under me and thrown in a pile with all the disgraced, "unwinning" tiles as we mix for our next game of Bananagrams. It's a similar donnybrook, this time ending with my father arguing that it is okay to use "Rambo" as a word (it totally is not).

Words and communicating have always been of tremendous importance in my life: from silly games like Bananagrams and our road-trip favorite "word game," to stunted communication between opposing grandparents, each speaking a different Indian language; from trying to understand the cheesemonger behind the counter with a deep southern drawl (I just want some Camembert!), to shaping a script to make people laugh.

Words are moving and changing; they have influence and substance.

From an Essay by Shaan Merchant ‘19 for Tufts University

Why Intro Sample 2 Works

Let's take a look at what qualities make this essay's introduction particularly memorable.

With the first sentence, we are immediately thrust into the middle of the action —into an exciting part of an argument about whether "biogeochemical" is really a word. We're also immediately challenged. Is this a word? Have I ever heard it before? Does a scientific neologism count as a word?

#2: It Shows Rather Than Tells

Since the whole essay is going to be about words, it makes sense for Shaan to demonstrate his comfort with all different kinds of language:

• Complex, elevated vocabulary, such as "biogeochemical" and "donnybrook"
• Foreign words, such as "parantha" and "Camembert"
• Colorful descriptive words, such as "shrieks and shouts," "famously flakey, "whizzes past," and "hash it out"
• "Fake" words, such as "unwinning" and "Rambo"

What's great is that Shaan is able to seamlessly mix the different tones and registers these words imply, going from cerebral to funny and back again.

#3: It Uses a Pivot Sentence

This essay uses the value-extraction style of pivot: "Words and communicating have always been of tremendous importance in my life." After we see an experience linking Shaan's clear love of his family with an interest in word games, he clarifies that this is exactly what the essay will be about—using a very straightforward pivoting sentence.

#4: It Piles On Examples to Avoid Vagueness

The danger of this kind of pivot sentence is slipping into vague, uninformative statements, such as "I love words." To avoid making a generalization the tells us nothing, the essay builds a list of examples of times when Shaan saw the way that words connect people: games ("Bananagrams and our road-trip favorite ‘word game,'"), his mixed-language family ("grandparents, each speaking a different Indian language"), encounters with strangers ("from trying to understand the cheesemonger"), and finally the more active experience of performing ("shaping a script to make people laugh").

But the essay stops short of giving so many examples that the reader drowns. I'd say three to five examples is a good range—as long as they're all different kinds of the same thing.

The Bottom Line: How to Start a College Essay

The college essay introduction should hook your reader and make her want to know more and read more.

Good personal statement introductions will contain the following features:

• A killer first line
• A detailed description of an experience from your life
• A pivot to the bigger picture, in which you explain why and how this experience has shaped you, your point of view, and/or your values.

You don't have to write the introduction first, and you certainly don't have to write your first sentence first . Instead, start by developing your story by telling it out loud to a friend. You can then work on your first sentence and your pivot.

The first sentence should either be short, punchy, and carry some ambiguity or questions, or be a detailed and beautiful description setting an easily pictured scene. The pivot, on the other hand, should answer the question, "How does the story you've told connect to a larger truth or insight about you?"

What's Next?

Wondering what to make of the Common Application essay prompts? We have the complete list of this year's Common App prompts with explanations of what each is asking as well as a guide to picking the Common App prompt that's perfect for you .

Thinking of applying to the University of California system? Check out our detailed guide on how to approach their essay prompts and craft your ideal UC essay .

If you're in the middle of the essay-writing process, you'll want to see our suggestions on what essay pitfalls to avoid .

Working on the rest of your college application? Read what admissions officers wish applicants knew before applying .

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Anna scored in the 99th percentile on her SATs in high school, and went on to major in English at Princeton and to get her doctorate in English Literature at Columbia. She is passionate about improving student access to higher education.

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• Tags: Academic Writing , Essay , Essay Writing

Knowing how to write an essay can help you out significantly in both, your academic and professional life. An essay is a highly versatile nonfiction piece of writing that not only tests your knowledge of a topic but also your literary and argumentative skills.     

Each essay requires the same basic process of planning, writing, and editing. Naturally, we’ve used these stages to group our steps on how to write an essay. So w ithout further ado, let’s get into it! Here are the eight steps to write an essay:

Stage 1: Planning

1. Pick an appropriate research topic

In certain cases, your teacher or professor may assign you a topic. However, in many cases, students have the freedom to select a topic of their choice. Make sure you choose a topic that you’re well versed in and have significant knowledge of. 

Having prior knowledge of the topic will help you determine the subsequent steps to write an essay. It will also make your research process considerably easier.

2. Form an appropriate thesis statement

A thesis statement is the central idea or premise your essay is based on. It is usually a sentence or two long and is included in the introduction of the essay. The scope of your thesis statement depends on the type of your essay and its length.

For instance, the scope of the thesis statement for a 500–1000 word school essay will be narrower than a 1000–5000 word college essay. A rule of thumb is that your essay topic should be broad enough to gather enough information, but narrow enough to address specific points and not be vague. Here’s an example: 

The invention of the airplane by the Wright Brothers in 1903 revolutionized transportation and paved the way for modern aviation. It represents a monumental achievement in human history that forever changed the course of human civilization.

3. Create an essay outline

Creating a well-organized essay outline not only gives structure and flow to your essay but also makes it more impactful and easy to understand. The idea is to collect the main points of information that support or elaborate on your thesis statement. You can also include references or examples under these main points. 

For example, if your thesis statement revolves around the invention of the airplane, your main points will include travel before the invention of the airplane, how it was invented, and its effects on modern-day travel. Take a look:

The Wright Brothers’ invention had a massive impact on modern-day travel. The subsequent growth of the aviation industry led to increased accessibility of air travel to the general public.

Stage 2: Writing

4. Write a comprehensive introduction

After creating the basic outline, it is important to know how to write an essay. Begin your essay by introducing your voice and point of view to the reader. An introduction is usually a paragraph or two long and consists of three main parts:

• Background information
• Thesis statement

Let’s better understand this with the help of an example:

The Wright Brothers’ invention of the airplane in 1903 revolutionized the way humans travel and explore the world. Prior to this invention, transportation relied on trains, boats, and cars, which limited the distance and speed of travel. However, the airplane made air travel a reality, allowing people to reach far-off destinations in mere hours. This breakthrough paved the way for modern-day air travel, transforming the world into a smaller, more connected place. In this essay, we will explore the impact of the Wright Brothers’ invention on modern-day travel, including the growth of the aviation industry, increased accessibility of air travel to the general public, and the economic and cultural benefits of air travel.

Let’s understand how to construct each of these sections in more detail.

A. Construct an attractive hook

The opening sentence of an essay, also known as the hook, should include a powerful or startling statement that captures the reader’s attention. Depending on the type of your essay, it can be an interesting fact, a surprising statistic, or an engaging anecdote. 

B. Provide relevant background information

While writing the introduction, it’s important to provide context or background information before including the thesis statement. The background information may include the time before a groundbreaking invention, the pros and cons of a significant discovery, or the short- and long-term effects of an event.

C. Edit the thesis statement

If you’ve constructed your thesis statement during the outlining stage, it’s time to edit it based on the background information you’ve provided. Observe the slight changes we’ve made to the scope of the thesis statement in the example above. This accommodates the bits of information we’ve provided in the background history.

5. Form relevant body paragraphs

Body paragraphs play a crucial role in supporting and expanding the central argument presented in the thesis statement. The number of body paragraphs depends on the type of essay as well as the scope of the thesis statement.

Most school-level essays contain three body paragraphs while college-level essays can vary in length depending on the assignment.

A well-crafted body paragraph consists of the following parts:

• A topic sentence
• Supporting information
• An analysis of the information
• A smooth transition to the next paragraph

Let’s understand this with the help of an example. 

The Wright Brothers’ invention of the airplane revolutionized air travel. They achieved the first-ever successful powered flight with the Wright Flyer in 1903, after years of conducting experiments and studying flight principles. Despite their first flight lasting only 12 seconds, it was a significant milestone that paved the way for modern aviation. The Wright Brothers’ success can be attributed to their systematic approach to problem-solving, which included numerous experiments with gliders, the development of a wind tunnel to test their designs, and meticulous analysis and recording of their results. Their dedication and ingenuity forever changed the way we travel, making modern aviation possible.

Here’s a detailed overview of how to construct each of these sections.

A. Construct appropriate topic sentences

A topic sentence is the title of the body paragraph that elaborates on the thesis statement. It is the main idea on which the body paragraph is developed. Ensure that each topic sentence is relevant to the thesis statement and makes the essay flow seamlessly. 

The order of topic sentences is key in creating an impactful essay. This order varies depending on the type of essay you choose to write. These sentences may be arranged chronologically, in the order of importance, or in a cause-and-effect format.

B. Provide supporting information

It is necessary to provide relevant supporting information and evidence to validate your topic statement. This may include examples, relevant statistics, history, or even personal anecdotes.

You should also remember to cite your sources wherever you use them to substantiate your arguments. Always give researchers and authors credit for their work!

C. Analyze the supporting information

After presenting the appropriate evidence, the next step is to conduct an in-depth analysis. Establish connections and provide additional details to strengthen the link between your topic sentence and the supporting information. 

Depending on the type of essay, this step may also involve sharing your subjective opinions and key takeaways.

D. Create a smooth transition

In case you plan to create multiple body paragraphs, it is crucial to create a seamless transition between them. Transitional statements not only make the essay less jarring to read but also guide the reader in the right direction.

However, these statements need not be too lengthy and complicated. Use words such as “however”, “in addition to”, and “therefore” to convey transitions.

6. Construct an impactful conclusion

An impactful conclusion creates a lasting impression on the mind of the reader. Although it varies in length depending on the specific essay, the conclusion is typically a paragraph long.

It consists of

• A restated thesis statement
• Summary of the main points
• The broader implications of the thesis statement

Here’s an example of a well-structured conclusion:

The Wright Brothers’ invention of the airplane forever changed history by paving the way for modern aviation and countless aerospace advancements. Their persistence, innovation, and dedication to problem-solving led to the first successful powered flight in 1903, sparking a revolution in transportation that transformed the world. Today, air travel remains an integral part of our globalized society, highlighting the undeniable impact of the Wright Brothers’ contribution to human civilization.  

Let’s take a closer look at how to construct each of these sections.

A. Restate the thesis statement

Your conclusion should call back to your original argument or thesis statement.

However, this does not mean repeating the thesis statement as is. The essence of your argument should remain the same, but it should also be modified and evolved as per the information presented in your essay.

B. Summarize important points

A powerful conclusion not only lingers in the reader’s mind but also provokes thought. You can create a strong impression on the reader by highlighting the most impactful points of your essay.

C. State the greater implications

End your essay with the most powerful and impactful part: the larger perspective. This can‌ include a question you’d like to leave the reader with, the broader implications and impact of your thesis statement, or the long-term, lingering effects of your experience. 

Make sure to include no new evidence or arguments, or to undermine your findings in any way. 

Stage 3: Editing

7. Review your essay

Knowing how to write an essay is just one part of essay writing. Properly reviewing and editing your essay is just as important. Make sure to spend enough time going over your essay and adding any bits of information that you’ve missed. 

This is also a good time to make minor structural changes in your essay.

8. Thoroughly proofread your essay

After making the necessary structural changes, recheck your essay word by word. It is important to not only correct major grammatical and spelling errors but also minor errors regarding the phrasing or tone of voice.

You can either choose to do this by yourself, ask a friend for assistance, or hire an essay proofreading service to go over your writing. To construct a fool-proof, error-free essay, it is helpful to have a trained pair of eyes go over it. Professional proofreaders can spot errors that are not visible to most people and set the right tone for your essay. 

Now that you know the basics of how to write an essay, it’s time to learn about the specifics. Feel free to dig into the articles below and keep reading!

• How to Write an Essay Header in 4 Steps
• How to Write an Essay Outline
• What is an Expository Essay?
• How to Start an Essay

Frequently Asked Questions

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How to Start a College Essay to Hook Your Reader

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What is the purpose of the college essay introduction, tips for getting started on your essay, 6 effective techniques for starting your college essay.

• Cliche College Essay Introduction to Avoid

Where to Get Your Essay Edited for Free

Have you sat down to write your essay and just hit a wall of writer’s block? Do you have too many ideas running around your head, or maybe no ideas at all?

Starting a college essay is potentially the hardest part of the application process. Once you start, it’s easy to keep writing, but that initial hurdle is just so difficult to overcome. We’ve put together a list of tips to help you jump that wall and make your essay the best it can be.

The introduction to a college essay should immediately hook the reader. You want to give admissions officers a reason to stay interested in your story and encourage them to continue reading your essay with an open mind. Remember that admissions officers are only able to spend a couple minutes per essay, so if you bore them or turn them off from the start, they may clock out for the rest of the essay.

As a whole, the college essay should aim to portray a part of your personality that hasn’t been covered by your GPA, extracurriculars, and test scores. This makes the introduction a crucial part of the essay. Think of it as the first glimpse, an intriguing lead on, into the read rest of your essay which also showcases your voice and personality. 

Brainstorm Topics

Take the time to sit down and brainstorm some good topic ideas for your essay. You want your topic to be meaningful to you, while also displaying a part of you that isn’t apparent in other aspects of your application. The essay is an opportunity to show admissions officers the “real you.” If you have a topic in mind, do not feel pressured to start with the introduction. Sometimes the best essay openings are developed last, once you fully grasp the flow of your story.

Do a Freewrite

Give yourself permission to write without judgment for an allotted period of time. For each topic you generated in your brainstorm session, do a free-write session. Set a time for one minute and write down whatever comes to mind for that specific topic. This will help get the juices flowing and push you over that initial bit of writer’s block that’s so common when it comes time to write a college essay. Repeat this exercise if you’re feeling stuck at any point during the essay writing process. Freewriting is a great way to warm up your creative writing brain whilst seeing which topics are flowing more naturally onto the page.

Create an Outline

Once you’ve chosen your topic, write an outline for your whole essay. It’s easier to organize all your thoughts, write the body, and then go back to write the introduction. That way, you already know the direction you want your essay to go because you’ve actually written it out, and you can ensure that your introduction leads directly into the rest of the essay. Admissions officers are looking for the quality of your writing alongside the content of your essay. To be prepared for college-level writing, students should understand how to logically structure an essay. By creating an outline, you are setting yourself up to be judged favorably on the quality of your writing skills.

1. The Scriptwriter

“No! Make it stop! Get me out!” My 5-year-old self waved my arms frantically in front of my face in the darkened movie theater.

Starting your essay with dialogue instantly transports the reader into the story, while also introducing your personal voice. In the rest of the essay, the author proposes a class that introduces people to insects as a type of food. Typically, one would begin directly with the course proposal. However, the author’s inclusion of this flashback weaves in a personal narrative, further displaying her true self.

Read the full essay.

2. The Shocker

A chaotic sense of sickness and filth unfolds in an overcrowded border station in McAllen, Texas. Through soundproof windows, migrants motion that they have not showered in weeks, and children wear clothes caked in mucus and tears. The humanitarian crisis at the southern border exists not only in photographs published by mainstream media, but miles from my home in South Texas.

This essay opener is also a good example of “The Vivid Imaginer.” In this case, the detailed imagery only serves to heighten the shock factor. While people may be aware of the “humanitarian crisis at the southern border,” reading about it in such stark terms is bound to capture the reader’s attention. Through this hook, the reader learns a bit about the author’s home life; an aspect of the student that may not be detailed elsewhere in their application. The rest of the essay goes on to talk about the author’s passion for aiding refugees, and this initial paragraph immediately establishes the author’s personal connection to the refugee crisis.

3. The Vivid Imaginer

The air is crisp and cool, nipping at my ears as I walk under a curtain of darkness that drapes over the sky, starless. It is a Friday night in downtown Corpus Christi, a rare moment of peace in my home city filled with the laughter of strangers and colorful lights of street vendors. But I cannot focus. 

Starting off with a bit of well-written imagery transports the reader to wherever you want to take them. By putting them in this context with you, you allow the reader to closely understand your thoughts and emotions in this situation. Additionally, this method showcases the author’s individual way of looking at the world, a personal touch that is the baseline of all college essays.

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4. The Instant Plunger

The flickering LED lights began to form into a face of a man when I focused my eyes. The man spoke of a ruthless serial killer of the decade who had been arrested in 2004, and my parents shivered at his reaccounting of the case. I curiously tuned in, wondering who he was to speak of such crimes with concrete composure and knowledge. Later, he introduced himself as a profiler named Pyo Chang Won, and I watched the rest of the program by myself without realizing that my parents had left the couch.

Plunging readers into the middle of a story (also known as in medias res ) is an effective hook because it captures attention by placing the reader directly into the action. The descriptive imagery in the first sentence also helps to immerse the reader, creating a satisfying hook while also showing (instead of telling) how the author became interested in criminology. With this technique, it is important to “zoom out,” so to speak, in such a way that the essay remains personal to you.

5. The Philosopher 

Saved in the Notes app on my phone are three questions: What can I know? What must I do? What may I hope for? First asked by Immanuel Kant, these questions guide my pursuit of knowledge and organization of critical thought, both skills that are necessary to move our country and society forward in the right direction.

Posing philosophical questions helps present you as someone with deep ideas while also guiding the focus of your essay. In a way, it presents the reader with a roadmap; they know that these questions provide the theme for the rest of the essay. The more controversial the questions, the more gripping a hook you can create. 

Providing an answer to these questions is not necessarily as important as making sure that the discussions they provoke really showcase you and your own values and beliefs.

6. The Storyteller

One Christmas morning, when I was nine, I opened a snap circuit set from my grandmother. Although I had always loved math and science, I didn’t realize my passion for engineering until I spent the rest of winter break creating different circuits to power various lights, alarms, and sensors. Even after I outgrew the toy, I kept the set in my bedroom at home and knew I wanted to study engineering.

Beginning with an anecdote is a strong way to establish a meaningful connection with the content itself. It also shows that the topic you write about has been a part of your life for a significant amount of time, and something that college admissions officers look for in activities is follow-through; they want to make sure that you are truly interested in something. A personal story such as the one above shows off just that.

Cliche College Essay Introductions to Avoid

Ambiguous introduction.

It’s best to avoid introductory sentences that don’t seem to really say anything at all, such as “Science plays a large role in today’s society,” or “X has existed since the beginning of time.” Statements like these, in addition to being extremely common, don’t demonstrate anything about you, the author. Without a personal connection to you right away, it’s easy for the admissions officer to write off the essay before getting past the first sentence.

Quoting Someone Famous

While having a quotation by a famous author, celebrity, or someone else you admire may seem like a good way to allow the reader to get to know you, these kinds of introductions are actually incredibly overused. You also risk making your essay all about the quotation and the famous person who said it; admissions officers want to get to know you, your beliefs, and your values, not someone who isn’t applying to their school. There are some cases where you may actually be asked to write about a quotation, and that’s fine, but you should avoid starting your essay with someone else’s words outside of this case. It is fine, however, to start with dialogue to plunge your readers into a specific moment.

Talking About Writing an Essay

This method is also very commonplace and is thus best avoided. It’s better to show, not tell, and all this method allows you to do is tell the reader how you were feeling at the time of writing the essay. If you do feel compelled to go this way, make sure to include vivid imagery and focus on grounding the essay in the five senses, which can help elevate your introduction and separate it from the many other meta essays.

Childhood Memories

Phrases like “Ever since I was young…” or “I’ve always wanted…” also lend more to telling rather than showing. If you want to talk about your childhood or past feelings in your essay, try using one of the techniques listed earlier (such as the Instant Plunger or the Vivid Imaginer) to elevate your writing.

CollegeVine has a peer essay review page where peers can tell you if your introduction was enough to hook them. Getting feedback from someone who hasn’t read your essay before, and thus doesn’t have any context which may bias them to be more forgiving to your introduction, is helpful because it mimics the same environment in which an admissions officer will be reading your essay. 

Writing a college essay is hard, but with these tips hopefully starting it will be a little easier!

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Essay Introduction Examples

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Always have a road map for an essay introduction . Having a strong essay introduction structure is critical to a successful paper. It sets the tone for the reader and interests them in your work. It also tells them what the essay is about and why they should read it at all.

It shouldn't leave the reader confused with a cliffhanger at the end. Instead, it should generate interest and guide the reader to Chapter One. Using the right parts of an essay introduction can help with this.

Check out an effective essay introduction structure below. It’s a road map for writing an essay—just like the parts of essay introductions are road maps for readers.

Essay Introduction Structure

Attention-grabbing start

Outline of argument

Thesis statement

Some academics find the beginning the most difficult part of writing an essay , so our editors have created some examples of good essay introductions to guide you. Let's take a look at the samples below to see how the essay introduction structures come together. 

If you are unsure about your paper, our essay editors would love to give you some feedback on how to write an essay introduction. 

[1] According to Paul Ratsmith, the tenuous but nonetheless important relationship between pumpkins and rats is little understood: "While I've always been fascinated by this natural kinship, the connection between pumpkins and rats has been the subject of few, if any, other studies" (2008). [2] Ratsmith has been studying this connection, something he coined "pumpkinology," since the early 1990s. He is most well known for documenting the three years he spent living in the wild among pumpkins and rats. [3] Though it is a topic of little recent interest, the relationship has been noted in several ancient texts and seems to have been well understood by the Romans. Critics of Ratsmith have cited poor science and questionable methodology when dismissing his results, going so far as to call pumpkinology "rubbish" (de Vil, 2009), "stupid" (Claw, 2010), and "quite possibly made up" (Igthorn, 2009). [4] Despite these criticisms, there does appear to be a strong correlation between pumpkin patches and rat populations, with Ratsmith documenting numerous pumpkin–rat colonies across North America, leading to the conclusion that pumpkins and rats are indeed "nature's best friends" (2008).

Let's break down this example of a good essay introduction structure. The beginning hooks our attention from the get-go in section one. This is because it piques our curiosity. What is this strange relationship? Why has no one studied it? Then, section two gives us context for the topic. Ratsmith is an expert in a controversial field: pumpkinology. It's the study of the connection between pumpkins and rats. 

The second half of the paragraph also demonstrates why this is a good essay introduction example. Section three gives us the main argument: the topic is rarely studied because critics think Ratsmith's work is "rubbish," but the relationship between pumpkins and rats has ancient roots. Then section four gives us the thesis statement: Ratsmith's work has some merit.

The parts of an essay introduction help us chart a course through the topic. We know the paper will take us on a journey. It's all because the author practiced how to write an essay introduction. 

Let’s take a look at another example of a good essay introduction.

[1] Societies have long believed that if a black cat crosses one's path, one might have bad luck—but it wasn't until King Charles I's black cat died that the ruler's bad luck began (Pemberton, 2018). [2] Indeed, for centuries, black cats have been seen as the familiars of witches—as demonic associates of Satan who disrespect authority (Yuko, 2021). Yet, they have also been associated with good luck, from England's rulers to long-distance sailors (Cole, 2021). [3] This essay shows how outdated the bad luck superstition really is. It provides a comprehensive history of the belief and then provides proof that this superstition has no place in today's modern society. [4] It argues that despite the prevailing belief that animals cause bad luck, black cats often bring what seems to be "good luck" and deserve a new reputation.

This example of a good essay introduction pulls us in right away. This is because section one provides an interesting fact about King Charles I. What is the story there, and what bad luck did he experience after his cat passed away? Then, section two provides us with general information about the current status of black cats. We understand the context of the essay and why the topic is controversial.

Section three then gives us a road map that leads us through the main arguments. Finally, section four gives us the essay's thesis: "black cats often bring what seems to be 'good luck' and deserve a new reputation."

Still feeling unsure about how to write an essay introduction? Here's another example using the essay introduction structure we discussed earlier.

[1] When the Lutz family moved into a new house in Amityville, New York, they found themselves terrorized by a vengeful ghost (Labianca, 2021). Since then, their famous tale has been debunked by scientists and the family themselves (Smith, 2005). [2] Yet ghost stories have gripped human consciousness for centuries (History, 2009). Scientists, researchers, and theorists alike have argued whether ghosts are simply figments of the imagination or real things that go bump in the night. In considering this question, many scientists have stated that ghosts may actually exist. [3] Lindley (2017) believes the answer may be in the quantum world, which "just doesn’t work the way the world around us works," but "we don’t really have the concepts to deal with it." Scientific studies on the existence of ghosts date back hundreds of years (History, 2009), and technology has undergone a vast evolution since then (Lamey, 2018). State-of-the-art tools and concepts can now reveal more about ghosts than we've ever known (Kane, 2015). [4] This essay uses these tools to provide definitive proof of the existence of ghosts in the quantum realm. 

This example of a good essay introduction uses a slightly different strategy than the others. To hook the reader, it begins with an interesting anecdote related to the topic. That pulls us in, making us wonder what really happened to the Lutzs. Then, section two provides us with some background information about the topic to help us understand. Many people believe ghosts aren't real, but some scientists think they are.

This immediately flows into section three, which charts a course through the main arguments the essay will make. Finally, it ends with the essay's thesis: there is definitive proof of the existence of ghosts in the quantum realm. It all works because the author used the parts of an essay introduction well.

For attention-grabbing introductions, an understanding of essay introduction structure and how to write an essay introduction is required.

Our essay introduction examples showing the parts of an essay introduction will help you craft the beginning paragraph you need to start your writing journey on the right foot.

If you'd like more personalized attention to your essay, consider sending it for Essay Editing by Scribendi. We can help you ensure that your essay starts off strong.

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How To Write An Essay

How To Start An Essay

Jumpstart Your Writing with These Proven Strategies on How to Start an Essay

Published on: Mar 10, 2023

Last updated on: Jul 23, 2024

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Are you feeling overwhelmed at the prospect of writing an essay ? Are you struggling to come up with a clear focus, introduction, and structure for your work? 

Don't worry—you are not alone! Writing can be challenging but there are ways to make it easier. 

In this blog post, we will discuss proven strategies on how to start an essay that will help jumpstart your creativity and enhance your overall writing process. 

From figuring out which topic is best for you to create a persuasive main argument, these tips are essential tools that any student can use to write powerful essays. 

Let's get started!

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How To Start an Essay Introduction

The introduction of your essay is the first opportunity to capture your reader's attention and make a lasting impression. By following these five steps, you can create an introduction that stands out from the start.

1. Hook your reader

To engage your reader from the beginning, consider using an interesting story or anecdote that relates to your topic. 

For instance, if you are writing an essay about the importance of environmental conservation, you could begin with a compelling story. The story can be about a community coming together to save a local endangered species. 

This not only grabs the reader's attention but also provides a glimpse of what your essay will discuss and why it matters.

Check out these hook examples that you may use!

2. Provide background information

After hooking your reader, it's essential to provide some background information on the topic. This helps your readers understand the context and significance of your essay.

 You can offer relevant facts, statistics, or historical context to set the stage for the discussion that follows.

3. Present your thesis statement

A well-crafted thesis statement is the backbone of your essay. It conveys the main point or argument you will make throughout the paper. Your thesis statement should be clear, concise, and impactful, providing a roadmap for the reader to follow.

4. Outline your essay's structure

To enhance the organization and coherence of your essay, it's helpful to create an outline of the main points you will be discussing. This not only assists you in structuring your thoughts but also helps the reader anticipate the flow and content of your essay.

Read our detailed guide to learning to create a perfect essay outline !

5. Check and revise

Once you have drafted your introduction, it is crucial to carefully review it for any grammar or spelling errors that may have been missed. 

Take the time to refine your language, ensure clarity, and confirm that your introduction effectively sets the stage for the rest of your essay.

By following these steps, you can create an engaging and well-structured introduction that sets the tone for your essay and captivates your

How To Start an Essay Writing - 8 Best Ways

Writing an essay can be a daunting task, but here are the 8 best ways to start your essay that will help you create a strong introduction and body. 

Introduce your topic

Start your essay by introducing your topic and giving the reader some context. Make sure to include relevant background information so that readers understand how the topic relates to their own lives. 

For example, if you are writing about the effects of social media on modern society, you could introduce your topic with something like: 

Start Your Essay With a Quote

Begin your essay with a thought-provoking quote that relates to the topic of your essay. This will engage the reader and give them an idea of what to expect in your essay. 

For example, if you are writing about the importance of education, you could start with a quote such as: 

Set Up a Mystery

Start your essay with a mysterious scenario that will draw the reader in. You can create a sense of intrigue by leaving out important details so that readers are curious to learn more. 

For example, if you are writing about the effects of climate change, you could start with something like: 

Use Rhetorical Questions

Start your essay with a rhetorical question that will leave readers thinking and wondering what will come next. 

This can be an effective way to draw readers in and make them want to find out more. 

For example, if you are writing about the importance of standing up for your beliefs, you could start with a rhetorical question such as: 

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Provoke Emotion

Start your essay with a vivid description that will evoke emotions in the reader. This is an effective way to grab their attention and set the tone for your essay. 

For example, if you are writing about the effects of poverty, you could start with something like: 

Use An Anecdote

Start your essay with an anecdotal story that will give readers a glimpse into the topic. 

This can be an effective way to capture their attention and make them more interested in learning more about your topic. 

Check out this video to learn more about using anecdotes in your essays! 

For example, if you are writing about the impact of technology on our lives, you could start with something like:

Stamp Of Authority

Start your essay with a statement of authority that will give readers a sense of legitimacy. 

This can be an effective way to establish yourself as an expert on the topic and make readers trust you more. 

For example, if you are writing about the history of human rights, you could start with something like:

Start Your Essay With A “Contrary To” Or “Fill The Gap” Sentence

Start your essay with a sentence that introduces an idea contrary to popular opinion, or one that “fills the gap” between two competing theories. 

This can be an effective way to make readers think more deeply about the topic and challenge their preconceived notions. 

For example, if you are writing about the importance of diversity, you could start with something like: 

Interesting Essay Starting Examples for Students

These examples of how to open your essay are designed to help students craft interesting and attention-grabbing introductions.

With a few tweaks, these ideas can be adapted to any type of essay topic or style. 

Use them as inspiration when writing your own introduction and you’ll be sure to capture readers’ interest right away. 

how to start an essay about yourself

how to start an essay sample

how to start an essay about yourself examples

how to start an essay about a person

In conclusion, crafting an effective essay introduction is essential for grabbing your reader's attention and setting the tone for your essay. 

We are sure that with the tips outlined, you can create a bold and compelling opening that will leave a lasting impression. Also, you can take help from an AI writing tool to get ideas.

And if you're still struggling, don't hesitate to seek professional help from our top essay writing service . 

With our expert assistance, you can be sure that your essay introduction will be the best it can possibly be. Whether you are writing a college essay, an expository essay, or an argumentative essay, we can help you always! 

So what are you waiting for? Order now and make your essay stand out from the crowd!

Frequently Asked Questions

What is a good introduction.

A good introduction should include a few key components: 

• Identifying the topic 
• Providing context 
• Thesis statement 

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• Focus and Precision: How to Write Essays that Answer the Question

About the Author Stephanie Allen read Classics and English at St Hugh’s College, Oxford, and is currently researching a PhD in Early Modern Academic Drama at the University of Fribourg.

We’ve all been there. You’ve handed in an essay and you think it’s pretty great: it shows off all your best ideas, and contains points you’re sure no one else will have thought of.

You’re not totally convinced that what you’ve written is relevant to the title you were given – but it’s inventive, original and good. In fact, it might be better than anything that would have responded to the question. But your essay isn’t met with the lavish praise you expected. When it’s tossed back onto your desk, there are huge chunks scored through with red pen, crawling with annotations like little red fire ants: ‘IRRELEVANT’; ‘A bit of a tangent!’; ‘???’; and, right next to your best, most impressive killer point: ‘Right… so?’. The grade your teacher has scrawled at the end is nowhere near what your essay deserves. In fact, it’s pretty average. And the comment at the bottom reads something like, ‘Some good ideas, but you didn’t answer the question!’.

If this has ever happened to you (and it has happened to me, a lot), you’ll know how deeply frustrating it is – and how unfair it can seem. This might just be me, but the exhausting process of researching, having ideas, planning, writing and re-reading makes me steadily more attached to the ideas I have, and the things I’ve managed to put on the page. Each time I scroll back through what I’ve written, or planned, so far, I become steadily more convinced of its brilliance. What started off as a scribbled note in the margin, something extra to think about or to pop in if it could be made to fit the argument, sometimes comes to be backbone of a whole essay – so, when a tutor tells me my inspired paragraph about Ted Hughes’s interpretation of mythology isn’t relevant to my essay on Keats, I fail to see why. Or even if I can see why, the thought of taking it out is wrenching. Who cares if it’s a bit off-topic? It should make my essay stand out, if anything! And an examiner would probably be happy not to read yet another answer that makes exactly the same points. If you recognise yourself in the above, there are two crucial things to realise. The first is that something has to change: because doing well in high school exam or coursework essays is almost totally dependent on being able to pin down and organise lots of ideas so that an examiner can see that they convincingly answer a question. And it’s a real shame to work hard on something, have good ideas, and not get the marks you deserve. Writing a top essay is a very particular and actually quite simple challenge. It’s not actually that important how original you are, how compelling your writing is, how many ideas you get down, or how beautifully you can express yourself (though of course, all these things do have their rightful place). What you’re doing, essentially, is using a limited amount of time and knowledge to really answer a question. It sounds obvious, but a good essay should have the title or question as its focus the whole way through . It should answer it ten times over – in every single paragraph, with every fact or figure. Treat your reader (whether it’s your class teacher or an external examiner) like a child who can’t do any interpretive work of their own; imagine yourself leading them through your essay by the hand, pointing out that you’ve answered the question here , and here , and here. Now, this is all very well, I imagine you objecting, and much easier said than done. But never fear! Structuring an essay that knocks a question on the head is something you can learn to do in a couple of easy steps. In the next few hundred words, I’m going to share with you what I’ve learned through endless, mindless crossings-out, rewordings, rewritings and rethinkings.

Top tips and golden rules

I’ve lost count of the number of times I’ve been told to ‘write the question at the top of every new page’- but for some reason, that trick simply doesn’t work for me. If it doesn’t work for you either, use this three-part process to allow the question to structure your essay:

1)     Work out exactly what you’re being asked

It sounds really obvious, but lots of students have trouble answering questions because they don’t take time to figure out exactly what they’re expected to do – instead, they skim-read and then write the essay they want to write. Sussing out a question is a two-part process, and the first part is easy. It means looking at the directions the question provides as to what sort of essay you’re going to write. I call these ‘command phrases’ and will go into more detail about what they mean below. The second part involves identifying key words and phrases.

2)     Be as explicit as possible

Use forceful, persuasive language to show how the points you’ve made do answer the question. My main focus so far has been on tangential or irrelevant material – but many students lose marks even though they make great points, because they don’t quite impress how relevant those points are. Again, I’ll talk about how you can do this below.

3)     Be brutally honest with yourself about whether a point is relevant before you write it.

It doesn’t matter how impressive, original or interesting it is. It doesn’t matter if you’re panicking, and you can’t think of any points that do answer the question. If a point isn’t relevant, don’t bother with it. It’s a waste of time, and might actually work against you- if you put tangential material in an essay, your reader will struggle to follow the thread of your argument, and lose focus on your really good points.

Put it into action: Step One

Let’s imagine you’re writing an English essay about the role and importance of the three witches in Macbeth . You’re thinking about the different ways in which Shakespeare imagines and presents the witches, how they influence the action of the tragedy, and perhaps the extent to which we’re supposed to believe in them (stay with me – you don’t have to know a single thing about Shakespeare or Macbeth to understand this bit!). Now, you’ll probably have a few good ideas on this topic – and whatever essay you write, you’ll most likely use much of the same material. However, the detail of the phrasing of the question will significantly affect the way you write your essay. You would draw on similar material to address the following questions: Discuss Shakespeare’s representation of the three witches in Macbeth . How does Shakespeare figure the supernatural in Macbeth ?   To what extent are the three witches responsible for Macbeth’s tragic downfall? Evaluate the importance of the three witches in bringing about Macbeth’s ruin. Are we supposed to believe in the three witches in Macbeth ? “Within Macbeth ’s representation of the witches, there is profound ambiguity about the actual significance and power of their malevolent intervention” (Stephen Greenblatt). Discuss.   I’ve organised the examples into three groups, exemplifying the different types of questions you might have to answer in an exam. The first group are pretty open-ended: ‘discuss’- and ‘how’-questions leave you room to set the scope of the essay. You can decide what the focus should be. Beware, though – this doesn’t mean you don’t need a sturdy structure, or a clear argument, both of which should always be present in an essay. The second group are asking you to evaluate, constructing an argument that decides whether, and how far something is true. Good examples of hypotheses (which your essay would set out to prove) for these questions are:

• The witches are the most important cause of tragic action in Macbeth.
• The witches are partially, but not entirely responsible for Macbeth’s downfall, alongside Macbeth’s unbridled ambition, and that of his wife.
• We are not supposed to believe the witches: they are a product of Macbeth’s psyche, and his downfall is his own doing.
• The witches’ role in Macbeth’s downfall is deliberately unclear. Their claim to reality is shaky – finally, their ambiguity is part of an uncertain tragic universe and the great illusion of the theatre. (N.B. It’s fine to conclude that a question can’t be answered in black and white, certain terms – as long as you have a firm structure, and keep referring back to it throughout the essay).

The final question asks you to respond to a quotation. Students tend to find these sorts of questions the most difficult to answer, but once you’ve got the hang of them I think the title does most of the work for you – often implicitly providing you with a structure for your essay. The first step is breaking down the quotation into its constituent parts- the different things it says. I use brackets: ( Within Macbeth ’s representation of the witches, ) ( there is profound ambiguity ) about the ( actual significance ) ( and power ) of ( their malevolent intervention ) Examiners have a nasty habit of picking the most bewildering and terrifying-sounding quotations: but once you break them down, they’re often asking for something very simple. This quotation, for example, is asking exactly the same thing as the other questions. The trick here is making sure you respond to all the different parts. You want to make sure you discuss the following:

• Do you agree that the status of the witches’ ‘malevolent intervention’ is ambiguous?
• What is its significance?
• How powerful is it?

Step Two: Plan

Having worked out exactly what the question is asking, write out a plan (which should be very detailed in a coursework essay, but doesn’t have to be more than a few lines long in an exam context) of the material you’ll use in each paragraph. Make sure your plan contains a sentence at the end of each point about how that point will answer the question. A point from my plan for one of the topics above might look something like this:

To what extent are we supposed to believe in the three witches in Macbeth ?  Hypothesis: The witches’ role in Macbeth’s downfall is deliberately unclear. Their claim to reality is uncertain – finally, they’re part of an uncertain tragic universe and the great illusion of the theatre. Para.1: Context At the time Shakespeare wrote Macbeth , there were many examples of people being burned or drowned as witches There were also people who claimed to be able to exorcise evil demons from people who were ‘possessed’. Catholic Christianity leaves much room for the supernatural to exist This suggests that Shakespeare’s contemporary audience might, more readily than a modern one, have believed that witches were a real phenomenon and did exist.

My final sentence (highlighted in red) shows how the material discussed in the paragraph answers the question. Writing this out at the planning stage, in addition to clarifying your ideas, is a great test of whether a point is relevant: if you struggle to write the sentence, and make the connection to the question and larger argument, you might have gone off-topic.

Step Three: Paragraph beginnings and endings

The final step to making sure you pick up all the possible marks for ‘answering the question’ in an essay is ensuring that you make it explicit how your material does so. This bit relies upon getting the beginnings and endings of paragraphs just right. To reiterate what I said above, treat your reader like a child: tell them what you’re going to say; tell them how it answers the question; say it, and then tell them how you’ve answered the question. This need not feel clumsy, awkward or repetitive. The first sentence of each new paragraph or point should, without giving too much of your conclusion away, establish what you’re going to discuss, and how it answers the question. The opening sentence from the paragraph I planned above might go something like this:

Early modern political and religious contexts suggest that Shakespeare’s contemporary audience might more readily have believed in witches than his modern readers.

The sentence establishes that I’m going to discuss Jacobean religion and witch-burnings, and also what I’m going to use those contexts to show. I’d then slot in all my facts and examples in the middle of the paragraph. The final sentence (or few sentences) should be strong and decisive, making a clear connection to the question you’ve been asked:

  Contemporary suspicion that witches did exist, testified to by witch-hunts and exorcisms, is crucial to our understanding of the witches in Macbeth.  To the early modern consciousness, witches were a distinctly real and dangerous possibility – and the witches in the play would have seemed all-the-more potent and terrifying as a result.

Step Four: Practice makes perfect

The best way to get really good at making sure you always ‘answer the question’ is to write essay plans rather than whole pieces. Set aside a few hours, choose a couple of essay questions from past papers, and for each:

• Write a hypothesis
• Write a rough plan of what each paragraph will contain
• Write out the first and last sentence of each paragraph

You can get your teacher, or a friend, to look through your plans and give you feedback. If you follow this advice, fingers crossed, next time you hand in an essay, it’ll be free from red-inked comments about irrelevance, and instead showered with praise for the precision with which you handled the topic, and how intently you focused on answering the question. It can seem depressing when your perfect question is just a minor tangent from the question you were actually asked, but trust me – high praise and good marks are all found in answering the question in front of you, not the one you would have liked to see. Teachers do choose the questions they set you with some care, after all; chances are the question you were set is the more illuminating and rewarding one as well.

Image credits: banner ; Keats ; Macbeth ; James I ; witches .

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How to Write a Good Answer to Exam Essay Questions

Last Updated: July 9, 2024 Fact Checked

This article was co-authored by Tristen Bonacci . Tristen Bonacci is a Licensed English Teacher with more than 20 years of experience. Tristen has taught in both the United States and overseas. She specializes in teaching in a secondary education environment and sharing wisdom with others, no matter the environment. Tristen holds a BA in English Literature from The University of Colorado and an MEd from The University of Phoenix. This article has been fact-checked, ensuring the accuracy of any cited facts and confirming the authority of its sources. This article has been viewed 651,507 times.

Answering essay questions on an exam can be difficult and stressful, which can make it hard to provide a good answer. However, you can improve your ability to answer essay questions by learning how to understand the questions, form an answer, and stay focused. Developing your ability to give excellent answers on essay exams will take time and effort, but you can learn some good essay question practices and start improving your answers.

Understanding the Question

• Analyze: Explain the what, where, who, when, why, and how. Include pros and cons, strengths and weaknesses, etc.
• Compare: Discuss the similarities and differences between two or more things. Don't forget to explain why the comparison is useful.
• Contrast: Discuss how two or more things are different or distinguish between them. Don't forget to explain why the contrast is useful.
• Define: State what something means, does, achieves, etc.
• Describe: List characteristics or traits of something. You may also need to summarize something, such as an essay prompt that asks "Describe the major events that led to the American Revolution."
• Discuss: This is more analytical. You usually begin by describing something and then present arguments for or against it. You may need to analyze the advantages or disadvantages of your subject.
• Evaluate: Offer the pros and cons, positives and negatives for a subject. You may be asked to evaluate a statement for logical support, or evaluate an argument for weaknesses.
• Explain: Explain why or how something happened, or justify your position on something.
• Prove: Usually reserved for more scientific or objective essays. You may be asked to include evidence and research to build a case for a specific position or set of hypotheses.
• Summarize: Usually, this means to list the major ideas or themes of a subject. It could also ask you to present the main ideas in order to then fully discuss them. Most essay questions will not ask for pure summary without anything else.

• Raise your hand and wait for your teacher to come over to you or approach your teacher’s desk to ask your question. This way you will be less likely to disrupt other test takers.

Forming Your Response

• Take a moment to consider your organization before you start writing your answer. What information should come first, second, third, etc.?
• In many cases, the traditional 5-paragraph essay structure works well. Start with an introductory paragraph, use 3 paragraphs in the body of the article to explain different points, and finish with a concluding paragraph.
• It can also be really helpful to draft a quick outline of your essay before you start writing.

• You may want to make a list of facts and figures that you want to include in your essay answer. That way you can refer to this list as you write your answer.
• It's best to write down all the important key topics or ideas before you get started composing your answer. That way, you can check back to make sure you haven't missed anything.

• For example, imagine that your essay question asks: "Should the FIFA World Cup be awarded to countries with human rights violations? Explain and support your answer."
• You might restate this as "Countries with human rights violations should not be awarded the FIFA World Cup because this rewards a nation's poor treatment of its citizens." This will be the thesis that you support with examples and explanation.

• For example, whether you argue that the FIFA World Cup should or should not be awarded to countries with human rights violations, you will want to address the opposing side's argument. However, it needs to be clear where your essay stands about the matter.
• Often, essay questions end up saying things along the lines of "There are many similarities and differences between X and Y." This does not offer a clear position and can result in a bad grade.

• If you are required to write your answer by hand, then take care to make your writing legible and neat. Some professors may deduct points if they cannot read what you have written.

Staying Calm and Focused

• If you get to a point during the exam where you feel too anxious to focus, put down your pencil (or take your hands off of the keyboard), close your eyes, and take a deep breath. Stretch your arms and imagine that you are somewhere pleasant for a few moments. When you have completed this brief exercise, open up your eyes and resume the exam.

• For example, if the exam period is one hour long and you have to answer three questions in that time frame, then you should plan to spend no more than 20 minutes on each question.
• Look at the weight of the questions, if applicable. For example, if there are five 10-point short-answers and a 50-point essay, plan to spend more time on the essay because it is worth significantly more. Don't get stuck spending so much time on the short-answers that you don't have time to develop a complex essay.

• This strategy is even more important if the exam has multiple essay questions. If you take too much time on the first question, then you may not have enough time to answer the other questions on the exam.

• If you feel like you are straying away from the question, reread the question and review any notes that you made to help guide you. After you get refocused, then continue writing your answer.
• Try to allow yourself enough time to go back and tighten up connections between your points. A few well-placed transitions can really bump up your grade.

Community Q&A

• If you are worried about running out of time, put your watch in front of you where you can see it. Just try not to focus on it too much. Thanks Helpful 0 Not Helpful 0
• If you need more practice, make up your own questions or even look at some practice questions online! Thanks Helpful 0 Not Helpful 0

Tips from our Readers

• Look up relevant quotes if your exam is open notes. Use references from books or class to back up your answers.
• Make sure your sentences flow together and that you don't repeat the same thing twice!

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• ↑ https://www.linnbenton.edu/student-services/library-tutoring-testing/learning-center/academic-coaching/documents/Strategies%20For%20Answering%20Essay%20Questions.pdf
• ↑ https://success.uark.edu/get-help/student-resources/short-answer-essays.php

About This Article

To write a good answer to an exam essay question, read the question carefully to find what it's asking, and follow the instructions for the essay closely. Begin your essay by rephrasing the question into a statement with your answer in the statement. Include supplemental facts and figures if necessary, or do textual analysis from a provided piece to support your argument. Make sure your writing is clear and to the point, and don't include extra information unless it supports your argument. For tips from our academic reviewer on understanding essay questions and dealing with testing nerves, read on! Did this summary help you? Yes No

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Want to create or adapt books like this? Learn more about how Pressbooks supports open publishing practices.

Matthew DeCarlo

Chapter Outline

• Empirical vs. ethical questions (4 minute read)
• Characteristics of a good research question (4 minute read)
• Quantitative research questions (7 minute read)
• Qualitative research questions (3 minute read)
• Evaluating and updating your research questions (4 minute read)

Content warning: examples in this chapter include references to sexual violence, sexism, substance use disorders, homelessness, domestic violence, the child welfare system, cissexism and heterosexism, and truancy and school discipline.

9.1 Empirical vs. ethical questions

Learning objectives.

Learners will be able to…

• Define empirical questions and provide an example
• Define ethical questions and provide an example

Writing a good research question is an art and a science. It is a science because you have to make sure it is clear, concise, and well-developed. It is an art because often your language needs “wordsmithing” to perfect and clarify the meaning. This is an exciting part of the research process; however, it can also be one of the most stressful.

Creating a good research question begins by identifying a topic you are interested in studying. At this point, you already have a working question. You’ve been applying it to the exercises in each chapter, and after reading more about your topic in the scholarly literature, you’ve probably gone back and revised your working question a few times. We’re going to continue that process in more detail in this chapter. Keep in mind that writing research questions is an iterative process, with revisions happening week after week until you are ready to start your project.

Empirical vs. ethical questions

When it comes to research questions, social science is best equipped to answer empirical questions —those that can be answered by real experience in the real world—as opposed to  ethical questions —questions about which people have moral opinions and that may not be answerable in reference to the real world. While social workers have explicit ethical obligations (e.g., service, social justice), research projects ask empirical questions to help actualize and support the work of upholding those ethical principles.

In order to help you better understand the difference between ethical and empirical questions, let’s consider a topic about which people have moral opinions. How about SpongeBob SquarePants? [1] In early 2005, members of the conservative Christian group Focus on the Family (2005) [2] denounced this seemingly innocuous cartoon character as “morally offensive” because they perceived his character to be one that promotes a “pro-gay agenda.” Focus on the Family supported their claim that SpongeBob is immoral by citing his appearance in a children’s video designed to promote tolerance of all family forms (BBC News, 2005). [3] They also cited SpongeBob’s regular hand-holding with his male sidekick Patrick as further evidence of his immorality.

So, can we now conclude that SpongeBob SquarePants is immoral? Not so fast. While your mother or a newspaper or television reporter may provide an answer, a social science researcher cannot. Questions of morality are ethical, not empirical. Of course, this doesn’t mean that social science researchers cannot study opinions about or social meanings surrounding SpongeBob SquarePants (Carter, 2010). [4] We study humans after all, and as you will discover in the following chapters of this textbook, we are trained to utilize a variety of scientific data-collection techniques to understand patterns of human beliefs and behaviors. Using these techniques, we could find out how many people in the United States find SpongeBob morally reprehensible, but we could never learn, empirically, whether SpongeBob is in fact morally reprehensible.

Let’s consider an example from a recent MSW research class I taught. A student group wanted to research the penalties for sexual assault. Their original research question was: “How can prison sentences for sexual assault be so much lower than the penalty for drug possession?” Outside of the research context, that is a darn good question! It speaks to how the War on Drugs and the patriarchy have distorted the criminal justice system towards policing of drug crimes over gender-based violence.

Unfortunately, it is an ethical question, not an empirical one. To answer that question, you would have to draw on philosophy and morality, answering what it is about human nature and society that allows such unjust outcomes. However, you could not answer that question by gathering data about people in the real world. If I asked people that question, they would likely give me their opinions about drugs, gender-based violence, and the criminal justice system. But I wouldn’t get the real answer about why our society tolerates such an imbalance in punishment.

As the students worked on the project through the semester, they continued to focus on the topic of sexual assault in the criminal justice system. Their research question became more empirical because they read more empirical articles about their topic. One option that they considered was to evaluate intervention programs for perpetrators of sexual assault to see if they reduced the likelihood of committing sexual assault again. Another option they considered was seeing if counties or states with higher than average jail sentences for sexual assault perpetrators had lower rates of re-offense for sexual assault. These projects addressed the ethical question of punishing perpetrators of sexual violence but did so in a way that gathered and analyzed empirical real-world data. Our job as social work researchers is to gather social facts about social work issues, not to judge or determine morality.

Key Takeaways

• Empirical questions are distinct from ethical questions.
• There are usually a number of ethical questions and a number of empirical questions that could be asked about any single topic.
• While social workers may research topics about which people have moral opinions, a researcher’s job is to gather and analyze empirical data.
• Take a look at your working question. Make sure you have an empirical question, not an ethical one. To perform this check, describe how you could find an answer to your question by conducting a study, like a survey or focus group, with real people.

9.2 Characteristics of a good research question

• Identify and explain the key features of a good research question
• Explain why it is important for social workers to be focused and clear with the language they use in their research questions

Now that you’ve made sure your working question is empirical, you need to revise that working question into a formal research question. So, what makes a good research question? First, it is generally written in the form of a question. To say that your research question is “the opioid epidemic” or “animal assisted therapy” or “oppression” would not be correct. You need to frame your topic as a question, not a statement. A good research question is also one that is well-focused. A well-focused question helps you tune out irrelevant information and not try to answer everything about the world all at once. You could be the most eloquent writer in your class, or even in the world, but if the research question about which you are writing is unclear, your work will ultimately lack direction.

In addition to being written in the form of a question and being well-focused, a good research question is one that cannot be answered with a simple yes or no. For example, if your interest is in gender norms, you could ask, “Does gender affect a person’s performance of household tasks?” but you will have nothing left to say once you discover your yes or no answer. Instead, why not ask, about the relationship between gender and household tasks. Alternatively, maybe we are interested in how or to what extent gender affects a person’s contributions to housework in a marriage? By tweaking your question in this small way, you suddenly have a much more fascinating question and more to say as you attempt to answer it.

A good research question should also have more than one plausible answer. In the example above, the student who studied the relationship between gender and household tasks had a specific interest in the impact of gender, but she also knew that preferences might be impacted by other factors. For example, she knew from her own experience that her more traditional and socially conservative friends were more likely to see household tasks as part of the female domain, and were less likely to expect their male partners to contribute to those tasks. Thinking through the possible relationships between gender, culture, and household tasks led that student to realize that there were many plausible answers to her questions about how  gender affects a person’s contribution to household tasks. Because gender doesn’t exist in a vacuum, she wisely felt that she needed to consider other characteristics that work together with gender to shape people’s behaviors, likes, and dislikes. By doing this, the student considered the third feature of a good research question–she thought about relationships between several concepts. While she began with an interest in a single concept—household tasks—by asking herself what other concepts (such as gender or political orientation) might be related to her original interest, she was able to form a question that considered the relationships  among  those concepts.

This student had one final component to consider. Social work research questions must contain a target population. Her study would be very different if she were to conduct it on older adults or immigrants who just arrived in a new country. The target population is the group of people whose needs your study addresses. Maybe the student noticed issues with household tasks as part of her social work practice with first-generation immigrants, and so she made it her target population. Maybe she wants to address the needs of another community. Whatever the case, the target population should be chosen while keeping in mind social work’s responsibility to work on behalf of marginalized and oppressed groups.

In sum, a good research question generally has the following features:

• It is written in the form of a question
• It is clearly written
• It cannot be answered with “yes” or “no”
• It has more than one plausible answer
• It considers relationships among multiple variables
• It is specific and clear about the concepts it addresses
• It includes a target population
• A poorly focused research question can lead to the demise of an otherwise well-executed study.
• Research questions should be clearly worded, consider relationships between multiple variables, have more than one plausible answer, and address the needs of a target population.

Okay, it’s time to write out your first draft of a research question.

• Once you’ve done so, take a look at the checklist in this chapter and see if your research question meets the criteria to be a good one.

Brainstorm whether your research question might be better suited to quantitative or qualitative methods.

• Describe why your question fits better with quantitative or qualitative methods.
• Provide an alternative research question that fits with the other type of research method.

9.3 Quantitative research questions

• Describe how research questions for exploratory, descriptive, and explanatory quantitative questions differ and how to phrase them
• Identify the differences between and provide examples of strong and weak explanatory research questions

Quantitative descriptive questions

The type of research you are conducting will impact the research question that you ask. Probably the easiest questions to think of are quantitative descriptive questions. For example, “What is the average student debt load of MSW students?” is a descriptive question—and an important one. We aren’t trying to build a causal relationship here. We’re simply trying to describe how much debt MSW students carry. Quantitative descriptive questions like this one are helpful in social work practice as part of community scans, in which human service agencies survey the various needs of the community they serve. If the scan reveals that the community requires more services related to housing, child care, or day treatment for people with disabilities, a nonprofit office can use the community scan to create new programs that meet a defined community need.

Quantitative descriptive questions will often ask for percentage, count the number of instances of a phenomenon, or determine an average. Descriptive questions may only include one variable, such as ours about student debt load, or they may include multiple variables. Because these are descriptive questions, our purpose is not to investigate causal relationships between variables. To do that, we need to use a quantitative explanatory question.

Quantitative explanatory questions

Most studies you read in the academic literature will be quantitative and explanatory. Why is that? If you recall from Chapter 2 , explanatory research tries to build nomothetic causal relationships. They are generalizable across space and time, so they are applicable to a wide audience. The editorial board of a journal wants to make sure their content will be useful to as many people as possible, so it’s not surprising that quantitative research dominates the academic literature.

Structurally, quantitative explanatory questions must contain an independent variable and dependent variable. Questions should ask about the relationship between these variables. The standard format I was taught in graduate school for an explanatory quantitative research question is: “What is the relationship between [independent variable] and [dependent variable] for [target population]?” You should play with the wording for your research question, revising that standard format to match what you really want to know about your topic.

Let’s take a look at a few more examples of possible research questions and consider the relative strengths and weaknesses of each. Table 9.1 does just that. While reading the table, keep in mind that I have only noted what I view to be the most relevant strengths and weaknesses of each question. Certainly each question may have additional strengths and weaknesses not noted in the table. Each of these questions is drawn from student projects in my research methods classes and reflects the work of many students on their research question over many weeks.

Making it more specific

A good research question should also be specific and clear about the concepts it addresses. A student investigating gender and household tasks knows what they mean by “household tasks.” You likely also have an impression of what “household tasks” means. But are your definition and the student’s definition the same? A participant in their study may think that managing finances and performing home maintenance are household tasks, but the researcher may be interested in other tasks like childcare or cleaning. The only way to ensure your study stays focused and clear is to be specific about what you mean by a concept. The student in our example could pick a specific household task that was interesting to them or that the literature indicated was important—for example, childcare. Or, the student could have a broader view of household tasks, one that encompasses childcare, food preparation, financial management, home repair, and care for relatives. Any option is probably okay, as long as the researcher is clear on what they mean by “household tasks.” Clarifying these distinctions is important as we look ahead to specifying how your variables will be measured in Chapter 11 .

Table 9.2 contains some “watch words” that indicate you may need to be more specific about the concepts in your research question.

It can be challenging to be this specific in social work research, particularly when you are just starting out your project and still reading the literature. If you’ve only read one or two articles on your topic, it can be hard to know what you are interested in studying. Broad questions like “What are the causes of chronic homelessness, and what can be done to prevent it?” are common at the beginning stages of a research project as working questions. However, moving from working questions to research questions in your research proposal requires that you examine the literature on the topic and refine your question over time to be more specific and clear. Perhaps you want to study the effect of a specific anti-homelessness program that you found in the literature. Maybe there is a particular model to fighting homelessness, like Housing First or transitional housing, that you want to investigate further. You may want to focus on a potential cause of homelessness such as LGBTQ+ discrimination that you find interesting or relevant to your practice. As you can see, the possibilities for making your question more specific are almost infinite.

Quantitative exploratory questions

In exploratory research, the researcher doesn’t quite know the lay of the land yet. If someone is proposing to conduct an exploratory quantitative project, the watch words highlighted in Table 9.2 are not problematic at all. In fact, questions such as “What factors influence the removal of children in child welfare cases?” are good because they will explore a variety of factors or causes. In this question, the independent variable is less clearly written, but the dependent variable, family preservation outcomes, is quite clearly written. The inverse can also be true. If we were to ask, “What outcomes are associated with family preservation services in child welfare?”, we would have a clear independent variable, family preservation services, but an unclear dependent variable, outcomes. Because we are only conducting exploratory research on a topic, we may not have an idea of what concepts may comprise our “outcomes” or “factors.” Only after interacting with our participants will we be able to understand which concepts are important.

Remember that exploratory research is appropriate only when the researcher does not know much about topic because there is very little scholarly research. In our examples above, there is extensive literature on the outcomes in family reunification programs and risk factors for child removal in child welfare. Make sure you’ve done a thorough literature review to ensure there is little relevant research to guide you towards a more explanatory question.

• Descriptive quantitative research questions are helpful for community scans but cannot investigate causal relationships between variables.
• Explanatory quantitative research questions must include an independent and dependent variable.
• Exploratory quantitative research questions should only be considered when there is very little previous research on your topic.
• Identify the type of research you are engaged in (descriptive, explanatory, or exploratory).
• Create a quantitative research question for your project that matches with the type of research you are engaged in.

Preferably, you should be creating an explanatory research question for quantitative research.

9.4 Qualitative research questions

• List the key terms associated with qualitative research questions
• Distinguish between qualitative and quantitative research questions

Qualitative research questions differ from quantitative research questions. Because qualitative research questions seek to explore or describe phenomena, not provide a neat nomothetic explanation, they are often more general and openly worded. They may include only one concept, though many include more than one. Instead of asking how one variable causes changes in another, we are instead trying to understand the experiences ,  understandings , and  meanings that people have about the concepts in our research question. These keywords often make an appearance in qualitative research questions.

Let’s work through an example from our last section. In Table 9.1, a student asked, “What is the relationship between sexual orientation or gender identity and homelessness for late adolescents in foster care?” In this question, it is pretty clear that the student believes that adolescents in foster care who identify as LGBTQ+ may be at greater risk for homelessness. This is a nomothetic causal relationship—LGBTQ+ status causes changes in homelessness.

However, what if the student were less interested in  predicting  homelessness based on LGBTQ+ status and more interested in  understanding  the stories of foster care youth who identify as LGBTQ+ and may be at risk for homelessness? In that case, the researcher would be building an idiographic causal explanation . The youths whom the researcher interviews may share stories of how their foster families, caseworkers, and others treated them. They may share stories about how they thought of their own sexuality or gender identity and how it changed over time. They may have different ideas about what it means to transition out of foster care.

Because qualitative questions usually center on idiographic causal relationships, they look different than quantitative questions. Table 9.3 below takes the final research questions from Table 9.1 and adapts them for qualitative research. The guidelines for research questions previously described in this chapter still apply, but there are some new elements to qualitative research questions that are not present in quantitative questions.

• Qualitative research questions often ask about lived experience, personal experience, understanding, meaning, and stories.
• Qualitative research questions may be more general and less specific.
• Qualitative research questions may also contain only one variable, rather than asking about relationships between multiple variables.

Qualitative research questions have one final feature that distinguishes them from quantitative research questions: they can change over the course of a study. Qualitative research is a reflexive process, one in which the researcher adapts their approach based on what participants say and do. The researcher must constantly evaluate whether their question is important and relevant to the participants. As the researcher gains information from participants, it is normal for the focus of the inquiry to shift.

For example, a qualitative researcher may want to study how a new truancy rule impacts youth at risk of expulsion. However, after interviewing some of the youth in their community, a researcher might find that the rule is actually irrelevant to their behavior and thoughts. Instead, their participants will direct the discussion to their frustration with the school administrators or the lack of job opportunities in the area. This is a natural part of qualitative research, and it is normal for research questions and hypothesis to evolve based on information gleaned from participants.

However, this reflexivity and openness unacceptable in quantitative research for good reasons. Researchers using quantitative methods are testing a hypothesis, and if they could revise that hypothesis to match what they found, they could never be wrong! Indeed, an important component of open science and reproducability is the preregistration of a researcher’s hypotheses and data analysis plan in a central repository that can be verified and replicated by reviewers and other researchers. This interactive graphic from 538 shows how an unscrupulous research could come up with a hypothesis and theoretical explanation  after collecting data by hunting for a combination of factors that results in a statistically significant relationship. This is an excellent example of how the positivist assumptions behind quantitative research and intepretivist assumptions behind qualitative research result in different approaches to social science.

• Qualitative research questions often contain words or phrases like “lived experience,” “personal experience,” “understanding,” “meaning,” and “stories.”
• Qualitative research questions can change and evolve over the course of the study.
• Using the guidance in this chapter, write a qualitative research question. You may want to use some of the keywords mentioned above.

9.5 Evaluating and updating your research questions

• Evaluate the feasibility and importance of your research questions
• Begin to match your research questions to specific designs that determine what the participants in your study will do

Feasibility and importance

As you are getting ready to finalize your research question and move into designing your research study, it is important to check whether your research question is feasible for you to answer and what importance your results will have in the community, among your participants, and in the scientific literature

Key questions to consider when evaluating your question’s feasibility include:

• Do you have access to the data you need?
• Will you be able to get consent from stakeholders, gatekeepers, and others?
• Does your project pose risk to individuals through direct harm, dual relationships, or breaches in confidentiality? (see Chapter 6 for more ethical considerations)
• Are you competent enough to complete the study?
• Do you have the resources and time needed to carry out the project?

Key questions to consider when evaluating the importance of your question include:

• Can we answer your research question simply by looking at the literature on your topic?
• How does your question add something new to the scholarly literature? (raises a new issue, addresses a controversy, studies a new population, etc.)
• How will your target population benefit, once you answer your research question?
• How will the community, social work practice, and the broader social world benefit, once you answer your research question?
• Using the questions above, check whether you think your project is feasible for you to complete, given the constrains that student projects face.
• Realistically, explore the potential impact of your project on the community and in the scientific literature. Make sure your question cannot be answered by simply reading more about your topic.

Matching your research question and study design

This chapter described how to create a good quantitative and qualitative research question. In Parts 3 and 4 of this textbook, we will detail some of the basic designs like surveys and interviews that social scientists use to answer their research questions. But which design should you choose?

As with most things, it all depends on your research question. If your research question involves, for example, testing a new intervention, you will likely want to use an experimental design. On the other hand, if you want to know the lived experience of people in a public housing building, you probably want to use an interview or focus group design.

We will learn more about each one of these designs in the remainder of this textbook. We will also learn about using data that already exists, studying an individual client inside clinical practice, and evaluating programs, which are other examples of designs. Below is a list of designs we will cover in this textbook:

• Surveys: online, phone, mail, in-person
• Experiments: classic, pre-experiments, quasi-experiments
• Interviews: in-person or via phone or videoconference
• Focus groups: in-person or via videoconference
• Content analysis of existing data
• Secondary data analysis of another researcher’s data
• Program evaluation

The design of your research study determines what you and your participants will do. In an experiment, for example, the researcher will introduce a stimulus or treatment to participants and measure their responses. In contrast, a content analysis may not have participants at all, and the researcher may simply read the marketing materials for a corporation or look at a politician’s speeches to conduct the data analysis for the study.

I imagine that a content analysis probably seems easier to accomplish than an experiment. However, as a researcher, you have to choose a research design that makes sense for your question and that is feasible to complete with the resources you have. All research projects require some resources to accomplish. Make sure your design is one you can carry out with the resources (time, money, staff, etc.) that you have.

There are so many different designs that exist in the social science literature that it would be impossible to include them all in this textbook. The purpose of the subsequent chapters is to help you understand the basic designs upon which these more advanced designs are built. As you learn more about research design, you will likely find yourself revising your research question to make sure it fits with the design. At the same time, your research question as it exists now should influence the design you end up choosing. There is no set order in which these should happen. Instead, your research project should be guided by whether you can feasibly carry it out and contribute new and important knowledge to the world.

• Research questions must be feasible and important.
• Research questions must match study design.
• Based on what you know about designs like surveys, experiments, and interviews, describe how you might use one of them to answer your research question.
• You may want to refer back to Chapter 2 which discusses how to get raw data about your topic and the common designs used in student research projects.
• Not familiar with SpongeBob SquarePants? You can learn more about him on Nickelodeon’s site dedicated to all things SpongeBob:  http://www.nick.com/spongebob-squarepants/ ↵
• Focus on the Family. (2005, January 26). Focus on SpongeBob.  Christianity Today . Retrieved from  http://www.christianitytoday.com/ct/2005/januaryweb-only/34.0c.html ↵
• BBC News. (2005, January 20). US right attacks SpongeBob video. Retrieved from:  http://news.bbc.co.uk/2/hi/americas/4190699.stm ↵
• In fact, an MA thesis examines representations of gender and relationships in the cartoon: Carter, A. C. (2010).  Constructing gender and   relationships in “SpongeBob SquarePants”: Who lives in a pineapple under the sea . MA thesis, Department of Communication, University of South Alabama, Mobile, AL. ↵
• Writing from an outline (10 minute read plus an 8 minute video, and then a 15 minute video)
• Writing your literature review (30 minute read)

Content warning: TBA

6.1: Writing from an outline

Learners will be able to...

• Integrate facts from the literature into scholarly writing
• Experiment with different approaches to integrating information that do not involve direct quotations from other authors

Congratulations! By now, you should have discovered, retrieved, evaluated, synthesized, and organized the information you need for your literature review. It’s now time to turn that stack of articles, papers, and notes into a literature review–it’s time to start writing!

The first step in research writing is outlining. In Chapter 4, we reviewed how to build a topical outline using quotations and facts from other authors. Use that outline (or one you write now) as a way to organize your thoughts.

Watch this video from Nicholas Cifuentes-Goodbody on Outlining . As he highlights, outlining is like building a mise en place before a meal--arranging your ingredients in an orderly way so you can create your masterpiece.

From quotations to original writing

Much like combining ingredients on a kitchen countertop, you will need to mix your ingredients together. That means you will not be relying extensively on quotations from other authors in your literature review. In moving from an outline to a literature review, the key intellectual move is relying on your own ideas about the literature, rather than quoting extensively from other sources.

Integrating ideas from other authors

Watch this video from Nicholas Cifuentes-Goodbody on using quotations in academic writing . In the video, he reviews a few different techniques to integrate quotations or ideas from other authors into your writing. All literature reviews use the ideas from other authors, but it's important not to overuse others' words. Your literature review is evaluated by your professor based on how well it shows  you are able to make connections between different facts in the scientific literature. The examples in this section should highlight how to get other people's words out of the way of your own. Use these strategies to diversify your writing and show your readers how your sources contributed to your work.

1. Make a claim without a quote

Claim ( Citation )

Some view cities as the storehouse of culture and creativity, and propose that urbanization is a consequence of the attractiveness of these social benefits ( Mumford, 1961 ).

More information

Oftentimes you do not need to directly quote a source to convey its conclusions or arguments – and some disciplines discourage quoting directly! Rather you can paraphrase the main point of a paper in your own words and provide an in-text citation. A benefit of using this strategy is that you can offer support for a claim without using a whole paragraph to introduce and frame a quote. You should make sure that you fully understand the paper's argument and that you are following university citation guidelines before attempting to paraphrase something from a paper.

2. Make a claim that is supported by two or more sources:

Claim ( Citation 1 ; Citation 2 ).

Reviews of this literature concede difficulty in making direct comparisons of emission levels across different sets of analysis ( Bader and Bleischwitz, 2009 ; Kennedy et al., 2009 ; Ramaswami et al., 2012 ).

Sometimes multiple sources support your claim, or there are two major publications that deserve credit for providing evidence on a topic. This is a perfect time to use multiple citations. You can cite two, three, or more sources in a single sentence!

Make a claim that has been supported in multiple contexts:

Context 1 ( Citation ), Context 2 ( Citation ), Context 3 ( Citation ).

These results are supported by more recent research on transportation energy consumption ( Liddle, 2014 ), electricity consumption in buildings ( Lariviere and Lafrance, 1999 ), and overall urban GHG emissions ( Marcotullio et al., 2013b ).

More information:

Use this citation strategy when you want to show that a body of research has found support for some claim across several different contexts. This can show the robustness of an effect or phenomenon and can give your claim some added validity

3. Quote important or unique terms

Claim " Term " ( Citation ).

The spatial implications of this thinking are manifest in the " concentric ring model " of urban expansion and its variants ( Harris and Ullman, 1945 ).

While block or even whole-sentence citations are rare in most research papers in the science and social science disciplines, there is often a need to quote specific terms or phrases that were first coined by a certain source or that were well-explained in a specific paper.

4. Quoting definitions

Contextualize quote , " important word or phrase ."

Role conflict is defined as "A situation in which contradictory, competing, or incompatible expectations are placed on an individual by two or more roles held at the same time" (Open Sociology Dictionary, 2023); whereas, role strain is defined as "a situation caused by higher-than-expected demands placed on an individual performing a specific role that leads to difficulty or stress" (Open Sociology Dictionary, 2023). In our study, we hypothesize that caregivers who reenter higher education experience role conflict between school work, paid work, and care work. Further, we hypothesize that this conflict is greater in individuals who had experienced role strain in employment or caregiving prior to entering college.

A direct quotation can bring attention to specific language in your source. When someone puts something perfectly, you can use a quotation to convey the identical meaning in your work. Definitions are an excellent example of when to use a quotation. In other cases, there may be quotations from important thinkers, clients or community members, and others whose specific wording is important.

I encourage you to use few, if any, direct quotations in your literature review. Personally, I think most students are scared of looking stupid and would rather use a good quotation than risk not getting it right. If you are a student who considers themselves a strong writer, this may not sound relevant to you. However, I'm willing to bet that there are many of your peers for whom this describes a particular bit of research anxiety.

When using quotations, make sure to only include the parts of the quotation that are necessary. You do not need to use quotation marks for statistics you use. And I encourage you to find ways to put others' statistics in  your sentences.

Why share information from other sources?

Now that you know some different sentence structures using APA citations, let's examine the purpose behind why you are sharing information from another source. Cited evidence can serve a wide range of purposes in academic papers. These examples will give you an idea of the different ways that you can use citations in your paper.

1. Summarize your source

The studies of Newman and Kenworthy ( 1989, 1999 ) demonstrate a negative relationship between population density and transportation fuel use .

You will help your reader understand your points better if you summarize the key points of a study. Describe the strengths or weaknesses a specific source that has been pivotal in your field. Describe the source's specific methodology, theory, or approach. Be sure to still include a citation. If you mention the name of the author in your text, you still need to provide the date of the study in a parenthetical citation.

2. Cite a method

Despite the popularity of the WUP indicators , they have been routinely criticized because the methodology relies on local- and country-specific definitions of bounding urban areas, resulting in of ten incomparable and widely divergent definitions of the population, density thresholds, or administrative/political units designated ( Satterthwaite, 2007 ).

This is an easy way to give credit to a source that has provided some evidence for the validity of a method or questionnaire. Readers can reference your citation if they are interested in knowing more about the method and its standing in the current literature.

3. Compare sources

Some evidence for this scaling relationship suggests that urban areas with larger population sizes have proportionally smaller energy infrastructures than smaller cities ( Bettencourt et al., 2007 ; Fragkias et al., 2013 ). Other evidence suggests that GHG emissions may increase more than proportionally to population size, such that larger cities exhibit proportionally higher energy demand as they grow than do smaller cities ( Marcotullio et al., 2013 ).

This is one of the most important techniques for creating an effective literature review. This allows you and your readers to consider controversies and discrepancies among the current literature, revealing gaps in the literature or points of contention for further study.

The examples in this guide come from:

Marcotullio, P. J., Hughes, S., Sarzynski, A., Pincetl, S., Sanchez Peña, L., Romero-Lankao, P., Runfola, D. and Seto, K. C. (2014), Urbanization and the carbon cycle: Contributions from social science. Earth's Future, 2: 496–514. doi:10.1002/2014EF000257

Avoiding plagiarism

The most difficult thing about avoiding plagiarism is that reading so much of other people's ideas can make them seem like your own after a while. We recommend you work through this interactive activity on determining how and when to cite other authors.

• Research writing requires outlining, which helps you arrange your facts neatly before writing. It's similar to arranging all of your ingredients before you start cooking.
• Eliminate quotations from your writing as much as possible. Your literature review needs to be your analysis of the literature, not just a summary of other people's good ideas.
• Experiment with the prompts in this chapter as you begin to write your research question. 

6.2 Writing your literature review

• Describe the components of a literature review
• Begin to write your literature review
• Identify the purpose of a problem statement
• Apply the components of a formal argument to your topic
• Use elements of formal writing style, including signposting and transitions
• Recognize commons errors in literature reviews

Writing about research is different than other types of writing. Research writing is not like a journal entry or opinion paper. The goal here is not to apply your research question to your life or growth as a practitioner. Research writing is about the provision and interpretation of facts. The tone should be objective and unbiased, and personal experiences and opinions are excluded. Particularly for students who are used to writing case notes, research writing can be a challenge. That's why its important to normalize getting help! If your professor has not built in peer review, consider setting up a peer review group among your peers. You should also reach out to your academic advisor to see if there are writing services on your campus available to graduate students. No one should feel bad for needing help with something they haven't done before, haven't done in a while, or were never taught how to do. 

If you’ve followed the steps in this chapter, you likely have an outline, summary table, and concept map from which you can begin the writing process. But what do you need to include in your literature review? We’ve mentioned it before, but to summarize, a literature review should:

• Introduce the topic and define its key terms.
• Establish the importance of the topic.
• Provide an overview of the important literature related to the concepts found in the research question.
• Identify gaps or controversies in the literature.
• Point out consistent findings across studies.
• Synthesize that which is known about a topic, rather than just provide a summary of the articles you read.
• Discuss possible implications and directions for future research.

Do you have enough facts and sources to accomplish these tasks? It’s a good time to consult your outlines and notes on each article you plan to include in your literature review. You may also want to consult with your professor on what is expected of you. If there is something you are missing, you may want to jump back to section 2.3 where we discussed how to search for literature. While you can always fill in material, there is the danger that you will start writing without really knowing what you are talking about or what you want to say. For example, if you don’t have a solid definition of your key concepts or a sense of how the literature has developed over time, it will be difficult to make coherent scholarly claims about your topic.

There is no magical point at which one is ready to write. As you consider whether you are ready, it may be useful to ask yourself these questions:

• How will my literature review be organized?
• What section headings will I be using?
• How do the various studies relate to each other?
• What contributions do they make to the field?
• Where are the gaps or limitations in existing research?
• And finally, but most importantly, how does my own research fit into what has already been done?

The problem statement

Scholarly works often begin with a problem statement, which serves two functions. First, it establishes why your topic is a social problem worth studying. Second, it pulls your reader into the literature review. Who would want to read about something unimportant?

A problem statement generally answers the following questions, though these are far from exhaustive:

• Why is this an important problem to study?
• How many people are affected by this problem?
• How does this problem impact other social issues relevant to social work?
• Why is your target population an important one to study?

A strong problem statement, like the rest of your literature review, should be filled with empirical results, theory, and arguments based on the extant literature. A research proposal differs significantly from other more reflective essays you’ve likely completed during your social work studies. If your topic were domestic violence in rural Appalachia, I’m sure you could come up with answers to the above questions without looking at a single source. However, the purpose of the literature review is not to test your intuition, personal experience, or empathy. Instead, research methods are about gaining specific and articulable knowledge to inform action. With a problem statement, you can take a “boring” topic like the color of rooms used in an inpatient psychiatric facility, transportation patterns in major cities, or the materials used to manufacture baby bottles, and help others see the topic as you see it—an important part of the social world that impacts social work practice.

The structure of a literature review

In general, the problem statement belongs at the beginning of the literature review. We usually advise students to spend no more than a paragraph or two for a problem statement. For the rest of your literature review, there is no set formula by which it needs to be organized. However, a literature review generally follows the format of any other essay—Introduction, Body, and Conclusion.

The introduction to the literature review contains a statement or statements about the overall topic. At a minimum, the introduction should define or identify the general topic, issue, or area of concern. You might consider presenting historical background, mentioning the results of a seminal study, and providing definitions of important terms. The introduction may also point to overall trends in what has been previously published on the topic or on conflicts in theory, methodology, evidence, conclusions, or gaps in research and scholarship. We also suggest putting in a few sentences that walk the reader through the rest of the literature review. Highlight your main arguments from the body of the literature review and preview your conclusion. An introduction should let the reader know what to expect from the rest of your review.

The body of your literature review is where you demonstrate your synthesis and analysis of the literature. Again, do not just summarize the literature. We would also caution against organizing your literature review by source—that is, one paragraph for source A, one paragraph for source B, etc. That structure will likely provide an adequate summary of the literature you’ve found, but it would give you almost no synthesis of the literature. That approach doesn’t tell your reader how to put those facts together, it doesn't highlight points of agreement or contention, or how each study builds on the work of others. In short, it does not demonstrate critical thinking.

Organize your review by argument

Instead, use your outlines and notes as a guide what you have to say about the important topics you need to cover. Literature reviews are written from the perspective of an expert in that field. After an exhaustive literature review, you should feel as though you are able to make strong claims about what is true—so make them! There is no need to hide behind “I believe” or “I think.” Put your voice out in front, loud and proud! But make sure you have facts and sources that back up your claims.

I’ve used the term “ argument ” here in a specific way. An argument in writing means more than simply disagreeing with what someone else said, as this classic Monty Python sketch demonstrates. Toulman, Rieke, and Janik (1984) identify six elements of an argument:

• Claim: the thesis statement—what you are trying to prove
• Grounds: theoretical or empirical evidence that supports your claim
• Warrant: your reasoning (rule or principle) connecting the claim and its grounds
• Backing: further facts used to support or legitimize the warrant
• Qualifier: acknowledging that the argument may not be true for all cases
• Rebuttal: considering both sides (as cited in Burnette, 2012) [1]

Let’s walk through an example. If I were writing a literature review on a negative income tax, a policy in which people in poverty receive an unconditional cash stipend from the government each month equal to the federal poverty level, I would want to lay out the following:

• Claim: the negative income tax is superior to other forms of anti-poverty assistance.
• Grounds: data comparing negative income tax recipients to people receiving anti-poverty assistance in existing programs, theory supporting a negative income tax, data from evaluations of existing anti-poverty programs, etc.
• Warrant: cash-based programs like the negative income tax are superior to existing anti-poverty programs because they allow the recipient greater self-determination over how to spend their money.
• Backing: data demonstrating the beneficial effects of self-determination on people in poverty.
• Qualifier: the negative income tax does not provide taxpayers and voters with enough control to make sure people in poverty are not wasting financial assistance on frivolous items.
• Rebuttal: policy should be about empowering the oppressed, not protecting the taxpayer, and there are ways of addressing taxpayer spending concerns through policy design.

Like any effective argument, your literature review must have some kind of structure. For example, it might begin by describing a phenomenon in a general way along with several studies that provide some detail, then describing two or more competing theories of the phenomenon, and finally presenting a hypothesis to test one or more of the theories. Or, it might describe one phenomenon, then describe another that seems inconsistent with the first, then propose a theory that resolves the inconsistency, and finally present a hypothesis to test that theory. In applied research, it might describe a phenomenon or theory, then describe how that phenomenon or theory applies to some important real-world situation, and finally, may suggest a way to test whether it does, in fact, apply to that situation.

Use signposts

Another important issue is  signposting . It may not be a term you are familiar with, but you are likely familiar with the concept. Signposting refers to the words used to identify the organization and structure of your literature review to your reader. The most basic form of signposting is using a topic sentence at the beginning of each paragraph. A topic sentence introduces the argument you plan to make in that paragraph. For example, you might start a paragraph stating, “There is strong disagreement in the literature as to whether psychedelic drugs cause people to develop psychotic disorders, or whether psychotic disorders cause people to use psychedelic drugs.” Within that paragraph, your reader would likely assume you will present evidence for both arguments. The concluding sentence of your paragraph should address the topic sentence, discussing how the facts and arguments from the paragraph you've written support a specific conclusion. To continue with our example, I might say, “There is likely a reciprocal effect in which both the use of psychedelic drugs worsens pre-psychotic symptoms and worsening psychosis increases the desire to use psychedelic drugs.”

Signposting also involves using headings and subheadings. Your literature review will use APA formatting, which means you need to follow their rules for bolding, capitalization, italicization, and indentation of headings. Headings help your reader understand the structure of your literature review. They can also help if the reader gets lost and needs to re-orient themselves within the document. We often tell our students to assume we know nothing (they don’t mind) and need to be shown exactly where they are addressing each part of the literature review. It’s like walking a small child around, telling them “First we’ll do this, then we’ll do that, and when we’re done, we’ll know this!”

Another way to use signposting is to open each paragraph with a sentence that links the topic of the paragraph with the one before it. Alternatively, one could end each paragraph with a sentence that links it with the next paragraph. For example, imagine we wanted to link a paragraph about barriers to accessing healthcare with one about the relationship between the patient and physician. We could use a transition sentence like this: “Even if patients overcome these barriers to accessing care, the physician-patient relationship can create new barriers to positive health outcomes.” A transition sentence like this builds a connection between two distinct topics. Transition sentences are also useful within paragraphs. They tell the reader how to consider one piece of information in light of previous information. Even simple transitional words like 'however' and 'similarly' can help demonstrate critical thinking and link each building block of your argument together.

Many beginning researchers have difficulty incorporating transitions into their writing. Let’s look at an example. Instead of beginning a sentence or paragraph by launching into a description of a study, such as “Williams (2004) found that…,” it is better to start by indicating something about why you are describing this particular study. Here are some simple examples:

• Another example of this phenomenon comes from the work of Williams (2004)...
• Williams (2004) offers one explanation of this phenomenon...
• An alternative perspective has been provided by Williams (2004)...

Now that we know to use signposts, the natural question is “What goes on the signposts?” First, it is important to start with an outline of the main points that you want to make, organized in the order you want to make them. The basic structure of your argument should then be apparent from the outline itself. Unfortunately, there is no formula we can give you that will work for everyone, but we can provide some general pointers on structuring your literature review.

The literature review tends to move from general to more specific ideas. You can build a review by identifying areas of consensus and areas of disagreement. You may choose to present historical studies—preferably seminal studies that are of significant importance—and close with the most recent research. Another approach is to start with the most distantly related facts and literature and then report on those most closely related to your research question. You could also compare and contrast valid approaches, features, characteristics, theories – that is, one approach, then a second approach, followed by a third approach.

Here are some additional tips for writing the body of your literature review:

• Start broad and then narrow down to more specific information.
• When appropriate, cite two or more sources for a single point, but avoid long strings of references for a single idea.
• Use quotes sparingly. Quotations for definitions are okay, but reserve quotes for when something is said so well you couldn’t possible phrase it differently. Never use quotes for statistics.
• Paraphrase when you need to relay the specific details within an article
• Include only the aspects of the study that are relevant to your literature review. Don’t insert extra facts about a study just to take up space.
• Avoid reflective, personal writing. It is traditional to avoid using first-person language (I, we, us, etc.).
• Avoid informal language like contractions, idioms, and rhetorical questions.
• Note any sections of your review that lack citations from the literature. Your arguments need to be based in empirical or theoretical facts. Do not approach this like a reflective journal entry.
• Point out consistent findings and emphasize stronger studies over weaker ones.
• Point out important strengths and weaknesses of research studies, as well as contradictions and inconsistent findings.
• Implications and suggestions for further research (where there are gaps in the current literature) should be specific.

The conclusion should summarize your literature review, discuss implications, and create a space for further research needed in this area. Your conclusion, like the rest of your literature review, should make a point. What are the important implications of your literature review? How do they inform the question you are trying to answer?

You should consult with your professor and the course syllabus about the final structure your literature review should take. Here is an example of one possible structure:

• Establish the importance of the topic
• Number and type of people affected
• Seriousness of the impact
• Physical, psychological, economic, social, or spiritual consequences of the problem
• Definitions of key terms
• Supporting evidence
• Common findings across studies, gaps in the literature
• Research question(s) and hypothesis(es)

Editing your literature review

Literature reviews are more than a summary of the publications you find on a topic. As you have seen in this brief introduction, literature reviews represent a very specific type of research, analysis, and writing. We will explore these topics further in upcoming chapters. As you begin your literature review, here are some common errors to avoid:

• Accepting a researcher’s finding as valid without evaluating methodology and data
• Ignoring contrary findings and alternative interpretations
• Using findings that are not clearly related to your own study or using findings that are too general
• Dedicating insufficient time to literature searching
• Reporting statistical results from a single study, rather than synthesizing the results of multiple studies to provide a comprehensive view of the literature on a topic
• Relying too heavily on secondary sources
• Overusing quotations
• Not justifying arguments using specific facts or theories from the literature

For your literature review, remember that your goal is to construct an argument for the importance of your research question. As you start editing your literature review, make sure it is balanced. Accurately report common findings, areas where studies contradict each other, new theories or perspectives, and how studies cause us to reaffirm or challenge our understanding of your topic.

It is acceptable to argue that the balance of the research supports the existence of a phenomenon or is consistent with a theory (and that is usually the best that researchers in social work can hope for), but it is not acceptable to ignore contradictory evidence. A large part of what makes a research question interesting is uncertainty about its answer (University of Minnesota, 2016). [2]

In addition to subjectivity and bias, writer's block can obstruct the completion of your literature review. Often times, writer’s block can stem from confusing the creating and editing parts of the writing process. Many writers often start by simply trying to type out what they want to say, regardless of how good it is. Author Anne Lamott (1995) [3] terms these “shitty first drafts,” and we all write them. They are a natural and important part of the writing process.

Even if you have a detailed outline from which to work, the words are not going to fall into place perfectly the first time you start writing. You should consider turning off the editing and critiquing part of your brain for a while and allow your thoughts to flow. Don’t worry about putting a correctly formatted internal citation (as long as  you know which source you used there) when you first write. Just get the information out. Only after you’ve reached a natural stopping point might you go back and edit your draft for grammar, APA style, organization, flow, and more. Divorcing the writing and editing process can go a long way to addressing writer’s block—as can picking a topic about which you have something to say!

As you are editing, keep in mind these questions adapted from Green (2012): [4]

• Content: Have I clearly stated the main idea or purpose of the paper? Is the thesis or focus clearly presented and appropriate for the reader?
• Organization: How well is it structured? Is the organization spelled out and easy to follow for the reader ?
• Flow: Is there a logical flow from section to section, paragraph to paragraph, sentence to sentence? Are there transitions between and within paragraphs that link ideas together?
• Development: Have I validated the main idea with supporting material? Are supporting data sufficient? Does the conclusion match the introduction?
• Form: Are there any APA style issues, redundancy, problematic wording and terminology (always know the definition of any word you use!), flawed sentence constructions and selection, spelling, and punctuation?

Social workers use the APA style guide to format and structure their literature reviews. Most students know APA style only as it relates to internal and external citations. If you are confused about them, consult this amazing APA style guide from the University of Texas-Arlington library. Your university's library likely has resources they created to help you with APA style, and you can meet with a librarian or your professor to talk about formatting questions you have. Make sure you budget in a few hours at the end of each project to build a correctly formatted references page and check your internal citations. The highest quality online source of information on APA style is the APA style blog, where you can search questions and answers from the

Of course, APA style is about much more than knowing there is a period after "et al." or citing the location a book was published. APA style is also about what the profession considers to be good writing. If you haven't picked up an APA publication manual because you use citation generators, know that I did the same thing when I was in school. Purchasing the APA manual can help you with a common problem we hear about from students. Every professor (and every website about APA style) seems to have their own peculiar idea of "correct" APA style that you can, if needed, demonstrate is not accurate.

• A literature review is not a book report. Do not organize it by article, with one paragraph for each source in your references. Instead, organize it based on the key ideas and arguments.
• The problem statement draws the reader into your topic by highlighting the importance of the topic to social work and to society overall.
• Signposting is an important component of academic writing that helps your reader follow the structure of your argument and of your literature review.
• Transitions demonstrate critical thinking and help guide your reader through your arguments.
• Editing and writing are separate processes.
• Consult with an APA style guide or a librarian to help you format your paper.

Look at your professor's prompt for the literature review component of your research proposal (or if you don't have one, use the example question provided in this section).

• Write 2-3 facts you would use to address each question or component in the prompt.
• Reflect on which questions you have a lot of information about and which you need to gather more information about in order to answer adequately.

Outline the structure of your literature review using your concept map from Section 5.2 as a guide.

• Identify the key arguments you will make and how they are related to each other.
• Reflect on topic sentences and concluding sentences you would use for each argument.
• Human subjects research (19 minute read)
• Specific ethical issues to consider (12 minute read)
• Benefits and harms of research across the ecosystem (7 minute read)
• Being an ethical researcher (8 minute read)

Content warning: examples in this chapter contain references to numerous incidents of unethical medical experimentation (e.g. intentionally injecting diseases into unknowing participants, withholding proven treatments), social experimentation under extreme conditions (e.g. being directed to deliver electric shocks to test obedience), violations of privacy, gender and racial inequality, research with people who are incarcerated or on parole, experimentation on animals, abuse of people with Autism, community interactions with law enforcement, WWII, the Holocaust, and Nazi activities (especially related to research on humans).

With your literature review underway, you are ready to begin thinking in more concrete terms about your research topic. Recall our discussion in Chapter 2 on practical and ethical considerations that emerge as part of the research process. In this chapter, we will expand on the ethical boundaries that social scientists must abide by when conducting human subjects research. As a result of reading this chapter, you should have a better sense of what is possible and ethical for the research project you create.

6.1 Human subjects research

• Understand what we mean by ethical research and why it is important
• Understand some of the egregious ethical violations that have occurred throughout history

While all research comes with its own set of ethical concerns, those associated with research conducted on human subjects vary dramatically from those of research conducted on nonliving entities. The US Department of Health and Human Services (USDHHS) defines a human subject as “a living individual about whom an investigator (whether professional or student) conducting research obtains (1) data through intervention or interaction with the individual, or (2) identifiable private information” (USDHHS, 1993, para. 1). [5] Some researchers prefer the term "participants" to "subjects'" as it acknowledges the agency of people who participate in the study. For our purposes, we will use the two terms interchangeably.

In some states, human subjects also include deceased individuals and human fetal materials. Nonhuman research subjects, on the other hand, are objects or entities that investigators manipulate or analyze in the process of conducting research. Nonhuman research subjects typically include sources such as newspapers, historical documents, pieces of clothing, television shows, buildings, and even garbage (to name just a few), that are analyzed for unobtrusive research projects. Unsurprisingly, research on human subjects is regulated much more heavily than research on nonhuman subjects. This is why many student research projects use data that is publicly available, rather than recruiting their own study participants. However, there are ethical considerations that all researchers must take into account, regardless of their research subject. We’ll discuss those considerations in addition to concerns that are unique to human subject research.

Why do research participants need protection?

First and foremost, we are professionally bound to engage in the ethical practice of research. This chapter discusses ethical research and will show you how to engage in research that is consistent with the NASW Code of Ethics as well as national and international ethical standards all researchers are accountable to. Before we begin, we need to understand the historical occurrences that were the catalyst for the formation of the current ethical standards . This chapter will enable you to view ethics from a micro, mezzo, and macro perspective.

The research process has led to many life-changing discoveries; these have improved life expectancy, improved living conditions, and helped us understand what contributes to certain social problems. That said, not all research has been conducted in respectful, responsible, or humane ways. Unfortunately, some research projects have dramatically marginalized, oppressed, and harmed participants and whole communities.

Would you believe that the following actions have been carried out in the name of research? I realize there was a content warning at the beginning of the chapter, but it is worth mentioning that the list below of research atrocities may be particularly upsetting or triggering.

• intentionally froze healthy body parts of prisoners to see if they could develop a treatment for freezing [6]
• scaled the body parts of prisoners to how best to treat soldiers who had injuries from being exposed to high temperatures [7]
• intentionally infected healthy individuals to see if they could design effective methods of treatment for infections [8]
• gave healthy people TB to see if they could treat it [9]
• attempted to transplant limbs, bones, and muscles to another person to see if this was possible [10]
• castrated and irradiated genitals to see if they could develop a faster method of sterilization [11]
• starved people and only allowed them to drink seawater to see if they could make saline water drinkable [12]
• artificially inseminated women with animal sperm to see what would happen [13]
• gassed living people to document how they would die [14]
• conducted cruel experiments on people and if they did not die, would kill them so they could undergo an autopsy [15]
• refused to treat syphilis in African American men (when treatment was available) because they wanted to track the progression of the illness [16]
• vivisected humans without anesthesia to see how illnesses that researches gave prisoners impacted their bodies [17]
• intentionally tried to infect prisoners with the Bubonic Plague [18]
• intentionally infected prisoners, prostitutes, soldiers, and children with syphilis to study the disease's progression [19]
• performed gynecological experiments on female slaves without anesthesia to investigate new surgical methods [20]

The sad fact is that not only did all of these occur, in many instances, these travesties continued for years until exposed and halted. Additionally, these examples have contributed to the formation of a legacy of distrust toward research. Specifically, many underrepresented groups have a deep distrust of agencies that implement research and are often skeptical of research findings. This has made it difficult for groups to support and have confidence in medical treatments, advances in social service programs, and evidence-informed policy changes. While the aforementioned unethical examples may have ended, this deep and painful wound on the public's trust remains. Consequently, we must be vigilant in our commitment to ethical research.

Many of the situations described may seem like extreme historical cases of misuse of power as researchers. However, ethical problems in research don't just happen in these extreme occurrences. None of us are immune to making unethical choices and the ethical practice of research requires conscientious mindful attention to what we are asking of our research participants. A few examples of less noticeable ethical issues might include: failing to fully explain to someone in advance what their participation might involve because you are in a rush to recruit a large enough sample; or only presenting findings that support your ideas to help secure a grant that is relevant to your research area. Remember, any time research is conducted with human beings, there is the chance that ethical violations may occur that pose social, emotional, and even physical risks for groups, and this is especially true when vulnerable or oppressed groups are involved.

A brief history of unethical social science research

Research on humans hasn’t always been regulated in the way it is today. The earliest documented cases of research using human subjects are of medical vaccination trials (Rothman, 1987). [21] One such case took place in the late 1700s, when scientist Edward Jenner exposed an 8-year-old boy to smallpox in order to identify a vaccine for the devastating disease. Medical research on human subjects continued without much law or policy intervention until the mid-1900s when, at the end of World War II, a number of Nazi doctors and scientists were put on trial for conducting human experimentation during the course of which they tortured and murdered many concentration camp inmates (Faden & Beauchamp, 1986). [22] The trials, conducted in Nuremberg, Germany, resulted in the creation of the Nuremberg Code , a 10-point set of research principles designed to guide doctors and scientists who conduct research on human subjects. Today, the Nuremberg Code guides medical and other research conducted on human subjects, including social scientific research.

Medical scientists are not the only researchers who have conducted questionable research on humans. In the 1960s, psychologist Stanley Milgram (1974) [23] conducted a series of experiments designed to understand obedience to authority in which he tricked subjects into believing they were administering an electric shock to other subjects. In fact, the shocks weren’t real at all, but some, though not many, of Milgram’s research participants experienced extreme emotional distress after the experiment (Ogden, 2008). [24] A reaction of emotional distress is understandable. The realization that one is willing to administer painful shocks to another human being just because someone who looks authoritative has told you to do so might indeed be traumatizing—even if you later learn that the shocks weren’t real.

Around the same time that Milgram conducted his experiments, sociology graduate student Laud Humphreys (1970) [25] was collecting data for his dissertation on the tearoom trade, which was the practice of men engaging in anonymous sexual encounters in public restrooms. Humphreys wished to understand who these men were and why they participated in the trade. To conduct his research, Humphreys offered to serve as a “watch queen,” in a local park restroom where the tearoom trade was known to occur. His role would be to keep an eye out for police while also getting the benefit of being able to watch the sexual encounters. What Humphreys did not do was identify himself as a researcher to his research subjects. Instead, he watched his subjects for several months, getting to know several of them, learning more about the tearoom trade practice and, without the knowledge of his research subjects, jotting down their license plate numbers as they pulled into or out of the parking lot near the restroom.

Sometime after participating as a watch queen, with the help of several insiders who had access to motor vehicle registration information, Humphreys used those license plate numbers to obtain the names and home addresses of his research subjects. Then, disguised as a public health researcher, Humphreys visited his subjects in their homes and interviewed them about their lives and their health. Humphreys’ research dispelled a good number of myths and stereotypes about the tearoom trade and its participants. He learned, for example, that over half of his subjects were married to women and many of them did not identify as gay or bisexual. [26]

Once Humphreys’ work became public, there was some major controversy at his home university (e.g., the chancellor tried to have his degree revoked), among scientists in general, and among members of the public, as it raised public concerns about the purpose and conduct of social science research. In addition, the Washington   Post  journalist Nicholas von Hoffman wrote the following warning about “sociological snoopers”:

We’re so preoccupied with defending our privacy against insurance investigators, dope sleuths, counterespionage men, divorce detectives and credit checkers, that we overlook the social scientists behind the hunting blinds who’re also peeping into what we thought were our most private and secret lives. But they are there, studying us, taking notes, getting to know us, as indifferent as everybody else to the feeling that to be a complete human involves having an aspect of ourselves that’s unknown (von Hoffman, 1970). [27]

In the original version of his report, Humphreys defended the ethics of his actions. In 2008 [28] , years after Humphreys’ death, his book was reprinted with the addition of a retrospect on the ethical implications of his work. In his written reflections on his research and the fallout from it, Humphreys maintained that his tearoom observations constituted ethical research on the grounds that those interactions occurred in public places. But Humphreys added that he would conduct the second part of his research differently. Rather than trace license numbers and interview unwitting tearoom participants in their homes under the guise of public health research, Humphreys instead would spend more time in the field and work to cultivate a pool of informants. Those informants would know that he was a researcher and would be able to fully consent to being interviewed. In the end, Humphreys concluded “there is no reason to believe that any research subjects have suffered because of my efforts, or that the resultant demystification of impersonal sex has harmed society” (Humphreys, 2008, p. 231). [29]

Today, given increasing regulation of social scientific research, chances are slim that a researcher would be allowed to conduct a project similar to Humphreys’. Some argue that Humphreys’ research was deceptive, put his subjects at risk of losing their families and their positions in society, and was therefore unethical (Warwick, 1973; Warwick, 1982). [30] Others suggest that Humphreys’ research “did not violate any premise of either beneficence or the sociological interest in social justice” and that the benefits of Humphreys’ research, namely the dissolution of myths about the tearoom trade specifically and human sexual practice more generally, outweigh the potential risks associated with the work (Lenza, 2004, p. 23). [31] What do you think, and why?

These and other studies (Reverby, 2009) [32] led to increasing public awareness of and concern about research on human subjects. In 1974, the US Congress enacted the National Research Act , which created the National Commission for the Protection of Human Subjects in Biomedical and Behavioral Research. The commission produced  The Belmont Report , a document outlining basic ethical principles for research on human subjects (National Commission for the Protection of Human Subjects in Biomedical and Behavioral Research, 1979). [33] The National Research Act (1974) [34] also required that all institutions receiving federal support establish institutional review boards (IRBs) to protect the rights of human research subjects. Since that time, many organizations that do not receive federal support but where research is conducted have also established review boards to evaluate the ethics of the research that they conduct. IRBs are overseen by the federal Office of Human Research Protections .

The Belmont Report

As mentioned above, The Belmont Report is a federal document that outlines the foundational principles that guide the ethical practice of research in the United States. These ethical principles include: respect for persons, beneficence, and justice. Each of these terms has specific implications as they are applied to the practice of research. These three principles arose as a response to many of the mistreatment and abuses that have been previously discussed and provide important guidance as researchers consider how they will construct and conduct their research studies. As you are crafting your research proposal, makes sure you are mindful of these important ethical guidelines.

Respect for Persons

As social workers, our professional code of ethics requires that we recognize and respect the "inherent dignity and worth of the person." [35] This is very similar to the ethical research principle of r espect for persons . According to this principle, as researchers, we need to treat all research participants with respect, dignity and inherent autonomy. This is reflected by ensuring that participants have self-determination to make informed decisions about their participation in research, that they have a clear understanding of what they will be asked to do and any risks involved, and that their participation is voluntary and can be stopped at any time. Furthermore, for those persons who may have diminished autonomy (e.g. children, people who are incarcerated), extra protections must be built in to these research studies to ensure that respect for persons continues to be demonstrated towards these groups, as they may be especially vulnerable to exploitation and coercion through the research process. A critical tool in establishing respect for persons in your research is the informed consent process, which will be discussed in more detail below.

Beneficence

You may not be familiar with this word yet, but the concept is pretty straightforward. The main idea with beneficence is that the intent of research is to do good. As researchers, to accomplish this, we seek to maximize benefits and minimize risks. Benefits may be something good or advantageous directly received by the research participant, or they may represent a broader good to a wider group of people or the scientific community at large (such as increasing knowledge about the topic or social problem that you are studying). Risks are potential physical, social, or emotional harm that may come about as a response to participation in a study. These risks may be more immediate (e.g. risk of identifying information about a participant being shared, or a participant being upset or triggered by a particular question), or long-term (e.g. some aspect about the person could be shared that could lead to long-term stigmatization). As researchers, we need to think about risk that might be experienced by the individual, but also risks that might be directed towards the community or population(s) the individual may represent. For instance, if our study is specifically focused on surveying single parents, we need to consider how the sharing of our findings might impact this group and how they are perceived. It is a very rare study in which there is no risk to participants. However, a well-designed and ethically sound study will seek to minimize these risks, provide resources to anticipate and address them, and maximize the benefits that are gained through the study.

The final ethical principle we need to cover is justice. While you likely have some idea what justice is, for the purposes of research, justice is the idea that the benefits and the burdens of research are distributed fairly across populations and groups. To help illustrate the concept of justice in research, research in the area of mental health and psychology has historically been critiqued as failing to adequately represent women and people of diverse racial and ethnic groups in their samples (Cundiff, 2012). [36] This has created a body of knowledge that is overly representative of the white male experience, further reinforcing systems of power and privilege. In addition, consider the influence of language as it relates to research justice. If we create studies that only recruit participants fluent in English, which many studies do, we are often failing to satisfy the ethical principle of justice as it applies to people who don't speak English. It is unrealistic to think that we can represent all people in all studies. However, we do need to thoughtfully acknowledge voices that might not be reflected in our samples and attempt to recruit diverse and representative samples whenever possible.

These three principles provide the foundation for the oversight work that is carried out by Institutional Review Boards, our next topic.

Institutional review boards

Institutional review boards, or IRBs, are tasked with ensuring that the rights and welfare of human research subjects will be protected at all institutions, including universities, hospitals, nonprofit research institutions, and other organizations, that receive federal support for research. IRBs typically consist of members from a variety of disciplines, such as sociology, economics, education, social work, and communications (to name a few). Most IRBs also include representatives from the community in which they reside. For example, representatives from nearby prisons, hospitals, or treatment centers might sit on the IRBs of university campuses near them. The diversity of membership helps to ensure that the many and complex ethical issues that may arise from human subjects research will be considered fully and by a knowledgeable and experienced panel. Investigators conducting research on human subjects are required to submit proposals outlining their research plans to IRBs for review and approval prior to beginning their research. Even students who conduct research on human subjects must have their proposed work reviewed and approved by the IRB before beginning any research (though, on some campuses, exceptions are made for student projects that will not be shared outside of the classroom).

The IRB has three levels of review, defined in statute by the USDHHS.

Exempt review is the lowest level of review. Studies that are considered exempt expose participants to the least potential for harm and often involve little participation by human subjects. In social work, exempt studies often examine data that is publicly available or secondary data from another researcher that has been de-identified by the person who collected it.

Expedited review is the middle level of review. Studies considered under expedited review do not have to go before the full IRB board because they expose participants to minimal risk. However, the studies must be thoroughly reviewed by a member of the IRB committee. While there are many types of studies that qualify for expedited review, the most relevant to social workers include the use of existing medical records, recordings (such as interviews) gathered for research purposes, and research on individual group characteristics or behavior.

Finally, the highest level of review is called a  full board review . A full board review will involve multiple members of the IRB evaluating your proposal. When researchers submit a proposal under full board review, the full IRB board will meet, discuss any questions or concerns with the study, invite the researcher to answer questions and defend their proposal, and vote to approve the study or send it back for revision. Full board proposals pose greater than minimal risk to participants. They may also involve the participation of  vulnerable populations , or people who need additional protection from the IRB. Vulnerable populations include prisoners, children, people with cognitive impairments, people with physical disabilities, employees, and students. While some of these populations can fall under expedited review in some cases, they will often require the full IRB to approve their study.

It may surprise you to hear that IRBs are not always popular or appreciated by researchers. Who wouldn’t want to conduct ethical research, you ask? In some cases, the concern is that IRBs are most well-versed in reviewing biomedical and experimental research, neither of which is particularly common within social work. Much social work research, especially qualitative research, is open-ended in nature, a fact that can be problematic for IRBs. The members of IRBs often want to know in advance exactly who will be observed, where, when, and for how long, whether and how they will be approached, exactly what questions they will be asked, and what predictions the researcher has for their findings. Providing this level of detail for a year-long participant observation within an activist group of 200-plus members, for example, would be extraordinarily frustrating for the researcher in the best case and most likely would prove to be impossible. Of course, IRBs do not intend to have researchers avoid studying controversial topics or avoid using certain methodologically sound data collection techniques, but unfortunately, that is sometimes the result. The solution is not to eradicate review boards, which serve a necessary and important function, but instead to help educate IRB members about the variety of social scientific research methods and topics covered by social workers and other social scientists.

What we have provided here is only a short summary of federal regulations and international agreements that provide the boundaries between ethical and unethical research.

Here are a few more detailed guides for continued learning about research ethics and human research protections.

• University of California, San Francisco: Levels of IRB Review
• United States Department of Health and Human Services: The Belmont Report
• NIH, National Institute of Environmental Health Sciences: What is Ethics in Research & Why is it important 
• NIH: Guiding Principles for Ethical Research
• Council on Social Work Education: National Statement on Research Integrity in Social Work
• Butler, I. (2002). A code of ethics for social work and social care research.  British Journal of Social Work ,  32 (2), 239-248
• Research on human subjects presents a unique set of challenges and opportunities when it comes to conducting ethical research.
• Research on human subjects has not always been regulated to the extent that it is today.
• All institutions receiving federal support for research must have an IRB. Organizations that do not receive federal support but where research is conducted also often include IRBs as part of their organizational structure.
• Researchers submit studies for IRB review at one of three different levels, depending on the level of harm the study may cause.
• Recall whether your project will gather data from human subjects and sketch out what the data collection process might look like.
• Identify which level of IRB review is most appropriate for your project.
• For many students, your professors may have existing agreements with your university's IRB that allow students to conduct research projects outside the supervision of the IRB. Make sure that your project falls squarely within those parameters. If you feel you may be outside of such an agreement, consult with your professor to see if you will need to submit your study for IRB review before starting your project.

6.2 Specific ethical issues to consider

• Define informed consent, and describe how it works
• Identify the unique concerns related to the study of vulnerable populations
• Differentiate between anonymity and confidentiality
• Explain the ethical responsibilities of social workers conducting research

As should be clear by now, conducting research on humans presents a number of unique ethical considerations. Human research subjects must be given the opportunity to consent to their participation in research, and be fully informed of the study’s risks, benefits, and purpose. Further, subjects’ identities and the information they share should be protected by researchers. Of course, how consent and identity protection are defined may vary by individual researcher, institution, or academic discipline. In this section, we’ll take a look at a few specific topics that individual researchers must consider before embarking on research with human subjects.

Informed consent

An expectation of voluntary participation is presumed in all social work research projects. In other words, we cannot force anyone to participate in our research without that person’s knowledge or consent. Researchers must therefore design procedures to obtain subjects’ informed consent to participate in their research. This specifically relates back to the ethical principle of respect for persons outlined in The Belmont Report . Informed consent  is defined as a subject’s voluntary agreement to participate in research based on a full understanding of the research and of the possible risks and benefits involved. Although it sounds simple, ensuring that one has actually obtained informed consent is a much more complex process than you might initially presume.

The first requirement is that, in giving their informed consent, subjects may neither waive nor even  appear  to waive any of their legal rights. Subjects also cannot release a researcher, her sponsor, or institution from any legal liability should something go wrong during the course of their participation in the research (USDHHS,2009). [37] Because social work research does not typically involve asking subjects to place themselves at risk of physical harm by, for example, taking untested drugs or consenting to new medical procedures, social work researchers do not often worry about potential liability associated with their research projects. However, their research may involve other types of risks.

For example, what if a social work researcher fails to sufficiently conceal the identity of a subject who admits to participating in a local swinger’s club? In this case, a violation of confidentiality may negatively affect the participant’s social standing, marriage, custody rights, or employment. Social work research may also involve asking about intimately personal topics that may be difficult for participants to discuss, such as trauma or suicide. Participants may re-experience traumatic events and symptoms when they participate in your study. Even if you are careful to fully inform your participants of all risks before they consent to the research process, I’m sure you can empathize with thinking you could bear talking about a difficult topic and then finding it too overwhelming once you start. In cases like these, it is important for a social work researcher to have a plan to provide supports. This may mean providing referrals to counseling supports in the community or even calling the police if the participant is an imminent danger to himself or others.

It is vital that social work researchers explain their mandatory reporting duties in the consent form and ensure participants understand them before they participate. Researchers should also emphasize to participants that they can stop the research process at any time or decide to withdraw from the research study for any reason. Importantly, it is not the job of the social work researcher to act as a clinician to the participant. While a supportive role is certainly appropriate for someone experiencing a mental health crisis, social workers must ethically avoid dual roles. Referring a participant in crisis to other mental health professionals who may be better able to help them is the expectation.

Beyond the legal issues, most IRBs require researchers to share some details about the purpose of the research, possible benefits of participation, and, most importantly, possible risks associated with participating in that research with their subjects. In addition, researchers must describe how they will protect subjects’ identities, how, where, and for how long any data collected will be stored, how findings may be shared, and whom to contact for additional information about the study or about subjects’ rights. All this information is typically shared in an informed consent form that researchers provide to subjects. In some cases, subjects are asked to sign the consent form indicating that they have read it and fully understand its contents. In other cases, subjects are simply provided a copy of the consent form and researchers are responsible for making sure that subjects have read and understand the form before proceeding with any kind of data collection. Your IRB will often provide guidance or even templates for what they expect to see included in an informed consent form. This is a document that they will inspect very closely. Table 6.1 outlines elements to include in your informed consent. While these offer a guideline for you, you should always visit your schools, IRB website to see what guidance they offer. They often provide a template that they prefer researchers to use. Using these templates ensures that you are using the language that the IRB reviewers expect to see and this can also save you time.

One last point to consider when preparing to obtain informed consent is that not all potential research subjects are considered equally competent or legally allowed to consent to participate in research. Subjects from vulnerable populations may be at risk of experiencing undue influence or coercion (USDHHS, 2009). [38] The rules for consent are more stringent for vulnerable populations. For example, minors must have the consent of a legal guardian in order to participate in research. In some cases, the minors themselves are also asked to participate in the consent process by signing special, age-appropriate assent forms designed specifically for them. Prisoners and parolees also qualify as vulnerable populations. Concern about the vulnerability of these subjects comes from the very real possibility that prisoners and parolees could perceive that they will receive some highly desired reward, such as early release, if they participate in research or that there could be punitive consequences if they choose not to participate. When a participant faces undue or excess pressure to participate by either favorable or unfavorable means, this is known as coercion and must be avoided by researchers.

Another potential concern regarding vulnerable populations is that they may be underrepresented or left out of research opportunities, specifically because of concerns about their ability to consent. So, on the one hand, researchers must take extra care to ensure that their procedures for obtaining consent from vulnerable populations are not coercive. The procedures for receiving approval to conduct research with these groups may be more rigorous than that for non-vulnerable populations. On the other hand, researchers must work to avoid excluding members of vulnerable populations from participation simply on the grounds that they are vulnerable or that obtaining their consent may be more complex. While there is no easy solution to this ethical research dilemma, an awareness of the potential concerns associated with research on vulnerable populations is important for identifying whatever solution is most appropriate for a specific case.

Protection of identities

As mentioned earlier, the informed consent process includes the requirement that researchers outline how they will protect the identities of subjects. This aspect of the research process, however, is one of the most commonly misunderstood. Furthermore, failing to protect identities is one of the greatest risks to participants in social work research studies.

In protecting subjects’ identities, researchers typically promise to maintain either the anonymity or confidentiality of their research subjects. These are two distinctly different terms and they are NOT interchangeable. Anonymity is the more stringent of the two and is very hard to guarantee in most research studies. When a researcher promises anonymity to participants, not even the researcher is able to link participants’ data with their identities. Anonymity may be impossible for some social work researchers to promise due to the modes of data collection many social workers employ. Face-to-face interviewing means that subjects will be visible to researchers and will hold a conversation, making anonymity impossible. In other cases, the researcher may have a signed consent form or obtain personal information on a survey and will therefore know the identities of their research participants. In these cases, a researcher should be able to at least promise confidentiality to participants.

Offering  confidentiality means that some identifying information is known at some time by the research team, but only the research team has access to this identifying information and this information will not be linked with their data in any publicly accessible way. Confidentiality in research is quite similar to confidentiality in clinical practice. You know who your clients are, but others do not. You agree to keep their information and identity private. As you can see under the “Risks” section of the consent form in Figure 5.1, sometimes it is not even possible to promise that a subject’s confidentiality will be maintained. This is the case if data are collected in public or in the presence of other research participants in the course of a focus group, for example. Participants who social work researchers deem to be of imminent danger to self or others or those that disclose abuse of children and other vulnerable populations fall under a social worker’s duty to report. Researchers must then violate confidentiality to fulfill their legal obligations.

There are a number of steps that researchers can take to protect the identities of research participants. These include, but are not limited to:

• Collecting data in private spaces
• Not requesting information that will uniquely identify or "out" that person as a participant
• Assigning study identification codes or pseudonyms
• Keeping signed informed consent forms separate from other data provided by the participant
• Making sure that physical data is kept in a locked and secured location, and the virtual data is encrypted or password-protected
• Reporting data in aggregate (only discussing the data collectively, not by individual responses)

Protecting research participants’ identities is not always a simple prospect, especially for those conducting research on stigmatized groups or illegal behaviors. Sociologist Scott DeMuth learned that all too well when conducting his dissertation research on a group of animal rights activists. As a participant observer, DeMuth knew the identities of his research subjects. So when some of his research subjects vandalized facilities and removed animals from several research labs at the University of Iowa, a grand jury called on Mr. DeMuth to reveal the identities of the participants in the raid. When DeMuth refused to do so, he was jailed briefly and then charged with conspiracy to commit animal enterprise terrorism and cause damage to the animal enterprise (Jaschik, 2009). [39]

Publicly, DeMuth’s case raised many of the same questions as Laud Humphreys’ work 40 years earlier. What do social scientists owe the public? Is DeMuth, by protecting his research subjects, harming those whose labs were vandalized? Is he harming the taxpayers who funded those labs? Or is it more important that DeMuth emphasize what he owes his research subjects, who were told their identities would be protected? DeMuth’s case also sparked controversy among academics, some of whom thought that as an academic himself, DeMuth should have been more sympathetic to the plight of the faculty and students who lost years of research as a result of the attack on their labs. Many others stood by DeMuth, arguing that the personal and academic freedom of scholars must be protected whether we support their research topics and subjects or not. DeMuth’s academic adviser even created a new group, Scholars for Academic Justice , to support DeMuth and other academics who face persecution or prosecution as a result of the research they conduct. What do you think? Should DeMuth have revealed the identities of his research subjects? Why or why not?

Discipline-specific considerations

Often times, specific disciplines will provide their own set of guidelines for protecting research subjects and, more generally, for conducting ethical research. For social workers, the National Association of Social Workers (NASW) Code of Ethics section 5.02 describes the responsibilities of social workers in conducting research. Summarized below, these responsibilities are framed as part of a social worker’s responsibility to the profession. As representative of the social work profession, it is your responsibility to conduct and use research in an ethical manner.

A social worker should:

• Monitor and evaluate policies, programs, and practice interventions
• Contribute to the development of knowledge through research
• Keep current with the best available research evidence to inform practice
• Ensure voluntary and fully informed consent of all participants
• Not engage in any deception in the research process
• Allow participants to withdraw from the study at any time
• Provide access to appropriate supportive services for participants
• Protect research participants from harm
• Maintain confidentiality
• Report findings accurately
• Disclose any conflicts of interest
• Researchers must obtain the informed consent of research participants.
• Social workers must take steps to minimize the harms that could arise during the research process.
• If anonymity is promised, individual participants cannot be linked with their data.
• If confidentiality is promised, the identities of research participants cannot be revealed, even if individual participants can be linked with their data.
• The NASW Code of Ethics includes specific responsibilities for social work researchers.
• Talk with your professor to see if an informed consent form is required for your research project. If documentation is required, customize the template provided by your professor or the IRB at your school, using the details of your study. If documentation on consent is not required, for example if consent is given verbally, use the templates as guides to create a guide for what you will say to participants regarding informed consent.
• Identify whether your data will be confidential or anonymous. Describe the measures you will take to protect the identities of individuals in your study. How will you store the data? How will you ensure that no one can identify participants based on what you report in papers and presentations? Be sure to think carefully. People can be identified by characteristics such as age, gender, disability status, location, etc.

6.3 Benefits and harms of research across the ecosystem

• Identify and distinguish between micro-, mezzo-, and macro-level considerations with respect to the ethical conduct of social scientific research

This chapter began with a long list of harmful acts that researchers engaged in while conducting studies on human subjects. Indeed, even the last section on informed consent and protection of confidential information can be seen in light of minimizing harm and maximizing benefits. The benefits of your study should be greater than the harms. But who benefits from your research study, and who might be harmed? The first person who benefits is, most clearly, you as the researcher. You need a project to complete, be it for a grade, a grant, an academic responsibility, etc. However you need to make sure that your benefit does not come at the expense of harming others. Furthermore, research requires resources, including resources from the communities we work with. Part of being good stewards of these resources as social work researchers means that we need to engage in research that benefits the people we serve in meaningful and relevant ways. We need to consider how others are impacted by our research.

Micro-, mezzo-, and macro-level concerns

One useful way to think about the breadth of ethical questions that might arise out of any research project is to think about potential issues from the perspective of different analytical levels that are familiar to us as social workers. In Chapter 1 , you learned about the micro-, mezzo-, and macro-levels of inquiry and how a researcher’s specific point of focus might vary depending on her level of inquiry. Here we’ll apply this ecological framework to a discussion of research ethics. Within most research projects, there are specific questions that arise for researchers at each of these three levels.

At the micro-level, researchers must consider their own conduct and the impact on individual research participants. For example, did Stanley Milgram behave ethically when he allowed research participants to think that they were administering electric shocks to fellow participants? Did Laud Humphreys behave ethically when he deceived his research subjects about his own identity? Were the rights of individuals in these studies protected? How did these participants benefit themselves from the research that was conducted? While not social workers by trade, would the actions of these two researchers hold up against our professional NASW Code of Ethics? The questions posed here are the sort that you will want to ask yourself as a researcher when considering ethics at the micro-level.

At the mezzo-level, researchers should think about their duty to the community. How will the results of your study impact your target population? Ideally, your results will benefit your target population by identifying important areas for social workers to intervene and to better understand the experiences of the communities they serve. However, it is possible that your study may perpetuate negative stereotypes about your target population or damage its reputation. Indigenous people in particular have highlighted how historically social science has furthered marginalization of indigenous peoples (Smith, 2013). [40] Mezzo-level concerns should also address other groups or organizations that are connected to your target population. This may include the human service agencies with whom you've partnered for your study as well as the communities and peoples they serve. If your study reflected negatively on a particular housing project in your area, for example, will community members seek to remove it from their community? Or might it draw increased law enforcement presence that is unwanted by participants or community members? Research is a powerful tool and can be used for many purposes, not all of them altruistic. In addition, research findings can have many implications, intended and unintended. As responsible researchers, we need to do our best to thoughtfully anticipate these consequences.

Finally, at the macro-level, a researcher should consider duty to, and the expectations of, society. Perhaps the most high-profile case involving macro-level questions of research ethics comes from debates over whether to use data gathered by, or cite published studies based on data gathered from, the Nazis in the course of their unethical and horrendous experiments on humans during World War II (Moe, 1984). [41] Some argue that because the data were gathered in such an unquestionably unethical manner, they should never be used. The data, say these people, are neither valid nor reliable and should therefore not be used in any current scientific investigation (Berger, 1990). [42]

On the other hand, some people argue that data themselves are neutral; that “information gathered is independent of the ethics of the methods and that the two are not linked together” (Pozos, 1992, p. 104). [43] Others point out that not using the data could inadvertently strengthen the claims of those who deny that the Holocaust ever happened. In his striking statement in support of publishing the data, medical ethics professor Velvl Greene (1992) says,

Instead of banning the Nazi data or assigning it to some archivist or custodial committee, I maintain that it be exhumed, printed, and disseminated to every medical school in the world along with the details of methodology and the names of the doctors who did it, whether or not they were indicted, acquitted, or hanged.…Let the students and the residents and the young doctors know that this was not ancient history or an episode from a horror movie where the actors get up after filming and prepare for another role. It was real. It happened yesterday (p. 169–170). [44]

While debates about the use of data collected by the Nazis are typically centered on medical scientists’ use of them, there are conceivable circumstances under which these data might be used by social scientists. Perhaps, for example, a social scientist might wish to examine contemporary reactions to the experiments. Or perhaps the data could be used in a study of the sociology of science. What do you think? Should data gathered by the Nazis be used or cited today? What arguments can you make in support of your position, and how would you respond to those who disagree?

Additionally at the macro-level, you must also consider your responsibilities to the profession of social work. When you engage in social work research, you stand on the reputation the profession has built for over a century. Since research is public-facing, meaning that research findings are intended to be shared publicly, you are an ambassador for the profession. How you conduct yourself as a social work researcher has potential implications for how the public perceives both social work and research. As a social worker, you have a responsibility to work towards greater social, environmental, and economic justice and human rights. Your research should reflect this responsibility. Attending to research ethics helps to fulfill your responsibilities to the profession, in addition to your target population.

Table 6.2 summarizes the key questions that researchers might ask themselves about the ethics of their research at each level of inquiry.

• At the micro-level, researchers should consider their own conduct and the rights of individual research participants.
• At the mezzo-level, researchers should consider the expectations of their profession, any organizations that may have funded their research, and the communities affected by their research.
• At the macro-level, researchers should consider their duty to and the expectations of society with respect to social science research.
• Summarize the benefits and harms at the micro-, mezzo-, and macro-level of inquiry. At which level of inquiry is your research project?
• In a few sentences, identify whether the benefits of your study outweigh the potential harms.

6.4 Being an ethical researcher

• Identify why researchers must provide a detailed description of methodology
• Describe what it means to use science in an ethical way

Research ethics has to do with both how research is conducted and how findings from that research are used. In this section, we’ll consider research ethics from both angles.

Doing science the ethical way

As you should now be aware, researchers must consider their own personal ethical principles in addition to following those of their institution, their discipline, and their community. We’ve already considered many of the ways that social workers strive to ensure the ethical practice of research, such as informing and protecting subjects. But the practice of ethical research doesn’t end once subjects have been identified and data have been collected. Social workers must also fully disclose their research procedures and findings. This means being honest about how research subjects were identified and recruited, how exactly data were collected and analyzed, and ultimately, what findings were reached.

If researchers fully disclose how they conducted their research, then those who use their work to build research projects, create social policies, or make treatment decisions can have greater confidence in the work. By sharing how research was conducted, a researcher helps assure readers they have conducted legitimate research and didn’t simply come to whatever conclusions they wanted   to find. A description or presentation of research findings that is not accompanied by information about research methodology is missing relevant information. Sometimes methodological details are left out because there isn’t time or space to share them. This is often the case with news reports of research findings. Other times, there may be a more insidious reason that important information is missing. This may be the case if sharing methodological details would call the legitimacy of a study into question. As researchers, it is our ethical responsibility to fully disclose our research procedures. As consumers of research, it is our ethical responsibility to pay attention to such details. We’ll discuss this more in the next section.

There’s a New Yorker cartoon that depicts a set of filing cabinets that aptly demonstrates what we don’t want to see happen with research. Each filing cabinet drawer in the cartoon is labeled differently. The labels include such headings as, “Our Facts,” “Their Facts,” “Neutral Facts,” “Disputable Facts,” “Absolute Facts,” “Bare Facts,” “Unsubstantiated Facts,” and “Indisputable Facts.” The implication of this cartoon is that one might just choose to open the file drawer of her choice and pick whichever facts one likes best. While this may occur if we use some of the unscientific ways of knowing described in Chapter 1 , it is fortunately not how the discovery of knowledge in social work, or in any other science for that matter, takes place. There actually is a method to this madness we call research. At its best, research reflects a systematic, transparent, informative process.

Honesty in research is facilitated by the scientific principle of replication . Ideally, this means that one scientist could repeat another’s study with relative ease. By replicating a study, we may become more (or less) confident in the original study’s findings. Replication is far more difficult (perhaps impossible) to achieve in the case of many qualitative studies, as our purpose is often a deep understanding of very specific circumstances, rather than the broad, generalizable knowledge we traditionally seek in quantitative studies. Nevertheless, transparency in the research process is an important standard for all social scientific researchers—that we provide as much detail as possible about the processes by which we reach our conclusions. This allows the quality of our research to be evaluated. Along with replication, peer review is another important principle of the scientific process. Peer review involves other knowledgeable researchers in our field of study to evaluate our research and to determine if it is of sufficient quality to share with the public. There are valid critiques of the peer review process: that it is biased towards studies with positive findings, that it may reinforce systemic barriers to oppressed groups accessing and leveraging knowledge, that it is far more subjective and/or unreliable than it claims to be. Despite these critiques, peer review remains a foundational concept for how scientific knowledge is generated.

Full disclosure also includes the need to be honest about a study’s strengths and weaknesses, both with oneself and with others. Being aware of the strengths and weaknesses of your own work can help a researcher make reasonable recommendations about the next steps other researchers might consider taking in their inquiries. Awareness and disclosure of a study’s strengths and weaknesses can also help highlight the theoretical or policy implications of one’s work. In addition, openness about strengths and weaknesses helps those reading the research better evaluate the work and decide for themselves how or whether to rely on its findings. Finally, openness about a study’s sponsors is crucial. How can we effectively evaluate research without knowing who paid the bills? This allows us to assess for potential conflicts of interest that may compromise the integrity of the research.

The standard of replicability, the peer-review process, and openness about a study’s strengths, weaknesses, and funding sources enables those who read the research to evaluate it fairly and completely. Knowledge of funding sources is often raised as an issue in medical research. Understandably, independent studies of new drugs may be more compelling to the Food and Drug Administration (FDA) than studies touting the virtues of a new drug that happen to have been funded by the company who created that drug. But medical researchers aren’t the only ones who need to be honest about their funding. If we know, for example, that a political think tank with ties to a particular party has funded some research, we can take that knowledge into consideration when reviewing the study’s findings and stated policy implications. Lastly, and related to this point, we must consider how, by whom, and for what purpose research may be used.

Using science the ethical way

Science has many uses. By “use” I mean the ways that science is understood and applied (as opposed to the way it is conducted). Some use science to create laws and social policies; others use it to understand themselves and those around them. Some people rely on science to improve their life conditions or those of other people, while still others use it to improve their businesses or other undertakings. In each case, the most ethical way for us to use science is to educate ourselves about the design and purpose of any studies we may wish to use. This helps us to more adequately critique the value of this research, to recognize its strengths and limitations.

As part of my research course, students are asked to critique a research article. I often find in this assignment that students often have very lofty expectations for everything that 'should' be included in the journal article they are reviewing. While I appreciate the high standards, I often give them feedback that it is perhaps unrealistic (even unattainable) for a research study to be perfectly designed and described for public consumption. All research has limitations; this may be a consequence of limited resources, issues related to feasibility, and unanticipated roadblocks or problems as we are carrying out our research. Furthermore, the ways we disseminate or share our research often has restrictions on what and how we can share our findings. This doesn't mean that a study with limitations has no value—every study has limitations! However, as we are reviewing research, we should look for an open discussion about methodology , strengths, and weaknesses of the study that helps us to interpret what took place and in what ways it may be important.

For instance, this can be especially important to think about in terms of a study's sample. It can be challenging to recruit a diverse and representative sample for your study (however, that doesn't mean we shouldn't try!). The next time you are reading research studies that were used to help establish an evidence based practice (EBP), make sure to look at the description of the sample. We cannot assume that what works for one group of people will uniformly work with all groups of people with very different life experiences; however, historically much of our intervention repertoire has been both created by and evaluated on white men. If research studies don't obtain a diverse sample, for whatever reason, we would expect that the authors would identify this as a limitation and an area requiring further study. We need to challenge our profession to provide practices, strategies, models, interventions, and policies that have been evaluated and tested for their efficacy with the diverse range of people that we work with as social workers.

Social scientists who conduct research on behalf of organizations and agencies may face additional ethical questions about the use of their research, particularly when the organization for which a study is conducted controls the final report and the publicity it receives. There is a potential conflict of interest for evaluation researchers who are employees of the agency being evaluated. A similar conflict of interest might exist between independent researchers whose work is being funded by some government agency or private foundation.

So who decides what constitutes ethical conduct or use of research? Perhaps we all do. What qualifies as ethical research may shift over time and across cultures as individual researchers, disciplinary organizations, members of society, and regulatory entities, such as institutional review boards, courts, and lawmakers, all work to define the boundaries between ethical and unethical research.

• Conducting research ethically requires that researchers be ethical not only in their data collection procedures but also in reporting their methods and findings.
• The ethical use of research requires an effort to understand research, an awareness of your own limitations in terms of knowledge and understanding, and the honest application of research findings.
• Think about your research hypothesis at this point. What would happen if your results revealed information that could harm the population you are studying? What are your ethical responsibilities as far as reporting about your research?
• Ultimately, we cannot control how others will use the results of our research. What are the implications of this for how you report on your research?
• Reading the results of empirical studies (16 minute read)
• Annotating empirical journal articles (15 minute read)
• Generalizability and transferability of empirical results (15 minute read)

Content warning: examples in this chapter contain references to domestic violence and details on types of abuse, drug use, poverty, mental health, sexual harassment and details on harassing behaviors, children’s mental health, LGBTQ+ oppression and suicide, obesity, anti-poverty stigma, and psychotic disorders.

5.1 Reading the results of empirical studies

• Describe how statistical significance and confidence intervals demonstrate which results are most important
• Differentiate between qualitative and quantitative results in an empirical journal article

If you recall from section 3.1 , empirical journal articles are those that report the results of quantitative or qualitative data analyzed by the author. They follow a set structure—introduction, methods, results, discussion/conclusions. This section is about reading the most challenging section: results.

I want to normalize not understanding statistics terms and symbols. However, a basic understanding of a results section goes a very long way to understanding the key results in an article. This will take you beyond the two or three sentences in the abstract that summarize the study's results and into the nitty-gritty of what they found for each concept they studied.

Read beyond the abstract

At this point, I have read hundreds of literature reviews written by students. One of the challenges I have noted is that students will report the results as summarized in the abstract, rather than the detailed findings laid out in the results section of the article. This poses a problem when you are writing a literature review because you need to provide specific and clear facts that support your reading of the literature. The abstract may say something like: “we found that poverty is associated with mental health status.” For your literature review, you want the details, not the summary. In the results section of the article, you may find a sentence that states: “children living in households experiencing poverty are three times more likely to have a mental health diagnosis.” This more specific statistical information provides a stronger basis on which to build the arguments in your literature review.

Using the summarized results in an abstract is an understandable mistake to make. The results section often contains figures and tables that may be challenging to understand. Often, without having completed more advanced coursework on statistical or qualitative analysis, some of the terminology, symbols, or diagrams may be difficult to comprehend. This section is all about how to read and interpret the results of an empirical (quantitative or qualitative) journal article. Our discussion here will be basic, and in parts three and four of the textbook, you will learn more about how to interpret results from statistical tests and qualitative data analysis.

Remember, this section only addresses empirical articles. Non-empirical articles (e.g., theoretical articles, literature reviews) don't have results. They cite the analysis of raw data completed by other authors, not the person writing the journal article who is merely summarizing others' work.

Quantitative results

Quantitative articles often contain tables, and scanning them is a good way to begin reading the results. A table usually provides a quick, condensed summary of the report’s key findings. Tables are a concise way to report large amounts of data. Some tables present descriptive information about a researcher’s sample (often the first table in a results section). These tables will likely contain frequencies (N) and percentages (%). For example, if gender happened to be an important variable for the researcher’s analysis, a descriptive table would show how many and what percent of all study participants are of a particular gender. Frequencies or “how many” will probably be listed as N, while the percent symbol (%) might be used to indicate percentages.

In a table presenting a causal relationship, two sets of variables are represented. The independent variable , or cause, and the dependent variable , the effect. We will discuss these further when we review quantitative conceptualization and measurement. Independent variable attributes are typically presented in the table’s columns, while dependent variable attributes are presented in rows. This allows the reader to scan a table’s rows to see how values on the dependent variable change as the independent variable values change (i.e., changes in the dependent variable depend on changes in the independent variable). Tables displaying results of quantitative analysis will also likely include some information about which relationships are significant or not. We will discuss the details of significance and p-values later in this section.

Let’s look at a specific example: Table 5.1. It presents the causal relationship between gender and experiencing harassing behaviors at work. In this example, gender is the independent variable (the cause) and the harassing behaviors listed are the dependent variables (the effects). [46] Therefore, we place gender in the table’s columns and harassing behaviors in the table’s rows.

Reading across the table’s top row, we see that 2.9% of women in the sample reported experiencing subtle or obvious threats to their safety at work, while 4.7% of men in the sample reported the same. We can read across each of the rows of the table in this way. Reading across the bottom row, we see that 9.4% of women in the sample reported experiencing staring or invasion of their personal space at work while just 2.3% of men in the sample reported having the same experience. We’ll discuss  p values later in this section.

While you can certainly scan tables for key results, they are often difficult to understand without reading the text of the article. The article and table were meant to complement each other, and the text should provide information on how the authors interpret their findings. The table is not redundant with the text of the results section. Additionally, the first table in most results sections is a summary of the study's sample, which provides more background information on the study than information about hypotheses and findings. It is also a good idea to look back at the methods section of the article as the data analysis plan the authors outline should walk you through the steps they took to analyze their data which will inform how they report them in the results section.

Statistical significance

The statistics reported in Table 5.1 represent what the researchers found in their sample. The purpose of statistical analysis is usually to generalize from a the small number of people in a study's sample to a larger population of people. Thus, the researchers intend to make causal arguments about harassing behaviors at workplaces beyond those covered in the sample.

Generalizing is key to understanding statistical significance . According to Cassidy and colleagues, (2019) [47] 89% of research methods textbooks in psychology define statistical significance incorrectly. This includes an early draft of this textbook which defined statistical significance as "the likelihood that the relationships we observe could be caused by something other than chance." If you have previously had a research methods class, this might sound familiar to you. It certainly did to me!

But statistical significance is less about "random chance" than more about the null hypothesis . Basically, at the beginning of a study a researcher develops a hypothesis about what they expect to find, usually that there is a statistical relationship between two or more variables . The null hypothesis is the opposite. It is the hypothesis that there is no relationship between the variables in a research study. Researchers then can hopefully reject the null hypothesis because they find a relationship between the variables.

For example, in Table 5.1 researchers were examining whether gender impacts harassment. Of course, researchers assumed that women were more likely to experience harassment than men. The null hypothesis, then, would be that gender has no impact on harassment. Once we conduct the study, our results will hopefully lead us to reject the null hypothesis because we find that gender impacts harassment. We would then generalize from our study's sample to the larger population of people in the workplace.

Statistical significance is calculated using a p-value which is obtained by comparing the statistical results with a hypothetical set of results if the researchers re-ran their study a large number of times. Keeping with our example, imagine we re-ran our study with different men and women from different workplaces hundreds and hundred of times and we assume that the null hypothesis is true that gender has no impact on harassment. If results like ours come up pretty often when the null hypothesis is true, our results probably don't mean much. "The smaller the p-value, the greater the statistical incompatibility with the null hypothesis" (Wasserstein & Lazar, 2016, p. 131). [48] Generally, researchers in the social sciences have used 0.05 as the value at which a result is significant (p is less than 0.05) or not significant (p is greater than 0.05). The p-value 0.05 refers to if 5% of those hypothetical results from re-running our study show the same or more extreme relationships when the null hypothesis is true. Researchers, however, may choose a stricter standard such as 0.01 in which only 1% of those hypothetical results are more extreme or a more lenient standard like 0.1 in which 10% of those hypothetical results are more extreme than what was found in the study.

Let's look back at Table 5.1. Which one of the relationships between gender and harassing behaviors is statistically significant? It's the last one in the table, "staring or invasion of personal space," whose p-value is 0.039 (under the p<0.05 standard to establish statistical significance). Again, this indicates that if we re-ran our study over and over again and gender did not  impact staring/invasion of space (i.e., the null hypothesis was true), only 3.9% of the time would we find similar or more extreme differences between men and women than what we observed in our study. Thus, we conclude that for staring or invasion of space only , there is a statistically significant relationship.

For contrast, let's look at "being pushed, hit, or grabbed" and run through the same analysis to see if it is statistically significant. If we re-ran our study over and over again and the null hypothesis was true, 48% of the time (p=.48) we would find similar or more extreme differences between men and women. That means these results are not statistically significant.

This discussion should also highlight a point we discussed previously: that it is important to read the full results section, rather than simply relying on the summary in the abstract. If the abstract stated that most tests revealed no statistically significant relationships between gender and harassment, you would have missed the detail on which behaviors were and were not associated with gender. Read the full results section! And don't be afraid to ask for help from a professor in understanding what you are reading, as results sections are often not written to be easily understood.

Statistical significance and p-values have been critiqued recently for a number of reasons, including that they are misused and misinterpreted (Wasserstein & Lazar, 2016) [49] , that researchers deliberately manipulate their analyses to have significant results (Head et al., 2015) [50] , and factor into the difficulty scientists have today in reproducing many of the results of previous social science studies (Peng, 2015). [51] For this reason, we share these principles, adapted from those put forth by the American Statistical Association, [52]  for understanding and using p-values in social science:

• P-values provide evidence against a null hypothesis.
• P-values do not indicate whether the results were produced by random chance alone or if the researcher's hypothesis is true, though both are common misconceptions.
• Statistical significance can be detected in minuscule differences that have very little effect on the real world.
• Nuance is needed to interpret scientific findings, as a conclusion does not become true or false when the p-value passes from p=0.051 to p=0.049.
• Real-world decision-making must use more than reported p-values. It's easy to run analyses of large datasets and only report the significant findings.
• Greater confidence can be placed in studies that pre-register their hypotheses and share their data and methods openly with the public.
• "By itself, a p-value does not provide a good measure of evidence regarding a model or hypothesis. For example, a p-value near 0.05 taken by itself offers only weak evidence against the null hypothesis. Likewise, a relatively large p-value does not imply evidence in favor of the null hypothesis; many other hypotheses may be equally or more consistent with the observed data" (Wasserstein & Lazar, 2016, p. 132).

Confidence intervals

Because of the limitations of p-values, scientists can use other methods to determine whether their models of the world are true. One common approach is to use a confidence interval , or a range of values in which the true value is likely to be found. Confidence intervals are helpful because, as principal #5 above points out, p-values do not measure the size of an effect (Greenland et al., 2016). [53] Remember, something that has very little impact on the world can be statistically significant, and the values in a confidence interval would be helpful. In our example from Table 5.1, imagine our analysis produced a confidence interval that women are 1.2-3.4x more likely to experience "staring or invasion of personal space" than men. As with p-values, calculation for a confidence interval compares what was found in one study with a hypothetical set of results if we repeated the study over and over again. If we calculated 95% confidence intervals for all of the hypothetical set of hundreds and hundreds of studies, that would be our confidence interval. 

Confidence intervals are pretty intuitive. As of this writing, my wife and are expecting our second child. The doctor told us our due date was December 11th. But the doctor also told us that December 11th was only their best estimate. They were actually 95% sure our baby might be born any time in the 30-day period between November 27th and December 25th. Confidence intervals are often listed with a percentage, like 90% or 95%, and a range of values, such as between November 27th and December 25th. You can read that as: "we are 95% sure your baby will be born between November 27th and December 25th because we've studied hundreds of thousands of fetuses and mothers, and we're 95% sure your baby will be within these two dates."

Notice that we're hedging our bets here by using words like "best estimate." When testing hypotheses, social scientists generally phrase their findings in a tentative way, talking about what results "indicate" or "support," rather than making bold statements about what their results "prove." Social scientists have humility because they understand the limitations of their knowledge. In a literature review, using a single study or fact to "prove" an argument right or wrong is often a signal to the person reading your literature review (usually your professor) that you may not have appreciated the limitations of that study or its place in the broader literature on the topic. Strong arguments in a literature review include multiple facts and ideas that span across multiple studies.

You can learn more about creating tables, reading tables, and tests of statistical significance in a class focused exclusively on statistical analysis. We provide links to many free and openly licensed resources on statistics in Chapter 16 . For now, we hope this brief introduction to reading tables will improve your confidence in reading and understanding the results sections in quantitative empirical articles.

Qualitative results

Quantitative articles will contain a lot of numbers and the results of statistical tests demonstrating associations between those numbers. Qualitative articles, on the other hand, will consist mostly of quotations from participants. For most qualitative articles, the authors want to put their results in the words of their participants, as they are the experts. Articles that lack quotations make it difficult to assess whether the researcher interpreted the data in a trustworthy, unbiased manner. These types of articles may also indicate how often particular themes or ideas came up in the data, potentially reflective of how important they were to participants.

Authors often organize qualitative results by themes and subthemes. For example, see this snippet from the results section in Bonanno and Veselak (2019) [54] discussion parents' attitudes towards child mental health information sources.

Data analysis revealed four themes related to participants’ abilities to access mental health help and information for their children, and parents’ levels of trust in these sources. These themes are: others’ firsthand experiences family and friends with professional experience, protecting privacy, and uncertainty about schools as information sources. Trust emerged as an overarching and unifying concept for all of these themes. Others’ firsthand experiences. Several participants reported seeking information from other parents who had experienced mental health struggles similar to their own children. They often referenced friends or family members who had been or would be good sources of information due to their own personal experiences. The following quote from Adrienne demonstrates the importance of firsthand experience: [I would only feel comfortable sharing concerns or asking for advice] if I knew that they had been in the same situation. (Adrienne) Similarly, Michelle said: And I talked to a friend of mine who has kids who have IEPs in the district to see, kind of, how did she go about it. (Michelle) ... Friends/family with professional experience . Several respondents referred to friends or family members who had professional experience with or knowledge of child mental health and suggested that these individuals would be good sources of information. For example, Hannah said: Well, what happened with me was I have an uncle who’s a psychiatrist. Sometimes if he’s up in (a city to the north), he’s retired, I can call him sometimes and get information. (Hannah) Michelle, who was in nursing school, echoed this sentiment: At this point, [if my child’s behavioral difficulties continued], I would probably call one of my [nursing] professors. That’s what I’ve done in the past when I’ve needed help with certain things...I have a professor who I would probably consider a friend who I would probably talk to first. She has a big adolescent practice. (Michelle) (p. 402-403)

The terms in bold above refer to the key themes (i.e., qualitative results) that were present in the data. Researchers will state the process by which they interpret each theme, providing a definition and usually some quotations from research participants. Researchers will also draw connections between themes, note consensus or conflict over themes, and situate the themes within the study context.

Qualitative results are specific to the time, place, and culture in which they arise, so you will have to use your best judgment to determine whether these results are relevant to your study. For example, students in my class at Radford University in Southwest Virginia may be studying rural populations. Would a study on group homes in a large urban city transfer well to group homes in a rural area?

Maybe. But even if you were using data from a qualitative study in another rural area, are all rural areas the same? How is the client population and sociocultural context in the article similar or different to the one in your study? Qualitative studies have tremendous depth, but researchers must be intentional about drawing conclusions about one context based on a study in another context. To make conclusions about how a study applies in another context, researchers need to examine each component of an empirical journal article--they need to annotate!

• The results section of empirical articles are often the most difficult to understand.
• To understand a quantitative results section, look for results that were statistically significant and examine the confidence interval, if provided.
• To understand a qualitative results section, look for definitions of themes or codes and use the quotations provided to understand the participants’ perspective.

Select a quantitative empirical article related to your topic.

• Write down the results the authors identify as statistically significant in the results section.
• How do the authors interpret their results in the discussion section?
• Do the authors provide enough information in the introduction for you to understand their results?

Select a qualitative empirical article relevant to your topic.

• Write down the key themes the authors identify and how they were defined by the participants.

5.2 Annotating empirical journal articles

• Define annotation and describe how to use it to identify, extract, and reflect on the information you need from an article

Annotation refers to the process of writing notes on an article. There are many ways to do this. The most basic technique is to print out the article and build a binder related to your topic. Raul Pacheco-Vega's excellent blog has a post on his approach to taking physical notes. Honestly, while you are there, browse around that website. It is full of amazing tips for students conducting a literature review and graduate research projects. I see a lot of benefits to the paper, pen, and highlighter approach to annotating articles. Personally though, I prefer to use a computer to write notes on an article because my handwriting is terrible and typing notes allows me search for keywords. For other students, electronic notes work best because they cannot afford to print every article that they will use in their paper. No matter what you use, the point is that you need to write notes when you're reading. Reading is research!

There are a number of free software tools you can use to help you annotate a journal article. Most PDF readers like Adobe Acrobat have a commenting and highlighting feature, though the PDF readers included with internet browsers like Google Chrome, Microsoft Edge, and Safari do not have this feature. The best approach may be to use a citation manager like Zotero. Using a citation manager, you can build a library of articles, save your annotations, and link annotations across PDFs using keywords. They also provide integration with word processing programs to help with citations in a reference list

Of course, I don't follow this advice because I have a system that works well for me. I have a PDF open in one computer window and a Word document open in a window next to it. I type notes and copy quotes, listing the page number for each note I take. It's a bit low-tech, but it does make my notes searchable. This way, when I am looking for a concept or quote, I can simply search my notes using the Find feature in Word and get to the information I need.

Annotation and reviewing literature does not have to be a solo project. If are working in a group, you can use the Hypothes.is web browser extension to annotate articles collaboratively. You can also use Google Docs to collaboratively annotate a shared PDF using the commenting feature and write collaborative notes in a shared document. By sharing your highlights and comments, you can split the work of getting the most out of each article you read and build off one another's ideas.

Common annotations

In this section, we present common annotations people make when reading journal articles. These annotations are adapted from Craig Whippo and Raul Pacheco-Vega . If you are annotating on paper, I suggest using different color highlighters for each type of annotation listed below. If you are annotating electronically, you can use the names below as tags to easily find information later. For example, if you are searching for definitions of key concepts, you can either click on the tag for [definitions] in your PDF reader or thumb through a printed copy of article for whatever color or tag you used to indicate definitions of key terms. Most of all, you want to avoid reading through all of your sources again just to find that one thing you know you read somewhere . Time is a graduate student's most valuable resource, so our goal here is to help you spend your time reading the literature wisely.

Personal reflections

Personal reflections are all about you. What do you think? Are there any areas you are confused about? Any new ideas or reflections come to mind while you're reading? Treat these annotations as a means of capturing your first reflections about an article. Write down any questions or thoughts that come to mind as you read. If you think the author says something inaccurate or unsubstantiated, write that down. If you don't understand something, make a note about it and ask your professor. Don't feel bad! Journal articles are hard to understand sometimes, even for professors. Your goal is to critically read the literature, so write down what you think while reading! Table 4.2 contains some questions that might stimulate your thoughts.

Definitions

Note definitions of key terms for your topic. At minimum, you should include a scholarly definition for the concepts represented in your working question. If your working question asks about the process of leaving a relationship with domestic violence, your research proposal will have to explain how you define domestic violence, as well as how you define "leaving" an abusive relationship. While you may already know what you mean by domestic violence, the person reading your research proposal does not.

Annotating definitions also helps you engage with the scholarly debate around your topic. Definitions are often contested among scholars. Some definitions of domestic violence will be more comprehensive, including things such economic abuse or forcing the victim to problematically use substances. Other definitions will be less comprehensive, covering only physical, verbal, and sexual abuse. Often, how someone defines something conceptually is highly related to how they measure it in their study. Since you will have to do both of these things, find a definition that feels right to you or create your own, noting the ways in which it is similar or different from those in the literature.

Definitions are also an important way of dealing with jargon. Becoming familiar with a new content area involves learning the jargon experts use. For example, in the last paragraph I used the term economic abuse, but that's probably not a term you've heard before. If you were conducting a literature review on domestic violence, you would want to search for keywords like economic abuse if they are relevant to your working question. You will also want to know what they mean so you can use them appropriately in designing your study and writing your literature review.

Theoretical perspective

Noting the theoretical perspective of the article can help you interpret the data in the same manner as the author. For example, articles on supervised injection facilities for people who use intravenous drugs most likely come from a harm reduction perspective, and understanding the theory behind harm reduction is important to make sense of empirical results. Articles should be grounded in a theoretical perspective that helps the author conceptualize and understand the data. As we discussed in Chapter 3 , some journal articles are entirely theoretical and help you understand the theories or conceptual models related to your topic. We will help you determine a theoretical perspective for your project in Chapter 7 . For now, it's a good idea to note what theories authors mention when talking about your topic area. Some articles are better about this than others, and many authors make it a bit challenging to find theory (if mentioned at all). In other articles, it may help to note which social work theories are missing  from the literature. For example, a study's findings might address issues of oppression and discrimination, but the authors may not use critical theory to make sense of what happened.

Background knowledge

It's a good idea to note any relevant information the author relies on for background. When an author cites facts or opinions from others, you are subsequently able to get information from multiple articles simultaneously. For example, if we were looking at this meta-analysis about domestic violence , in the introduction section, the authors provide facts from many other sources. These facts will likely be relevant to your inquiry on domestic violence, as well.

As you are looking at background information, you should also note any subtopics or concepts about which there is controversy or consensus. The author may present one viewpoint and then an opposing viewpoint, something you may do in your literature review as well. Similarly, they may present facts that scholars in the field have come to consensus on and describe the ways in which different sources support these conclusions.

Sources of interest

Note any relevant sources the author cites. If there is any background information you plan to use, note the original source of that information. When you write your literature review, cite the original source of a piece of information you are using, which may not be where you initially read it . Remember that you should read and refer to the primary source . If you are reading Article A and the author cites a fact from Article B, you should note Article B in your annotations and use Article B when you cite the fact in your paper. You should also make sure Article A interpreted Article B correctly and scan Article B for any other useful facts.

Research question/Purpose

Authors should be clear about the purpose of their article. Charitable authors will give you a sentence that starts with something like this:

• "The purpose of this research project was..."
• "Our research question was..."
• "The research project was designed to test the following hypothesis..."

Unfortunately, not all authors are so clear, and you may to hunt around for the research question or hypothesis. Generally, in an empirical article, the research question or hypothesis is at the end of the introduction. In non-empirical articles, the author will likely discuss the purpose of the article in the abstract or introduction.

We will discuss in greater detail how to read the results of empirical articles in Chapter 5 . For now, just know that you should highlight any of the key findings of an article. They will be described very briefly in the abstract, and in much more detail in the article itself. In an empirical article, you should look at both the 'Results' and 'Discussion' sections. For a non-empirical article, the key findings will likely be in the conclusion. You can also find them in the topic or concluding sentences in a paragraph within the body of the article.

How do researchers know something when they see it? Found in the 'Methods' section of empirical articles, the measures section is where researchers spell out the tools, or measures, they used to gather data. For quantitative studies, you will want to get familiar with the questions researchers typically use to measure key variables. For example, to measure domestic violence, researchers often use the Conflict Tactics Scale . The more frequently used and cited a measure is, the more we know about how well it works (or not). Qualitative studies will often provide at least some of the interview or focus group questions they used with research participants. They will also include information about how their inquiry and hypotheses may have evolved over time. Keep in mind however, sometimes important information is cut out of an article during editing. If you need more information, consider reaching out to the author directly. Before you do so, check if the author provided an appendix with the information you need or if the article links to a their data and measures as part open data sharing practices.

Who exactly were the study participants and how were they recruited? In quantitative studies, you will want to pay attention to the sample size. Generally, the larger the sample, the greater the study's explanatory power. Additionally, randomly drawn samples are desirable because they leave any variation up to chance. Samples that are conducted out of convenience can be biased and non-representative of the larger population. In qualitative studies, non-random sampling is appropriate but consider this: how well does what we find for this group of people transfer to the people who will be in your study? For qualitative studies and quantitative studies, look for how well the sample is described and whether there are important characteristics missing from the article that you would need to determine the quality of the sample.

Limitations

Honest authors will include these at the end of each article. But you should also note any additional limitations you find with their work as well.

Your annotations

These are just a few suggested annotations, but you can come up with your own. For example, maybe there are annotations you would use for different assignments or for the problem statement in your research proposal. If you have an argument or idea that keeps coming to mind when you read, consider creating an annotation for it so you can remember which part of each article supports your ideas. Whatever works for you. The goal with annotation is to extract as much information from each article while reading, so you don't have to go back through everything again. It's useless to read an article and forget most of what you read. Annotate!

• Begin your search by reading thorough and cohesive literature reviews. Review articles are great sources of information to get a broad perspective of your topic.
• Don’t read an article just to say you’ve read it. Annotate and take notes so you don’t have to re-read it later.
• Use software or paper-and-pencil approaches to write notes on articles.
• Annotation is best used when closely reading an empirical study highly similar to your research project.
• Select an empirical article highly related to the study you would like to conduct.
• Annotate the article using the aforementioned annotations and create some of your own.
• Create the first draft of a summary table with key information from this empirical study that you would like to compare to other empirical studies you closely read.

5.3 Generalizability and transferability of empirical results

• Define generalizability and transferability.
• Assess the generalizability and transferability to how researchers use the results from empirical research studies to make arguments about what is objectively true.
• Relate both concepts to the hierarchy of evidence and the types of articles in the scholarly literature

Now that you have read an empirical article in detail, it's important to put its results in conversation with the broader literature on your topic. In this chapter we discuss two important concepts-- generalizability and   transferability --and the interrelationship between the two. We also explain how these two properties of empirical data impact your literature review and evidence-based practice.

Generalizability

The figure below provides a common approach to assessing empirical evidence. As you move up the pyramid below, you can be more sure that the data contained in those studies generalizes to all people who experience the issue.

As we reviewed in Chapter 1, objective truth is true for everyone, regardless of context. In other words, objective truths generalize beyond the sample of people from whom data were collected to the larger population of people who experience the issue under examination. You can be much more sure that information from a systematic review or meta-analysis will generalize than something from a case study of a single person, pilot projects, and other studies that do not seek to establish generalizability.

The type of article listed here is also related to the types of research methods the authors used. While we cover many of these approaches in this textbook, some of them (like cohort studies) are somewhat less common in social work. Additionally, there is one important research method, survey design, that does not appear in this diagram. Finally, social work research uses many different types of qualitative research--some of which generates more generalizable data than others.

For a refresher on the different types of evidence available in each type of article, refer back to section 4.1. You'll recall the hierarchy of evidence as described by McNeese & Thyer (2004) [55]

• Systematic reviews and meta-analyses
• Randomized controlled trials
• Quasi-experimental studies
• Case-control and cohort studies
• Pre-experimental (or non-experimental) group studies
• Qualitative studies

Because there is further variation in the types of studies used by social work researchers, I expanded the hierarchy of evidence to cover a greater breadth of research methods in Figure 5.3.

Refined information from multiple sources

The top of the hierarchy represents refined scientific information or meta-research . Meta-research uses the scientific method to analyze and improve the scientific production of knowledge. For example, meta-analyses pull together samples of people from all high-quality studies on a given topic area creating a super-study with far more people than any single researcher could feasibly collect data from. Because scientists (and clinical experts) refine data across multiple studies, these represent the most generalizable research findings.

Of course, not all meta-analyses or systematic reviews are of good quality. As a peer reviewer for a scholarly journal, I have seen poor quality systematic reviews that make methodological mistakes—like not including relevant keywords—that lead to incorrect conclusions. Unfortunately, not all errors are caught in the peer review process, and not all limitations are acknowledged by the authors. Just because you are looking at a systematic review does not mean you are looking at THE OBJECTIVE TRUTH. Nevertheless, you can be pretty sure that results from these studies are generalizable to the population in the study’s research question.

A good way to visualize the process of sampling is by examining the procedure used for systematic reviews and meta-analyses to scientifically search for articles. In Figure 5.4 below, you can see how researchers conducting a systematic review identified a large pool of potentially relevant articles, downloaded and analyzed them for relevance, and in the end, analyzed only 71 articles in their systematic review out of a total of 1,589 potentially relevant articles. Because systematic reviews or meta-analyses are intended to make strong, generalizable conclusions, they often exclude studies that still contain good information.

In the process of selecting articles for a meta-analysis and systematic review, researchers may exclude articles with important information for a number of good reasons. No study is perfect, and all research methods decisions come with limitations--including meta-research. Authors conducting a meta-analysis cannot include a study unless researchers provide data for the authors to include in their meta-analysis, and many empirical journal articles do not make their data available. Additionally, a study’s intervention or measures may be a bit different than what researchers want to make conclusions about. This is a key truth applicable across all articles you read—who or what gets selected for analysis in a research project determines how well the project’s results generalize to everyone.

We will talk about this in future chapters as sampling, and in those chapters, we will learn which sampling approaches are intended to support generalizability and which are used for other purposes. For example, availability or convenience sampling is often used to get quick information while random sampling approaches are intended to support generalizability. It is impossible to know everything about your article right now, but by the end of this course, you will have the information you need to critically examine the generalizability of a sample.

Primary sources (empirical studies)

Because refined sources like systematic reviews exclude good studies, they are only a first step in getting to know a topic area. You will need to examine primary sources--the reports of researchers who conducted empirical studies--to make evidence-based conclusions about your topic. Figure 5.3 describes three different types of data and ranks them vertically based on how well you can be sure the information generalizes.

As we will discuss further in our chapter on causal explanations, a key factor in scientifically assessing what happened first. Researchers conducting intervention studies are causing change by providing therapy, housing, or whatever the intervention is and measuring the outcomes of that intervention after they happen. This is unlike survey researchers, who do not introduce an intervention but ask people to self-report information on a questionnaire. Longitudinal surveys are particularly helpful because they can provide a clearer picture of whether the cause came before the effect in a causal relationship, but because they are expensive and time-consuming to conduct, longitudinal studies are relatively rare in the literature and most surveys measure people at only one point in time. Thus, because researchers cannot tightly control the causal variable (an intervention, an experience of abuse, etc.) we can be somewhat less certain of the conclusions of surveys than experiments. At the same time, because surveys measure people in their naturalistic environment rather than in a laboratory or artificial setting, they may do a better job at reducing the potential for the researcher to influence the data a participant provides. Surveys also provide descriptive information--like the number of people with a diagnosis or risk factor--that experiments cannot provide.

Surveys and experiments are commonly used in social work, and we will describe the methods they use in future chapters. When assessing the generalizability of a given survey or experiment, you are looking at whether the methods used by the researchers improve generalizability (or, at least that those methods are intended to improve generalizability). Specifically, there are sampling, measurement, and design decisions that researchers make that can improve generalizability. And once the study is conducted, whether those methods worked as intended also impact generalizability.

We address sampling, measurement, and design in the coming chapters, and you will need more in-depth knowledge of research methods to assess the generalizability of the results you are reading. In the meantime, Figure 5.3 is organized by design, and this is a good starting point for your inquiry since it only requires you to identify the design in each empirical article--which should be included in the abstract and described in detail in the methods section. For more information on how to conduct sampling, measurement, and design in a way that maximizes generalizability, read Part 2 of this textbook.

When searching for design of a study, look for specific keywords that indicate the researcher used methods that do not generalize well like pilot study, pre-experiment, non-experiment, convenience sample, availability sample, and exploratory study. When researchers are seeking to perform a pilot study, they are optimizing for time, not generalizability. Their results may still be useful to you! But, you should not generalize from their study to all people with the issue under analysis without a lot of caution and additional supporting evidence. Instead, you should see whether the lessons from this study might transfer to the context in which you are researching--our next topic.

Qualitative studies use sampling, measures, and designs that do not try to optimize generalizability. Thus, if the results of a qualitative study indicate 10 out of 50 students who participated in the focus group found the mandatory training on harassment to be unhelpful, does that mean 20% of all college students at this university find it unhelpful? Because focus groups and interviews (and other qualitative methods we will discuss) use qualitative methods, they are not concerned with generalizability. It would not make sense to generalize from focus groups to all people in a population. Instead, focus groups methods optimize for trustworthy and authentic research projects that make sure, for example, all themes and quotes in the researcher's report are traceable to quotes from focus group participants. Instead of providing what is generally true, qualitative research provides a thick description of people's experiences so you can understand them. S ubjective inquiry is less generalizable but provides greater depth in understanding people's feelings, beliefs, and decision-making processes within their context. 

In Figure 5.3, you will note that some qualitative studies are ranked higher than others in terms of generalizability. Meta-syntheses are ranked highest because they are meta-research, pooling together the themes and raw data from multiple qualitative studies into a super-study. A meta-synthesis is the qualitative equivalent of a meta-analysis, which analyzes quantitative data. Because the researchers conducting the meta-syntheses aim to make more broad generalizations across research studies, even though generalizability is not strictly the goal. In a similar way, grounded theory studies (a type of qualitative design) aim to produce a testable hypothesis that could generalize. At the bottom of the hierarchy are individual case studies, which report what happens with a single person, organization, or event. It's best not to think too long about the generalizability of qualitative results. When examining qualitative articles, you should be examining their transferability, our topic for the next subsection.

Transferability

Generalizability asks one question: How well does the sample of people in this study represent everyone with this issue? If you read in a study that 50% of people in the sample experienced depression, does that mean 50% of everyone experiences depression? We previewed future discussions in this textbook that will discuss the specific quantitative research methods used to optimize the generalizability of results. By adhering strictly to best practices in sampling, measurement, and design, researchers can provide you with good evidence for the generalizability of their study's results.

Of course, generalizability is not the only question worth asking. Just because a study's sample represents a broader population does not mean it is helpful for making conclusions about your working question. In assessing a study's transferability, you are making a weaker but compelling argument that the conclusions of one study can be applied to understanding the people in your working question and research project. Generalizable results may be applicable because they are broadly transferable across situations, and you can be confident in that when they follow the best practices in this textbook for improving generalizability. However, there may be aspects of a study that make its results difficult to transfer to your topic area.

When evaluating the transferability of a research result to your working question, consider the sample, measures, and design. That is, how data was collected from individuals, who those individuals are, and what researchers did with them. You may find that the samples in generalizable studies do not talk about the specific ethnic, cultural, or geographic group that is in your working question. Similarly, studies that measure the outcomes of substance use treatment by measuring sobriety may not match your working question on moderation, medication adherence, or substitution as an outcome in substance use treatment. Evaluating the transferability of designs may help you identify whether the methods the authors used would be similar to those you might use if you were to conduct a study gathering and collecting your own raw data.

Assessing transferability is more subjective. You are using your knowledge of your topic area and research methods (which are always improving!) to make a reasonable argument about why a given piece of evidence from a primary source helps you understand something. Look back at Table 5.2, your annotations, and the researchers' sampling, data analysis, results, and design. Using your critical thinking (and the knowledge you can in Part 2 and Part 3 of this textbook) you will need to make a reasonable argument that these results transfer to the people, places, and culture that you are talking about in your working question.

In the final chapter of Part 1, we will discuss how to assemble the facts you have taken from journal articles into a literature review that represents what  you think about the topic.

• Developing your theoretical framework
• Conceptual definitions
• Inductive & deductive reasoning

Nomothetic causal explanations

Content warning: examples in this chapter include references to sexual harassment, domestic violence, gender-based violence, the child welfare system, substance use disorders, neonatal abstinence syndrome, child abuse, racism, and sexism.

11.1 Developing your theoretical framework

• Differentiate between theories that explain specific parts of the social world versus those that are more broad and sweeping in their conclusions
• Identify the theoretical perspectives that are relevant to your project and inform your thinking about it
• Define key concepts in your working question and develop a theoretical framework for how you understand your topic.

Theories provide a way of looking at the world and of understanding human interaction. Paradigms are grounded in big assumptions about the world—what is real, how do we create knowledge—whereas theories describe more specific phenomena. Well, we are still oversimplifying a bit. Some theories try to explain the whole world, while others only try to explain a small part. Some theories can be grouped together based on common ideas but retain their own individual and unique features. Our goal is to help you find a theoretical framework that helps you understand your topic more deeply and answer your working question.

Theories: Big and small

In your human behavior and the social environment (HBSE) class, you were introduced to the major theoretical perspectives that are commonly used in social work. These are what we like to call big-T 'T'heories. When you read about systems theory, you are actually reading a synthesis of decades of distinct, overlapping, and conflicting theories that can be broadly classified within systems theory. For example, within systems theory, some approaches focus more on family systems while others focus on environmental systems, though the core concepts remain similar.

Different theorists define concepts in their own way, and as a result, their theories may explore different relationships with those concepts. For example, Deci and Ryan's (1985) [56] self-determination theory discusses motivation and establishes that it is contingent on meeting one's needs for autonomy, competency, and relatedness. By contrast, ecological self-determination theory, as written by Abery & Stancliffe (1996), [57] argues that self-determination is the amount of control exercised by an individual over aspects of their lives they deem important across the micro, meso, and macro levels. If self-determination were an important concept in your study, you would need to figure out which of the many theories related to self-determination helps you address your working question.

Theories can provide a broad perspective on the key concepts and relationships in the world or more specific and applied concepts and perspectives. Table 7.2 summarizes two commonly used lists of big-T Theoretical perspectives in social work. See if you can locate some of the theories that might inform your project.

Competing theoretical explanations

Within each area of specialization in social work, there are many other theories that aim to explain more specific types of interactions. For example, within the study of sexual harassment, different theories posit different explanations for why harassment occurs.

One theory, first developed by criminologists, is called routine activities theory. It posits that sexual harassment is most likely to occur when a workplace lacks unified groups and when potentially vulnerable targets and motivated offenders are both present (DeCoster, Estes, & Mueller, 1999). [60]

Other theories of sexual harassment, called relational theories, suggest that one's existing relationships are the key to understanding why and how workplace sexual harassment occurs and how people will respond when it does occur (Morgan, 1999). [61] Relational theories focus on the power that different social relationships provide (e.g., married people who have supportive partners at home might be more likely than those who lack support at home to report sexual harassment when it occurs).

Finally, feminist theories of sexual harassment take a different stance. These theories posit that the organization of our current gender system, wherein those who are the most masculine have the most power, best explains the occurrence of workplace sexual harassment (MacKinnon, 1979). [62] As you might imagine, which theory a researcher uses to examine the topic of sexual harassment will shape the questions asked about harassment. It will also shape the explanations the researcher provides for why harassment occurs.

For a graduate student beginning their study of a new topic, it may be intimidating to learn that there are so many theories beyond what you’ve learned in your theory classes. What’s worse is that there is no central database of theories on your topic. However, as you review the literature in your area, you will learn more about the theories scientists have created to explain how your topic works in the real world. There are other good sources for theories, in addition to journal articles. Books often contain works of theoretical and philosophical importance that are beyond the scope of an academic journal. Do a search in your university library for books on your topic, and you are likely to find theorists talking about how to make sense of your topic. You don't necessarily have to agree with the prevailing theories about your topic, but you do need to be aware of them so you can apply theoretical ideas to your project.

Applying big-T theories to your topic

The key to applying theories to your topic is learning the key concepts associated with that theory and the relationships between those concepts, or propositions . Again, your HBSE class should have prepared you with some of the most important concepts from the theoretical perspectives listed in Table 7.2. For example, the conflict perspective sees the world as divided into dominant and oppressed groups who engage in conflict over resources. If you were applying these theoretical ideas to your project, you would need to identify which groups in your project are considered dominant or oppressed groups, and which resources they were struggling over. This is a very general example. Challenge yourself to find small-t theories about your topic that will help you understand it in much greater detail and specificity. If you have chosen a topic that is relevant to your life and future practice, you will be doing valuable work shaping your ideas towards social work practice.

Integrating theory into your project can be easy, or it can take a bit more effort. Some people have a strong and explicit theoretical perspective that they carry with them at all times. For me, you'll probably see my work drawing from exchange and choice, social constructionist, and critical theory. Maybe you have theoretical perspectives you naturally employ, like Afrocentric theory or person-centered practice. If so, that's a great place to start since you might already be using that theory (even subconsciously) to inform your understanding of your topic. But if you aren't aware of whether you are using a theoretical perspective when you think about your topic, try writing a paragraph off the top of your head or talking with a friend explaining what you think about that topic. Try matching it with some of the ideas from the broad theoretical perspectives from Table 7.2. This can ground you as you search for more specific theories. Some studies are designed to test whether theories apply the real world while others are designed to create new theories or variations on existing theories. Consider which feels more appropriate for your project and what you want to know.

Another way to easily identify the theories associated with your topic is to look at the concepts in your working question. Are these concepts commonly found in any of the theoretical perspectives in Table 7.2? Take a look at the Payne and Hutchison texts and see if any of those look like the concepts and relationships in your working question or if any of them match with how you think about your topic. Even if they don't possess the exact same wording, similar theories can help serve as a starting point to finding other theories that can inform your project. Remember, HBSE textbooks will give you not only the broad statements of theories but also sources from specific theorists and sub-theories that might be more applicable to your topic. Skim the references and suggestions for further reading once you find something that applies well.

Choose a theoretical perspective from Hutchison, Payne, or another theory textbook that is relevant to your project. Using their textbooks or other reputable sources, identify :

• At least five important concepts from the theory
• What relationships the theory establishes between these important concepts (e.g., as x increases, the y decreases)
• How you can use this theory to better understand the concepts and variables in your project?

Developing your own theoretical framework

Hutchison's and Payne's frameworks are helpful for surveying the whole body of literature relevant to social work, which is why they are so widely used. They are one framework, or way of thinking, about all of the theories social workers will encounter that are relevant to practice. Social work researchers should delve further and develop a theoretical or conceptual framework of their own based on their reading of the literature. In Chapter 8 , we will develop your theoretical framework further, identifying the cause-and-effect relationships that answer your working question. Developing a theoretical framework is also instructive for revising and clarifying your working question and identifying concepts that serve as keywords for additional literature searching. The greater clarity you have with your theoretical perspective, the easier each subsequent step in the research process will be.

Getting acquainted with the important theoretical concepts in a new area can be challenging. While social work education provides a broad overview of social theory, you will find much greater fulfillment out of reading about the theories related to your topic area. We discussed some strategies for finding theoretical information in Chapter 3 as part of literature searching. To extend that conversation a bit, some strategies for searching for theories in the literature include:

• Consider searching for these keywords in the title or abstract, specifically
• Looking at the references and cited by links within theoretical articles and textbooks
• Looking at books, edited volumes, and textbooks that discuss theory
• Talking with a scholar on your topic, or asking a professor if they can help connect you to someone
• Nice authors are clear about how they use theory to inform their research project, usually in the introduction and discussion section.
• For example, from the broad umbrella of systems theory, you might pick out family systems theory if you want to understand the effectiveness of a family counseling program.

It's important to remember that knowledge arises within disciplines, and that disciplines have different theoretical frameworks for explaining the same topic. While it is certainly important for the social work perspective to be a part of your analysis, social workers benefit from searching across disciplines to come to a more comprehensive understanding of the topic. Reaching across disciplines can provide uncommon insights during conceptualization, and once the study is completed, a multidisciplinary researcher will be able to share results in a way that speaks to a variety of audiences. A study by An and colleagues (2015) [63] uses game theory from the discipline of economics to understand problems in the Temporary Assistance for Needy Families (TANF) program. In order to receive TANF benefits, mothers must cooperate with paternity and child support requirements unless they have "good cause," as in cases of domestic violence, in which providing that information would put the mother at greater risk of violence. Game theory can help us understand how TANF recipients and caseworkers respond to the incentives in their environment, and highlight why the design of the "good cause" waiver program may not achieve its intended outcome of increasing access to benefits for survivors of family abuse.

Of course, there are natural limits on the depth with which student researchers can and should engage in a search for theory about their topic. At minimum, you should be able to draw connections across studies and be able to assess the relative importance of each theory within the literature. Just because you found one article applying your theory (like game theory, in our example above) does not mean it is important or often used in the domestic violence literature. Indeed, it would be much more common in the family violence literature to find psychological theories of trauma, feminist theories of power and control, and similar theoretical perspectives used to inform research projects rather than game theory, which is equally applicable to survivors of family violence as workers and bosses at a corporation. Consider using the Cited By feature to identify articles, books, and other sources of theoretical information that are seminal or well-cited in the literature. Similarly, by using the name of a theory in the keywords of a search query (along with keywords related to your topic), you can get a sense of how often the theory is used in your topic area. You should have a sense of what theories are commonly used to analyze your topic, even if you end up choosing a different one to inform your project.

Theories that are not cited or used as often are still immensely valuable. As we saw before with TANF and "good cause" waivers, using theories from other disciplines can produce uncommon insights and help you make a new contribution to the social work literature. Given the privileged position that the social work curriculum places on theories developed by white men, students may want to explore Afrocentricity as a social work practice theory (Pellebon, 2007) [64] or abolitionist social work (Jacobs et al., 2021) [65] when deciding on a theoretical framework for their research project that addresses concepts of racial justice. Start with your working question, and explain how each theory helps you answer your question. Some explanations are going to feel right, and some concepts will feel more salient to you than others. Keep in mind that this is an iterative process. Your theoretical framework will likely change as you continue to conceptualize your research project, revise your research question, and design your study.

By trying on many different theoretical explanations for your topic area, you can better clarify your own theoretical framework. Some of you may be fortunate enough to find theories that match perfectly with how you think about your topic, are used often in the literature, and are therefore relatively straightforward to apply. However, many of you may find that a combination of theoretical perspectives is most helpful for you to investigate your project. For example, maybe the group counseling program for which you are evaluating client outcomes draws from both motivational interviewing and cognitive behavioral therapy. In order to understand the change happening in the client population, you would need to know each theory separately as well as how they work in tandem with one another. Because theoretical explanations and even the definitions of concepts are debated by scientists, it may be helpful to find a specific social scientist or group of scientists whose perspective on the topic you find matches with your understanding of the topic. Of course, it is also perfectly acceptable to develop your own theoretical framework, though you should be able to articulate how your framework fills a gap within the literature.

If you are adapting theoretical perspectives in your study, it is important to clarify the original authors' definitions of each concept. Jabareen (2009) [66] offers that conceptual frameworks are not merely collections of concepts but, rather, constructs in which each concept plays an integral role. [67] A conceptual framework is a network of linked concepts that together provide a comprehensive understanding of a phenomenon. Each concept in a conceptual framework plays an ontological or epistemological role in the framework, and it is important to assess whether the concepts and relationships in your framework make sense together. As your framework takes shape, you will find yourself integrating and grouping together concepts, thinking about the most important or least important concepts, and how each concept is causally related to others.

Much like paradigm, theory plays a supporting role for the conceptualization of your research project. Recall the ice float from Figure 7.1. Theoretical explanations support the design and methods you use to answer your research question. In student projects that lack a theoretical framework, I often see the biases and errors in reasoning that we discussed in Chapter 1 that get in the way of good social science. That's because theories mark which concepts are important, provide a framework for understanding them, and measure their interrelationships. If you are missing this foundation, you will operate on informal observation, messages from authority, and other forms of unsystematic and unscientific thinking we reviewed in Chapter 1 .

Theory-informed inquiry is incredibly helpful for identifying key concepts and how to measure them in your research project, but there is a risk in aligning research too closely with theory. The theory-ladenness of facts and observations produced by social science research means that we may be making our ideas real through research. This is a potential source of confirmation bias in social science. Moreover, as Tan (2016) [68] demonstrates, social science often proceeds by adopting as true the perspective of Western and Global North countries, and cross-cultural research is often when ethnocentric and biased ideas are most visible . In her example, a researcher from the West studying teacher-centric classrooms in China that rely partially on rote memorization may view them as less advanced than student-centered classrooms developed in a Western country simply because of Western philosophical assumptions about the importance of individualism and self-determination. Developing a clear theoretical framework is a way to guard against biased research, and it will establish a firm foundation on which you will develop the design and methods for your study.

• Just as empirical evidence is important for conceptualizing a research project, so too are the key concepts and relationships identified by social work theory.
• Using theory your theory textbook will provide you with a sense of the broad theoretical perspectives in social work that might be relevant to your project.
• Try to find small-t theories that are more specific to your topic area and relevant to your working question.
• In Chapter 2 , you developed a concept map for your proposal. Take a moment to revisit your concept map now as your theoretical framework is taking shape. Make any updates to the key concepts and relationships in your concept map. . If you need a refresher, we have embedded a short how-to video from the University of Guelph Library (CC-BY-NC-SA 4.0) that we also used in Chapter 2 .

11.2 Conceptual definitions

• Define measurement and conceptualization
• Apply Kaplan’s three categories to determine the complexity of measuring a given variable
• Identify the role previous research and theory play in defining concepts
• Distinguish between unidimensional and multidimensional concepts
• Critically apply reification to how you conceptualize the key variables in your research project

In social science, when we use the term  measurement , we mean the process by which we describe and ascribe meaning to the key facts, concepts, or other phenomena that we are investigating. At its core, measurement is about defining one’s terms in as clear and precise a way as possible. Of course, measurement in social science isn’t quite as simple as using a measuring cup or spoon, but there are some basic tenets on which most social scientists agree when it comes to measurement. We’ll explore those, as well as some of the ways that measurement might vary depending on your unique approach to the study of your topic.

An important point here is that measurement does not require any particular instruments or procedures. What it does require is a systematic procedure for assigning scores, meanings, and descriptions to individuals or objects so that those scores represent the characteristic of interest. You can measure phenomena in many different ways, but you must be sure that how you choose to measure gives you information and data that lets you answer your research question. If you're looking for information about a person's income, but your main points of measurement have to do with the money they have in the bank, you're not really going to find the information you're looking for!

The question of what social scientists measure can be answered by asking yourself what social scientists study. Think about the topics you’ve learned about in other social work classes you’ve taken or the topics you’ve considered investigating yourself. Let’s consider Melissa Milkie and Catharine Warner’s study (2011) [69] of first graders’ mental health. In order to conduct that study, Milkie and Warner needed to have some idea about how they were going to measure mental health. What does mental health mean, exactly? And how do we know when we’re observing someone whose mental health is good and when we see someone whose mental health is compromised? Understanding how measurement works in research methods helps us answer these sorts of questions.

As you might have guessed, social scientists will measure just about anything that they have an interest in investigating. For example, those who are interested in learning something about the correlation between social class and levels of happiness must develop some way to measure both social class and happiness. Those who wish to understand how well immigrants cope in their new locations must measure immigrant status and coping. Those who wish to understand how a person’s gender shapes their workplace experiences must measure gender and workplace experiences (and get more specific about which experiences are under examination). You get the idea. Social scientists can and do measure just about anything you can imagine observing or wanting to study. Of course, some things are easier to observe or measure than others.

Observing your variables

In 1964, philosopher Abraham Kaplan (1964) [70] wrote The   Conduct of Inquiry,  which has since become a classic work in research methodology (Babbie, 2010). [71] In his text, Kaplan describes different categories of things that behavioral scientists observe. One of those categories, which Kaplan called “observational terms,” is probably the simplest to measure in social science. Observational terms are the sorts of things that we can see with the naked eye simply by looking at them. Kaplan roughly defines them as conditions that are easy to identify and verify through direct observation. If, for example, we wanted to know how the conditions of playgrounds differ across different neighborhoods, we could directly observe the variety, amount, and condition of equipment at various playgrounds.

Indirect observables , on the other hand, are less straightforward to assess. In Kaplan's framework, they are conditions that are subtle and complex that we must use existing knowledge and intuition to define. If we conducted a study for which we wished to know a person’s income, we’d probably have to ask them their income, perhaps in an interview or a survey. Thus, we have observed income, even if it has only been observed indirectly. Birthplace might be another indirect observable. We can ask study participants where they were born, but chances are good we won’t have directly observed any of those people being born in the locations they report.

Sometimes the measures that we are interested in are more complex and more abstract than observational terms or indirect observables. Think about some of the concepts you’ve learned about in other social work classes—for example, ethnocentrism. What is ethnocentrism? Well, from completing an introduction to social work class you might know that it has something to do with the way a person judges another’s culture. But how would you  measure  it? Here’s another construct: bureaucracy. We know this term has something to do with organizations and how they operate but measuring such a construct is trickier than measuring something like a person’s income. The theoretical concepts of ethnocentrism and bureaucracy represent ideas whose meanings we have come to agree on. Though we may not be able to observe these abstractions directly, we can observe their components.

Kaplan referred to these more abstract things that behavioral scientists measure as constructs.  Constructs  are “not observational either directly or indirectly” (Kaplan, 1964, p. 55), [72] but they can be defined based on observables. For example, the construct of bureaucracy could be measured by counting the number of supervisors that need to approve routine spending by public administrators. The greater the number of administrators that must sign off on routine matters, the greater the degree of bureaucracy. Similarly, we might be able to ask a person the degree to which they trust people from different cultures around the world and then assess the ethnocentrism inherent in their answers. We can measure constructs like bureaucracy and ethnocentrism by defining them in terms of what we can observe. [73]

The idea of coming up with your own measurement tool might sound pretty intimidating at this point. The good news is that if you find something in the literature that works for you, you can use it (with proper attribution, of course). If there are only pieces of it that you like, you can reuse those pieces (with proper attribution and describing/justifying any changes). You don't always have to start from scratch!

Look at the variables in your research question.

• Classify them as direct observables, indirect observables, or constructs.
• Do you think measuring them will be easy or hard?
• What are your first thoughts about how to measure each variable? No wrong answers here, just write down a thought about each variable.

Measurement starts with conceptualization

In order to measure the concepts in your research question, we first have to understand what we think about them. As an aside, the word concept  has come up quite a bit, and it is important to be sure we have a shared understanding of that term. A  concept is the notion or image that we conjure up when we think of some cluster of related observations or ideas. For example, masculinity is a concept. What do you think of when you hear that word? Presumably, you imagine some set of behaviors and perhaps even a particular style of self-presentation. Of course, we can’t necessarily assume that everyone conjures up the same set of ideas or images when they hear the word  masculinity . While there are many possible ways to define the term and some may be more common or have more support than others, there is no universal definition of masculinity. What counts as masculine may shift over time, from culture to culture, and even from individual to individual (Kimmel, 2008). This is why defining our concepts is so important.\

Not all researchers clearly explain their theoretical or conceptual framework for their study, but they should! Without understanding how a researcher has defined their key concepts, it would be nearly impossible to understand the meaning of that researcher’s findings and conclusions. Back in Chapter 7 , you developed a theoretical framework for your study based on a survey of the theoretical literature in your topic area. If you haven't done that yet, consider flipping back to that section to familiarize yourself with some of the techniques for finding and using theories relevant to your research question. Continuing with our example on masculinity, we would need to survey the literature on theories of masculinity. After a few queries on masculinity, I found a wonderful article by Wong (2010) [74] that analyzed eight years of the journal Psychology of Men & Masculinity and analyzed how often different theories of masculinity were used . Not only can I get a sense of which theories are more accepted and which are more marginal in the social science on masculinity, I am able to identify a range of options from which I can find the theory or theories that will inform my project. 

Identify a specific theory (or more than one theory) and how it helps you understand...

• Your independent variable(s).
• Your dependent variable(s).
• The relationship between your independent and dependent variables.

Rather than completing this exercise from scratch, build from your theoretical or conceptual framework developed in previous chapters.

In quantitative methods, conceptualization involves writing out clear, concise definitions for our key concepts. These are the kind of definitions you are used to, like the ones in a dictionary. A conceptual definition involves defining a concept in terms of other concepts, usually by making reference to how other social scientists and theorists have defined those concepts in the past. Of course, new conceptual definitions are created all the time because our conceptual understanding of the world is always evolving.

Conceptualization is deceptively challenging—spelling out exactly what the concepts in your research question mean to you. Following along with our example, think about what comes to mind when you read the term masculinity. How do you know masculinity when you see it? Does it have something to do with men or with social norms? If so, perhaps we could define masculinity as the social norms that men are expected to follow. That seems like a reasonable start, and at this early stage of conceptualization, brainstorming about the images conjured up by concepts and playing around with possible definitions is appropriate. However, this is just the first step. At this point, you should be beyond brainstorming for your key variables because you have read a good amount of research about them

In addition, we should consult previous research and theory to understand the definitions that other scholars have already given for the concepts we are interested in. This doesn’t mean we must use their definitions, but understanding how concepts have been defined in the past will help us to compare our conceptualizations with how other scholars define and relate concepts. Understanding prior definitions of our key concepts will also help us decide whether we plan to challenge those conceptualizations or rely on them for our own work. Finally, working on conceptualization is likely to help in the process of refining your research question to one that is specific and clear in what it asks. Conceptualization and operationalization (next section) are where "the rubber meets the road," so to speak, and you have to specify what you mean by the question you are asking. As your conceptualization deepens, you will often find that your research question becomes more specific and clear.

If we turn to the literature on masculinity, we will surely come across work by Michael Kimmel , one of the preeminent masculinity scholars in the United States. After consulting Kimmel’s prior work (2000; 2008), [75] we might tweak our initial definition of masculinity. Rather than defining masculinity as “the social norms that men are expected to follow,” perhaps instead we’ll define it as “the social roles, behaviors, and meanings prescribed for men in any given society at any one time” (Kimmel & Aronson, 2004, p. 503). [76] Our revised definition is more precise and complex because it goes beyond addressing one aspect of men’s lives (norms), and addresses three aspects: roles, behaviors, and meanings. It also implies that roles, behaviors, and meanings may vary across societies and over time. Using definitions developed by theorists and scholars is a good idea, though you may find that you want to define things your own way.

As you can see, conceptualization isn’t as simple as applying any random definition that we come up with to a term. Defining our terms may involve some brainstorming at the very beginning. But conceptualization must go beyond that, to engage with or critique existing definitions and conceptualizations in the literature. Once we’ve brainstormed about the images associated with a particular word, we should also consult prior work to understand how others define the term in question. After we’ve identified a clear definition that we’re happy with, we should make sure that every term used in our definition will make sense to others. Are there terms used within our definition that also need to be defined? If so, our conceptualization is not yet complete. Our definition includes the concept of "social roles," so we should have a definition for what those mean and become familiar with role theory to help us with our conceptualization. If we don't know what roles are, how can we study them?

Let's say we do all of that. We have a clear definition of the term masculinity with reference to previous literature and we also have a good understanding of the terms in our conceptual definition...then we're done, right? Not so fast. You’ve likely met more than one man in your life, and you’ve probably noticed that they are not the same, even if they live in the same society during the same historical time period. This could mean there are dimensions of masculinity. In terms of social scientific measurement, concepts can be said to have multiple dimensions  when there are multiple elements that make up a single concept. With respect to the term  masculinity , dimensions could based on gender identity, gender performance, sexual orientation, etc.. In any of these cases, the concept of masculinity would be considered to have multiple dimensions.

While you do not need to spell out every possible dimension of the concepts you wish to measure, it is important to identify whether your concepts are unidimensional (and therefore relatively easy to define and measure) or multidimensional (and therefore require multi-part definitions and measures). In this way, how you conceptualize your variables determines how you will measure them in your study. Unidimensional concepts are those that are expected to have a single underlying dimension. These concepts can be measured using a single measure or test. Examples include simple concepts such as a person’s weight, time spent sleeping, and so forth. 

One frustrating this is that there is no clear demarcation between concepts that are inherently unidimensional or multidimensional. Even something as simple as age could be broken down into multiple dimensions including mental age and chronological age, so where does conceptualization stop? How far down the dimensional rabbit hole do we have to go? Researchers should consider two things. First, how important is this variable in your study? If age is not important in your study (maybe it is a control variable), it seems like a waste of time to do a lot of work drawing from developmental theory to conceptualize this variable. A unidimensional measure from zero to dead is all the detail we need. On the other hand, if we were measuring the impact of age on masculinity, conceptualizing our independent variable (age) as multidimensional may provide a richer understanding of its impact on masculinity. Finally, your conceptualization will lead directly to your operationalization of the variable, and once your operationalization is complete, make sure someone reading your study could follow how your conceptual definitions informed the measures you chose for your variables. 

Write a conceptual definition for your independent and dependent variables.

• Cite and attribute definitions to other scholars, if you use their words.
• Describe how your definitions are informed by your theoretical framework.
• Place your definition in conversation with other theories and conceptual definitions commonly used in the literature.
• Are there multiple dimensions of your variables?
• Are any of these dimensions important for you to measure?

Do researchers actually know what we're talking about?

Conceptualization proceeds differently in qualitative research compared to quantitative research. Since qualitative researchers are interested in the understandings and experiences of their participants, it is less important for them to find one fixed definition for a concept before starting to interview or interact with participants. The researcher’s job is to accurately and completely represent how their participants understand a concept, not to test their own definition of that concept.

If you were conducting qualitative research on masculinity, you would likely consult previous literature like Kimmel’s work mentioned above. From your literature review, you may come up with a  working definition  for the terms you plan to use in your study, which can change over the course of the investigation. However, the definition that matters is the definition that your participants share during data collection. A working definition is merely a place to start, and researchers should take care not to think it is the only or best definition out there.

In qualitative inquiry, your participants are the experts (sound familiar, social workers?) on the concepts that arise during the research study. Your job as the researcher is to accurately and reliably collect and interpret their understanding of the concepts they describe while answering your questions. Conceptualization of concepts is likely to change over the course of qualitative inquiry, as you learn more information from your participants. Indeed, getting participants to comment on, extend, or challenge the definitions and understandings of other participants is a hallmark of qualitative research. This is the opposite of quantitative research, in which definitions must be completely set in stone before the inquiry can begin.

The contrast between qualitative and quantitative conceptualization is instructive for understanding how quantitative methods (and positivist research in general) privilege the knowledge of the researcher over the knowledge of study participants and community members. Positivism holds that the researcher is the "expert," and can define concepts based on their expert knowledge of the scientific literature. This knowledge is in contrast to the lived experience that participants possess from experiencing the topic under examination day-in, day-out. For this reason, it would be wise to remind ourselves not to take our definitions too seriously and be critical about the limitations of our knowledge.

Conceptualization must be open to revisions, even radical revisions, as scientific knowledge progresses. While I’ve suggested consulting prior scholarly definitions of our concepts, you should not assume that prior, scholarly definitions are more real than the definitions we create. Likewise, we should not think that our own made-up definitions are any more real than any other definition. It would also be wrong to assume that just because definitions exist for some concept that the concept itself exists beyond some abstract idea in our heads. Building on the paradigmatic ideas behind interpretivism and the critical paradigm, researchers call the assumption that our abstract concepts exist in some concrete, tangible way is known as reification . It explores the power dynamics behind how we can create reality by how we define it.

Returning again to our example of masculinity. Think about our how our notions of masculinity have developed over the past few decades, and how different and yet so similar they are to patriarchal definitions throughout history. Conceptual definitions become more or less popular based on the power arrangements inside of social science the broader world. Western knowledge systems are privileged, while others are viewed as unscientific and marginal. The historical domination of social science by white men from WEIRD countries meant that definitions of masculinity were imbued their cultural biases and were designed explicitly and implicitly to preserve their power. This has inspired movements for cognitive justice as we seek to use social science to achieve global development.

• Measurement is the process by which we describe and ascribe meaning to the key facts, concepts, or other phenomena that we are investigating.
• Kaplan identified three categories of things that social scientists measure including observational terms, indirect observables, and constructs.
• Some concepts have multiple elements or dimensions.
• Researchers often use measures previously developed and studied by other researchers.
• Conceptualization is a process that involves coming up with clear, concise definitions.
• Conceptual definitions are based on the theoretical framework you are using for your study (and the paradigmatic assumptions underlying those theories).
• Whether your conceptual definitions come from your own ideas or the literature, you should be able to situate them in terms of other commonly used conceptual definitions.
• Researchers should acknowledge the limited explanatory power of their definitions for concepts and how oppression can shape what explanations are considered true or scientific.

Think historically about the variables in your research question.

• How has our conceptual definition of your topic changed over time?
• What scholars or social forces were responsible for this change?

Take a critical look at your conceptual definitions.

• How participants might define terms for themselves differently, in terms of their daily experience?
• On what cultural assumptions are your conceptual definitions based?
• Are your conceptual definitions applicable across all cultures that will be represented in your sample?

11.3 Inductive and deductive reasoning

• Describe inductive and deductive reasoning and provide examples of each
• Identify how inductive and deductive reasoning are complementary

Congratulations! You survived the chapter on theories and paradigms. My experience has been that many students have a difficult time thinking about theories and paradigms because they perceive them as "intangible" and thereby hard to connect to social work research. I even had one student who said she got frustrated just reading the word "philosophy."

Rest assured, you do not need to become a theorist or philosopher to be an effective social worker or researcher. However, you should have a good sense of what theory or theories will be relevant to your project, as well as how this theory, along with your working question, fit within the three broad research paradigms we reviewed. If you don't have a good idea about those at this point, it may be a good opportunity to pause and read more about the theories related to your topic area.

Theories structure and inform social work research. The converse is also true: research can structure and inform theory. The reciprocal relationship between theory and research often becomes evident to students when they consider the relationships between theory and research in inductive and deductive approaches to research. In both cases, theory is crucial. But the relationship between theory and research differs for each approach.

While inductive and deductive approaches to research are quite different, they can also be complementary. Let’s start by looking at each one and how they differ from one another. Then we’ll move on to thinking about how they complement one another.

Inductive reasoning

A researcher using inductive reasoning begins by collecting data that is relevant to their topic of interest. Once a substantial amount of data have been collected, the researcher will then step back from data collection to get a bird’s eye view of their data. At this stage, the researcher looks for patterns in the data, working to develop a theory that could explain those patterns. Thus, when researchers take an inductive approach, they start with a particular set of observations and move to a more general set of propositions about those experiences. In other words, they move from data to theory, or from the specific to the general. Figure 8.1 outlines the steps involved with an inductive approach to research.

There are many good examples of inductive research, but we’ll look at just a few here. One fascinating study in which the researchers took an inductive approach is Katherine Allen, Christine Kaestle, and Abbie Goldberg’s (2011) [77] study of how boys and young men learn about menstruation. To understand this process, Allen and her colleagues analyzed the written narratives of 23 young cisgender men in which the men described how they learned about menstruation, what they thought of it when they first learned about it, and what they think of it now. By looking for patterns across all 23 cisgender men’s narratives, the researchers were able to develop a general theory of how boys and young men learn about this aspect of girls’ and women’s biology. They conclude that sisters play an important role in boys’ early understanding of menstruation, that menstruation makes boys feel somewhat separated from girls, and that as they enter young adulthood and form romantic relationships, young men develop more mature attitudes about menstruation. Note how this study began with the data—men’s narratives of learning about menstruation—and worked to develop a theory.

In another inductive study, Kristin Ferguson and colleagues (Ferguson, Kim, & McCoy, 2011) [78] analyzed empirical data to better understand how to meet the needs of young people who are homeless. The authors analyzed focus group data from 20 youth at a homeless shelter. From these data they developed a set of recommendations for those interested in applied interventions that serve homeless youth. The researchers also developed hypotheses for others who might wish to conduct further investigation of the topic. Though Ferguson and her colleagues did not test their hypotheses, their study ends where most deductive investigations begin: with a theory and a hypothesis derived from that theory. Section 8.4 discusses the use of mixed methods research as a way for researchers to test hypotheses created in a previous component of the same research project.

You will notice from both of these examples that inductive reasoning is most commonly found in studies using qualitative methods, such as focus groups and interviews. Because inductive reasoning involves the creation of a new theory, researchers need very nuanced data on how the key concepts in their working question operate in the real world. Qualitative data is often drawn from lengthy interactions and observations with the individuals and phenomena under examination. For this reason, inductive reasoning is most often associated with qualitative methods, though it is used in both quantitative and qualitative research.

Deductive reasoning

If inductive reasoning is about creating theories from raw data, deductive reasoning is about testing theories using data. Researchers using deductive reasoning take the steps described earlier for inductive research and reverse their order. They start with a compelling social theory, create a hypothesis about how the world should work, collect raw data, and analyze whether their hypothesis was confirmed or not. That is, deductive approaches move from a more general level (theory) to a more specific (data); whereas inductive approaches move from the specific (data) to general (theory).

A deductive approach to research is the one that people typically associate with scientific investigation. Students in English-dominant countries that may be confused by inductive vs. deductive research can rest part of the blame on Sir Arthur Conan Doyle, creator of the Sherlock Holmes character. As Craig Vasey points out in his breezy introduction to logic book chapter , Sherlock Holmes more often used inductive rather than deductive reasoning (despite claiming to use the powers of deduction to solve crimes). By noticing subtle details in how people act, behave, and dress, Holmes finds patterns that others miss. Using those patterns, he creates a theory of how the crime occurred, dramatically revealed to the authorities just in time to arrest the suspect. Indeed, it is these flashes of insight into the patterns of data that make Holmes such a keen inductive reasoner. In social work practice, rather than detective work, inductive reasoning is supported by the intuitions and practice wisdom of social workers, just as Holmes' reasoning is sharpened by his experience as a detective.

So, if deductive reasoning isn't Sherlock Holmes' observation and pattern-finding, how does it work? It starts with what you have already done in Chapters 3 and 4, reading and evaluating what others have done to study your topic. It continued with Chapter 5, discovering what theories already try to explain how the concepts in your working question operate in the real world. Tapping into this foundation of knowledge on their topic, the researcher studies what others have done, reads existing theories of whatever phenomenon they are studying, and then tests hypotheses that emerge from those theories. Figure 8.2 outlines the steps involved with a deductive approach to research.

While not all researchers follow a deductive approach, many do. We’ll now take a look at a couple excellent recent examples of deductive research. 

In a study of US law enforcement responses to hate crimes, Ryan King and colleagues (King, Messner, & Baller, 2009) [79] hypothesized that law enforcement’s response would be less vigorous in areas of the country that had a stronger history of racial violence. The authors developed their hypothesis from prior research and theories on the topic. They tested the hypothesis by analyzing data on states’ lynching histories and hate crime responses. Overall, the authors found support for their hypothesis and illustrated an important application of critical race theory.

In another recent deductive study, Melissa Milkie and Catharine Warner (2011) [80] studied the effects of different classroom environments on first graders’ mental health. Based on prior research and theory, Milkie and Warner hypothesized that negative classroom features, such as a lack of basic supplies and heat, would be associated with emotional and behavioral problems in children. One might associate this research with Maslow's hierarchy of needs or systems theory. The researchers found support for their hypothesis, demonstrating that policymakers should be paying more attention to the mental health outcomes of children’s school experiences, just as they track academic outcomes (American Sociological Association, 2011). [81]

Complementary approaches

While inductive and deductive approaches to research seem quite different, they can actually be rather complementary. In some cases, researchers will plan for their study to include multiple components, one inductive and the other deductive. In other cases, a researcher might begin a study with the plan to conduct either inductive or deductive research, but then discovers along the way that the other approach is needed to help illuminate findings. Here is an example of each such case.

Dr. Amy Blackstone (n.d.), author of Principles of sociological inquiry: Qualitative and quantitative methods , relates a story about her mixed methods research on sexual harassment.

We began the study knowing that we would like to take both a deductive and an inductive approach in our work. We therefore administered a quantitative survey, the responses to which we could analyze in order to test hypotheses, and also conducted qualitative interviews with a number of the survey participants. The survey data were well suited to a deductive approach; we could analyze those data to test hypotheses that were generated based on theories of harassment. The interview data were well suited to an inductive approach; we looked for patterns across the interviews and then tried to make sense of those patterns by theorizing about them. For one paper (Uggen & Blackstone, 2004) [82] , we began with a prominent feminist theory of the sexual harassment of adult women and developed a set of hypotheses outlining how we expected the theory to apply in the case of younger women’s and men’s harassment experiences. We then tested our hypotheses by analyzing the survey data. In general, we found support for the theory that posited that the current gender system, in which heteronormative men wield the most power in the workplace, explained workplace sexual harassment—not just of adult women but of younger women and men as well. In a more recent paper (Blackstone, Houle, & Uggen, 2006), [83] we did not hypothesize about what we might find but instead inductively analyzed interview data, looking for patterns that might tell us something about how or whether workers’ perceptions of harassment change as they age and gain workplace experience. From this analysis, we determined that workers’ perceptions of harassment did indeed shift as they gained experience and that their later definitions of harassment were more stringent than those they held during adolescence. Overall, our desire to understand young workers’ harassment experiences fully—in terms of their objective workplace experiences, their perceptions of those experiences, and their stories of their experiences—led us to adopt both deductive and inductive approaches in the work. (Blackstone, n.d., p. 21) [84]

Researchers may not always set out to employ both approaches in their work but sometimes find that their use of one approach leads them to the other. One such example is described eloquently in Russell Schutt’s  Investigating the Social World (2006). [85] As Schutt describes, researchers Sherman and Berk (1984) [86] conducted an experiment to test two competing theories of the effects of punishment on deterring deviance (in this case, domestic violence).Specifically, Sherman and Berk hypothesized that deterrence   theory (see Williams, 2005 [87] for more information on that theory) would provide a better explanation of the effects of arresting accused batterers than labeling theory . Deterrence theory predicts that arresting an accused spouse batterer will  reduce  future incidents of violence. Conversely, labeling theory predicts that arresting accused spouse batterers will  increase  future incidents (see Policastro & Payne, 2013 [88] for more information on that theory). Figure 8.3 summarizes the two competing theories and the hypotheses Sherman and Berk set out to test.

Research from these follow-up studies were mixed. In some cases, arrest deterred future incidents of violence. In other cases, it did not. This left the researchers with new data that they needed to explain. The researchers therefore took an inductive approach in an effort to make sense of their latest empirical observations. The new studies revealed that arrest seemed to have a deterrent effect for those who were married and employed, but that it led to increased offenses for those who were unmarried and unemployed. Researchers thus turned to control theory, which posits that having some stake in conformity through the social ties provided by marriage and employment, as the better explanation (see Davis et al., 2000 [90] for more information on this theory).

What the original Sherman and Berk study, along with the follow-up studies, show us is that we might start with a deductive approach to research, but then, if confronted by new data we must make sense of, we may move to an inductive approach. We will expand on these possibilities in section 8.4 when we discuss mixed methods research.

Ethical and critical considerations

Deductive and inductive reasoning, just like other components of the research process comes with ethical and cultural considerations for researchers. Specifically, deductive research is limited by existing theory. Because scientific inquiry has been shaped by oppressive forces such as sexism, racism, and colonialism, what is considered theory is largely based in Western, white-male-dominant culture. Thus, researchers doing deductive research may artificially limit themselves to ideas that were derived from this context. Non-Western researchers, international social workers, and practitioners working with non-dominant groups may find deductive reasoning of limited help if theories do not adequately describe other cultures.

While these flaws in deductive research may make inductive reasoning seem more appealing, on closer inspection you'll find similar issues apply. A researcher using inductive reasoning applies their intuition and lived experience when analyzing participant data. They will take note of particular themes, conceptualize their definition, and frame the project using their unique psychology. Since everyone's internal world is shaped by their cultural and environmental context, inductive reasoning conducted by Western researchers may unintentionally reinforcing lines of inquiry that derive from cultural oppression.

Inductive reasoning is also shaped by those invited to provide the data to be analyzed. For example, I recently worked with a student who wanted to understand the impact of child welfare supervision on children born dependent on opiates and methamphetamine. Due to the potential harm that could come from interviewing families and children who are in foster care or under child welfare supervision, the researcher decided to use inductive reasoning and to only interview child welfare workers.

Talking to practitioners is a good idea for feasibility, as they are less vulnerable than clients. However, any theory that emerges out of these observations will be substantially limited, as it would be devoid of the perspectives of parents, children, and other community members who could provide a more comprehensive picture of the impact of child welfare involvement on children. Notice that each of these groups has less power than child welfare workers in the service relationship. Attending to which groups were used to inform the creation of a theory and the power of those groups is an important critical consideration for social work researchers.

As you can see, when researchers apply theory to research they must wrestle with the history and hierarchy around knowledge creation in that area. In deductive studies, the researcher is positioned as the expert, similar to the positivist paradigm presented in Chapter 5. We've discussed a few of the limitations on the knowledge of researchers in this subsection, but the position of the "researcher as expert" is inherently problematic. However, it should also not be taken to an extreme. A researcher who approaches inductive inquiry as a naïve learner is also inherently problematic. Just as competence in social work practice requires a baseline of knowledge prior to entering practice, so does competence in social work research. Because a truly naïve intellectual position is impossible—we all have preexisting ways we view the world and are not fully aware of how they may impact our thoughts—researchers should be well-read in the topic area of their research study but humble enough to know that there is always much more to learn.

• Inductive reasoning begins with a set of empirical observations, seeking patterns in those observations, and then theorizing about those patterns.
• Deductive reasoning begins with a theory, developing hypotheses from that theory, and then collecting and analyzing data to test the truth of those hypotheses.
• Inductive and deductive reasoning can be employed together for a more complete understanding of the research topic.
• Though researchers don’t always set out to use both inductive and deductive reasoning in their work, they sometimes find that new questions arise in the course of an investigation that can best be answered by employing both approaches.
• Identify one theory and how it helps you understand your topic and working question.

I encourage you to find a specific theory from your topic area, rather than relying only on the broad theoretical perspectives like systems theory or the strengths perspective. Those broad theoretical perspectives are okay...but I promise that searching for theories about your topic will help you conceptualize and design your research project.

• Using the theory you identified, describe what you expect the answer to be to your working question.
• Define and provide an example of idiographic causal relationships
• Describe the role of causality in quantitative research as compared to qualitative research
• Identify, define, and describe each of the main criteria for nomothetic causal relationships
• Describe the difference between and provide examples of independent, dependent, and control variables
• Define hypothesis, state a clear hypothesis, and discuss the respective roles of quantitative and qualitative research when it comes to hypotheses

Causality  refers to the idea that one event, behavior, or belief will result in the occurrence of another, subsequent event, behavior, or belief. In other words, it is about cause and effect. It seems simple, but you may be surprised to learn there is more than one way to explain how one thing causes another. How can that be? How could there be many ways to understand causality?

Think back to our discussion in Section 5.3 on paradigms [insert chapter link plus link to section 1.2]. You’ll remember the positivist paradigm as the one that believes in objectivity. Positivists look for causal explanations that are universally true for everyone, everywhere  because they seek objective truth. Interpretivists, on the other hand, look for causal explanations that are true for individuals or groups in a specific time and place because they seek subjective truths. Remember that for interpretivists, there is not one singular truth that is true for everyone, but many truths created and shared by others.

"Are you trying to generalize or nah?"

One of my favorite classroom moments occurred in the early days of my teaching career. Students were providing peer feedback on their working questions. I overheard one group who was helping someone rephrase their research question. A student asked, “Are you trying to generalize or nah?” Teaching is full of fun moments like that one. Answering that one question can help you understand how to conceptualize and design your research project.

Nomothetic causal explanations are incredibly powerful. They allow scientists to make predictions about what will happen in the future, with a certain margin of error. Moreover, they allow scientists to generalize —that is, make claims about a large population based on a smaller sample of people or items. Generalizing is important. We clearly do not have time to ask everyone their opinion on a topic or test a new intervention on every person. We need a type of causal explanation that helps us predict and estimate truth in all situations.

Generally, nomothetic causal relationships work best for explanatory research projects [INSERT SECTION LINK]. They also tend to use quantitative research: by boiling things down to numbers, one can use the universal language of mathematics to use statistics to explore those relationships. On the other hand, descriptive and exploratory projects often fit better with idiographic causality. These projects do not usually try to generalize, but instead investigate what is true for individuals, small groups, or communities at a specific point in time. You will learn about this type of causality in the next section. Here, we will assume you have an explanatory working question. For example, you may want to know about the risk and protective factors for a specific diagnosis or how a specific therapy impacts client outcomes.

What do nomothetic causal explanations look like?

Nomothetic causal explanations express relationships between variables . The term variable has a scientific definition. This one from Gillespie & Wagner (2018) "a logical grouping of attributes that can be observed and measured and is expected to vary from person to person in a population" (p. 9). [91] More practically, variables are the key concepts in your working question. You know, the things you plan to observe when you actually do your research project, conduct your surveys, complete your interviews, etc. These things have two key properties. First, they vary , as in they do not remain constant. "Age" varies by number. "Gender" varies by category. But they both vary. Second, they have attributes . So the variable "health professions" has attributes or categories, such as social worker, nurse, counselor, etc.

It's also worth reviewing what is  not a variable. Well, things that don't change (or vary) aren't variables. If you planned to do a study on how gender impacts earnings but your study only contained women, that concept would not vary . Instead, it would be a constant . Another common mistake I see in students' explanatory questions is mistaking an attribute for a variable. "Men" is not a variable. "Gender" is a variable. "Virginia" is not a variable. The variable is the "state or territory" in which someone or something is physically located.

When one variable causes another, we have what researchers call independent and dependent variables. For example, in a study investigating the impact of spanking on aggressive behavior, spanking would be the independent variable and aggressive behavior would be the dependent variable. An independent variable is the cause, and a  dependent variable  is the effect. Why are they called that? Dependent variables  depend on independent variables. If all of that gets confusing, just remember the graphical relationship in Figure 8.5.

Write out your working question, as it exists now. As we said previously in the subsection, we assume you have an explanatory research question for learning this section.

• Write out a diagram similar to Figure 8.5.
• Put your independent variable on the left and the dependent variable on the right.
• Can your variables vary?
• Do they have different attributes or categories that vary from person to person?
• How does the theory you identified in section 8.1 help you understand this causal relationship?

If the theory you've identified isn't much help to you or seems unrelated, it's a good indication that you need to read more literature about the theories related to your topic.

For some students, your working question may not be specific enough to list an independent or dependent variable clearly. You may have "risk factors" in place of an independent variable, for example. Or "effects" as a dependent variable. If that applies to your research question, get specific for a minute even if you have to revise this later. Think about which specific risk factors or effects you are interested in. Consider a few options for your independent and dependent variable and create diagrams similar to Figure 8.5.

Finally, you are likely to revisit your working question so you may have to come back to this exercise to clarify the causal relationship you want to investigate.

For a ten-cent word like "nomothetic," these causal relationships should look pretty basic to you. They should look like "x causes y." Indeed, you may be looking at your causal explanation and thinking, "wow, there are so many other things I'm missing in here." In fact, maybe my dependent variable sometimes causes changes in my independent variable! For example, a working question asking about poverty and education might ask how poverty makes it more difficult to graduate college or how high college debt impacts income inequality after graduation. Nomothetic causal relationships are slices of reality. They boil things down to two (or often more) key variables and assert a one-way causal explanation between them. This is by design, as they are trying to generalize across all people to all situations. The more complicated, circular, and often contradictory causal explanations are idiographic, which we will cover in the next section of this chapter.

Developing a hypothesis

A hypothesis   is a statement describing a researcher’s expectation regarding what they anticipate finding. Hypotheses in quantitative research are a nomothetic causal relationship that the researcher expects to determine is true or false. A hypothesis is written to describe the expected relationship between the independent and dependent variables. In other words, write the answer to your working question using your variables. That's your hypothesis! Make sure you haven't introduced new variables into your hypothesis that are not in your research question. If you have, write out your hypothesis as in Figure 8.5.

A good hypothesis should be testable using social science research methods. That is, you can use a social science research project (like a survey or experiment) to test whether it is true or not. A good hypothesis is also  specific about the relationship it explores. For example, a student project that hypothesizes, "families involved with child welfare agencies will benefit from Early Intervention programs," is not specific about what benefits it plans to investigate. For this student, I advised her to take a look at the empirical literature and theory about Early Intervention and see what outcomes are associated with these programs. This way, she could  more clearly state the dependent variable in her hypothesis, perhaps looking at reunification, attachment, or developmental milestone achievement in children and families under child welfare supervision.

Your hypothesis should be an informed prediction based on a theory or model of the social world. For example, you may hypothesize that treating mental health clients with warmth and positive regard is likely to help them achieve their therapeutic goals. That hypothesis would be based on the humanistic practice models of Carl Rogers. Using previous theories to generate hypotheses is an example of deductive research. If Rogers’ theory of unconditional positive regard is accurate, a study comparing clinicians who used it versus those who did not would show more favorable treatment outcomes for clients receiving unconditional positive regard.

Let’s consider a couple of examples. In research on sexual harassment (Uggen & Blackstone, 2004), [92] one might hypothesize, based on feminist theories of sexual harassment, that more females than males will experience specific sexually harassing behaviors. What is the causal relationship being predicted here? Which is the independent and which is the dependent variable? In this case, researchers hypothesized that a person’s sex (independent variable) would predict their likelihood to experience sexual harassment (dependent variable).

Sometimes researchers will hypothesize that a relationship will take a specific direction. As a result, an increase or decrease in one area might be said to cause an increase or decrease in another. For example, you might choose to study the relationship between age and support for legalization of marijuana. Perhaps you’ve taken a sociology class and, based on the theories you’ve read, you hypothesize that age is negatively related to support for marijuana legalization. [93] What have you just hypothesized?

You have hypothesized that as people get older, the likelihood of their supporting marijuana legalization decreases. Thus, as age (your independent variable) moves in one direction (up), support for marijuana legalization (your dependent variable) moves in another direction (down). So, a direct relationship (or positive correlation) involve two variables going in the same direction and an inverse relationship (or negative correlation) involve two variables going in opposite directions. If writing hypotheses feels tricky, it is sometimes helpful to draw them out and depict each of the two hypotheses we have just discussed.

It’s important to note that once a study starts, it is unethical to change your hypothesis to match the data you find. For example, what happens if you conduct a study to test the hypothesis from Figure 8.7 on support for marijuana legalization, but you find no relationship between age and support for legalization? It means that your hypothesis was incorrect, but that’s still valuable information. It would challenge what the existing literature says on your topic, demonstrating that more research needs to be done to figure out the factors that impact support for marijuana legalization. Don’t be embarrassed by negative results, and definitely don’t change your hypothesis to make it appear correct all along!

Criteria for establishing a nomothetic causal relationship

Let’s say you conduct your study and you find evidence that supports your hypothesis, as age increases, support for marijuana legalization decreases. Success! Causal explanation complete, right? Not quite.

You’ve only established one of the criteria for causality. The criteria for causality must include all of the following: covariation, plausibility, temporality, and nonspuriousness. In our example from Figure 8.7, we have established only one criteria—covariation. When variables covary , they vary together. Both age and support for marijuana legalization vary in our study. Our sample contains people of varying ages and varying levels of support for marijuana legalization. If, for example, we only included 16-year-olds in our study, age would be a  constant , not a variable.

Just because there might be some correlation between two variables does not mean that a causal relationship between the two is really plausible. Plausibility means that in order to make the claim that one event, behavior, or belief causes another, the claim has to make sense. It makes sense that people from previous generations would have different attitudes towards marijuana than younger generations. People who grew up in the time of Reefer Madness or the hippies may hold different views than those raised in an era of legalized medicinal and recreational use of marijuana. Plausibility is of course helped by basing your causal explanation in existing theoretical and empirical findings.

Once we’ve established that there is a plausible relationship between the two variables, we also need to establish whether the cause occurred before the effect, the criterion of temporality . A person’s age is a quality that appears long before any opinions on drug policy, so temporally the cause comes before the effect. It wouldn’t make any sense to say that support for marijuana legalization makes a person’s age increase. Even if you could predict someone’s age based on their support for marijuana legalization, you couldn’t say someone’s age was caused by their support for legalization of marijuana.

Finally, scientists must establish nonspuriousness. A spurious relationship is one in which an association between two variables appears to be causal but can in fact be explained by some third variable. This third variable is often called a confound or confounding variable because it clouds and confuses the relationship between your independent and dependent variable, making it difficult to discern the true causal relationship is.

Continuing with our example, we could point to the fact that older adults are less likely to have used marijuana recreationally. Maybe it is actually recreational use of marijuana that leads people to be more open to legalization, not their age. In this case, our confounding variable would be recreational marijuana use. Perhaps the relationship between age and attitudes towards legalization is a spurious relationship that is accounted for by previous use. This is also referred to as the third variable problem , where a seemingly true causal relationship is actually caused by a third variable not in the hypothesis. In this example, the relationship between age and support for legalization could be more about having tried marijuana than the age of the person.

Quantitative researchers are sensitive to the effects of potentially spurious relationships. As a result, they will often measure these third variables in their study, so they can control for their effects in their statistical analysis. These are called  control variables , and they refer to potentially confounding variables whose effects are controlled for mathematically in the data analysis process. Control variables can be a bit confusing, and we will discuss them more in Chapter 10, but think about it as an argument between you, the researcher, and a critic.

Researcher: “The older a person is, the less likely they are to support marijuana legalization.” Critic: “Actually, it’s more about whether a person has used marijuana before. That is what truly determines whether someone supports marijuana legalization.” Researcher: “Well, I measured previous marijuana use in my study and mathematically controlled for its effects in my analysis. Age explains most of the variation in attitudes towards marijuana legalization.”

Let’s consider a few additional, real-world examples of spuriousness. Did you know, for example, that high rates of ice cream sales have been shown to cause drowning? Of course, that’s not really true, but there is a positive relationship between the two. In this case, the third variable that causes both high ice cream sales and increased deaths by drowning is time of year, as the summer season sees increases in both (Babbie, 2010). [94]

Here’s another good one: it is true that as the salaries of Presbyterian ministers in Massachusetts rise, so too does the price of rum in Havana, Cuba. Well, duh, you might be saying to yourself. Everyone knows how much ministers in Massachusetts love their rum, right? Not so fast. Both salaries and rum prices have increased, true, but so has the price of just about everything else (Huff & Geis, 1993). [95]

Finally, research shows that the more firefighters present at a fire, the more damage is done at the scene. What this statement leaves out, of course, is that as the size of a fire increases so too does the amount of damage caused as does the number of firefighters called on to help (Frankfort-Nachmias & Leon-Guerrero, 2011). [96] In each of these examples, it is the presence of a confounding variable that explains the apparent relationship between the two original variables.

In sum, the following criteria must be met for a nomothetic causal relationship:

• The two variables must vary together.
• The relationship must be plausible.
• The cause must precede the effect in time.
• The relationship must be nonspurious (not due to a confounding variable).

The hypothetico-dedutive method

The primary way that researchers in the positivist paradigm use theories is sometimes called the hypothetico-deductive method (although this term is much more likely to be used by philosophers of science than by scientists themselves). Researchers choose an existing theory. Then, they make a prediction about some new phenomenon that should be observed if the theory is correct. Again, this prediction is called a hypothesis. The researchers then conduct an empirical study to test the hypothesis. Finally, they reevaluate the theory in light of the new results and revise it if necessary.

This process is usually conceptualized as a cycle because the researchers can then derive a new hypothesis from the revised theory, conduct a new empirical study to test the hypothesis, and so on. As Figure 8.8 shows, this approach meshes nicely with the process of conducting a research project—creating a more detailed model of “theoretically motivated” or “theory-driven” research. Together, they form a model of theoretically motivated research. 

Keep in mind the hypothetico-deductive method is only one way of using social theory to inform social science research. It starts with describing one or more existing theories, deriving a hypothesis from one of those theories, testing your hypothesis in a new study, and finally reevaluating the theory based on the results data analyses. This format works well when there is an existing theory that addresses the research question—especially if the resulting hypothesis is surprising or conflicts with a hypothesis derived from a different theory.

But what if your research question is more interpretive? What if it is less about theory-testing and more about theory-building? This is what our next chapters will cover: the process of inductively deriving theory from people's stories and experiences. This process looks different than that depicted in Figure 8.8. It still starts with your research question and answering that question by conducting a research study. But instead of testing a hypothesis you created based on a theory, you will create a theory of your own that explain the data you collected. This format works well for qualitative research questions and for research questions that existing theories do not address.

• In positivist and quantitative studies, the goal is often to understand the more general causes of some phenomenon rather than the idiosyncrasies of one particular instance, as in an idiographic causal relationship.
• Nomothetic causal explanations focus on objectivity, prediction, and generalization.
• Criteria for nomothetic causal relationships require the relationship be plausible and nonspurious; and that the cause must precede the effect in time.
• In a nomothetic causal relationship, the independent variable causes changes in the dependent variable.
• Hypotheses are statements, drawn from theory, which describe a researcher’s expectation about a relationship between two or more variables.
• Write out your working question and hypothesis.
• Defend your hypothesis in a short paragraph, using arguments based on the theory you identified in section 8.1.
• Review the criteria for a nomothetic causal relationship. Critique your short paragraph about your hypothesis using these criteria.
• Are there potentially confounding variables, issues with time order, or other problems you can identify in your reasoning?

Inductive & deductive (deductive focus)

9. Writing your research question Copyright © 2020 by Matthew DeCarlo is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 4.0 International License , except where otherwise noted.

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How to Write About Your High School Study Abroad Experience on College Applications

September 12, 2024

Authored By:

High school study abroad is a truly transformative experience. Students return home with broadened world perspectives, demonstratable language progress, and, often, new or reinvigorated passions for their future academic or career path.  

As a high school summer abroad alumni, your study abroad experience offers unique content for your college application that can set you apart from other applicants. Here are some tips to enhance your college admissions essay and land your application in the "acceptance" pile! 

What Do Colleges Look for? 

First, let's talk about what college admissions officers look for when diving into stacks of applications. While the process isn't totally transparent and can differ from university to university, here are the general qualities of a good candidate: 

• Academic excellence 
• Personal growth 
• Unique experiences 

Maturity 

Adaptability .

• Cultural awareness 
• Defined goals 

Add to that one singular question of significant importance— What makes you a particularly good fit for their specific university?  

When crafting your college admissions essay, these are the points you want to hit. Think about it differently than a question/answer format; rather, weave these qualities into an exciting and personal narrative. That doesn't sound easy, but rest assured that your study abroad experience will likely encompass all these points and will surely be interesting.  

That's what makes it the perfect college admissions essay topic! 

Does Study Abroad Look Good in College Applications? 

Absolutely! Let's take another look at the points above and how the program outcomes of a study abroad experience meets them. 

Academic Excellence 

CIEE high school summer abroad has its own competitive admissions process that includes personal essays, teacher recommendations, and accepts only students in good academic standing. Each cohort comprises top-performing high schoolers from around the country. 

Personal Growth 

It is rare that a person will live abroad in their lifetime, and even rarer to have done it as a teenager! Living in another country leads to tremendous personal growth that can be defined in measurable results such as language learning and "soft" skills like independence, confidence, cultural awareness, or a global perspective. Living abroad is also associated with a clearer sense of self , which has all kinds of benefits, including career success and enhanced ability to deal with stress. 

Unique Experiences 

Again, the simple fact that you lived in another country is a unique experience. So is being proficient in a second language, having a host family abroad, going to classes in another country, volunteering and serving a foreign population, making friends with people from a totally different culture, navigating culture shock, and all the other amazing things you accomplished while studying abroad. 

Even though you might not think of yourself as a child, you lived abroad on your own while under 18! That requires a tremendous level of maturity. Tie that fact to the challenges you navigated, and you will demonstrate your maturity quickly. 

Living abroad requires navigating new environments, overcoming language barriers, and adjusting to different cultural norms. These experiences enhance your flexibility, problem-solving skills, and ability to thrive in diverse situations. 

Cultural Awareness 

Colleges love diversity; it makes for a rich campus life, promotes inclusive thinking, prepares students for a globalized world, and reflects our diverse American population. Diversity is connected directly to cultural awareness. When you studied abroad in high school, you built cultural awareness by immersing yourself in new cultural practices, perspectives, and social norms, helping you to become more empathetic, open-minded, and globally conscious. 

Defined Goals 

High school study abroad exposes students to new fields of interest, global issues, and potential career paths they may not have considered. This experience also enhances critical thinking and self-awareness, which allows you to better understand your passions and strengths. 

11 Questions to Ask Yourself to Find Your Unique Story 

Now it's time to get the creative juices flowing. A helpful writing tip is to brainstorm on some reflective questions.  

To craft a compelling essay about your study abroad experience, start with these: 

• What motivated you to study abroad during high school? 
• How did your experience abroad change your perspective on the world and your role in it? 
• What challenges did you face, and how did you overcome them? 
• How did the experience impact your academic interests and career goals? 
• What cultural differences did you encounter, and how did you adapt? 
• What stories do you tell over and over when people ask you about your time abroad? 
• What was the peak moment of your experience? 
• What was the most challenging moment? 
• Who did you meet that made the most significant impact? 
• What connections do you maintain? 
• How does your high school study abroad story connect to this particular university? 

By answering these questions, you can identify the unique aspects of your experience that will make your essay engaging and memorable. 

To help you get more ideas about how to write about your experience, tune in to our Out of Your Comfort Zone podcast and hear from other CIEE high school study abroad alumni! 

Connect Your Study Abroad Story to Your University 

To make your essay even more impactful, tie your study abroad experience to the specific university you are applying to. Research the university's programs, values, and opportunities, and explain how your experience aligns with them: 

• Does the university have an outstanding language program?  
• Do they have a partner university in the country where you studied abroad?  
• Do they have a research lab in the field you want to focus on due to passions you discovered or strengthened during your study abroad?  
• Do they have faculty or a large student population from the country where you studied abroad? 

Some Final College Application Essay Tips

Be Authentic

Write honestly about your experiences and emotions. Authenticity resonates more with admissions officers than a polished but impersonal essay. 

Show, Don't Tell

Use specific examples and anecdotes to illustrate your points rather than making general statements. 

Seek Feedback

Have teachers, mentors, or friends review your essay to provide constructive feedback. Have a friend from your high school study abroad experience read your story too! 

Stay Within the Word Limit

Adhere to the essay length requirements set by the college to demonstrate your ability to follow instructions. 

Studying abroad in high school demonstrates to colleges that you are proactive, open-minded, and capable of thriving in diverse environments. This experience will be the key to enhancing your college application and shaping your future in profound ways. 

Good luck! 

Thinking about studying abroad again after your senior year? Check out our study abroad options for high school graduates .

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• How to write an argumentative essay | Examples & tips

How to Write an Argumentative Essay | Examples & Tips

Published on July 24, 2020 by Jack Caulfield . Revised on July 23, 2023.

An argumentative essay expresses an extended argument for a particular thesis statement . The author takes a clearly defined stance on their subject and builds up an evidence-based case for it.

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Table of contents

When do you write an argumentative essay, approaches to argumentative essays, introducing your argument, the body: developing your argument, concluding your argument, other interesting articles, frequently asked questions about argumentative essays.

You might be assigned an argumentative essay as a writing exercise in high school or in a composition class. The prompt will often ask you to argue for one of two positions, and may include terms like “argue” or “argument.” It will frequently take the form of a question.

The prompt may also be more open-ended in terms of the possible arguments you could make.

Argumentative writing at college level

At university, the vast majority of essays or papers you write will involve some form of argumentation. For example, both rhetorical analysis and literary analysis essays involve making arguments about texts.

In this context, you won’t necessarily be told to write an argumentative essay—but making an evidence-based argument is an essential goal of most academic writing, and this should be your default approach unless you’re told otherwise.

Examples of argumentative essay prompts

At a university level, all the prompts below imply an argumentative essay as the appropriate response.

Your research should lead you to develop a specific position on the topic. The essay then argues for that position and aims to convince the reader by presenting your evidence, evaluation and analysis.

• Don’t just list all the effects you can think of.
• Do develop a focused argument about the overall effect and why it matters, backed up by evidence from sources.
• Don’t just provide a selection of data on the measures’ effectiveness.
• Do build up your own argument about which kinds of measures have been most or least effective, and why.
• Don’t just analyze a random selection of doppelgänger characters.
• Do form an argument about specific texts, comparing and contrasting how they express their thematic concerns through doppelgänger characters.

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An argumentative essay should be objective in its approach; your arguments should rely on logic and evidence, not on exaggeration or appeals to emotion.

There are many possible approaches to argumentative essays, but there are two common models that can help you start outlining your arguments: The Toulmin model and the Rogerian model.

Toulmin arguments

The Toulmin model consists of four steps, which may be repeated as many times as necessary for the argument:

• Make a claim
• Provide the grounds (evidence) for the claim
• Explain the warrant (how the grounds support the claim)
• Discuss possible rebuttals to the claim, identifying the limits of the argument and showing that you have considered alternative perspectives

The Toulmin model is a common approach in academic essays. You don’t have to use these specific terms (grounds, warrants, rebuttals), but establishing a clear connection between your claims and the evidence supporting them is crucial in an argumentative essay.

Say you’re making an argument about the effectiveness of workplace anti-discrimination measures. You might:

• Claim that unconscious bias training does not have the desired results, and resources would be better spent on other approaches
• Cite data to support your claim
• Explain how the data indicates that the method is ineffective
• Anticipate objections to your claim based on other data, indicating whether these objections are valid, and if not, why not.

Rogerian arguments

The Rogerian model also consists of four steps you might repeat throughout your essay:

• Discuss what the opposing position gets right and why people might hold this position
• Highlight the problems with this position
• Present your own position , showing how it addresses these problems
• Suggest a possible compromise —what elements of your position would proponents of the opposing position benefit from adopting?

This model builds up a clear picture of both sides of an argument and seeks a compromise. It is particularly useful when people tend to disagree strongly on the issue discussed, allowing you to approach opposing arguments in good faith.

Say you want to argue that the internet has had a positive impact on education. You might:

• Acknowledge that students rely too much on websites like Wikipedia
• Argue that teachers view Wikipedia as more unreliable than it really is
• Suggest that Wikipedia’s system of citations can actually teach students about referencing
• Suggest critical engagement with Wikipedia as a possible assignment for teachers who are skeptical of its usefulness.

You don’t necessarily have to pick one of these models—you may even use elements of both in different parts of your essay—but it’s worth considering them if you struggle to structure your arguments.

Regardless of which approach you take, your essay should always be structured using an introduction , a body , and a conclusion .

Like other academic essays, an argumentative essay begins with an introduction . The introduction serves to capture the reader’s interest, provide background information, present your thesis statement , and (in longer essays) to summarize the structure of the body.

Hover over different parts of the example below to see how a typical introduction works.

The spread of the internet has had a world-changing effect, not least on the world of education. The use of the internet in academic contexts is on the rise, and its role in learning is hotly debated. For many teachers who did not grow up with this technology, its effects seem alarming and potentially harmful. This concern, while understandable, is misguided. The negatives of internet use are outweighed by its critical benefits for students and educators—as a uniquely comprehensive and accessible information source; a means of exposure to and engagement with different perspectives; and a highly flexible learning environment.

The body of an argumentative essay is where you develop your arguments in detail. Here you’ll present evidence, analysis, and reasoning to convince the reader that your thesis statement is true.

In the standard five-paragraph format for short essays, the body takes up three of your five paragraphs. In longer essays, it will be more paragraphs, and might be divided into sections with headings.

Each paragraph covers its own topic, introduced with a topic sentence . Each of these topics must contribute to your overall argument; don’t include irrelevant information.

This example paragraph takes a Rogerian approach: It first acknowledges the merits of the opposing position and then highlights problems with that position.

Hover over different parts of the example to see how a body paragraph is constructed.

A common frustration for teachers is students’ use of Wikipedia as a source in their writing. Its prevalence among students is not exaggerated; a survey found that the vast majority of the students surveyed used Wikipedia (Head & Eisenberg, 2010). An article in The Guardian stresses a common objection to its use: “a reliance on Wikipedia can discourage students from engaging with genuine academic writing” (Coomer, 2013). Teachers are clearly not mistaken in viewing Wikipedia usage as ubiquitous among their students; but the claim that it discourages engagement with academic sources requires further investigation. This point is treated as self-evident by many teachers, but Wikipedia itself explicitly encourages students to look into other sources. Its articles often provide references to academic publications and include warning notes where citations are missing; the site’s own guidelines for research make clear that it should be used as a starting point, emphasizing that users should always “read the references and check whether they really do support what the article says” (“Wikipedia:Researching with Wikipedia,” 2020). Indeed, for many students, Wikipedia is their first encounter with the concepts of citation and referencing. The use of Wikipedia therefore has a positive side that merits deeper consideration than it often receives.

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An argumentative essay ends with a conclusion that summarizes and reflects on the arguments made in the body.

No new arguments or evidence appear here, but in longer essays you may discuss the strengths and weaknesses of your argument and suggest topics for future research. In all conclusions, you should stress the relevance and importance of your argument.

Hover over the following example to see the typical elements of a conclusion.

The internet has had a major positive impact on the world of education; occasional pitfalls aside, its value is evident in numerous applications. The future of teaching lies in the possibilities the internet opens up for communication, research, and interactivity. As the popularity of distance learning shows, students value the flexibility and accessibility offered by digital education, and educators should fully embrace these advantages. The internet’s dangers, real and imaginary, have been documented exhaustively by skeptics, but the internet is here to stay; it is time to focus seriously on its potential for good.

If you want to know more about AI tools , college essays , or fallacies make sure to check out some of our other articles with explanations and examples or go directly to our tools!

• Ad hominem fallacy
• Post hoc fallacy
• Appeal to authority fallacy
• False cause fallacy
• Sunk cost fallacy

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An argumentative essay tends to be a longer essay involving independent research, and aims to make an original argument about a topic. Its thesis statement makes a contentious claim that must be supported in an objective, evidence-based way.

An expository essay also aims to be objective, but it doesn’t have to make an original argument. Rather, it aims to explain something (e.g., a process or idea) in a clear, concise way. Expository essays are often shorter assignments and rely less on research.

At college level, you must properly cite your sources in all essays , research papers , and other academic texts (except exams and in-class exercises).

Add a citation whenever you quote , paraphrase , or summarize information or ideas from a source. You should also give full source details in a bibliography or reference list at the end of your text.

The exact format of your citations depends on which citation style you are instructed to use. The most common styles are APA , MLA , and Chicago .

The majority of the essays written at university are some sort of argumentative essay . Unless otherwise specified, you can assume that the goal of any essay you’re asked to write is argumentative: To convince the reader of your position using evidence and reasoning.

In composition classes you might be given assignments that specifically test your ability to write an argumentative essay. Look out for prompts including instructions like “argue,” “assess,” or “discuss” to see if this is the goal.

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