How to Write a Research Paper Introduction (with Examples)

How to Write a Research Paper Introduction (with Examples)

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

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

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

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

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

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Table of Contents

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

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

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

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

What are the parts of introduction in the research?

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

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

How to write a research paper introduction?

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

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

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

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

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

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

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

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

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what is a introduction in a research paper

How to use Paperpal to write the Introduction section

Step 1: Sign up on Paperpal and click on the Copilot feature, under this choose Outlines > Research Article > Introduction

Step 2: Add your unstructured notes or initial draft, whether in English or another language, to Paperpal, which is to be used as the base for your content.

Step 3: Fill in the specifics, such as your field of study, brief description or details you want to include, which will help the AI generate the outline for your Introduction.

Step 4: Use this outline and sentence suggestions to develop your content, adding citations where needed and modifying it to align with your specific research focus.

Step 5: Turn to Paperpal’s granular language checks to refine your content, tailor it to reflect your personal writing style, and ensure it effectively conveys your message.

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

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

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

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

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

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

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

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

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

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

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

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

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

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Home » Research Paper Introduction – Writing Guide and Examples

Research Paper Introduction – Writing Guide and Examples

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Research Paper Introduction

Research Paper Introduction

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

How to Write Research Paper Introduction

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

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

Structure of Research Paper Introduction

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

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

Research Paper Introduction Examples

Research Paper Introduction Examples could be:

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

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

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

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

Purpose of Research Paper Introduction

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

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

When to Write Research Paper Introduction

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

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

Advantages of Research Paper Introduction

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

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

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The introduction leads the reader from a general subject area to a particular topic of inquiry. It establishes the scope, context, and significance of the research being conducted by summarizing current understanding and background information about the topic, stating the purpose of the work in the form of the research problem supported by a hypothesis or a set of questions, explaining briefly the methodological approach used to examine the research problem, highlighting the potential outcomes your study can reveal, and outlining the remaining structure and organization of the paper.

Key Elements of the Research Proposal. Prepared under the direction of the Superintendent and by the 2010 Curriculum Design and Writing Team. Baltimore County Public Schools.

Importance of a Good Introduction

Think of the introduction as a mental road map that must answer for the reader these four questions:

  • What was I studying?
  • Why was this topic important to investigate?
  • What did we know about this topic before I did this study?
  • How will this study advance new knowledge or new ways of understanding?

According to Reyes, there are three overarching goals of a good introduction: 1) ensure that you summarize prior studies about the topic in a manner that lays a foundation for understanding the research problem; 2) explain how your study specifically addresses gaps in the literature, insufficient consideration of the topic, or other deficiency in the literature; and, 3) note the broader theoretical, empirical, and/or policy contributions and implications of your research.

A well-written introduction is important because, quite simply, you never get a second chance to make a good first impression. The opening paragraphs of your paper will provide your readers with their initial impressions about the logic of your argument, your writing style, the overall quality of your research, and, ultimately, the validity of your findings and conclusions. A vague, disorganized, or error-filled introduction will create a negative impression, whereas, a concise, engaging, and well-written introduction will lead your readers to think highly of your analytical skills, your writing style, and your research approach. All introductions should conclude with a brief paragraph that describes the organization of the rest of the paper.

Hirano, Eliana. “Research Article Introductions in English for Specific Purposes: A Comparison between Brazilian, Portuguese, and English.” English for Specific Purposes 28 (October 2009): 240-250; Samraj, B. “Introductions in Research Articles: Variations Across Disciplines.” English for Specific Purposes 21 (2002): 1–17; Introductions. The Writing Center. University of North Carolina; “Writing Introductions.” In Good Essay Writing: A Social Sciences Guide. Peter Redman. 4th edition. (London: Sage, 2011), pp. 63-70; Reyes, Victoria. Demystifying the Journal Article. Inside Higher Education.

Structure and Writing Style

I.  Structure and Approach

The introduction is the broad beginning of the paper that answers three important questions for the reader:

  • What is this?
  • Why should I read it?
  • What do you want me to think about / consider doing / react to?

Think of the structure of the introduction as an inverted triangle of information that lays a foundation for understanding the research problem. Organize the information so as to present the more general aspects of the topic early in the introduction, then narrow your analysis to more specific topical information that provides context, finally arriving at your research problem and the rationale for studying it [often written as a series of key questions to be addressed or framed as a hypothesis or set of assumptions to be tested] and, whenever possible, a description of the potential outcomes your study can reveal.

These are general phases associated with writing an introduction: 1.  Establish an area to research by:

  • Highlighting the importance of the topic, and/or
  • Making general statements about the topic, and/or
  • Presenting an overview on current research on the subject.

2.  Identify a research niche by:

  • Opposing an existing assumption, and/or
  • Revealing a gap in existing research, and/or
  • Formulating a research question or problem, and/or
  • Continuing a disciplinary tradition.

3.  Place your research within the research niche by:

  • Stating the intent of your study,
  • Outlining the key characteristics of your study,
  • Describing important results, and
  • Giving a brief overview of the structure of the paper.

NOTE:   It is often useful to review the introduction late in the writing process. This is appropriate because outcomes are unknown until you've completed the study. After you complete writing the body of the paper, go back and review introductory descriptions of the structure of the paper, the method of data gathering, the reporting and analysis of results, and the conclusion. Reviewing and, if necessary, rewriting the introduction ensures that it correctly matches the overall structure of your final paper.

II.  Delimitations of the Study

Delimitations refer to those characteristics that limit the scope and define the conceptual boundaries of your research . This is determined by the conscious exclusionary and inclusionary decisions you make about how to investigate the research problem. In other words, not only should you tell the reader what it is you are studying and why, but you must also acknowledge why you rejected alternative approaches that could have been used to examine the topic.

Obviously, the first limiting step was the choice of research problem itself. However, implicit are other, related problems that could have been chosen but were rejected. These should be noted in the conclusion of your introduction. For example, a delimitating statement could read, "Although many factors can be understood to impact the likelihood young people will vote, this study will focus on socioeconomic factors related to the need to work full-time while in school." The point is not to document every possible delimiting factor, but to highlight why previously researched issues related to the topic were not addressed.

Examples of delimitating choices would be:

  • The key aims and objectives of your study,
  • The research questions that you address,
  • The variables of interest [i.e., the various factors and features of the phenomenon being studied],
  • The method(s) of investigation,
  • The time period your study covers, and
  • Any relevant alternative theoretical frameworks that could have been adopted.

Review each of these decisions. Not only do you clearly establish what you intend to accomplish in your research, but you should also include a declaration of what the study does not intend to cover. In the latter case, your exclusionary decisions should be based upon criteria understood as, "not interesting"; "not directly relevant"; “too problematic because..."; "not feasible," and the like. Make this reasoning explicit!

NOTE:   Delimitations refer to the initial choices made about the broader, overall design of your study and should not be confused with documenting the limitations of your study discovered after the research has been completed.

ANOTHER NOTE : Do not view delimitating statements as admitting to an inherent failing or shortcoming in your research. They are an accepted element of academic writing intended to keep the reader focused on the research problem by explicitly defining the conceptual boundaries and scope of your study. It addresses any critical questions in the reader's mind of, "Why the hell didn't the author examine this?"

III.  The Narrative Flow

Issues to keep in mind that will help the narrative flow in your introduction :

  • Your introduction should clearly identify the subject area of interest . A simple strategy to follow is to use key words from your title in the first few sentences of the introduction. This will help focus the introduction on the topic at the appropriate level and ensures that you get to the subject matter quickly without losing focus, or discussing information that is too general.
  • Establish context by providing a brief and balanced review of the pertinent published literature that is available on the subject. The key is to summarize for the reader what is known about the specific research problem before you did your analysis. This part of your introduction should not represent a comprehensive literature review--that comes next. It consists of a general review of the important, foundational research literature [with citations] that establishes a foundation for understanding key elements of the research problem. See the drop-down menu under this tab for " Background Information " regarding types of contexts.
  • Clearly state the hypothesis that you investigated . When you are first learning to write in this format it is okay, and actually preferable, to use a past statement like, "The purpose of this study was to...." or "We investigated three possible mechanisms to explain the...."
  • Why did you choose this kind of research study or design? Provide a clear statement of the rationale for your approach to the problem studied. This will usually follow your statement of purpose in the last paragraph of the introduction.

IV.  Engaging the Reader

A research problem in the social sciences can come across as dry and uninteresting to anyone unfamiliar with the topic . Therefore, one of the goals of your introduction is to make readers want to read your paper. Here are several strategies you can use to grab the reader's attention:

  • Open with a compelling story . Almost all research problems in the social sciences, no matter how obscure or esoteric , are really about the lives of people. Telling a story that humanizes an issue can help illuminate the significance of the problem and help the reader empathize with those affected by the condition being studied.
  • Include a strong quotation or a vivid, perhaps unexpected, anecdote . During your review of the literature, make note of any quotes or anecdotes that grab your attention because they can used in your introduction to highlight the research problem in a captivating way.
  • Pose a provocative or thought-provoking question . Your research problem should be framed by a set of questions to be addressed or hypotheses to be tested. However, a provocative question can be presented in the beginning of your introduction that challenges an existing assumption or compels the reader to consider an alternative viewpoint that helps establish the significance of your study. 
  • Describe a puzzling scenario or incongruity . This involves highlighting an interesting quandary concerning the research problem or describing contradictory findings from prior studies about a topic. Posing what is essentially an unresolved intellectual riddle about the problem can engage the reader's interest in the study.
  • Cite a stirring example or case study that illustrates why the research problem is important . Draw upon the findings of others to demonstrate the significance of the problem and to describe how your study builds upon or offers alternatives ways of investigating this prior research.

NOTE:   It is important that you choose only one of the suggested strategies for engaging your readers. This avoids giving an impression that your paper is more flash than substance and does not distract from the substance of your study.

Freedman, Leora  and Jerry Plotnick. Introductions and Conclusions. University College Writing Centre. University of Toronto; Introduction. The Structure, Format, Content, and Style of a Journal-Style Scientific Paper. Department of Biology. Bates College; Introductions. The Writing Center. University of North Carolina; Introductions. The Writer’s Handbook. Writing Center. University of Wisconsin, Madison; Introductions, Body Paragraphs, and Conclusions for an Argument Paper. The Writing Lab and The OWL. Purdue University; “Writing Introductions.” In Good Essay Writing: A Social Sciences Guide . Peter Redman. 4th edition. (London: Sage, 2011), pp. 63-70; Resources for Writers: Introduction Strategies. Program in Writing and Humanistic Studies. Massachusetts Institute of Technology; Sharpling, Gerald. Writing an Introduction. Centre for Applied Linguistics, University of Warwick; Samraj, B. “Introductions in Research Articles: Variations Across Disciplines.” English for Specific Purposes 21 (2002): 1–17; Swales, John and Christine B. Feak. Academic Writing for Graduate Students: Essential Skills and Tasks . 2nd edition. Ann Arbor, MI: University of Michigan Press, 2004 ; Writing Your Introduction. Department of English Writing Guide. George Mason University.

Writing Tip

Avoid the "Dictionary" Introduction

Giving the dictionary definition of words related to the research problem may appear appropriate because it is important to define specific terminology that readers may be unfamiliar with. However, anyone can look a word up in the dictionary and a general dictionary is not a particularly authoritative source because it doesn't take into account the context of your topic and doesn't offer particularly detailed information. Also, placed in the context of a particular discipline, a term or concept may have a different meaning than what is found in a general dictionary. If you feel that you must seek out an authoritative definition, use a subject specific dictionary or encyclopedia [e.g., if you are a sociology student, search for dictionaries of sociology]. A good database for obtaining definitive definitions of concepts or terms is Credo Reference .

Saba, Robert. The College Research Paper. Florida International University; Introductions. The Writing Center. University of North Carolina.

Another Writing Tip

When Do I Begin?

A common question asked at the start of any paper is, "Where should I begin?" An equally important question to ask yourself is, "When do I begin?" Research problems in the social sciences rarely rest in isolation from history. Therefore, it is important to lay a foundation for understanding the historical context underpinning the research problem. However, this information should be brief and succinct and begin at a point in time that illustrates the study's overall importance. For example, a study that investigates coffee cultivation and export in West Africa as a key stimulus for local economic growth needs to describe the beginning of exporting coffee in the region and establishing why economic growth is important. You do not need to give a long historical explanation about coffee exports in Africa. If a research problem requires a substantial exploration of the historical context, do this in the literature review section. In your introduction, make note of this as part of the "roadmap" [see below] that you use to describe the organization of your paper.

Introductions. The Writing Center. University of North Carolina; “Writing Introductions.” In Good Essay Writing: A Social Sciences Guide . Peter Redman. 4th edition. (London: Sage, 2011), pp. 63-70.

Yet Another Writing Tip

Always End with a Roadmap

The final paragraph or sentences of your introduction should forecast your main arguments and conclusions and provide a brief description of the rest of the paper [the "roadmap"] that let's the reader know where you are going and what to expect. A roadmap is important because it helps the reader place the research problem within the context of their own perspectives about the topic. In addition, concluding your introduction with an explicit roadmap tells the reader that you have a clear understanding of the structural purpose of your paper. In this way, the roadmap acts as a type of promise to yourself and to your readers that you will follow a consistent and coherent approach to addressing the topic of inquiry. Refer to it often to help keep your writing focused and organized.

Cassuto, Leonard. “On the Dissertation: How to Write the Introduction.” The Chronicle of Higher Education , May 28, 2018; Radich, Michael. A Student's Guide to Writing in East Asian Studies . (Cambridge, MA: Harvard University Writing n. d.), pp. 35-37.

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The Writing Center • University of North Carolina at Chapel Hill

Introductions

What this handout is about.

This handout will explain the functions of introductions, offer strategies for creating effective introductions, and provide some examples of less effective introductions to avoid.

The role of introductions

Introductions and conclusions can be the most difficult parts of papers to write. Usually when you sit down to respond to an assignment, you have at least some sense of what you want to say in the body of your paper. You might have chosen a few examples you want to use or have an idea that will help you answer the main question of your assignment; these sections, therefore, may not be as hard to write. And it’s fine to write them first! But in your final draft, these middle parts of the paper can’t just come out of thin air; they need to be introduced and concluded in a way that makes sense to your reader.

Your introduction and conclusion act as bridges that transport your readers from their own lives into the “place” of your analysis. If your readers pick up your paper about education in the autobiography of Frederick Douglass, for example, they need a transition to help them leave behind the world of Chapel Hill, television, e-mail, and The Daily Tar Heel and to help them temporarily enter the world of nineteenth-century American slavery. By providing an introduction that helps your readers make a transition between their own world and the issues you will be writing about, you give your readers the tools they need to get into your topic and care about what you are saying. Similarly, once you’ve hooked your readers with the introduction and offered evidence to prove your thesis, your conclusion can provide a bridge to help your readers make the transition back to their daily lives. (See our handout on conclusions .)

Note that what constitutes a good introduction may vary widely based on the kind of paper you are writing and the academic discipline in which you are writing it. If you are uncertain what kind of introduction is expected, ask your instructor.

Why bother writing a good introduction?

You never get a second chance to make a first impression. The opening paragraph of your paper will provide your readers with their initial impressions of your argument, your writing style, and the overall quality of your work. A vague, disorganized, error-filled, off-the-wall, or boring introduction will probably create a negative impression. On the other hand, a concise, engaging, and well-written introduction will start your readers off thinking highly of you, your analytical skills, your writing, and your paper.

Your introduction is an important road map for the rest of your paper. Your introduction conveys a lot of information to your readers. You can let them know what your topic is, why it is important, and how you plan to proceed with your discussion. In many academic disciplines, your introduction should contain a thesis that will assert your main argument. Your introduction should also give the reader a sense of the kinds of information you will use to make that argument and the general organization of the paragraphs and pages that will follow. After reading your introduction, your readers should not have any major surprises in store when they read the main body of your paper.

Ideally, your introduction will make your readers want to read your paper. The introduction should capture your readers’ interest, making them want to read the rest of your paper. Opening with a compelling story, an interesting question, or a vivid example can get your readers to see why your topic matters and serve as an invitation for them to join you for an engaging intellectual conversation (remember, though, that these strategies may not be suitable for all papers and disciplines).

Strategies for writing an effective introduction

Start by thinking about the question (or questions) you are trying to answer. Your entire essay will be a response to this question, and your introduction is the first step toward that end. Your direct answer to the assigned question will be your thesis, and your thesis will likely be included in your introduction, so it is a good idea to use the question as a jumping off point. Imagine that you are assigned the following question:

Drawing on the Narrative of the Life of Frederick Douglass , discuss the relationship between education and slavery in 19th-century America. Consider the following: How did white control of education reinforce slavery? How did Douglass and other enslaved African Americans view education while they endured slavery? And what role did education play in the acquisition of freedom? Most importantly, consider the degree to which education was or was not a major force for social change with regard to slavery.

You will probably refer back to your assignment extensively as you prepare your complete essay, and the prompt itself can also give you some clues about how to approach the introduction. Notice that it starts with a broad statement and then narrows to focus on specific questions from the book. One strategy might be to use a similar model in your own introduction—start off with a big picture sentence or two and then focus in on the details of your argument about Douglass. Of course, a different approach could also be very successful, but looking at the way the professor set up the question can sometimes give you some ideas for how you might answer it. (See our handout on understanding assignments for additional information on the hidden clues in assignments.)

Decide how general or broad your opening should be. Keep in mind that even a “big picture” opening needs to be clearly related to your topic; an opening sentence that said “Human beings, more than any other creatures on earth, are capable of learning” would be too broad for our sample assignment about slavery and education. If you have ever used Google Maps or similar programs, that experience can provide a helpful way of thinking about how broad your opening should be. Imagine that you’re researching Chapel Hill. If what you want to find out is whether Chapel Hill is at roughly the same latitude as Rome, it might make sense to hit that little “minus” sign on the online map until it has zoomed all the way out and you can see the whole globe. If you’re trying to figure out how to get from Chapel Hill to Wrightsville Beach, it might make more sense to zoom in to the level where you can see most of North Carolina (but not the rest of the world, or even the rest of the United States). And if you are looking for the intersection of Ridge Road and Manning Drive so that you can find the Writing Center’s main office, you may need to zoom all the way in. The question you are asking determines how “broad” your view should be. In the sample assignment above, the questions are probably at the “state” or “city” level of generality. When writing, you need to place your ideas in context—but that context doesn’t generally have to be as big as the whole galaxy!

Try writing your introduction last. You may think that you have to write your introduction first, but that isn’t necessarily true, and it isn’t always the most effective way to craft a good introduction. You may find that you don’t know precisely what you are going to argue at the beginning of the writing process. It is perfectly fine to start out thinking that you want to argue a particular point but wind up arguing something slightly or even dramatically different by the time you’ve written most of the paper. The writing process can be an important way to organize your ideas, think through complicated issues, refine your thoughts, and develop a sophisticated argument. However, an introduction written at the beginning of that discovery process will not necessarily reflect what you wind up with at the end. You will need to revise your paper to make sure that the introduction, all of the evidence, and the conclusion reflect the argument you intend. Sometimes it’s easiest to just write up all of your evidence first and then write the introduction last—that way you can be sure that the introduction will match the body of the paper.

Don’t be afraid to write a tentative introduction first and then change it later. Some people find that they need to write some kind of introduction in order to get the writing process started. That’s fine, but if you are one of those people, be sure to return to your initial introduction later and rewrite if necessary.

Open with something that will draw readers in. Consider these options (remembering that they may not be suitable for all kinds of papers):

  • an intriguing example —for example, Douglass writes about a mistress who initially teaches him but then ceases her instruction as she learns more about slavery.
  • a provocative quotation that is closely related to your argument —for example, Douglass writes that “education and slavery were incompatible with each other.” (Quotes from famous people, inspirational quotes, etc. may not work well for an academic paper; in this example, the quote is from the author himself.)
  • a puzzling scenario —for example, Frederick Douglass says of slaves that “[N]othing has been left undone to cripple their intellects, darken their minds, debase their moral nature, obliterate all traces of their relationship to mankind; and yet how wonderfully they have sustained the mighty load of a most frightful bondage, under which they have been groaning for centuries!” Douglass clearly asserts that slave owners went to great lengths to destroy the mental capacities of slaves, yet his own life story proves that these efforts could be unsuccessful.
  • a vivid and perhaps unexpected anecdote —for example, “Learning about slavery in the American history course at Frederick Douglass High School, students studied the work slaves did, the impact of slavery on their families, and the rules that governed their lives. We didn’t discuss education, however, until one student, Mary, raised her hand and asked, ‘But when did they go to school?’ That modern high school students could not conceive of an American childhood devoid of formal education speaks volumes about the centrality of education to American youth today and also suggests the significance of the deprivation of education in past generations.”
  • a thought-provoking question —for example, given all of the freedoms that were denied enslaved individuals in the American South, why does Frederick Douglass focus his attentions so squarely on education and literacy?

Pay special attention to your first sentence. Start off on the right foot with your readers by making sure that the first sentence actually says something useful and that it does so in an interesting and polished way.

How to evaluate your introduction draft

Ask a friend to read your introduction and then tell you what he or she expects the paper will discuss, what kinds of evidence the paper will use, and what the tone of the paper will be. If your friend is able to predict the rest of your paper accurately, you probably have a good introduction.

Five kinds of less effective introductions

1. The placeholder introduction. When you don’t have much to say on a given topic, it is easy to create this kind of introduction. Essentially, this kind of weaker introduction contains several sentences that are vague and don’t really say much. They exist just to take up the “introduction space” in your paper. If you had something more effective to say, you would probably say it, but in the meantime this paragraph is just a place holder.

Example: Slavery was one of the greatest tragedies in American history. There were many different aspects of slavery. Each created different kinds of problems for enslaved people.

2. The restated question introduction. Restating the question can sometimes be an effective strategy, but it can be easy to stop at JUST restating the question instead of offering a more specific, interesting introduction to your paper. The professor or teaching assistant wrote your question and will be reading many essays in response to it—he or she does not need to read a whole paragraph that simply restates the question.

Example: The Narrative of the Life of Frederick Douglass discusses the relationship between education and slavery in 19th century America, showing how white control of education reinforced slavery and how Douglass and other enslaved African Americans viewed education while they endured. Moreover, the book discusses the role that education played in the acquisition of freedom. Education was a major force for social change with regard to slavery.

3. The Webster’s Dictionary introduction. This introduction begins by giving the dictionary definition of one or more of the words in the assigned question. Anyone can look a word up in the dictionary and copy down what Webster says. If you want to open with a discussion of an important term, it may be far more interesting for you (and your reader) if you develop your own definition of the term in the specific context of your class and assignment. You may also be able to use a definition from one of the sources you’ve been reading for class. Also recognize that the dictionary is also not a particularly authoritative work—it doesn’t take into account the context of your course and doesn’t offer particularly detailed information. If you feel that you must seek out an authority, try to find one that is very relevant and specific. Perhaps a quotation from a source reading might prove better? Dictionary introductions are also ineffective simply because they are so overused. Instructors may see a great many papers that begin in this way, greatly decreasing the dramatic impact that any one of those papers will have.

Example: Webster’s dictionary defines slavery as “the state of being a slave,” as “the practice of owning slaves,” and as “a condition of hard work and subjection.”

4. The “dawn of man” introduction. This kind of introduction generally makes broad, sweeping statements about the relevance of this topic since the beginning of time, throughout the world, etc. It is usually very general (similar to the placeholder introduction) and fails to connect to the thesis. It may employ cliches—the phrases “the dawn of man” and “throughout human history” are examples, and it’s hard to imagine a time when starting with one of these would work. Instructors often find them extremely annoying.

Example: Since the dawn of man, slavery has been a problem in human history.

5. The book report introduction. This introduction is what you had to do for your elementary school book reports. It gives the name and author of the book you are writing about, tells what the book is about, and offers other basic facts about the book. You might resort to this sort of introduction when you are trying to fill space because it’s a familiar, comfortable format. It is ineffective because it offers details that your reader probably already knows and that are irrelevant to the thesis.

Example: Frederick Douglass wrote his autobiography, Narrative of the Life of Frederick Douglass, An American Slave , in the 1840s. It was published in 1986 by Penguin Books. In it, he tells the story of his life.

And now for the conclusion…

Writing an effective introduction can be tough. Try playing around with several different options and choose the one that ends up sounding best to you!

Just as your introduction helps readers make the transition to your topic, your conclusion needs to help them return to their daily lives–but with a lasting sense of how what they have just read is useful or meaningful. Check out our handout on  conclusions for tips on ending your paper as effectively as you began it!

Works consulted

We consulted these works while writing this handout. This is not a comprehensive list of resources on the handout’s topic, and we encourage you to do your own research to find additional publications. Please do not use this list as a model for the format of your own reference list, as it may not match the citation style you are using. For guidance on formatting citations, please see the UNC Libraries citation tutorial . We revise these tips periodically and welcome feedback.

Douglass, Frederick. 1995. Narrative of the Life of Frederick Douglass, an American Slave, Written by Himself . New York: Dover.

You may reproduce it for non-commercial use if you use the entire handout and attribute the source: The Writing Center, University of North Carolina at Chapel Hill

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How to Write an Introduction for a Research Paper

Sumalatha G

Table of Contents

Writing an introduction for a research paper is a critical element of your paper, but it can seem challenging to encapsulate enormous amount of information into a concise form. The introduction of your research paper sets the tone for your research and provides the context for your study. In this article, we will guide you through the process of writing an effective introduction that grabs the reader's attention and captures the essence of your research paper.

Understanding the Purpose of a Research Paper Introduction

The introduction acts as a road map for your research paper, guiding the reader through the main ideas and arguments. The purpose of the introduction is to present your research topic to the readers and provide a rationale for why your study is relevant. It helps the reader locate your research and its relevance in the broader field of related scientific explorations. Additionally, the introduction should inform the reader about the objectives and scope of your study, giving them an overview of what to expect in the paper. By including a comprehensive introduction, you establish your credibility as an author and convince the reader that your research is worth their time and attention.

Key Elements to Include in Your Introduction

When writing your research paper introduction, there are several key elements you should include to ensure it is comprehensive and informative.

  • A hook or attention-grabbing statement to capture the reader's interest.  It can be a thought-provoking question, a surprising statistic, or a compelling anecdote that relates to your research topic.
  • A brief overview of the research topic and its significance. By highlighting the gap in existing knowledge or the problem your research aims to address, you create a compelling case for the relevance of your study.
  • A clear research question or problem statement. This serves as the foundation of your research and guides the reader in understanding the unique focus of your study. It should be concise, specific, and clearly articulated.
  • An outline of the paper's structure and main arguments, to help the readers navigate through the paper with ease.

Preparing to Write Your Introduction

Before diving into writing your introduction, it is essential to prepare adequately. This involves 3 important steps:

  • Conducting Preliminary Research: Immerse yourself in the existing literature to develop a clear research question and position your study within the academic discourse.
  • Identifying Your Thesis Statement: Define a specific, focused, and debatable thesis statement, serving as a roadmap for your paper.
  • Considering Broader Context: Reflect on the significance of your research within your field, understanding its potential impact and contribution.

By engaging in these preparatory steps, you can ensure that your introduction is well-informed, focused, and sets the stage for a compelling research paper.

Structuring Your Introduction

Now that you have prepared yourself to tackle the introduction, it's time to structure it effectively. A well-structured introduction will engage the reader from the beginning and provide a logical flow to your research paper.

Starting with a Hook

Begin your introduction with an attention-grabbing hook that captivates the reader's interest. This hook serves as a way to make your introduction more engaging and compelling. For example, if you are writing a research paper on the impact of climate change on biodiversity, you could start your introduction with a statistic about the number of species that have gone extinct due to climate change. This will immediately grab the reader's attention and make them realize the urgency and importance of the topic.

Introducing Your Topic

Provide a brief overview, which should give the reader a general understanding of the subject matter and its significance. Explain the importance of the topic and its relevance to the field. This will help the reader understand why your research is significant and why they should continue reading. Continuing with the example of climate change and biodiversity, you could explain how climate change is one of the greatest threats to global biodiversity, how it affects ecosystems, and the potential consequences for both wildlife and human populations. By providing this context, you are setting the stage for the rest of your research paper and helping the reader understand the importance of your study.

Presenting Your Thesis Statement

The thesis statement should directly address your research question and provide a preview of the main arguments or findings discussed in your paper. Make sure your thesis statement is clear, concise, and well-supported by the evidence you will present in your research paper. By presenting a strong and focused thesis statement, you are providing the reader with the information they could anticipate in your research paper. This will help them understand the purpose and scope of your study and will make them more inclined to continue reading.

Writing Techniques for an Effective Introduction

When crafting an introduction, it is crucial to pay attention to the finer details that can elevate your writing to the next level. By utilizing specific writing techniques, you can captivate your readers and draw them into your research journey.

Using Clear and Concise Language

One of the most important writing techniques to employ in your introduction is the use of clear and concise language. By choosing your words carefully, you can effectively convey your ideas to the reader. It is essential to avoid using jargon or complex terminology that may confuse or alienate your audience. Instead, focus on communicating your research in a straightforward manner to ensure that your introduction is accessible to both experts in your field and those who may be new to the topic. This approach allows you to engage a broader audience and make your research more inclusive.

Establishing the Relevance of Your Research

One way to establish the relevance of your research is by highlighting how it fills a gap in the existing literature. Explain how your study addresses a significant research question that has not been adequately explored. By doing this, you demonstrate that your research is not only unique but also contributes to the broader knowledge in your field. Furthermore, it is important to emphasize the potential impact of your research. Whether it is advancing scientific understanding, informing policy decisions, or improving practical applications, make it clear to the reader how your study can make a difference.

By employing these two writing techniques in your introduction, you can effectively engage your readers. Take your time to craft an introduction that is both informative and captivating, leaving your readers eager to delve deeper into your research.

Revising and Polishing Your Introduction

Once you have written your introduction, it is crucial to revise and polish it to ensure that it effectively sets the stage for your research paper.

Self-Editing Techniques

Review your introduction for clarity, coherence, and logical flow. Ensure each paragraph introduces a new idea or argument with smooth transitions.

Check for grammatical errors, spelling mistakes, and awkward sentence structures.

Ensure that your introduction aligns with the overall tone and style of your research paper.

Seeking Feedback for Improvement

Consider seeking feedback from peers, colleagues, or your instructor. They can provide valuable insights and suggestions for improving your introduction. Be open to constructive criticism and use it to refine your introduction and make it more compelling for the reader.

Writing an introduction for a research paper requires careful thought and planning. By understanding the purpose of the introduction, preparing adequately, structuring effectively, and employing writing techniques, you can create an engaging and informative introduction for your research. Remember to revise and polish your introduction to ensure that it accurately represents the main ideas and arguments in your research paper. With a well-crafted introduction, you will capture the reader's attention and keep them inclined to your paper.

Suggested Reads

ResearchGPT: A Custom GPT for Researchers and Scientists Best Academic Search Engines [2023] How To Humanize AI Text In Scientific Articles Elevate Your Writing Game With AI Grammar Checker Tools

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Inhaltsverzeichnis

  • 1 Research Paper Introduction – Definition
  • 3 Research Paper Introduction: Structure
  • 4 The Do’s and Don’ts
  • 5 Research Paper Introduction: Example
  • 6 In a nutshell

Research Paper Introduction – Definition

The research paper introduction arrests the reader’s attention from a general perspective to one specific area of a study. It outlines a summary of the research being conducted by condensing current understanding and background information about the topic, presenting the importance of the research in the form of a hypothesis, research questions , or research problem. It also outlines the methodological approach touching the likely outcomes that your study can reveal, and describing the remaining structure of the research paper.

Research paper introduction in academic writing is widely used in the presentation of a thesis and academic work. This article highlights the best ways to go about writing a captivating introduction to help you fine-tune your writing skills at the introductory level.

What is the purpose of a research paper introduction?

It establishes the depth, the context, and the importance of the research by summarizing and bringing the reader’s attention to your thesis. The research topic should be clear from the get-go. The introduction needs to draw in the reader whilst summarizing for them what it is that they’re about to read.

How do you start a research paper introduction?

You start the introduction of the research paper by presenting what your research paper is about. You’ll need some great sentence starters and transition words because your introduction needs to be well written in order to envoke the reader’s interest. Don’t forget to create some context and inform the reader about the research you have carried out.

How do you write a research paper introduction?

Draft your introduction on a piece of paper and edit it extensively before you add it to the final copy of your research paper. Be sure to refer to the research paper outline that you created before you started writing. Your sentences should be short and precise. It’s also important that you do not oversell your ideas at this point- remember that you’re still trying to draw the reader in.

What do you include in a research paper introduction?

You should highlight the key aspects of your thesis. It’s important that your thesis statement is placed towards the end of your research paper introduction. You are essentially briefly introducing the reader to concepts that they will come across in your research work.

How do you write a research paper introduction to a scientific research paper?

The information included in a scientific research paper introduction is very similar to what you would include in any other research paper . However, the overall structure of a scientific research paper is a bit different as you’ll need to include sections like ‘materials’ and ‘scientific processes’. Your introduction to a scientific research paper should highlight sufficient background information on the experiment that you did, making it easy for readers to understand and evaluate your research work.

What is the rationale in the research paper introduction?

The rationale for research is the highlight of why your research topic is worthy of the study and experimentation and how it adds value to already existing research works. You will probably need to bury yourself in books, do your research in the library and undertake descriptive research for your specific field. You need to become an expert in your chosen field and you should know exactly what you are contributing to the academic community with your research.

Tip: Read about the different parts of a research paper for a full rundown of which parts go where.

Research Paper Introduction: Structure

The structure of a research paper introduction should contain the main goal and the objective of the research. It should be a concise but enlightening outline of the soon-after context. Here you are required to state your rationale or reasons why you want to major into a particular subject or instead what problems you seek to solve in the subject matter.

Therefore, you need  comprehensible argumentation to emphasize the importance of your research topic to your reader. In addition, you want to excite the readers curiosity for the subject. Below you will find the prime points to create a convincing research paper introduction.

The Do’s and Don’ts

One of the things that should be evident throughout your research paper introduction is honesty to your readers. This will go a long way in establishing a piece of research work that can be relied on by other students and researchers in the future. You will also not find it hard explaining the rest of the research paper to the panellists.

Research-paper-introduction-Dos-1

• Your research paper introduction should be short, accurate and precise. Don´t tell stories at the introductory level of your research.

• Pick-point the ideas you want to talk about and the methodologies that you have derived from the course work for you to solve the hindrances that you encountered on the ground.

• Refer to diverse research paper introduction works and make sure to look for up-to-date researches for your thesis.

• Provide tangible shreds of evidence and supporting arguments to blueprint your findings, and at least prove the fact that what you are presenting is well researched as well as authentic.

• Find it worth to include relevant terms, may it be scientific or mathematical or even theological.

• Always remember to proofread your work.

• Scrutinize your research paper introduction before presentation for reliability and present it with utmost logic to show how it supports your research and not a mere throwing in of figures.

Research-paper-introduction-Donts

• Do not try explaining ideas that do not answer your research questions. This is a mere waste of time and will not lead to any new conclusion about your research paper introduction work.

• Do not write a lengthy research paper introduction. What will you write in the rest of the paper if you tell it all here?

• Do not state incomplete reasons for carrying out the research. You want to be as convincing as possible in your research paper introduction.

• Do not exceed the stated word limit. It brings about the fact that you do not know what you are talking about, instead, you present yourself as a bluff.

• Do not plagiarize your research paper introduction, just like any other portion of your research work. Check this before any submissions. Make sure all the hypothetical findings are genuine and unique.

Research Paper Introduction: Example

Research-Paper-Introduction-Example

In a nutshell

  • Research paper introduction introduces the core topic to your thesis.
  • The introduction explains where you are coming from concerning your research. Therefore make your research paper introduction precise.
  • The research paper introduction should be short, concise, and accurate.
  • Your research paper introduction should highlight the rationale of your research, which is the support of the worthiness of your study and research experiments.
  • A research paper introduction should be free from plagiarism.

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what is a introduction in a research paper

Microsoft 365 Life Hacks > Writing > How to write an introduction for a research paper

How to write an introduction for a research paper

Beginnings are hard. Beginning a research paper is no exception. Many students—and pros—struggle with how to write an introduction for a research paper.

This short guide will describe the purpose of a research paper introduction and how to create a good one.

a research paper being viewed on a Acer TravelMate B311 2-in-1 on desk with pad of paper.

What is an introduction for a research paper?

Introductions to research papers do a lot of work.

It may seem obvious, but introductions are always placed at the beginning of a paper. They guide your reader from a general subject area to the narrow topic that your paper covers. They also explain your paper’s:

  • Scope: The topic you’ll be covering
  • Context: The background of your topic
  • Importance: Why your research matters in the context of an industry or the world

Your introduction will cover a lot of ground. However, it will only be half of a page to a few pages long. The length depends on the size of your paper as a whole. In many cases, the introduction will be shorter than all of the other sections of your paper.

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Why is an introduction vital to a research paper?

The introduction to your research paper isn’t just important. It’s critical.

Your readers don’t know what your research paper is about from the title. That’s where your introduction comes in. A good introduction will:

  • Help your reader understand your topic’s background
  • Explain why your research paper is worth reading
  • Offer a guide for navigating the rest of the piece
  • Pique your reader’s interest

Without a clear introduction, your readers will struggle. They may feel confused when they start reading your paper. They might even give up entirely. Your introduction will ground them and prepare them for the in-depth research to come.

What should you include in an introduction for a research paper?

Research paper introductions are always unique. After all, research is original by definition. However, they often contain six essential items. These are:

  • An overview of the topic. Start with a general overview of your topic. Narrow the overview until you address your paper’s specific subject. Then, mention questions or concerns you had about the case. Note that you will address them in the publication.
  • Prior research. Your introduction is the place to review other conclusions on your topic. Include both older scholars and modern scholars. This background information shows that you are aware of prior research. It also introduces past findings to those who might not have that expertise.
  • A rationale for your paper. Explain why your topic needs to be addressed right now. If applicable, connect it to current issues. Additionally, you can show a problem with former theories or reveal a gap in current research. No matter how you do it, a good rationale will interest your readers and demonstrate why they must read the rest of your paper.
  • Describe the methodology you used. Recount your processes to make your paper more credible. Lay out your goal and the questions you will address. Reveal how you conducted research and describe how you measured results. Moreover, explain why you made key choices.
  • A thesis statement. Your main introduction should end with a thesis statement. This statement summarizes the ideas that will run through your entire research article. It should be straightforward and clear.
  • An outline. Introductions often conclude with an outline. Your layout should quickly review what you intend to cover in the following sections. Think of it as a roadmap, guiding your reader to the end of your paper.

These six items are emphasized more or less, depending on your field. For example, a physics research paper might emphasize methodology. An English journal article might highlight the overview.

Three tips for writing your introduction

We don’t just want you to learn how to write an introduction for a research paper. We want you to learn how to make it shine.

There are three things you can do that will make it easier to write a great introduction. You can:

  • Write your introduction last. An introduction summarizes all of the things you’ve learned from your research. While it can feel good to get your preface done quickly, you should write the rest of your paper first. Then, you’ll find it easy to create a clear overview.
  • Include a strong quotation or story upfront. You want your paper to be full of substance. But that doesn’t mean it should feel boring or flat. Add a relevant quotation or surprising anecdote to the beginning of your introduction. This technique will pique the interest of your reader and leave them wanting more.
  • Be concise. Research papers cover complex topics. To help your readers, try to write as clearly as possible. Use concise sentences. Check for confusing grammar or syntax . Read your introduction out loud to catch awkward phrases. Before you finish your paper, be sure to proofread, too. Mistakes can seem unprofessional.

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How to write an introduction for a research paper

How to write a introduction for a research paper

Writing an introduction for a research paper can be one of the hardest parts of the writing process. How do you get started? In this post, we discuss the components of an introduction and explore strategies for writing one successfully.

What is an introduction?

The introduction to a research paper provides background information or context on the topic. It also includes the thesis statement and signposts that let the reader know what you will cover in the rest of the paper.

Depending on the type of research paper that you’re writing, you may also include a brief state of the field in your introduction. You might also put that in a separate section, called a literature review. Before you tackle writing your introduction, be sure to consult the assignment guidelines for your paper.

How to write an introduction

An introduction provides an overview of your topic and any background information that your readers need to know in order to understand the context. It generally concludes with an explicit statement of your position on the topic, which is known as your thesis statement.

The opening section

Many papers begin with a hook: a short anecdote or scenario that draws the reader in and gives a hint of what the paper will cover. A hook allows you to capture your reader’s attention and provides an anchor for the context that you will provide in the bulk of the introduction.

Most of your introduction should be taken up with background information, but this doesn’t mean that you should fill your opening section with overly general statements. Instead, provide key pieces of information (like statistics) that a reader would need to know in order to understand your main argument.

The thesis statement

Towards the end of the introduction, you should state your thesis, preferably in the form of "I argue that..." or "This paper argues that..." or a similar phrase. Although it’s called a “thesis statement,” your thesis can be more than one sentence.

Finally, an introduction contains a brief outline or "signposts" of what the rest of the article will cover (also known as forecasting statements). You can use language like, “in what follows,” or “in the rest of the paper,” to signal that you are describing what you’ll do in the remainder of the paper.

Tips for writing an introduction

1. don’t rely on generalizations.

An introduction is not simply filler. It has a very specific function in a research paper: to provide context that leads up to a thesis statement.

You may be tempted to start your paper with generalizations like, “many people believe that...” or, “in our society...,” or a general dictionary definition, because you’re not sure what kind of context to provide. Instead, use specific facts like statistics or historical anecdotes to open your paper.

2. State your thesis directly

Once you’ve provided the appropriate, and specific, background information on your topic, you can move on to stating your thesis. As a rule of thumb, state your thesis as directly as possible. Use phrases like “I argue that..” to indicate that you are laying out your main argument.

3. Include signposts

A strong introduction includes clear signposts that outline what you will cover in the rest of the paper. You can signal this by using words like, “in what follows,” and by describing the steps that you will take to build your argument.

4. Situate your argument within the scholarly conversation

Some types of research papers require a separate literature review in which you explore what others have written about your topic.

Even if you’re not required to have a formal literature review, you should still include at least a paragraph in which you engage with the scholarly debate on your chosen subject. Be sure to include direct quotes from your sources . You can use BibGuru’s citation generator to create accurate in-text citations for your quotes.

This section can come directly before your thesis statement or directly after it. In the former case, your state of the field will function as additional context for your thesis.

Frequently Asked Questions about how to write an introduction for a research paper

A good introduction provides specific background information on your topic, sets up your thesis statement, and includes signposts for what you’ll cover in the rest of the paper.

An introduction should include context, a thesis statement, and signposts.

Do not include generalizations, apologies for not being an expert, or dictionary definitions in your introduction.

The length of your introduction depends on the overall length of your paper. For instance, an introduction for an 8-10 page paper will likely be anywhere from 1-3 pages.

You can choose to start an introduction with a hook, an important statistic, an historical anecdote, or another specific piece of background information.

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How to Write a Research Introduction

Last Updated: December 6, 2023 Fact Checked

This article was co-authored by Megan Morgan, PhD . Megan Morgan is a Graduate Program Academic Advisor in the School of Public & International Affairs at the University of Georgia. She earned her PhD in English from the University of Georgia in 2015. There are 7 references cited in this article, which can be found at the bottom of the page. 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 2,647,296 times.

The introduction to a research paper can be the most challenging part of the paper to write. The length of the introduction will vary depending on the type of research paper you are writing. An introduction should announce your topic, provide context and a rationale for your work, before stating your research questions and hypothesis. Well-written introductions set the tone for the paper, catch the reader's interest, and communicate the hypothesis or thesis statement.

Introducing the Topic of the Paper

Step 1 Announce your research topic.

  • In scientific papers this is sometimes known as an "inverted triangle", where you start with the broadest material at the start, before zooming in on the specifics. [2] X Research source
  • The sentence "Throughout the 20th century, our views of life on other planets have drastically changed" introduces a topic, but does so in broad terms.
  • It provides the reader with an indication of the content of the essay and encourages them to read on.

Step 2 Consider referring to key words.

  • For example, if you were writing a paper about the behaviour of mice when exposed to a particular substance, you would include the word "mice", and the scientific name of the relevant compound in the first sentences.
  • If you were writing a history paper about the impact of the First World War on gender relations in Britain, you should mention those key words in your first few lines.

Step 3 Define any key terms or concepts.

  • This is especially important if you are attempting to develop a new conceptualization that uses language and terminology your readers may be unfamiliar with.

Step 4 Introduce the topic through an anecdote or quotation.

  • If you use an anecdote ensure that is short and highly relevant for your research. It has to function in the same way as an alternative opening, namely to announce the topic of your research paper to your reader.
  • For example, if you were writing a sociology paper about re-offending rates among young offenders, you could include a brief story of one person whose story reflects and introduces your topic.
  • This kind of approach is generally not appropriate for the introduction to a natural or physical sciences research paper where the writing conventions are different.

Establishing the Context for Your Paper

Step 1 Include a brief literature review.

  • It is important to be concise in the introduction, so provide an overview on recent developments in the primary research rather than a lengthy discussion.
  • You can follow the "inverted triangle" principle to focus in from the broader themes to those to which you are making a direct contribution with your paper.
  • A strong literature review presents important background information to your own research and indicates the importance of the field.

Step 2 Use the literature to focus in on your contribution.

  • By making clear reference to existing work you can demonstrate explicitly the specific contribution you are making to move the field forward.
  • You can identify a gap in the existing scholarship and explain how you are addressing it and moving understanding forward.

Step 3 Elaborate on the rationale of your paper.

  • For example, if you are writing a scientific paper you could stress the merits of the experimental approach or models you have used.
  • Stress what is novel in your research and the significance of your new approach, but don't give too much detail in the introduction.
  • A stated rationale could be something like: "the study evaluates the previously unknown anti-inflammatory effects of a topical compound in order to evaluate its potential clinical uses".

Specifying Your Research Questions and Hypothesis

Step 1 State your research questions.

  • The research question or questions generally come towards the end of the introduction, and should be concise and closely focused.
  • The research question might recall some of the key words established in the first few sentences and the title of your paper.
  • An example of a research question could be "what were the consequences of the North American Free Trade Agreement on the Mexican export economy?"
  • This could be honed further to be specific by referring to a particular element of the Free Trade Agreement and the impact on a particular industry in Mexico, such as clothing manufacture.
  • A good research question should shape a problem into a testable hypothesis.

Step 2 Indicate your hypothesis.

  • If possible try to avoid using the word "hypothesis" and rather make this implicit in your writing. This can make your writing appear less formulaic.
  • In a scientific paper, giving a clear one-sentence overview of your results and their relation to your hypothesis makes the information clear and accessible. [10] X Trustworthy Source PubMed Central Journal archive from the U.S. National Institutes of Health Go to source
  • An example of a hypothesis could be "mice deprived of food for the duration of the study were expected to become more lethargic than those fed normally".

Step 3 Outline the structure of your paper.

  • This is not always necessary and you should pay attention to the writing conventions in your discipline.
  • In a natural sciences paper, for example, there is a fairly rigid structure which you will be following.
  • A humanities or social science paper will most likely present more opportunities to deviate in how you structure your paper.

Research Introduction Help

what is a introduction in a research paper

Community Q&A

Community Answer

  • Use your research papers' outline to help you decide what information to include when writing an introduction. Thanks Helpful 0 Not Helpful 1
  • Consider drafting your introduction after you have already completed the rest of your research paper. Writing introductions last can help ensure that you don't leave out any major points. Thanks Helpful 0 Not Helpful 0

what is a introduction in a research paper

  • Avoid emotional or sensational introductions; these can create distrust in the reader. Thanks Helpful 50 Not Helpful 12
  • Generally avoid using personal pronouns in your introduction, such as "I," "me," "we," "us," "my," "mine," or "our." Thanks Helpful 31 Not Helpful 7
  • Don't overwhelm the reader with an over-abundance of information. Keep the introduction as concise as possible by saving specific details for the body of your paper. Thanks Helpful 24 Not Helpful 14

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Publish a Research Paper

  • ↑ https://library.sacredheart.edu/c.php?g=29803&p=185916
  • ↑ https://www.aresearchguide.com/inverted-pyramid-structure-in-writing.html
  • ↑ https://libguides.usc.edu/writingguide/introduction
  • ↑ https://writing.wisc.edu/Handbook/PlanResearchPaper.html
  • ↑ https://dept.writing.wisc.edu/wac/writing-an-introduction-for-a-scientific-paper/
  • ↑ https://writing.wisc.edu/handbook/assignments/planresearchpaper/
  • ↑ http://www.ncbi.nlm.nih.gov/pmc/articles/PMC3178846/

About This Article

Megan Morgan, PhD

To introduce your research paper, use the first 1-2 sentences to describe your general topic, such as “women in World War I.” Include and define keywords, such as “gender relations,” to show your reader where you’re going. Mention previous research into the topic with a phrase like, “Others have studied…”, then transition into what your contribution will be and why it’s necessary. Finally, state the questions that your paper will address and propose your “answer” to them as your thesis statement. For more information from our English Ph.D. co-author about how to craft a strong hypothesis and thesis, keep reading! Did this summary help you? Yes No

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Sacred Heart University Library

Organizing Academic Research Papers: 4. The Introduction

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

The introduction serves the purpose of leading the reader from a general subject area to a particular field of research. It establishes the context of the research being conducted by summarizing current understanding and background information about the topic, stating the purpose of the work in the form of the hypothesis, question, or research problem, briefly explaining your rationale, methodological approach, highlighting the potential outcomes your study can reveal, and describing the remaining structure of the paper.

Key Elements of the Research Proposal. Prepared under the direction of the Superintendent and by the 2010 Curriculum Design and Writing Team. Baltimore County Public Schools.

Importance of a Good Introduction

Think of the introduction as a mental road map that must answer for the reader these four questions:

  • What was I studying?
  • Why was this topic important to investigate?
  • What did we know about this topic before I did this study?
  • How will this study advance our knowledge?

A well-written introduction is important because, quite simply, you never get a second chance to make a good first impression. The opening paragraph of your paper will provide your readers with their initial impressions about the logic of your argument, your writing style, the overall quality of your research, and, ultimately, the validity of your findings and conclusions. A vague, disorganized, or error-filled introduction will create a negative impression, whereas, a concise, engaging, and well-written introduction will start your readers off thinking highly of your analytical skills, your writing style, and your research approach.

Introductions . The Writing Center. University of North Carolina.

Structure and Writing Style

I. Structure and Approach

The introduction is the broad beginning of the paper that answers three important questions for the reader:

  • What is this?
  • Why am I reading it?
  • What do you want me to think about / consider doing / react to?

Think of the structure of the introduction as an inverted triangle of information. Organize the information so as to present the more general aspects of the topic early in the introduction, then narrow toward the more specific topical information that provides context, finally arriving at your statement of purpose and rationale and, whenever possible, the potential outcomes your study can reveal.

These are general phases associated with writing an introduction:

  • Highlighting the importance of the topic, and/or
  • Making general statements about the topic, and/or
  • Presenting an overview on current research on the subject.
  • Opposing an existing assumption, and/or
  • Revealing a gap in existing research, and/or
  • Formulating a research question or problem, and/or
  • Continuing a disciplinary tradition.
  • Stating the intent of your study,
  • Outlining the key characteristics of your study,
  • Describing important results, and
  • Giving a brief overview of the structure of the paper.

NOTE: Even though the introduction is the first main section of a research paper, it is often useful to finish the introduction very late in the writing process because the structure of the paper, the reporting and analysis of results, and the conclusion will have been completed and it ensures that your introduction matches the overall structure of your paper.

II.  Delimitations of the Study

Delimitations refer to those characteristics that limit the scope and define the conceptual boundaries of your study . This is determined by the conscious exclusionary and inclusionary decisions you make about how to investigate the research problem. In other words, not only should you tell the reader what it is you are studying and why, but you must also acknowledge why you rejected alternative approaches that could have been used to examine the research problem.

Obviously, the first limiting step was the choice of research problem itself. However, implicit are other, related problems that could have been chosen but were rejected. These should be noted in the conclusion of your introduction.

Examples of delimitating choices would be:

  • The key aims and objectives of your study,
  • The research questions that you address,
  • The variables of interest [i.e., the various factors and features of the phenomenon being studied],
  • The method(s) of investigation, and
  • Any relevant alternative theoretical frameworks that could have been adopted.

Review each of these decisions. You need to not only clearly establish what you intend to accomplish, but to also include a declaration of what the study does not intend to cover. In the latter case, your exclusionary decisions should be based upon criteria stated as, "not interesting"; "not directly relevant"; “too problematic because..."; "not feasible," and the like. Make this reasoning explicit!

NOTE: Delimitations refer to the initial choices made about the broader, overall design of your study and should not be confused with documenting the limitations of your study discovered after the research has been completed.

III. The Narrative Flow

Issues to keep in mind that will help the narrative flow in your introduction :

  • Your introduction should clearly identify the subject area of interest . A simple strategy to follow is to use key words from your title in the first few sentences of the introduction. This will help focus the introduction on the topic at the appropriate level and ensures that you get to the primary subject matter quickly without losing focus, or discussing information that is too general.
  • Establish context by providing a brief and balanced review of the pertinent published literature that is available on the subject. The key is to summarize for the reader what is known about the specific research problem before you did your analysis. This part of your introduction should not represent a comprehensive literature review but consists of a general review of the important, foundational research literature (with citations) that lays a foundation for understanding key elements of the research problem. See the drop-down tab for "Background Information" for types of contexts.
  • Clearly state the hypothesis that you investigated . When you are first learning to write in this format it is okay, and actually preferable, to use a past statement like, "The purpose of this study was to...." or "We investigated three possible mechanisms to explain the...."
  • Why did you choose this kind of research study or design? Provide a clear statement of the rationale for your approach to the problem studied. This will usually follow your statement of purpose in the last paragraph of the introduction.

IV. Engaging the Reader

The overarching goal of your introduction is to make your readers want to read your paper. The introduction should grab your reader's attention. Strategies for doing this can be to:

  • Open with a compelling story,
  • Include a strong quotation or a vivid, perhaps unexpected anecdote,
  • Pose a provocative or thought-provoking question,
  • Describe a puzzling scenario or incongruity, or
  • Cite a stirring example or case study that illustrates why the research problem is important.

NOTE:   Only choose one strategy for engaging your readers; avoid giving an impression that your paper is more flash than substance.

Freedman, Leora  and Jerry Plotnick. Introductions and Conclusions . University College Writing Centre. University of Toronto; Introduction . The Structure, Format, Content, and Style of a Journal-Style Scientific Paper. Department of Biology. Bates College; Introductions . The Writing Center. University of North Carolina; Introductions . The Writer’s Handbook. Writing Center. University of Wisconsin, Madison; Introductions, Body Paragraphs, and Conclusions for an Argument Paper. The Writing Lab and The OWL. Purdue University; Resources for Writers: Introduction Strategies . Program in Writing and Humanistic Studies. Massachusetts Institute of Technology; Sharpling, Gerald. Writing an Introduction . Centre for Applied Linguistics, University of Warwick; Writing Your Introduction. Department of English Writing Guide. George Mason University.

Writing Tip

Avoid the "Dictionary" Introduction

Giving the dictionary definition of words related to the research problem may appear appropriate because it is important to define specific words or phrases with which readers may be unfamiliar. However, anyone can look a word up in the dictionary and a general dictionary is not a particularly authoritative source. It doesn't take into account the context of your topic and doesn't offer particularly detailed information. Also, placed in the context of a particular discipline, a term may have a different meaning than what is found in a general dictionary. If you feel that you must seek out an authoritative definition, try to find one that is from subject specific dictionaries or encyclopedias [e.g., if you are a sociology student, search for dictionaries of sociology].

Saba, Robert. The College Research Paper . Florida International University; Introductions . The Writing Center. University of North Carolina.

Another Writing Tip

When Do I Begin?

A common question asked at the start of any paper is, "where should I begin?" An equally important question to ask yourself is, "When do I begin?" Research problems in the social sciences rarely rest in isolation from the history of the issue being investigated. It is, therefore, important to lay a foundation for understanding the historical context underpinning the research problem. However, this information should be brief and succinct and begin at a point in time that best informs the reader of study's overall importance. For example, a study about coffee cultivation and export in West Africa as a key stimulus for local economic growth needs to describe the beginning of exporting coffee in the region and establishing why economic growth is important. You do not need to give a long historical explanation about coffee exportation in Africa. If a research problem demands a substantial exploration of historical context, do this in the literature review section; note in the introduction as part of your "roadmap" [see below] that you covering this in the literature review.

Yet Another Writing Tip

Always End with a Roadmap

The final paragraph or sentences of your introduction should forecast your main arguments and conclusions and provide a description of the rest of the paper [a "roadmap"] that let's the reader know where you are going and what to expect.

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Home → Academic Writing → How to Write a Research Paper Introduction: Hook, Line, and Sinker

How to Write a Research Paper Introduction: Hook, Line, and Sinker

Jordan Kruszynski

Jordan Kruszynski

  • January 4, 2024

what is a introduction in a research paper

Want to know how to write a research paper introduction that dazzles?

Struggling to hook your reader in with your opening sentences?

Crafting a captivating research paper introduction can be the difference between a mediocre paper and an outstanding one. The introduction sets the tone for the entire paper, and if it fails to capture the reader’s attention, your hard work may go unnoticed. In this post, we’ll explore some techniques for crafting a compelling introduction that will hook your reader from the very beginning. From using statistics to posing thought-provoking questions, we’ll show you how to reel in your reader hook, line, and sinker.

So, grab your pen and paper, and let’s get started!

What Makes a Captivating Introduction?

When it comes to writing a research paper, the introduction is everything. It’s the first glimpse your audience gets of what’s to come and the determining factor as to whether they continue reading or move on. A captivating introduction should immediately grab the reader’s attention and draw them in, enticing them to learn more about your unique research. It should be thought-provoking, relevant and informative.

By connecting with your audience and allowing them to identify with your work, you create an emotional investment from the start. You might be thinking that a research paper introduction only needs to provide cold, hard information, but this is missing half of the picture. If you can blend quality information with skilful writing, you’ll ensure that your reader remains engaged and open to your argument throughout the entirety of your paper. So, when crafting your introduction, strive to be engaging and focus on making a strong impression.

Pre-Writing Strategies for Crafting an Effective Introduction

Crafting that quality introduction begins even before you put pen to paper (or finger to keyboard). Start planning mentally with the following tips:

  • Try to ‘visualise’ your research from beginning to end. Your paper is your means of guiding the reader through that research. Imagine that you’re going to take the reader by the hand and walk them through it. What do they need to know before you set off? What’s going to convince them to take the journey? Thinking along these lines will set you in the right frame of mind for writing.
  • Remember that your introduction acts as a roadmap, directing readers towards your key points and arguments and letting them know what to expect. Thinking in terms of providing a map will clarify your writing decisions.
  • Think clearly and with confidence. If your introduction is vague, lacks sufficient information or is otherwise unconvincing, your reader may become disengaged from the outset.

How to Write a Research Paper Introduction with Clarity and Style

With your thoughts flowing, you can now turn to the act of writing your introduction, Each of the sections outlined below will typically take up one paragraph of your intro, with the exception of the literature review, which is likely to occupy several.

  • Always keep in mind that anyone can read your paper, not just an academically literate audience. With this in mind, begin by introducing your subject generally, ideally in a way that a layperson could understand. If you overwhelm your reader with technical language from the outset, they may become frustrated and stop reading.
  • Your subject introduction might include some historical context, or a brief overview of the significance of your field. Either way, prepare to narrow down that general overview to your specific research. Let the reader know what you’re working on.
  • More importantly, explain why your research is important. Perhaps you’re seeking to fill in a gap in the historical record, or are working on medication that could help people with a specific illness. Be clear about why your research could make a difference and why the reader should pay attention to it.

Literature Review

  • At this point, you can go into more detail on existing research efforts in your field with a literature review. Find out all about these and how to construct them in our complete guide . (Add link to lit. review post once it’s published)

Research Intention

  • Here, go into detail on the intention of your research. If you have a hypothesis, state it, or if you’re approaching your work with a broader, more open research question, then set it out.
  • Briefly discuss your research methods, keeping in mind that you’ll probably be writing a complete methodology section later.

Paper Overview

  • In this optional section, provide a brief overview of your whole paper by section, outlining what you intend to do in each of them – for example ‘In Section 4 we describe our methodology in detail. In Section 5 we present our data without analysis. In Section 6 we conduct an analysis of the data.’

As we mentioned before, balancing quality information with skilful, engaging writing can grab your reader’s attention right from the start. One way to do this is through a hook. But what makes a good hook?

  • It could be a statistic, taken either from your own research or elsewhere. Naturally, it should be relevant to your topic, as well as thought-provoking – a figure that makes your reader sit up and take notice of what you’re about to say. For example, if your paper focuses on marine plastics, then consider using a statistic to illustrate just how prevalent the problem is.
  • It might be a reference to a current event that is garnering a lot of attention. If you can connect that event to your research, and prove its social relevance, you can potentially earn more readers than you might expect.
  • You could even use a quotation, for example from a respected academic in your field. This can act as a point of inspiration for both you and your reader. There’s nothing stopping you from being creative in your introduction, and if your hook is directly relevant to your research, then it can take whatever shape you like.

Final Thoughts

The introductory paragraphs of your research paper are your chance to make a great first impression. By crafting a captivating introduction, you can draw your reader in and set the stage for an outstanding paper. From using powerful statistics to posing thought-provoking questions, there are many techniques you can use to hook your reader from the very beginning. So don’t be afraid to get creative and experiment with different approaches until you find one that works for you.

With these tips in mind, you’ll know how to write a research paper introduction that will leave your audience hooked, lined, and sunk!

Looking for introduction inspiration? Check out the array of papers available on Audemic , where you can listen to your heart’s content until you find the one that hits right!

Keep striving, researchers! ✨

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  • Open access
  • Published: 17 February 2024

The complexity of leadership in coproduction practices: a guiding framework based on a systematic literature review

  • Sofia Kjellström 1 , 2 ,
  • Sophie Sarre 2 &
  • Daniel Masterson 1  

BMC Health Services Research volume  24 , Article number:  219 ( 2024 ) Cite this article

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Metrics details

As coproduction in public services increases, understanding the role of leadership in this context is essential to the tasks of establishing relational partnerships and addressing power differentials among groups. The aims of this review are to explore models of coproduction leadership and the processes involved in leading coproduction as well as, based on that exploration, to develop a guiding framework for coproduction practices.

A systematic review that synthesizes the evidence reported by 73 papers related to coproduction of health and welfare.

Despite the fact that models of coleadership and collective leadership exhibit a better fit with the relational character of coproduction, the majority of the articles included in this review employed a leader-centric underlying theory. The practice of coproduction leadership is a complex activity pertaining to interactions among people, encompassing nine essential practices: initiating, power-sharing, training, supporting, establishing trust, communicating, networking, orchestration, and implementation.

Conclusions

This paper proposes a novel framework for coproduction leadership practices based on a systematic review of the literature and a set of reflective questions. This framework aims to help coproduction leaders and participants understand the complexity, diversity, and flexibility of coproduction leadership and to challenge and enhance their capacity to collaborate effectively.

Peer Review reports

Introduction

For more than 40 years, scholars and practitioners have sought to identify and understand various aspects of coproduction with the goal of improving services as well as equalizing (or at least reorganizing) power relations in service design and delivery [ 1 ]. More recently, such discussion has focused on the roles of leaders and leadership in coproduction, seeking to describe and assess the various types of leaders and leadership that might maximize the goals of coproduction processes and outcomes. Leaders can act to make coproduction, in all its forms, happen [ 2 , 3 ]. Leaders can enhance coproduction by providing resources, establishing inviting structures, and prioritizing the involvement of various stakeholders. Conversely, they can inhibit coproduction by perpetuating conservative administrative cultures, failing to provide training, or being reluctant to share power [ 3 ]. Coproduction relies on leadership at all levels, ranging from senior managers to local “champions” and including the citizens and third-sector organizations that participate in coproduction activities and practices.

This review presents a synthesis of research on the leadership of coproduction, which has been recognized for its scarcity [ 3 , 4 , 5 , 6 ]. The review provides new knowledge regarding the fact that coproduction leadership must become more deliberately (in)formed by collective leadership models. It also illustrates the multiplicity and complexity associated with coproduction leadership activities by outlining practices in which leaders must engage to ensure success. This review can inform a framework that offers guiding insights on which commissioners, evaluators, managers and leaders of coproduction can reflect as well as suggestions and directions for future research.

  • Coproduction

Coproduction is a broad concept that is associated with different meanings across a range of contexts [ 1 ]. Many definitions and uses of the term coproduction and codesign have been identified [ 7 ]. Throughout this paper, although we acknowledge the distinctions associated with the concepts and origins of the notion of codesign, we use the broad term coproduction to refer to some form of collaboration or partnership between service providers and service users or citizens. For this review, we follow the definitions provided by Osborne and Strokosch [ 8 ], who identified ‘ consumer coproduction’ as an inevitable component of value creation in interactions among service providers; ‘participatory coproduction’, in which context participation is deliberative and occurs at the strategic level of service design and planning; and ‘enhanced coproduction’, which represents a potential mechanism for transforming organizational processes and boundaries.

Power is inevitably central to coproduction. Schlappa and Ymani claimed that the coproduction process is “inherently negotiated, emergent and reliant on a range of actors who may have both common and contrasting motivations, and are able to exercise power, which in turn is moderated by the context in which these relations occur” [ 6 ]. This sensitivity to motivation, context and power is helpful for our understanding of leadership in coproduction.

Leadership models

Most conceptualizations of leadership have been based on the claim that leadership is a kind of inherent characteristic exhibited by human beings, such that leaders are depicted as heroes with unique traits, styles or behaviours [ 9 ]. However, research on leadership in coproduction is important in relation to an emerging body of research that focuses on the notion of “leadership in the plural” [ 10 ] or “collective leadership” [ 11 , 12 ]. These phrases act as umbrella terms that refer to overlapping concepts such as shared, collaborative, distributed, pooled and relational leadership. A core feature of these models is that leadership is not (only) viewed as a property of individuals and their behaviours but rather as a collective phenomenon that is distributed or shared among different people [ 10 ]. A distinction can be made between two types of collective leadership. Leadership can be shared in interpersonal relationships; for example, it can be pooled among duos or trios at the top of an organization, or shared leadership can be exercised within teams working on a project. This notion is based upon the assumption that people have different skills that complement each other. The second kind of collective leadership is a more radical version of this notion, according to which leadership emerges as a result of direction, alignment, and commitment within a group [ 11 ] or can be observed to reside within the system, for example, in the form of distributed leadership across interorganizational and intraorganizational boundaries and networks [ 10 , 12 ]. In cross-sectoral collaboration, leadership is distributed across time and space, which requires structures to guide how leadership is shared and organized. It has been argued that collective leadership is best suited to the analysis of coproduction practices [ 4 , 6 , 13 , 14 ].

It is important to note that distinctions have been made between management (planning, monitoring and controlling) and leadership (creating a vision, inspiring and changing) based on behaviours [ 15 ]. However, many authors have not made such a distinction, and the terms have frequently been used interchangeably. We therefore adopt the practice employed in the papers included in this review and use the terms leadership and leader as catch-all terms; we only use the words management or manager when the papers refer to job titles or ‘public management’.

Leadership models can be regarded as resembling a colour palette that offers a variety of choices, and similar to colours, some models fit a situation better than others. This paper investigates the use and fit of various leadership models for coproduction.

Leadership of coproduction research

Extant research on the leadership of coproduction has been described as “sparse” [ 4 ], a “neglected area” [ 5 ] and “overlooked” [ 3 , 6 ]. Despite a recent resurgence of interest in the potential of coproduction as a means of maintaining and improving the quality of health and social care, significant questions regarding how coproduction can and should be led in this context remain unanswered. Most reviews of coproduction have not addressed this issue [ 2 , 16 , 17 , 18 ]. Clarke et al.’s (2017) review identified the lack of managerial authority and leadership as a key barrier to the implementation of coproduced interventions but did not explore the implications of this finding for future practice. The review conducted by Bussu and Galanti (2018) stands alone in its focus on leadership, although the empirical cases explored by those authors were restricted to the context of local government in the UK. Recent empirical case studies that have explored leadership [ 13 , 14 , 15 , 19 ] have focused on public managers [ 3 , 5 , 14 ] or on identifying the consequences of different models of leadership. This review contributes to the literature by providing knowledge regarding how to make deliberate choices pertaining to coproduction leadership in terms of how it is conceptualized and shared and the activities that are necessary for leading coproduction.

Coproduction leadership practices

The leadership of coproduction poses a number of challenges. A proposed aim of coproduction is to drive change within services and in traditional state-citizen relationships by establishing equal and reciprocal relationships among professionals, the people using services, and their families and neighbours. This task requires a restructuring of health and welfare services to equalize power between providers and other stakeholders with an interest in the design and provision of these services. However, it has been suggested that coproduction runs the risk of reproducing existing inequalities in power rather than mitigating them since coproduction is inevitably saturated with unequal power relations that must be acknowledged but cannot be managed away [ 20 ].

In this paper, we present the findings of a systematic review of the literature on leadership in coproduction. The purpose of this review is to explore models of coproduction leadership and the practices involved in leading coproduction in the context of health and social care sectors [ 7 ]. The results are synthesized to develop a framework for actors who seek to commission, design, lead or evaluate coproduction processes. This framework emphasizes the need to make more deliberate choices regarding the underlying conceptualization of leadership and the ways in which such a conceptualization is related to the activities necessary for leading coproduction. Based on the framework, we also propose specific guiding questions for individuals involved in coproduction in practice and make suggestions for future research.

This systematic literature review is based on a study protocol on coproduction research in the context of health and social care sectors [ 21 ], and data were obtained from a published scoping review, where the full search strategy is provided [ 7 ]. The scoping review set out to identify ‘what is out there’ and to explore the definitions of the concepts of coproduction and codesign. In brief, the following search terms for the relevant concept (co-produc* OR coproduc* OR co-design* OR codesign*) and context (health OR social OR & “public service*” OR “public sector”) were used to query the following databases: CINAHL with Full Text (EBSCOHost), Cochrane Central Register of Controlled Trials (Wiley), MEDLINE (EBSCOhost), PsycINFO (ProQuest), PubMed (legacy), and Scopus (Elsevier). This paper focused on leadership. All titles and abstracts included in the scoping review ( n  = 979) were obtained and searched for leadership concepts (leader* OR manage*) ( n  = 415). These materials were reviewed independently by SK and SS using the following inclusion criterion: conceptual, empirical and reflection papers that included references to the management and/or leadership of coproduction. Study protocols were excluded because we wanted to capture lessons drawn from implementation, and conference papers were excluded because they lacked sufficient detail. Articles focusing on the context of individual-level coproduction (i.e., cases in which an individual client or patient was the focus of coproduction) were excluded, as we were interested in the leadership processes involved in collective coproduction. Conflicts were resolved through discussion and further consideration of disputed papers. This process led to the inclusion of 73 articles (Fig.  1 – PRISMA flow chart).

figure 1

PRISMA flow chart

The method used for this research was a systematic review with qualitative synthesis. The strength of this approach lies in its ability to complement research evidence with user and practitioner considerations [ 22 ]. In the process of examining the full texts of the papers, two researchers (SK and SS) extracted background data independently. To promote coproduction, four stakeholders were strategically selected through the personal networks of one of the authors, SK. These stakeholders exhibited diverse expertise in the leadership of coproduction. One was a leadership developer and family member of an individual with 24/7 care needs. Another was a physician. The third worked in peer support and had personal experience with mental health services. The fourth was a health care leader. Four key articles were chosen due to the diversity of leadership ideas they exhibit and the depth of the explicit text on leadership they provided. During the analysis by stakeholders, no themes were changed or refined; instead, the analysis confirmed the relevance of the initially identified themes, thus emphasizing the robustness of our findings based on a process that involved reading four key articles and identifying the perceived key implications for our research aim.

A qualitative synthesis unites the findings of individual studies in a different arrangement, thereby constructing new knowledge that is not apparent from the individual studies in isolation [ 23 ]. This fact is particularly evident in this review, since leadership was seldom the main focus of the included articles. Accordingly, we employed multiple pieces of information to construct a pattern. The process of synthesis started at a very broad level with the goal of understanding which aspects of leadership were addressed in the literature. This process then separated into two strands. One such strand focused on interpreting the data from the perspective of current leadership models, while the other focused on interpreting leadership practices – i.e., the activities and relationships that are part of the process of leading coproduction. We searched for themes both within and across individual articles, and our goal was interpretative rather than purely aggregative. This process resulted in three themes pertaining to coproduction leadership models and nine coproduction leadership practices. We present these findings together in the form of a framework because consideration of both leadership models and practices prompts better and more conscious choices, which can improve the quality of coproduction. Persons one and two from the stakeholder group also provided feedback on a draft of this paper, and their insights were integrated into this research.

Sample description

We included 73 papers (Additional file 1 ) dating from 1994 to 2019 (the year in which the initial search was performed). Most of these papers were empirical ( n  = 54), and more than half of them were case studies ( n  = 30). Fifteen articles were conceptual papers, and four were literature reviews. The setting or focus of the papers was predominantly on services ( n  = 66), while the remainder of the papers were on research ( n  = 4) or policy ( n  = 3). The papers drew on evidence collected from 13 countries, and the most common national setting was the UK ( n  = 29). Nine cross-national papers were also included. Issues related to leadership were rarely the focus of the papers.

Results: A coproduction leadership framework

The synthesis consists of three parts (roles, models and practices), which are combined to develop an overarching and integrative framework for essential issues pertaining to coproduction leadership [ 4 , 24 ].

People and roles

The way in which the leadership of coproduction has been conceptualized in the literature suggests that a range of actors are involved in the coproduction of health and wellbeing and that these actors can take on different leadership roles and functions. Service users, community members and community representatives can play a vital role in the task of deliberatively coproducing or even transforming services, as can third-sector organizations, external experts, politicians, mid-level facilitators, managers, and senior leaders.

It has been argued that it is important to involve leaders from diverse backgrounds who have personal experiential knowledge of public involvement to encourage involvement from a broader population [ 25 , 26 , 27 ]. Service users and community members play leadership roles in coproduction initiatives related to health or well-being. These roles involve shared decision-making and accountability at various levels, ranging from the personal to the systemic.

Senior leaders include formal representatives of organizations (executives, politicians, or formal managers) and formal or respected leaders of communities. They play an important role throughout this process. During the initiation stage, by implementing and sustaining the outcomes of coproduction, they play a crucial role in the provision of resources such as time, money, materials, and access to networks. In the interim stages, their commitment to coproduction, sponsorship, and engagement is vital.

Champions and ambassadors use their expertise and passion to drive coproduction efforts. In particular, "insider" champions can establish trust among participants and help service providers understand the importance of coproduction. These champions advocate for coproduction and actively support initiatives [ 28 , 29 , 30 , 31 ]. Ambassadors are individuals who have expertise and volunteer their time to train others or work with clients in coproduced services. They play a crucial role in the tasks of supporting and promoting coproduction [ 28 , 32 , 33 ].

Project leaders and facilitators are individuals who are responsible for guiding and supporting coproduction projects, thereby ensuring their smooth operation and collaborative nature. Project leaders are responsible for overall project management, including the setting of goals, objectives, and timelines. They play a pivotal role in ensuring that projects remain on track, and they facilitate accessible and transparent dialogue among stakeholders and ensure equal representation [ 34 , 35 ]. Facilitators focus on supporting the group involved in coproduction, maintaining respectful interactions, empowering service users and carers, and addressing any tensions that may arise during the collaborative process [ 36 , 37 ].

In summary, senior leaders sponsor and support coproduction. Champions and ambassadors are individuals who advocate for and support coproduction initiatives, while project leaders and facilitators are responsible for managing and guiding coproduction projects themselves, thereby ensuring effective collaboration among stakeholders. All of these roles can be played by people drawn from various backgrounds, including senior staff, health care professionals, experts in coproduction, researchers, citizens, or volunteers.

Three models of leadership in coproduction

These actors play different leadership roles, and leadership can be exercised by individuals or groups. Three leadership models have been proposed: leadership as enacted by individual leaders, coleadership and collective leadership.

Leadership by individual leaders

A leader-centric view has been the dominant interpretation of leadership in the field of coproduction. Many references were made to “senior leaders”. This term was used to describe formal representatives of organizations or services (senior managers, executives), formally appointed community leaders (policy-makers, local government leaders), or respected leaders of communities. Senior support was described as an important success factor in coproduction [ 37 , 38 , 39 , 40 , 41 , 42 , 43 , 44 , 45 ]. Other leadership roles included project leaders, facilitators, ambassadors, and champions – as described in the previous section.

Some papers referred to traits and characteristics exhibited by leaders that facilitate coproduction. These factors included innovativeness, personability, action orientation [ 46 ], courage [ 47 ], passion [ 32 , 46 ], and empathy [ 25 , 46 , 48 ]. “Strong leadership” was often mentioned, albeit without elaboration [ 49 , 50 , 51 , 52 , 53 , 54 , 55 ]. By implication, “strong leadership” appeared to include providing clear direction and guidance, having a clear vision [ 53 ], holding onto a vision [ 34 ], and keeping the vision alive for the team [ 43 ].

Other researchers noted a more collaborative and democratic leadership style that is characterized by listening, transparency, deliberation, and nurturing coproductive behaviours [ 27 , 30 , 48 ]. Senior leaders could use a “top-down” approach to promote user involvement. Alternatively, they could “learn to manage horizontally not top down; embrace ground up initiatives; [and] aim to empower partners” [ 32 , 45 , 51 ] and be “open to changes that would disturb traditional relationships and power disparities between service users and providers” [ 41 ]. Respondents to a survey of participants in a peer-led support network favoured a traditional directive model of leadership alongside a more facilitative and enabling style [ 56 ]. However, they found it challenging to transition to a more distributed and collective leadership approach.

Co-leadership

The terms “co-lead”, “co-leadership” and “dual leadership” refer to situations in which a formal leadership role is allocated to more than one person, in which context the relevant people may represent different institutions or different groups, e.g., different professional groups, researchers and service users/citizens, or teachers and students [ 28 , 31 , 40 , 41 , 57 , 58 ]. Coleads were defined as “individuals who led and made joint decisions” [ 59 ]. Some papers explored the leadership role of service users or community members in the coproduction of research related to health or wellbeing [ 35 , 60 , 61 ]. In these studies, areas of research were proposed by patients/community members, who then collaborated with academic researchers, thereby playing an equal or leading role. Coleadership was reported to result in shared learning.

Collective leadership

Few discernible differences among “ shared”, “distributed” and “collective” leadership were found in the papers included in this review. The approaches examined in this context were characterized by distributed roles and responsibilities in which different individuals’ skills and expertise were identified as best suited to the task at hand. Shared leadership depends on willingness on the part of leaders (implicitly non-community leaders) to be challenged and directed by community members rather than rigidly maintaining their previous conceptions of the issues and the appropriate means of addressing them [ 36 ].

Ward, De Brún, Beirne, Conway, Cunningham, English, Fitzsimons, Furlong, Kane and Kelly [ 62 ] referred to collective leadership as an emergent and dynamic team phenomenon. Other authors argued for a more structured approach to shared leadership [ 36 , 41 ] or distributed leadership [ 28 , 42 , 56 , 59 , 63 ]. Such an approach could involve allocating specific roles to service users, engaging them in a formal structure and/or enabling them to set an agenda [ 41 ], specifying shared roles and responsibilities [ 36 ], and/or providing dedicated support to lay “champions” in research studies [ 28 ]. Various benefits were attributed to collective leadership, such as empowering people to speak up [ 36 , 51 ] and feel engaged.

Nine practices associated with leading coproduction

We identified nine processes that encompass wide-ranging activities and interactions between individuals and groups with regard to leading the coproduction of health and wellbeing. As Farr noted, “Coproduction and codesign […] involves facilitating, managing and co-ordinating a complex set of psychological, social, cultural and institutional interactions” [ 64 ]. In some cases, these processes naturally align with certain actors—for instance, senior leaders play key roles in the tasks of initiating coproduction and implementing and sustaining its results—but other processes (championing coproduction, establishing trusting relationships, and ensuring good communication) are applicable to any and all participants in the coproduction process. Similarly, some of these practices occur at particular timepoints in a coproduction arc (namely, during the stages of initiation or implementation), while others can occur at any or all timepoints (i.e., during the assimilation stage or beyond). Deliberately considering the most suitable leadership model with regard to the aims and context of an initiative is useful at the start, but reflecting on the operation and appropriateness of the model is always salient.

Initiating coproduction

The initiation of coproduction entails recognizing the need for coproduction, dedicating resources, inviting and establishing relevant multi-stakeholder coproduction networks, and coproducing a vision and goals.

It has been argued that senior leaders act as gatekeepers for coproduction because they must recognize the need for it [ 45 ]. Senior leaders play a role in the task of determining the extent to which communities are given the opportunity to influence service design and integration [ 38 , 51 ]. Coproduction requires resources (principally time and money but also networks), which can be used to take advantage of other resources such as skills [ 29 , 31 , 34 , 40 ]. Senior leaders often control or provide access to such resources, which means that they are best positioned to initiate coproduction initiatives [ 41 , 65 ]. However, the findings of a cross-national study on the coproduction of policy showed that, in practice, senior leaders’ control over resources meant that they tended to define the means, methods and forms of participation [ 65 ].

In the task of establishing a conducive environment for coproduction, it is important to pay attention to which actors (organizations or individuals) are participating in the process [ 33 , 42 , 64 , 66 ] and to factors that may delimit those participants or their involvement [ 36 , 42 , 67 ]. Several papers emphasized the need to ensure that all stakeholders are involved from the outset [ 37 , 38 , 41 , 48 , 51 ]. In the initiation stages, a shared vision should be created [ 36 , 61 , 68 ], goals should be coproduced, and responsibilities should be clearly allocated [ 65 ]. Role clarity, ability, and motivation have been identified as determinants of coproductive behaviour, and leaders must implement arrangements to achieve these goals for coproducers [ 69 ].

Power sharing

It has been argued that coproduction leadership must attend to issues pertaining to power redistribution [ 60 , 61 , 63 , 64 ] and uphold the ideology of coproduction by promoting the values of democracy and transparency [ 30 , 32 , 70 , 71 , 72 , 73 , 74 ]. This process can occur at different levels.

At the macro system level, several cultural shifts have been implicated in the redistribution of power – a shift in current professional and stakeholder identities; more fluid, flattened and consensus-based ways of working; and a willingness to accommodate ‘messy’ issues [ 75 ]. The last of those issues was highlighted by Hopkins, Foster and Nikitin [ 29 , s 192], who suggested that coproduction requires service providers to “sit more easily with the unknown, to be comfortable in not having all the answers.” Similarly, “The challenge is that to be transformative, power must be shared with health service users. To do this entails building new relationships and fostering a new culture in health-care institutions that is supportive of participatory approaches” [ 42 , p 379].

At the meso level, several practices could be used to share power. Greenhalgh, Jackson, Shaw and Janamian [ 30 ] identified the importance of equitable decision-making practices and “evenly distributed power constellations.” This goal can be achieved, for instance, by ensuring that service users represent a majority on the project management committee or in codesign events with the goal of challenging dominant professional structures and discourses [ 37 ]. Other scholars called for clear roles and responsibilities [ 38 , 59 , 65 ]. Mulvale, Moll, Miatello, Robert, Larkin, Palmer, Powell, Gable and Girling [ 36 ] recommended the establishment of shared roles and responsibilities, the creation of a representative expert panel to resolve stalemates, and possibly the implementation of formal agreements regarding data and reporting. Importantly, however, Greenhalgh, Jackson, Shaw and Janamian [ 30 ] noted that governance structures and processes alone do not automatically overcome the subtle and inconspicuous uses of power. Farr [ 64 ] recommended the constant practice of critical reflection and dialogue and posed several questions for participants to consider: who is involved, what the interactions are like, how coproduction efforts are implemented within and across structures, and what changes are made.

Although sharing power has been described as an essential component in coproduction, the involvement of stakeholders does not necessarily entail empowerment [ 47 ], and case studies have demonstrated that service improvement initiatives that involve citizens or service users can be instrumental and effective with regard to improving services without enhancing or sharing power or political consciousness if stakeholders are invited but power is not shared [ 32 ]. Farr [ 64 ] noted that rather than coproduction being inherently emancipatory, coproduction and codesign processes can have either dominating or emancipatory effects [ 33 ], and the exclusion of vulnerable groups from coproduction has the potential to reinforce existing inequities [ 75 ].

Training and development for emerging leadership

The importance of appropriate training and mutual learning was noted in several papers [ 36 , 42 , 48 , 63 , 69 , 76 , 77 ]. Implicitly, training for professionals was framed in terms of training in the process of sharing power with service users or facilitating collaboration, whereas training for service users was framed as capacity-building in terms of collaboration and/or leadership. In one case study focusing on coproduced research, participants rejected the notion of “training” from academic researchers with the aim of avoiding suggesting that a certain level of “expertise” needed to be transferred [ 60 ].

Playing a leadership role can be empowering [ 51 , 71 ], but for some individuals, it can be overwhelming [ 71 ]. Leading coproduction requires practice and the development of skills and capacities [ 26 , 48 ]. In some initiatives, lay partners were initially involved in limited roles and gradually took on more responsible leadership tasks over time [ 28 , 42 , 78 ]. In addition, community members’ level of involvement was flexible—they could be participants or take on additional roles as volunteers, paid staff members or directors of organizations. This flexibility offered participants the opportunity to "begin sharing, as opposed to shouldering, the burden of involvement” [ 71 ].

The provision of support

Support is necessary throughout the coproduction process from its outset to the stages of implementation and sustainment [ 25 , 34 , 68 ]. Key dimensions of support include facilitating, advocating for, and championing coproduction. Project management is instrumental to the smooth operation and facilitation of coproduction [ 34 , 35 , 37 , 44 ]. Several facilitation activities are conducted by project leaders and facilitators [ 41 , 42 , 59 , 61 , 78 ]. These activities include holding onto a vision and keeping it alive for the team, ensuring that the project remains on track, and helping maintain momentum. In one codesign case study, facilitators helped people focus on quick wins with the goal of maintaining motivation and engagement; they "needed to support movement from inaction to action, by sifting through group ideas to fix a plan" [ 34 ]. Although these authors acknowledged that this approach may have limited coproduction, they argued that such initiatives would not be sustainable if they were perceived to be “unfeasible.”

Another key function entails advocating for and championing coproduction initiatives to ensure that the process remains ongoing [ 25 , 28 , 29 , 30 , 31 , 32 , 37 , 41 , 74 , 79 ]. Senior leaders play an important role in the task of championing coproduction, and their support has often been described as an important success factor [ 34 , 38 , 39 , 43 , 80 ]. However, effective champions could equally include health care professionals [ 37 ], experts in coproduction [ 51 ], researchers [ 35 , 60 , 61 ], volunteers [ 51 ] or other citizens [ 41 , 61 ]. Champions with lived experience can gain the confidence of their peers and help create understanding among service providers [ 28 , 36 ].

Establishing trusting relationships

Coproduction is essentially relational and requires concerted efforts to establish trusting relationships and a sense of commitment. The importance of trust among stakeholders in coproduction has been noted in several papers [ 28 , 30 , 36 , 37 , 38 , 46 , 48 , 64 , 74 , 81 , 82 ]. In the field of health research, it is difficult to secure funding for the process of establishing relationships and working in the context of partnerships during the early stages of development [ 25 ]. It can therefore be helpful to base recruitment for coproduction initiatives on pre-existing trusting relationships [ 36 ]. If such pre-existing trusting relationships do not exist, policy-makers and senior leaders play a role in the creation of frameworks that can facilitate the development of trust both among organizations and between organizations and citizens, such as political and bureaucratic commitment on the part of regional and local governments and the engagement of actors who play a “boundary-spanning” role in the relationships between service providers, non-government organizations and communities [ 38 ]. Trust is established based on clear responsibilities [ 38 ] and adherence to the principles of engagement in coproduction. In addition to these frameworks, individual leaders must develop trust through interactions with coproducers, using collaborative skills such as those pertaining to communication and listening [ 48 ]. In one case study, through the frank sharing of the organizational, financial, and governance challenges and opportunities faced by stakeholders, people reached a growing understanding and appreciation of each other’s positions, which engendered trust [ 30 ]. Mulvale, Moll, Miatello, Robert, Larkin, Palmer, Powell, Gable [ 36 ] highlighted the importance of understanding and responding to participants’ histories, contexts, and cultural differences.

Commitment can be viewed as more important than resources [ 59 ]. The commitment to and engagement in coproduction exhibited by an organization’s senior leaders demonstrate organizational commitment and lend credibility to coproduction initiatives [ 25 , 34 , 38 , 41 , 47 , 59 , 80 , 83 ]. On some occasions, coproduction initiatives are reported to senior leaders, while on other occasions, the senior leaders were part of the coproduction team. Senior leaders who adopt a more hands-on approach serve as role models [ 25 ], advocating for patient engagement and engendering commitment on the part of staff and patients [ 28 ]. In public health initiatives, buy-in from community leaders confers legitimacy on innovations, helps ensure community trust [ 61 , 78 ], increases the engagement of community members [ 78 ] and is key to a project’s success [ 83 ].

Communication

Communication is a key activity in coproduction, and leaders must establish an environment that is conducive to “epistemological tolerance” [ 47 ], such that different perspectives are valued and appreciated. Such environments facilitate dialogue among partners [ 28 , 30 , 35 , 51 ] and allow critical voices to be heard [ 42 ] . Open dialogue among stakeholders is a starting point for the task of identifying the sources of assumptions and stereotypes, which is itself a prerequisite for change in attitudes and practice [ 28 ]. Project leaders must also facilitate accessible and transparent dialogue and ensure the equal representation of all stakeholders, including those who are less able to communicate verbally [ 57 , 71 ]. Professional leaders are responsible for critically reviewing their professional norms, organizational/institutional processes and past and present policies and practices [ 55 , 75 ].

Dealing with multiple stakeholders, which is inevitably required in coproduction, requires addressing multiple perspectives in an attempt to bring them together. This task frequently involves a degree of conflict and peace negotiation [ 30 , 34 , 41 , 48 , 61 , 64 ]. Leaders should be alert to conflict and power dynamics [ 34 , 36 ]. It may be necessary for meeting chairs to encourage participants to move on from their familiar, entrenched positions to avoid descending into circular arguments and stalemates (Chisholm et al. 2018). This task could require the injection of a critical voice, as Greenhalgh explained:

“Meeting chairs were selected for their leadership qualities, ability to identify and rise above “groupthink” (bland consensus was explicitly discouraged), and commitment to ensuring that potential challenges to new ideas were identified and vigorously discussed. They set an important ethos of constructive criticism and creative innovation, with the patient experience as the central focus. They recognized that if properly handled, conflict was not merely healthy and constructive, but an essential process in achieving successful change in a complex adaptive system. ” [ 30 ]

Leaders must acknowledge the facts that discomfort can arise when more equitable relationships are established [ 61 ] and that challenges to professional identity [ 84 ] and the loss of control [ 72 ] are factors in this process.

Networking refers to the practice of establishing and maintaining relationships with various stakeholders both within and outside the coproduction initiative. Since coproduction involves working with different stakeholders in networks, several papers have discussed the vital mediating processes associated with this context.

“Bridging, brokering and boundary spanning roles have a key role in cross fertilization of ideas between groups, for generating new ideas and for increasing understanding and cooperation” [ 32 , 53 ].

In policy-making, it is helpful to develop coordination structures and processes such as cross-sector working groups and committees, intersector communication channels [ 65 ], and relationship and dialogue structures [ 42 ]. Community representatives can play a mediating role between individuals and public organizations and may alleviate professionals’ concerns regarding the transaction costs of coproduction in the planning and management of services [ 26 , 81 ]. However, these representatives may or may not use this power to amplify the voices of individual coproducers [ 81 ].

An important role of project leaders is that of the “broker” [ 32 , 85 ], who focuses on mediating among different stakeholders in an attempt to align their perspectives [ 26 ,  37 ,  72 , 86 ]. Another role focuses on spanning the boundaries across sites [ 50 ], between local service providers [ 68 ], or among local services, non-government organizations and the community [ 38 ]. Bovaird, drawing on a number of cases of coproduction, came to the following conclusion:

“ there is a need for a new type of public service professional: the coproduction development officer, who can help to overcome the reluctance of many professionals to share power with users and their communities and who can act internally in organizations (and partnerships) to broker new roles for coproduction between traditional service professionals, service managers, and the political decision-makers who shape the strategic direction of the service system.” [ 81 ]

Orchestration

This practice involves reflecting on and improving coproduction itself. It includes activities such as evaluating the effectiveness of coproduction efforts, assessing the impact of coproduction on outcomes, and making adjustments to improve the coproduction process. Several papers have addressed the roles of local government or public managers or health professionals in overseeing and (as we refer to this process) ‘orchestrating’ the networks involved in coproduction at the community or local government level [ 30 , 33 , 65 , 74 , 87 ]. Orchestration involves recruiting the appropriate actors as noted above as well as directing and coordinating activities, thereby ensuring that the whole is more than the sum of its parts. As part of their orchestration work, leaders play a role in the task of managing risk in service innovation [ 55 , 87 ] and must commit to self-reflexivity and a critical review of norms, policies and practices to alert themselves to any unintended negative consequences and strive to counteract them [ 55 ]. Sturmberg, Martin and O’Halloran [ 88 ] used the metaphor of ‘conducting’ to describe the function of leadership in health care – i.e., leading the orchestra through inspiration and empowerment rather than control, leading to the provision of feedback as the performance unfolds.

From a public service perspective, Powers and Thompson [ 69 ] argued that coproduction requires the leader (“usually a public official”) to mobilize the community on behalf of the public good, organize the provision of the good, create incentives, and supervise the enforcement of community norms. Sancino [ 74 ] argued that local governments play a ‘meta-coproduction role’ that requires them to maximize the coproduction and peer-production of community outcomes by taking into account community contributions and deciding which services should be commissioned or decommissioned (a point that was also made by Wilson [ 87 ]) and to promote coproduction and peer-production in such a way as to promote the coproduction of outcomes that have been decided through a democratic process. In this way, he argued,

"the local government becomes the pivot of different kinds of relationships and networks made up of different actors who collectively assume the responsibility for implementing an overall strategic plan of the community beyond their specific roles and interests." [ 74 ]

Sancino [ 74 ] attempted to draw out the leadership implications of this situation, arguing that rather than focusing on service delivery, public managers must create appropriate conditions for such meta-coproduction. This task entails a directing role based on framing shared scenarios for change in the community through sense-making; an activator role based on activating, mobilizing and consolidating the social capital of the community to promote diffused public leadership; a convenor role based on serving as a meta-manager in the process of self-organizing the knowledge, resources and competencies pertaining to the community in question; and an empowering role based on creating conditions in which peer production and coproduction can be combined to create the corresponding added value (i.e., higher levels of community outcomes) [ 74 ]. This practice essentially focuses on self-assessment and continuous improvement within the coproduction framework.

Implementation

It has been argued that coproduction in services [ 30 , 79 ] or policy-making [ 65 ] may improve implementation. The role of leadership in supporting the implementation of the outcomes of coproduction is essential [ 37 , 41 , 49 , 52 , 64 , 65 , 85 , 86 ]. Leaders can argue for the legitimacy of coproduced innovations [ 89 ] and implement mechanisms aimed at acting on the issues thus raised and continuing to promote patients’ involvement [ 28 , 41 ]. Implementing the outcomes of coproduction relies on outcome-focused leadership [ 30 ]. The results of coproduction initiatives must be transformed into strategic plans and policies [ 41 ], and patient perspectives must be translated into actionable quality improvement initiatives [ 49 ]. Conversely, implementation can be blocked by leaders who fail to respond to the results of coproduction initiatives or who implement policies or procedures that are poorly aligned with the recommendations arising from coproduction [ 30 , 41 ]. It should also be acknowledged that not all demands thus generated can always be met [ 61 ]. Failures of implementation run the risk of stakeholder disillusionment; thus, the management of expectations is important.

A framework for coproduction leadership

When coproduction is initiated, it is possible to consider the actors involved and to imagine various forms of coproduction. In the design process, it is possible to make a deliberate choice with regard to the most appropriate model of leadership, and depending on the leadership model selected (leader-centric, coleadership, or collective leadership), different leadership practices emerge. The nine leadership practices identified can be enacted by different people and in different ways. The leadership of coproduction that thus emerges is shaped by issues such as the model of coproduction, the stakeholders involved, participants’ motivations and the context of coproduction. A main concern lies in the need to design project structures and work practices that are aligned and that enable leadership to emerge. We thus created a table (Table  1 ) that illustrates potential reflective questions in this context.

This discussion highlights and problematizes the two main findings of this systematic review, namely, the need to deliberately consider underlying models of leadership and the complex character of leading coproduction.

The need for the deliberate use of leadership in the plural

A focus on leader-centric approaches and the quality of leaders has characterized public leadership research [ 90 ]. Such a focus is echoed in our findings on coproduction leadership, first with regard to the prominence of senior leaders and, to a lesser extent, facilitators. Politicians were rarely identified in the papers included in our review despite representing some of the main actors identified in a previous review [ 4 , 91 ]. Second, many papers referenced the need for “strong” leaders, and the skills and behaviours of individual leaders were noted. As other researchers have found, despite the focus of this field on relationships and interactions, its emphasis has frequently remained on the individual leader and their ability to engage and inspire followers [ 13 ]. Furthermore, even in papers that emphasized ‘coleadership’ or ‘collective leadership,’ the focus remained on public managers, service managers and facilitators. Very little evidence has been reported concerning individual service users’ or citizens’ leadership of (as distinct from involvement in ) coproduction. Although the involvement of community leaders was reported to play a role in project success, no articles explored this issue.

However, some important exceptions should be noted. For example, some studies exhibited a preference for mixed models, employing both a directive approach (particularly in the beginning) and a more facilitative and distributed leadership approach [ 56 ]. Rycroft-Malone, Burton, Wilkinson, Harvey, McCormack, Baker, Dopson, Graham, Staniszewska and Thompson [ 53 ] concluded that consideration should be given to models that combine hierarchical, directive structures with distributed facilitative forms of leadership.

One explanation for this rather narrow view of leadership is that despite the rapidly increasing number of publications in the general field of coproduction [ 7 , 18 ], empirical studies have still lacked depth with regard to investigations of the leadership of this process. Most empirical studies included in this review mentioned leadership only in passing or derived some conclusions regarding leadership from case studies focusing on other aspects of the coproduction process.

Another explanation for this situation is that although coproduction focuses on partnership, in most cases, senior leaders have control over resources and the power to define the means, methods, extent and forms of participation [ 65 ]. Even shared leadership models seem to rely on traditional leaders’ willingness to share power [ 10 ], as leaders are the actors who invite, facilitate, and support the participation of coleaders. However, some signs of change towards a broader view should be noted. Recent publications have theorized the leadership of coproduction and included case studies that have demonstrated leadership to be a social, collective and relational phenomenon that emerges as a property of interactions among individuals in given contexts [ 13 , 19 ].

The complexity of coproduction leadership practices

Our findings indicate that the leadership of coproduction practices entails challenging and complex tasks. Complexity emerges in cases in which many parts are interrelated in multiple ways. Different kinds of leadership activities may be necessary depending on the stakeholders involved [ 92 ], the context [ 13 ], and the mode, level, and phase of coproduction [ 93 ]. A complexity perspective based on systems thinking is therefore useful [ 13 , 19 ]. All actors involved in coproduction are potential leaders, but for that potential to be realized, the coproduction initiative and its leadership must be framed and comprehended in a more plural way. A recent study on systems thinking and complex adaptive thinking as means of initiating coproduction advocated a collective leadership approach [ 19 ].

Our findings highlight the need for a complex way of making meaning of leadership throughout the coproduction process, such as the ability to be flexible due to circumstances and employ both strong leadership and more facilitative approaches when necessary. Leaders must also promote the values of democracy, transparency and the redistribution of power among stakeholders throughout the process [ 64 , 94 ]. These practices and tasks are complex, which must be matched by an inner mental complexity [ 95 , 96 ]. Several practices identified in this research, such as genuinely valuing diverse perspectives, promoting mutual transformative power sharing and welcoming conflicts, require a complex mode of meaning-making that results from psychological development. These issues warrant further exploration. Future studies featuring a thoughtful choice of leadership and complexity models as well as a broader methodological repertoire are thus necessary (see Table  2 for an overview).

Methodological strengths and limitations

A strength of this review lies in its integration of research on the sparse and overlooked issue of leadership in coproduction. Our search strategy, which involved using the key words manag* and lead*, may have excluded some relevant papers. To verify that this approach did not represent an excessively blunt exclusion criterion, we checked 10% of the articles that were excluded based on this criterion. All of these articles would also have been excluded for failing to include any exploration of the management or leadership of coproduction. We therefore determined that this exclusion criterion was justifiable. Many papers did not have an explicit focus on leadership; however, by synthesizing the data, all data were treated as reflections that jointly created a larger pattern, similar to a kaleidoscope. The exclusion of non-peer-reviewed papers is likely to have led to the exclusion of coproduced outputs, which may have offered important insights into the leadership of coproduction, particularly with regard to the experiences of service users and citizens playing leadership roles. In the reporting of this review, the PRISMA guidelines were followed (Additional file 2 ). It should be noted that the lack of reporting bias assessment and certainty assessment represents a limitation of this study.

Future research

Future research (see Table  2 ) should focus on under-represented roles, such as those of politicians and community leaders, and explore emerging collective leadership models based on real-time observational studies. It should also investigate the balance between strong and shared leadership by using qualitative and participatory research methods. Incorporating systems thinking and relevant leadership models can offer new perspectives on collective leadership practices.

Practical implications

This paper explored coproduction leadership practices and revealed that they require a deliberate and plural understanding of leadership roles and tasks. We proposed a framework for coproduction leadership that takes into account the actors involved, the models of leadership, and the leadership practices that emerge in different contexts and during different phases of coproduction. We also provided a set of reflective considerations that can help all actors involved in this process make more deliberate choices regarding the parties involved, leadership models of coproduction, and practices (Table  1 ).

Our systematic review revealed some gaps in the literature on coproduction leadership, such as the lack of attention to the mental complexity of coproduction leaders, the under-representation of service users and citizens as leaders, and the need for more empirical studies that use appropriate models and methods to capture the complexity of coproduction leadership. We suggest that future research should address these gaps, thus contributing to the advancement of coproduction theory and practice.

Our framework also has some practical implications for coproduction leaders and participants. At the start of coproduction process, all people, particularly leaders, must learn more about different models of leadership and how power is shared. Throughout this process, flexibility is necessary because leadership constellations change over time; they emerge and fade away, thus implying different underlying leadership models. A multitude of practices must be implemented throughout the coproduction process. People in leader roles must be aware of their personal strengths and limitations, not only with the goal of sharing leadership but also with the aim of establishing partnerships with others who have competence in certain practices, such as facilitation or addressing conflicts. Reflecting upon the guiding questions can also help illustrate the extent to which power and leadership are being shared. In conclusion, to create more equal power relations over time, we must challenge our current practices and work deliberately to enhance the capacity of individuals and groups to effectively engage in coproduction leadership.

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Acknowledgements

The authors wish to thank Forte, the Swedish Research Council for Health, Working Life and Welfare. In particular, we would like to thank Mary McCall for valuable help.

Open access funding provided by Jönköping University. The study of Samskapa, a coproduction research programme, received funding from Forte, the Swedish Research Council for Health, Working Life and Welfare, under grant agreement no. 2018–01431.

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SK and SS performed the data extraction, qualitative synthesis and drafted the manuscript and Table 1 . SK finalized the manuscript. D.M. screened the data from a previous scoping review, provided the search strategy (Additional file 1 : Appendix 1) and constructed the Prisma flowchart. SS compiled sample description in Additional file 2 : Appendix 2. All authors reviewed and approved the manuscript and agreed to be accountable for all aspects of the work.

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Additional file 2: Appendix 2. 

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Kjellström, S., Sarre, S. & Masterson, D. The complexity of leadership in coproduction practices: a guiding framework based on a systematic literature review. BMC Health Serv Res 24 , 219 (2024). https://doi.org/10.1186/s12913-024-10549-4

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  • http://orcid.org/0000-0003-4808-3880 Andrew Booth 1 , 2 ,
  • Isolde Sommer 3 , 4 ,
  • Jane Noyes 2 , 5 ,
  • Catherine Houghton 2 , 6 ,
  • Fiona Campbell 1 , 7
  • The Cochrane Rapid Reviews Methods Group and Cochrane Qualitative and Implementation Methods Group (CQIMG)
  • 1 EnSyGN Sheffield Evidence Synthesis Group , University of Sheffield , Sheffield , UK
  • 2 Cochrane Qualitative and Implementation Methods Group (CQIMG) , London , UK
  • 3 Department for Evidence-based Medicine and Evaluation , University for Continuing Education Krems , Krems , Austria
  • 4 Cochrane Rapid Reviews Group & Cochrane Austria , Krems , Austria
  • 5 Bangor University , Bangor , UK
  • 6 University of Galway , Galway , Ireland
  • 7 University of Newcastle upon Tyne , Newcastle upon Tyne , UK
  • Correspondence to Professor Andrew Booth, Univ Sheffield, Sheffield, UK; a.booth{at}sheffield.ac.uk

This paper forms part of a series of methodological guidance from the Cochrane Rapid Reviews Methods Group and addresses rapid qualitative evidence syntheses (QESs), which use modified systematic, transparent and reproducible methodsu to accelerate the synthesis of qualitative evidence when faced with resource constraints. This guidance covers the review process as it relates to synthesis of qualitative research. ‘Rapid’ or ‘resource-constrained’ QES require use of templates and targeted knowledge user involvement. Clear definition of perspectives and decisions on indirect evidence, sampling and use of existing QES help in targeting eligibility criteria. Involvement of an information specialist, especially in prioritising databases, targeting grey literature and planning supplemental searches, can prove invaluable. Use of templates and frameworks in study selection and data extraction can be accompanied by quality assurance procedures targeting areas of likely weakness. Current Cochrane guidance informs selection of tools for quality assessment and of synthesis method. Thematic and framework synthesis facilitate efficient synthesis of large numbers of studies or plentiful data. Finally, judicious use of Grading of Recommendations Assessment, Development and Evaluation approach for assessing the Confidence of Evidence from Reviews of Qualitative research assessments and of software as appropriate help to achieve a timely and useful review product.

  • Systematic Reviews as Topic
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https://doi.org/10.1136/bmjebm-2023-112620

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WHAT IS ALREADY KNOWN ON THIS TOPIC

Rapid Qualitative Evidence Synthesis (QES) is a relatively recent innovation in evidence synthesis and few published examples currently exists.

Guidance for authoring a rapid QES is scattered and requires compilation and summary.

WHAT THIS STUDY ADDS

This paper represents the first attempt to compile current guidance, illustrated by the experience of several international review teams.

We identify features of rapid QES methods that could be accelerated or abbreviated and where methods resemble those for conventional QESs.

HOW THIS STUDY MIGHT AFFECT RESEARCH, PRACTICE OR POLICY

This paper offers guidance for researchers when conducting a rapid QES and informs commissioners of research and policy-makers what to expect when commissioning such a review.

Introduction

This paper forms part of a series from the Cochrane Rapid Reviews Methods Group providing methodological guidance for rapid reviews. While other papers in the series 1–4 focus on generic considerations, we aim to provide in-depth recommendations specific to a resource-constrained (or rapid) qualitative evidence synthesis (rQES). 5 This paper is accompanied by recommended resources ( online supplemental appendix A ) and an elaboration with practical considerations ( online supplemental appendix B ).

Supplemental material

The role of qualitative evidence in decision-making is increasingly recognised. 6 This, in turn, has led to appreciation of the value of qualitative evidence syntheses (QESs) that summarise findings across multiple contexts. 7 Recognition of the need for such syntheses to be available at the time most useful to decision-making has, in turn, driven demand for rapid qualitative evidence syntheses. 8 The breadth of potential rQES mirrors the versatility of QES in general (from focused questions to broad overviews) and outputs range from descriptive thematic maps through to theory-informed syntheses (see table 1 ).

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As with other resource-constrained reviews, no one size fits all. A team should start by specifying the phenomenon of interest, the review question, 9 the perspectives to be included 9 and the sample to be determined and selected. 10 Subsequently, the team must finalise the appropriate choice of synthesis. 11 Above all, the review team should consider the intended knowledge users, 3 including requirements of the funder.

An rQES team, in particular, cannot afford any extra time or resource requirements that might arise from either a misunderstanding of the review question, an unclear picture of user requirements or an inappropriate choice of methods. The team seeks to align the review question and the requirements of the knowledge user with available time and resources. They also need to ensure that the choice of data and choice of synthesis are appropriate to the intended ‘knowledge claims’ (epistemology) made by the rQES. 11 This involves the team asking ‘what types of data are meaningful for this review question?’, ‘what types of data are trustworthy?’ and ‘is the favoured synthesis method appropriate for this type of data?’. 12 This paper aims to help rQES teams to choose methods that best fit their project while understanding the limitations of those choices. Our recommendations derive from current QES guidance, 5 evidence on modified QES methods, 8 13 and practical experience. 14 15

This paper presents an overview of considerations and recommendations as described in table 2 . Supplemental materials including additional resources details of our recommendations and practical examples are provided in online supplemental appendices A and B .

Recommendations for resource-constrained qualitative evidence synthesis (rQES)

Setting the review question and topic refinement

Rapid reviews summarise information from multiple research studies to produce evidence for ‘the public, researchers, policymakers and funders in a systematic, resource-efficient manner’. 16 Involvement of knowledge users is critical. 3 Given time constraints, individual knowledge users could be asked only to feedback on very specific decisions and tasks or on selective sections of the protocol. Specifically, whenever a QES is abbreviated or accelerated, a team should ensure that the review question is agreed by a minimum number of knowledge users with expertise or experience that reflects all the important review perspectives and with authority to approve the final version 2 5 11 ( table 2 , item R1).

Involvement of topic experts can ensure that the rQES is responsive to need. 14 17 One Cochrane rQES saved considerable time by agreeing the review topic within a single meeting and one-phase iteration. 9 Decisions on topics to be omitted are also informed by a knowledge of existing QESs. 17

An information specialist can help to manage the quantity and quality of available evidence by setting conceptual boundaries and logistic limits. A structured question format, such as Setting-Perspective-Interest, phenomenon of-Comparison-Evaluation or Population-Interest, phenomenon of-Context helps in communicating the scope and, subsequently, in operationalising study selection. 9 18

Scoping (of review parameters) and mapping (of key types of evidence and likely richness of data) helps when planning the review. 5 19 The option to choose purposive sampling over comprehensive sampling approaches, as offered by standard QES, may be particularly helpful in the context of a rapid QES. 8 Once a team knows the approximate number and distribution of studies, perhaps mapping them against country, age, ethnicity, etc), they can decide whether or not to use purposive sampling. 12 An rQES for the WHO combined purposive with variation sampling. Sampling in two stages started by reducing the initial number of studies to a more manageable sampling frame and then sampling approximately a third of the remaining studies from within the sampling frame. 20

Sampling may target richer studies and/or privilege diversity. 8 21 A rich qualitative study typically illustrates findings with verbatim extracts from transcripts from interviews or textual responses from questionnaires. Rich studies are often found in specialist qualitative research or social science journals. In contrast, less rich studies may itemise themes with an occasional indicative text extract and tend to summarise findings. In clinical or biomedical journals less rich findings may be placed within a single table or box.

No rule exists on an optimal number of studies; too many studies makes it challenging to ‘maintain insight’, 22 too few does not sustain rigorous analysis. 23 Guidance on sampling is available from the forthcoming Cochrane-Campbell QES Handbook.

A review team can use templates to fast-track writing of a protocol. The protocol should always be publicly available ( table 2 , item R2). 24 25 Formal registration may require that the team has not commenced data extraction but should be considered if it does not compromise the rQES timeframe. Time pressures may require that methods are left suitably flexible to allow well-justified changes to be made as a detailed picture of the studies and data emerge. 26 The first Cochrane rQES drew heavily on text from a joint protocol/review template previously produced within Cochrane. 24

Setting eligibility criteria

An rQES team may need to limit the number of perspectives, focusing on those most important for decision-making 5 9 27 ( table 2 , item R3). Beyond the patients/clients each additional perspective (eg, family members, health professionals, other professionals, etc) multiplies the additional effort involved.

A rapid QES may require strict date and setting restrictions 17 and language restrictions that accommodate the specific requirements of the review. Specifically, the team should consider whether changes in context over time or substantive differences between geographical regions could be used to justify a narrower date range or a limited coverage of countries and/or languages. The team should also decide if ‘indirect evidence’ is to substitute for the absence of direct evidence. An rQES typically focuses on direct evidence, except when only indirect evidence is available 28 ( table 2 , item R4). Decisions on relevance are challenging—precautions for swine influenza may inform precautions for bird influenza. 28 A smoking ban may operate similarly to seat belt legislation, etc. A review team should identify where such shared mechanisms might operate. 28 An rQES team must also decide whether to use frameworks or models to focus the review. Theories may be unearthed within the topic search or be already known to team members, fro example, Theory of Planned Behaviour. 29

Options for managing the quantity and quality of studies and data emerge during the scoping (see above). In summary, the review team should consider privileging rich qualitative studies 2 ; consider a stepwise approach to inclusion of qualitative data and explore the possibility of sampling ( table 2 , item R5). For example, where data is plentiful an rQES may be limited to qualitative research and/or to mixed methods studies. Where data is less plentiful then surveys or other qualitative data sources may need to be included. Where plentiful reviews already exist, a team may decide to conduct a review of reviews 5 by including multiple QES within a mega-synthesis 28 29 ( table 2 , item R6).

Searching for QES merits its own guidance, 21–23 30 this section reinforces important considerations from guidance specific to qualitative research. Generic guidance for rapid reviews in this series broadly applies to rapid QESs. 1

In addition to journal articles, by far the most plentiful source, qualitative research is found in book chapters, theses and in published and unpublished reports. 21 Searches to support an rQES can (a) limit the number of databases searched, deliberately selecting databases from diverse disciplines, (b) use abbreviated study filters to retrieve qualitative designs and (c) employ high yield complementary methods (eg, reference checking, citation searching and Related Articles features). An information specialist (eg, librarian) should be involved in prioritising sources and search methods ( table 2 , item R7). 11 14

According to empirical evidence optimal database combinations include Scopus plus CINAHL or Scopus plus ProQuest Dissertations and Theses Global (two-database combinations) and Scopus plus CINAHL plus ProQuest Dissertations and Theses Global (three-database combination) with both choices retrieving between 89% and 92% of relevant studies. 30

If resources allow, searches should include one or two specialised databases ( table 2 , item R8) from different disciplines or contexts 21 (eg, social science databases, specialist discipline databases or regional or institutional repositories). Even when resources are limited, the information specialist should factor in time for peer review of at least one search strategy ( table 2 , item R9). 31 Searches for ‘grey literature’ should selectively target appropriate types of grey literature (such as theses or process evaluations) and supplemental searches, including citation chaining or Related Articles features ( table 2 , item R10). 32 The first Cochrane rQES reported that searching reference lists of key papers yielded an extra 30 candidate papers for review. However, the team documented exclusion of grey literature as a limitation of their review. 15

Study selection

Consistency in study selection is achieved by using templates, by gaining a shared team understanding of the audience and purpose, and by ongoing communication within, and beyond, the team. 2 33 Individuals may work in parallel on the same task, as in the first Cochrane rQES, or follow a ‘segmented’ approach where each reviewer is allocated a different task. 14 The use of machine learning in the specific context of rQES remains experimental. However, the possibility of developing qualitative study classifiers comparable to those for randomised controlled trials offers an achievable aspiration. 34

Title and abstract screening

The entire screening team should use pre-prepared, pretested title and abstract templates to limit the scale of piloting, calibration and testing ( table 2 , item R11). 1 14 The first Cochrane rQES team double-screened titles and abstracts within Covidence review software. 14 Disagreements were resolved with reference to a third reviewer achieving a shared understanding of the eligibility criteria and enhancing familiarity with target studies and insight from data. 14 The team should target and prioritise identified risks of either over-zealous inclusion or over-exclusion specific to each rQES ( table 2 , item R12). 14 The team should maximise opportunities to capture divergent views and perspectives within study findings. 35

Full-text screening

Full-text screening similarly benefits from using a pre-prepared pretested standardised template where possible 1 14 ( table 2 , item R11). If a single reviewer undertakes full-text screening, 8 the team should identify likely risks to trustworthiness of findings and focus quality control procedures (eg, use of additional reviewers and percentages for double screening) on specific threats 14 ( table 2 , item R13). The Cochrane rQES team opted for double screening to assist their immersion within the topic. 14

Data extraction

Data extraction of descriptive/contextual data may be facilitated by review management software (eg, EPPI-Reviewer) or home-made approaches using Google Forms, or other survey software. 36 Where extraction of qualitative findings requires line-by-line coding with multiple iterations of the data then a qualitative data management analysis package, such as QSR NVivo, reaps dividends. 36 The team must decide if, collectively, they favour extracting data to a template or coding direct within an electronic version of an article.

Quality control must be fit for purpose but not excessive. Published examples typically use a single reviewer for data extraction 8 with use of two independent reviewers being the exception. The team could limit data extraction to minimal essential items. They may also consider re-using descriptive details and findings previously extracted within previous well-conducted QES ( table 2 , item R14). A pre-existing framework, where readily identified, may help to structure the data extraction template. 15 37 The same framework may be used to present the findings. Some organisations may specify a preferred framework, such as an evidence-to-decision-making framework. 38

Assessment of methodological limitations

The QES community assess ‘methodological limitations’ rather than use ‘risk of bias’ terminology. An rQES team should pick an approach appropriate to their specific review. For example, a thematic map may not require assessment of individual studies—a brief statement of the generic limitations of the set of studies may be sufficient. However, for any synthesis that underpins practice recommendations 39 assessment of included studies is integral to the credibility of findings. In any decision-making context that involves recommendations or guidelines, an assessment of methodological limitations is mandatory. 40 41

Each review team should work with knowledge users to determine a review-specific approach to quality assessment. 27 While ‘traffic lights’, similar to the outputs from the Cochrane Risk of Bias tool, may facilitate rapid interpretation, accompanying textual notes are invaluable in highlighting specific areas for concern. In particular, the rQES team should demonstrate that they are aware (a) that research designs for qualitative research seek to elicit divergent views, rather than control for variation; (b) that, for qualitative research, the selection of the sample is far more informative than the size of the sample; and (c) that researchers from primary research, and equally reviewers for the qualitative synthesis, need to be thoughtful and reflexive about their possible influences on interpretation of either the primary data or the synthesised findings.

Selection of checklist

Numerous scales and checklists exist for assessing the quality of qualitative studies. In the absence of validated risk of bias tools for qualitative studies, the team should choose a tool according to Cochrane Qualitative and Implementation Methods Group (CQIMG) guidance together with expediency (according to ease of use, prior familiarity, etc) ( table 2 , item R15). 41 In comparison to the Critical Appraisal Skills Programme checklist which was never designed for use in synthesis, 42 the Cochrane qualitative tool is similarly easy to use and was designed for QES use. Work is underway to identify an assessment process that is compatible with QESs that support decision-making. 41 For now the choice of a checklist remains determined by interim Cochrane guidance and, beyond this, by personal preference and experience. For an rQES a team could use a single reviewer to assess methodological limitations, with verification of judgements (and support statements) by a second reviewer ( table 2 , item R16).

The CQIMG endorses three types of synthesis; thematic synthesis, framework synthesis and meta-ethnography ( box 1 ). 43 44 Rapid QES favour descriptive thematic synthesis 45 or framework synthesis, 46 47 except when theory generation (meta-ethnography 48 49 or analytical thematic synthesis) is a priority ( table 2 , item R17).

Choosing a method for rapid qualitative synthesis

Thematic synthesis: first choice method for rQES. 45 For example, in their rapid QES Crooks and colleagues 44 used a thematic synthesis to understand the experiences of both academic and lived experience coresearchers within palliative and end of life research. 45

Framework synthesis: alternative where a suitable framework can be speedily identified. 46 For example, Bright and colleagues 46 considered ‘best-fit framework synthesis’ as appropriate for mapping study findings to an ‘a priori framework of dimensions measured by prenatal maternal anxiety tools’ within their ‘streamlined and time-limited evidence review’. 47

Less commonly, an adapted meta-ethnographical approach was used for an implementation model of social distancing where supportive data (29 studies) was plentiful. 48 However, this QES demonstrates several features that subsequently challenge its original identification as ‘rapid’. 49

Abbrevations: QES, qualitative evidence synthesis; rQES, resource-constrained qualitative evidence synthesis.

The team should consider whether a conceptual model, theory or framework offers a rapid way for organising, coding, interpreting and presenting findings ( table 2 , item R18). If the extracted data appears rich enough to sustain further interpretation, data from a thematic or framework synthesis can subsequently be explored within a subsequent meta-ethnography. 43 However, this requires a team with substantial interpretative expertise. 11

Assessments of confidence in the evidence 4 are central to any rQES that seeks to support decision-making and the QES-specific Grading of Recommendations Assessment, Development and Evaluation approach for assessing the Confidence of Evidence from Reviews of Qualitative research (GRADE-CERQual) approach is designed to assess confidence in qualitative evidence. 50 This can be performed by a single reviewer, confirmed by a second reviewer. 26 Additional reviewers could verify all, or a sample of, assessments. For a rapid assessment a team must prioritise findings, using objective criteria; a WHO rQES focused only on the three ‘highly synthesised findings’. 20 The team could consider reusing GRADE-CERQual assessments from published QESs if findings are relevant and of demonstrable high quality ( table 2 , item R19). 50 No rapid approach to full application of GRADE-CERQual currently exists.

Reporting and record management

Little is written on optimal use of technology. 8 A rapid review is not a good time to learn review management software or qualitative analysis management software. Using such software for all general QES processes ( table 2 , item R20), and then harnessing these skills and tools when specifically under resource pressures, is a sounder strategy. Good file labelling and folder management and a ‘develop once, re-use multi-times’ approach facilitates resource savings.

Reporting requirements include the meta-ethnography reporting guidance (eMERGe) 51 and the Enhancing transparency in reporting the synthesis of qualitative research (ENTREQ) statement. 52 An rQES should describe limitations and their implications for confidence in the evidence even more thoroughly than a regular QES; detailing the consequences of fast-tracking, streamlining or of omitting processes all together. 8 Time spent documenting reflexivity is similarly important. 27 If QES methodology is to remain credible rapid approaches must be applied with insight and documented with circumspection. 53 54 (56)

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Supplementary materials

Supplementary data.

This web only file has been produced by the BMJ Publishing Group from an electronic file supplied by the author(s) and has not been edited for content.

  • Data supplement 1

Contributors All authors (AB, IS, JN, CH, FC) have made substantial contributions to the conception and design of the guidance document. AB led on drafting the work and revising it critically for important intellectual content. All other authors (IS, JN, CH, FC) contributed to revisions of the document. All authors (AB, IS, JN, CH, FC) have given final approval of the version to be published. As members of the Cochrane Qualitative and Implementation Methods Group and/or the Cochrane Rapid Reviews Methods Group all authors (AB, IS, JN, CH, FC) agree to be accountable for all aspects of the work in ensuring that questions related to the accuracy or integrity of any part of the work are appropriately investigated and resolved.

Funding The authors have not declared a specific grant for this research from any funding agency in the public, commercial or not-for-profit sectors.

Competing interests AB is co-convenor of the Cochrane Qualitative and Implementation Methods Group. In the last 36 months, he received royalties from Systematic Approaches To a Successful Literature Review (Sage 3rd edition), honoraria from the Agency for Healthcare Research and Quality, and travel support from the WHO. JN is lead convenor of the Cochrane Qualitative and Implementation Methods Group. In the last 36 months, she has received honoraria from the Agency for Healthcare Research and Quality and travel support from the WHO. CH is co-convenor of the Cochrane Qualitative and Implementation Methods Group.

Patient and public involvement Patients and/or the public were not involved in the design, or conduct, or reporting, or dissemination plans of this research.

Provenance and peer review Not commissioned; internally peer reviewed.

Supplemental material This content has been supplied by the author(s). It has not been vetted by BMJ Publishing Group Limited (BMJ) and may not have been peer-reviewed. Any opinions or recommendations discussed are solely those of the author(s) and are not endorsed by BMJ. BMJ disclaims all liability and responsibility arising from any reliance placed on the content. Where the content includes any translated material, BMJ does not warrant the accuracy and reliability of the translations (including but not limited to local regulations, clinical guidelines, terminology, drug names and drug dosages), and is not responsible for any error and/or omissions arising from translation and adaptation or otherwise.

Read the full text or download the PDF:

Our next-generation model: Gemini 1.5

Feb 15, 2024

The model delivers dramatically enhanced performance, with a breakthrough in long-context understanding across modalities.

SundarPichai_2x.jpg

A note from Google and Alphabet CEO Sundar Pichai:

Last week, we rolled out our most capable model, Gemini 1.0 Ultra, and took a significant step forward in making Google products more helpful, starting with Gemini Advanced . Today, developers and Cloud customers can begin building with 1.0 Ultra too — with our Gemini API in AI Studio and in Vertex AI .

Our teams continue pushing the frontiers of our latest models with safety at the core. They are making rapid progress. In fact, we’re ready to introduce the next generation: Gemini 1.5. It shows dramatic improvements across a number of dimensions and 1.5 Pro achieves comparable quality to 1.0 Ultra, while using less compute.

This new generation also delivers a breakthrough in long-context understanding. We’ve been able to significantly increase the amount of information our models can process — running up to 1 million tokens consistently, achieving the longest context window of any large-scale foundation model yet.

Longer context windows show us the promise of what is possible. They will enable entirely new capabilities and help developers build much more useful models and applications. We’re excited to offer a limited preview of this experimental feature to developers and enterprise customers. Demis shares more on capabilities, safety and availability below.

Introducing Gemini 1.5

By Demis Hassabis, CEO of Google DeepMind, on behalf of the Gemini team

This is an exciting time for AI. New advances in the field have the potential to make AI more helpful for billions of people over the coming years. Since introducing Gemini 1.0 , we’ve been testing, refining and enhancing its capabilities.

Today, we’re announcing our next-generation model: Gemini 1.5.

Gemini 1.5 delivers dramatically enhanced performance. It represents a step change in our approach, building upon research and engineering innovations across nearly every part of our foundation model development and infrastructure. This includes making Gemini 1.5 more efficient to train and serve, with a new Mixture-of-Experts (MoE) architecture.

The first Gemini 1.5 model we’re releasing for early testing is Gemini 1.5 Pro. It’s a mid-size multimodal model, optimized for scaling across a wide-range of tasks, and performs at a similar level to 1.0 Ultra , our largest model to date. It also introduces a breakthrough experimental feature in long-context understanding.

Gemini 1.5 Pro comes with a standard 128,000 token context window. But starting today, a limited group of developers and enterprise customers can try it with a context window of up to 1 million tokens via AI Studio and Vertex AI in private preview.

As we roll out the full 1 million token context window, we’re actively working on optimizations to improve latency, reduce computational requirements and enhance the user experience. We’re excited for people to try this breakthrough capability, and we share more details on future availability below.

These continued advances in our next-generation models will open up new possibilities for people, developers and enterprises to create, discover and build using AI.

Context lengths of leading foundation models

Highly efficient architecture

Gemini 1.5 is built upon our leading research on Transformer and MoE architecture. While a traditional Transformer functions as one large neural network, MoE models are divided into smaller "expert” neural networks.

Depending on the type of input given, MoE models learn to selectively activate only the most relevant expert pathways in its neural network. This specialization massively enhances the model’s efficiency. Google has been an early adopter and pioneer of the MoE technique for deep learning through research such as Sparsely-Gated MoE , GShard-Transformer , Switch-Transformer, M4 and more.

Our latest innovations in model architecture allow Gemini 1.5 to learn complex tasks more quickly and maintain quality, while being more efficient to train and serve. These efficiencies are helping our teams iterate, train and deliver more advanced versions of Gemini faster than ever before, and we’re working on further optimizations.

Greater context, more helpful capabilities

An AI model’s “context window” is made up of tokens, which are the building blocks used for processing information. Tokens can be entire parts or subsections of words, images, videos, audio or code. The bigger a model’s context window, the more information it can take in and process in a given prompt — making its output more consistent, relevant and useful.

Through a series of machine learning innovations, we’ve increased 1.5 Pro’s context window capacity far beyond the original 32,000 tokens for Gemini 1.0. We can now run up to 1 million tokens in production.

This means 1.5 Pro can process vast amounts of information in one go — including 1 hour of video, 11 hours of audio, codebases with over 30,000 lines of code or over 700,000 words. In our research, we’ve also successfully tested up to 10 million tokens.

Complex reasoning about vast amounts of information

1.5 Pro can seamlessly analyze, classify and summarize large amounts of content within a given prompt. For example, when given the 402-page transcripts from Apollo 11’s mission to the moon, it can reason about conversations, events and details found across the document.

Reasoning across a 402-page transcript: Gemini 1.5 Pro Demo

Gemini 1.5 Pro can understand, reason about and identify curious details in the 402-page transcripts from Apollo 11’s mission to the moon.

Better understanding and reasoning across modalities

1.5 Pro can perform highly-sophisticated understanding and reasoning tasks for different modalities, including video. For instance, when given a 44-minute silent Buster Keaton movie , the model can accurately analyze various plot points and events, and even reason about small details in the movie that could easily be missed.

Multimodal prompting with a 44-minute movie: Gemini 1.5 Pro Demo

Gemini 1.5 Pro can identify a scene in a 44-minute silent Buster Keaton movie when given a simple line drawing as reference material for a real-life object.

Relevant problem-solving with longer blocks of code

1.5 Pro can perform more relevant problem-solving tasks across longer blocks of code. When given a prompt with more than 100,000 lines of code, it can better reason across examples, suggest helpful modifications and give explanations about how different parts of the code works.

Problem solving across 100,633 lines of code | Gemini 1.5 Pro Demo

Gemini 1.5 Pro can reason across 100,000 lines of code giving helpful solutions, modifications and explanations.

Enhanced performance

When tested on a comprehensive panel of text, code, image, audio and video evaluations, 1.5 Pro outperforms 1.0 Pro on 87% of the benchmarks used for developing our large language models (LLMs). And when compared to 1.0 Ultra on the same benchmarks, it performs at a broadly similar level.

Gemini 1.5 Pro maintains high levels of performance even as its context window increases. In the Needle In A Haystack (NIAH) evaluation, where a small piece of text containing a particular fact or statement is purposely placed within a long block of text, 1.5 Pro found the embedded text 99% of the time, in blocks of data as long as 1 million tokens.

Gemini 1.5 Pro also shows impressive “in-context learning” skills, meaning that it can learn a new skill from information given in a long prompt, without needing additional fine-tuning. We tested this skill on the Machine Translation from One Book (MTOB) benchmark, which shows how well the model learns from information it’s never seen before. When given a grammar manual for Kalamang , a language with fewer than 200 speakers worldwide, the model learns to translate English to Kalamang at a similar level to a person learning from the same content.

As 1.5 Pro’s long context window is the first of its kind among large-scale models, we’re continuously developing new evaluations and benchmarks for testing its novel capabilities.

For more details, see our Gemini 1.5 Pro technical report .

Extensive ethics and safety testing

In line with our AI Principles and robust safety policies, we’re ensuring our models undergo extensive ethics and safety tests. We then integrate these research learnings into our governance processes and model development and evaluations to continuously improve our AI systems.

Since introducing 1.0 Ultra in December, our teams have continued refining the model, making it safer for a wider release. We’ve also conducted novel research on safety risks and developed red-teaming techniques to test for a range of potential harms.

In advance of releasing 1.5 Pro, we've taken the same approach to responsible deployment as we did for our Gemini 1.0 models, conducting extensive evaluations across areas including content safety and representational harms, and will continue to expand this testing. Beyond this, we’re developing further tests that account for the novel long-context capabilities of 1.5 Pro.

Build and experiment with Gemini models

We’re committed to bringing each new generation of Gemini models to billions of people, developers and enterprises around the world responsibly.

Starting today, we’re offering a limited preview of 1.5 Pro to developers and enterprise customers via AI Studio and Vertex AI . Read more about this on our Google for Developers blog and Google Cloud blog .

We’ll introduce 1.5 Pro with a standard 128,000 token context window when the model is ready for a wider release. Coming soon, we plan to introduce pricing tiers that start at the standard 128,000 context window and scale up to 1 million tokens, as we improve the model.

Early testers can try the 1 million token context window at no cost during the testing period, though they should expect longer latency times with this experimental feature. Significant improvements in speed are also on the horizon.

Developers interested in testing 1.5 Pro can sign up now in AI Studio, while enterprise customers can reach out to their Vertex AI account team.

Learn more about Gemini’s capabilities and see how it works .

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  • Published: 07 February 2024

Psychedelics and sexual functioning: a mixed-methods study

  • Tommaso Barba   ORCID: orcid.org/0000-0003-2565-4628 1   na1 ,
  • Hannes Kettner 1 , 2   na1 ,
  • Caterina Radu 1 ,
  • Joseph M. Peill 1 ,
  • Leor Roseman 1 ,
  • David J. Nutt 1 ,
  • David Erritzoe   ORCID: orcid.org/0000-0002-7022-6211 1 ,
  • Robin Carhart-Harris 1 , 2   na2 &
  • Bruna Giribaldi 1   na2  

Scientific Reports volume  14 , Article number:  2181 ( 2024 ) Cite this article

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  • Clinical pharmacology
  • Human behaviour

Do psychedelics affect sexual functioning postacutely? Anecdotal and qualitative evidence suggests they do, but this has never been formally tested. While sexual functioning and satisfaction are generally regarded as an important aspect of human wellbeing, sexual dysfunction is a common symptom of mental health disorders. It is also a common side effect of selective serotonin reuptake inhibitors (SSRIs), a first line treatment for depression. The aim of the present paper was to investigate the post-acute effects of psychedelics on self-reported sexual functioning, combining data from two independent studies, one large and naturalistic and the other a smaller but controlled clinical trial. Naturalistic use of psychedelics was associated with improvements in several facets of sexual functioning and satisfaction, including improved pleasure and communication during sex, satisfaction with one’s partner and physical appearance. Convergent results were found in a controlled trial of psilocybin therapy versus an SSRI, escitalopram, for depression. In this trial, patients treated with psilocybin reported positive changes in sexual functioning after treatment, while patients treated with escitalopram did not. Despite focusing on different populations and settings, this is the first research study to quantitively investigate the effects of psychedelics on sexual functioning. Results imply a potential positive effect on post-acute sexual functioning and highlight the need for more research on this.

Introduction

Between the 1950s and the 70 s, psychedelic substances such as LSD were studied in clinical settings for the treatment of mood disorders and alcohol dependence in particular 1 . In the 1960s, psychedelics became associated with the ‘hippy’ subculture, whose anti-war and sexually liberal values were encapsulated by the playful slogan “Make Love Not War” 2 . Scientific research with psychedelics was abruptly stunted by the 1971 United Nations Controlled Substances Act 1 , but it has been revived in recent decades, with several trials supporting the promise of psychedelic-therapy as a mental health intervention 3 . Psychedelics and therapeutic support are believed to act synergistically on the patient, leading to therapeutic experiences like emotional catharsis, ego dissolution, and psychological insights 4 . One area of particular promise has been psilocybin-therapy for anxiety and depressive symptoms 5 , 6 , 7 , 8 . In one notable study, psilocybin-therapy was found to be at least as effective as a 6-week course of the selective serotonin reuptake inhibitor (SSRI), escitalopram, at reducing depressive symptoms in major depressive disorder (MDD). Moreover, the psychedelic intervention performed significantly better than the SSRI on secondary outcomes measuring well-being, general functioning and anhedonia 7 .

Major depressive disorder is one of the leading causes of disability worldwide. It is characterised by episodes of extreme low mood, motivation, ability to feel pleasure (anhedonia), and cognitive ability 9 . Despite sexual dysfunction (SD) not being classified as a core symptom of MDD in the DSM-5 criteria, it frequently presents itself in MDD cases, reported most frequently as decreased libido, arousal difficulties and absent or delayed orgasms in both women and men 10 . SD is also a common side effect of SSRIs, reported by 40% to 65% of individuals treated with those drugs 11 , 12 . Highly selective SSRIs like fluoxetine, escitalopram, and citalopram are especially associated with SD 13 , impairing sexual function in both depressed subjects 13 and healthy individuals dosed with these drugs 14 , 15 , 16 —likely due to downstream effects on serotoninergic and dopaminergic functioning 17 . SD is therefore a risk factor for treatment adherence and resulting relapse or recurrence of a depressive episode 10 , 11 .

Sexual dysfunction has also been found to be associated with lower well-being in healthy populations from both cross-sectional and longitudinal research 18 , 19 , 20 , which is unsurprising considering that SD is known to considerably affect quality of life, self-esteem and relationship quality 21 . Converging research indeed shows that sexual satisfaction is an important part of psychological well-being, linked to subjectively related happiness 20 , 22 , 23 , meaning in life 24 and relationship satisfaction 19 , 25 , 26 , 27 . Consequently, lower rates of depression are reported among men and women who report to be sexually satisfied 28 . Finally, several studies have cited numerous physical health benefits of sexual activity, including, but not limited to, stronger immune system function, lower blood pressure and decreased risk of prostate cancer 29 . Sexual satisfaction thus appears to be important for a satisfying and meaningful life, both in healthy subjects, and individuals with depression.

To date, some qualitative evidence indicates that psychedelic-use may have beneficial effects on the expression and acceptance of sexual feelings and behaviours 30 , 31 , 32 , 33 , 34 , 35 . However, to our knowledge, no contemporary quantitative studies have assessed the impact of psychedelic-use on sexual functioning and wellbeing. Nevertheless. previous research suggests that psychedelics are capable of fostering mindfulness capacities 36 , 37 , enduring feelings of emotional empathy and connectedness towards others 38 , 39 , 40 , positive attitudes towards one’s body and lifestyle 41 , 42 , as well as increased curiosity and openness towards new experiences 43 , 44 , all of which might impact on experiences of and attitudes towards sex.

By drawing on data collected from subjects consuming psychedelic substance in naturalistic settings like attending psychedelic ceremonies, we sought to assess the impact of psychedelic-use on several facets of sexual functioning and satisfaction. We further tested the same research question in a trial of psilocybin versus 6 weeks of the SSRI escitalopram in MDD patients. The term “sexual functioning” is widely used in the sexuality literature 45 and here is defined according to the domains of experienced pleasure, sexual satisfaction, arousal, communication of sexual desires, importance of sex, and body image. We further included two self-constructed questions conceived with the aim of investigating whether psychedelic use could change people’s perceptions of sexual intercourse beyond functioning, within the domains of increased interest in sexual exploration (below defined as "sexual openness") and spirituality. Finally, we explored possible differences in these effects between male and females in Supplementary Materials. This research question is worthwhile investigating for both clinical and basic-science implications. Clinically speaking, the propensity of SSRIs to induce sexual dysfunction can affect treatment adherence and potentially lead to a relapse or recurrence of depressive episodes. With Psilocybin-assisted therapy emerging as a promising alternative, having shown favourable results in phase 1, 2a, and 2b trials, it’s important to thoroughly assess its side effects. This can provide valuable data for patients when choosing treatment options. From a basic science viewpoint, this paper strengthens the foundation built upon qualitative findings that suggest a beneficial influence of psychedelics on sexual wellbeing. Previous research has unveiled a positive correlation between mindfulness skills, intimacy/connectedness, and sexual satisfaction 46 , 47 , 48 , 49 . Considering the demonstrated capacity of psychedelics to enhance mindfulness and connectedness, it becomes particularly compelling to explore their potential impact on sexual functioning.

Participants

Across the combined survey samples, a total of N = 261 participants were included in the analyses who completed baseline, 4-week and 6-month endpoint assessments. A total of 1463 participants completed baseline, 718 completed key endpoint at 4-weeks and 322 completed FU at 6 months. 61 participants completed FU but did not complete either BL or Key endpoint, therefore obtaining 322–61 = 261 participants in the present analysis. 43% of those were females and 55.6% were males sex-wise. Participants were mostly from the United States (43.8%), working full-time (63.4%) and white (90.7%). A more detailed picture of participants’ demographics can be found in Table 1 .

We used an intention-to-treat analysis for coherence with the main publication from this clinical trial 7 . 30 patients were randomised to the psilocybin group and 29 to the escitalopram group; constituting the entire sample from Ref. 7 . Of the 59 patients enrolled, 23 (39%) were on psychiatric medication, which they stopped at least 2 weeks before starting the trial; four (7%) had to discontinue psychotherapy (see 7 for stopping criteria). In the escitalopram group, four participants stopped taking their escitalopram capsules before the end of the trial because of adverse effects attributed to the drug. In the psilocybin group, one participant smoked cannabis regularly during the trial and three participants missed the second psilocybin dosing day because of COVID-19 lockdown restrictions (2 in the psilocybin arm and 1 in the escitalopram arm). The mean age was 41 years, 20 (34%) participants were women, and 52 (85%) participants were White. Written informed consent was obtained from all patients. Sixteen patients reported having no partner either at baseline of follow-up on questions on pleasure, communication and satisfaction and thus were not included in the analyses of these questions. The remaining items and retrospective changes in sexual functioning were assessed in all 59 patients. For more information on participant recruitment and demographics, see 7 .

Changes in sexual functioning and perceptions

Friedman rank tests (Table 2 ) showed statistically significant differences in the survey samples across time for all variables apart from “importance of sex” (χ 2 (2) = 1.9, p = 0.40), with the most significant changes seen for the following items: seeing sex as spiritual or sacred experience (χ 2 (2) = 35.6, p < 0.0001), satisfaction with one’s own appearance (χ 2 (2) = 30.5, p < 0.0001), satisfaction with one’s own partner (χ 2 (2) = 22.2, p < 0.0001) and experience of pleasure (χ 2 (2) = 20.9, p < 0.0001). Follow-up pairwise Wilcoxon signed-rank tests between baseline, 4-week, and 6-month endpoints showed that both 4-week and 6-month scores were elevated when compared with baseline, which was again the case for each item other than importance (Fig.  1 ). A detailed summary of the results can be found in Table 2 .

figure 1

Single item analyses assessing changes in sexual functioning and satisfaction after naturalistic psychedelic use in a sample of N = 261 completers at 4 weeks and 6-month follow-up. ‘n.s’ indicates that the difference between baseline and follow-up scores is non-significant (P > 0.05). ***The difference between baseline and follow-up scores is significant, with a P < 0.0001. **The difference between baseline and follow-up scores is significant, with a P < 0.001. *The difference between baseline and follow-up scores is significant, with a P < 0.01. Error bars represent SE(M). Y-axis dimensions are scaled flexibly for better visibility of results.

Correlations with changes in well-being (study 1)

Significant Bonferroni-corrected spearman rank correlations between items of the BISF-W and the Flourishing Scale were detected for the following items: sexual communication with partner (rho = 0.25, p = 0.001), satisfaction with one’s own appearance (rho = 0.24, p = 0.0001), openness to try new things in one’s sex life (“sexual openness”) (rho = 0.22, p < 0.001), and sex as spiritual (rho = 0.17, p < 0.01), but not satisfaction with one’s partner (rho = 0.11, p = 0.16), or pleasure (rho = 0.15, p = 0.06).

Across all items, except for perceived importance of sex, subjects in the psilocybin condition were more likely to experience a greater extent of positive change, indicated by the positive beta estimates (Table 3 ). Results of within-group post-hoc tests based on estimated marginal means derived from cumulative link models are reported in Table 3 . Among the items that showed a significant interaction, post-hoc contrasts revealed psilocybin-specific improvements for the items ‘Partner satisfaction’, ‘Communication’, and ‘Sex as spiritual’. ‘Appearance satisfaction’ improved significantly in both the psilocybin and escitalopram condition, while there was a non-significant trend for perceived importance of sexuality increasing following escitalopram treatment (Fig.  2 ). Additionally, a significant pre-post test contrast was found in the psilocybin group for the experience of pleasure during sexual activity, despite absence of an interaction, with a change on the latent construct of 1.3 points (ΔEMM = 1.30, z = 3.10, p = 0.0019), equivalent to patients feeling pleasure 1.3 × 25% = 32.5% more frequently during sexual experiences than before treatment with psilocybin.

figure 2

Single item analyses assessing changes in sexual functioning and satisfaction before (BL) and after (FFU) treatment with psilocybin or escitalopram in Study 2. P values indicate univariate significance in each study arm. Error bars represent SE(M). Y-axis dimensions are scaled flexibly for better visibility of results.

Significant differences between Escitalopram and Psilocybin’s effects on sexual functioning were identified using retrospective BISF-W item 13, which was divided into changes in sexual interest, arousal, activity, satisfaction, and anxiety. Mann Whitney-U tests showed that patients receiving psilocybin were significantly more likely than those who received escitalopram to report higher, rather than lower levels of interest (p = 0.0002), arousal (p = 0.0004), activity (p = 0.0007), and satisfaction (p = 0.0006). In each case, mean values reported by patients receiving psilocybin reflected a ‘higher level’ at 4 weeks compared with baseline, while those in the escitalopram group on average reported a ‘lower level’ compared with baseline (Fig.  3 ). This pattern was reversed for sexual anxiety, which was increased in those receiving escitalopram, and reduced in those receiving psilocybin, although this difference only reached significance before correction for multiple comparisons (p = 0.028; Table 4 ).

figure 3

Percentage of participants who retrospectively rated decreases or increases in sexual interest, arousal, activity, satisfaction, and anxiety (reversed) after treatment with psilocybin or escitalopram at the 6 weeks follow-up of Study 2. “Increase” indicates that participants retrospectively reported an increase in the associated dimension at the end of the study compared to the beginning of it. “Decrease” indicates that participants retrospectively reported a decrease in the associated dimension at the end of the study compared to the beginning of it.

Regarding sexual dysfunction (PRSexDQ-SALSEX), at the 6-week post-treatment endpoint, in the escitalopram condition 8 patients were classified as “severe”, 6 as “moderate”, 3 as “mild” and 12 as “none”. At the same endpoint, in the psilocybin condition, 1 patient classified as “severe”, 3 as “moderate” and 26 as “none” (Fig.  4 ). A Mann Whitney U test (U = 255.5, p = 0.001, MD = 0.98) showed that patients in the escitalopram condition were significantly more likely to have higher levels of SD severity (M = 1.3, SD = 1.3) than patients in the psilocybin condition (M = 0.3, SD = 0.8). A previous study report on this trial only reported median values when calculating PRSexDQ-SALSEX scores, but the present paper has reported the number cases pertaining to each category, which exposed the robustly significant difference between the two conditions.

figure 4

Percentage of participants who reported different degrees of sexual dysfunction after treatment with escitalopram or psilocybin at the primary endpoint of Study 2. Sexual dysfunction includes loss of libido, delayed or lack of orgasm or ejaculation, erectile dysfunction in men/vaginal lubrication dysfunction in women and patient’s tolerance of it.

Correlation with changes in depressive symptoms (study 2)

Collapsing the psilocybin and escitalopram groups into one, retrospectively rated changes in several aspects of sexual functioning were correlated with before-vs-after changes in depressive symptoms. Spearman rank correlations identified the strongest correlations for changes in depression and changes in both sexual arousal (Spearman’s rho = 0.38, p < 0.01) and sexual interest (Spearman’s rho = 0.36, p < 0.01), such that bigger changes in depression resulted in higher improvements in sexual arousal/interest. Correlations between changes in depressive symptoms and sexual satisfaction did not survive multiple comparison correction (Spearman’s rho = 0.31, p = 0.03) and correlations with changes in sexual activity (Spearman’s rho = 0.23, p = 0.09) and sexual anxiety change (Spearman’s rho = 0.22, p = 0.13) also did not reach significance.

The current study sought to examine the impact of psychedelic use on sexual functioning and satisfaction across two distinct studies and populations: one group used psychedelics for recreational and well-being purposes, while the other consisted of depressed patients. One study adopted a naturalistic observational survey approach, while the other was a controlled clinical trial. Notably, both studies and populations reported enhanced sexual functioning and satisfaction following psychedelic use.

Participants in the former study showed significant improvements in their communication with their partners, increased frequency of experiencing pleasure during sex, as well as increased satisfaction with their partners and their own physical appearance following the psychedelic experience. They also appeared to be more open to trying new things in their sex life and were more likely to perceive sex as a spiritual or sacred experience post-use. These changes were significant both 4 weeks and 6 months after the experience. However, this cohort did not report experiencing changes in the overall importance attributed to sex. Exploratory analyses aimed at investigating possible differences in these effects between males and females found no evidence of such differences, except for partner satisfaction at 6-months where we found a return of partner satisfaction levels back to baseline in female but not male participants (Supplementary Materials). Several of these changes significantly correlated with post-psychedelic changes in well-being, consistent with previous research indicating a positive association between sexual functioning and general psychological well-being 20 , 22 , 23 . Given the inherent limitations of survey studies, such as the lack of a control condition, the inclusion of individuals already particularly interested in psychedelics and the lack of control of the circumstances of psychedelic exposure, we aimed to replicate these results in controlled settings, despite focusing on a different population. Consistent with the effects reported in the naturalistic study, individuals with depression treated with psilocybin-therapy in a controlled trial setting showed improvements from baseline to post-treatment in communicating with their partners, experiencing greater sexual pleasure during sex, being more satisfied with their partner and their own appearance, and being more likely to perceive sex as a spiritual experience. Conversely, in the same trial, patients treated with a 6-week course of the SSRI escitalopram, and the same amount of therapy, only reported increased satisfaction with their appearance and no positive changes in any other domain. Furthermore, patients treated with psilocybin were more likely to report increased sexual interest, activity, arousal, and satisfaction at the 6-week endpoint than patients treated with escitalopram, who on average, reported a worsening in the same domains. Similarly, anxiety linked to sexual activity decreased for patients in the psilocybin condition and increased for those treated with escitalopram. Across both groups, changes in sexual arousal and interest were moderately correlated with changes in depressive symptoms, while changes in the other domains appeared to be somewhat independent from changes in depression. With regard to sexual dysfunction, patients treated with escitalopram were more likely to retrospectively report higher levels of sexual dysfunction after treatment compared with the individuals treated with psilocybin. These observations are consistent with recent findings from the same trial that explicit symptoms of depression related to SD (i.e., Hamilton Rating Scale for Depression-17 Libido 50 , Beck Depression Inventory-Reduced Sexual Interest 51 ), as well as amotivation, anhedonia and energy levels were among the most differentially responsive to psilocybin versus escitalopram 52 . The results constitute the first empirical evidence that psychedelics might exert beneficial effects on sexual functioning and sexual wellbeing after acute use of the drug itself, consistent with previous qualitative reports indicating such an effect 30 , 31 , 32 , 33 , 34 , 35 . Future research to replicate and further investigate these findings is thus highly encouraged.

While we previously found that both escitalopram and psilocybin were equally effective in reducing depressive symptoms when assessed with the primary outcome of the study 7 , differences in their impact on sexual functioning and dysfunction could be explained by their differing mechanism of action in treating MDD (see 7 , 53 for full discussion). It is generally thought that the pharmacological mechanisms for SSRIs-induced sexual dysfunction are intrinsically linked with their hypothesised antidepressant mechanism. By selectively inhibiting serotonin reuptake in the central nervous system (CNS), SSRIs elevate synaptic serotonin concentrations consequently increasing post-synaptic serotonin activity 11 . Generally, an increase in serotoninergic functioning appears to negatively impact on sexual functioning—perhaps as a consequence of a negative downstream effect on the production of dopamine, testosterone, acetylcholine and nitric oxide which are crucial for libido, sexual arousal and achieving orgasm in both men and women 10 . Additionally, it is also plausible that the emotional blunting sometimes induced by SSRIs might also be linked with diminished sexual functioning 54 , 55 . Accordingly, as previously reported in the main publication from this trial, the percentage of patients reporting emotional blunting (assessed with the Laukes Emotional Intensity Scale) and a self-constructed “Post-Treatment Changes Scale” (PTCS) at the 6-week endpoint was higher in individuals treated with escitalopram compared with psilocybin 7 . While some research suggest that the prevalence of SSRI sexual side effects may be overestimated due to a priori deterioration of sexual functioning in MDD 10 several RCTs indicate that escitalopram 14 and other SSRIs 15 , 16 do indeed induce SD—including in healthy individuals. Such results support the view that SSRIs have a detrimental effect on sexual function beyond their impact on depression. This is clinically concerning as sexual functioning bears relevance to two core facets of depression, namely anhedonia and amotivation 56 . The occurrence of SD as a side effect of SSRIs can lead to a dilemma for both patients and clinicians. On one hand, these treatments are necessary for managing depressive symptoms, but on the other hand, they can exacerbate SD, thereby further impacting the patient’s quality of life and potentially affecting treatment adherence. Moreover, SD can contribute to the persistence or worsening of depressive symptoms, creating a vicious cycle that is difficult to break 10 . Despite the high prevalence and significant impact of SD, it is often underassessed and undertreated in mental health care settings. This oversight may be due to a variety of factors, including lack of awareness among clinicians, discomfort discussing sexual issues, or the assumption that SD is an inevitable consequence of depression or its treatment 57 . While most cases of SD associated with SSRI use tend to resolve shortly after discontinuing the medication, a minority of patients may experience enduring dysfunction, referred to as post-SSRI sexual dysfunction (PSSD 58 ). PSSD is characterized by persistent symptoms such as genital anesthesia, erectile dysfunction, and pleasureless orgasm. The underlying causes of PSSD remain largely unknown, however it is acknowledged as a rare side effect associated with SSRI use 58 . Psilocybin also exerts its acute effects by acting on the serotoninergic system, but via direct agonism at serotonin 2A receptors (5-HT2AR 3 ). Despite limited research on the effects of 5-HT2AR agonists on sexual activity, animal studies have indicated that 5-HT2AR agonism contributes to the inhibition of sexual activity in male rats 59 , 60 while having a positive effect in females 61 . Antidepressant drugs that possess 5-HT2AR antagonist activity, such as mirtazapine and nefazodone, generally have a positive effect on SD 62 . Therefore, some have proposed that activity at 5-HT2A receptors has suppressing effects on sexual functioning in humans 10 . Nevertheless, anecdotal reports of increased sexual pleasure and intense sexual feelings under psychedelics 32 , 33 , 63 contradict this. Clearly, more research is needed to understand the acute effects of psilocybin and other psychedelics on sexual functioning. However, it is important to note that our present study assess post-acute effects of psychedelic-use or psychedelic-therapy on sexual functioning and not acute effects; thus, our results should not be confused with ‘drug-sex’ or ‘chem-sex’. As such, the acute (e.g., pharmacological) effects of psilocybin on sexual functioning is not be centrally relevant here; rather, our focus has been on longer-term changes post psychedelic-use or psilocybin-therapy.

Despite not being able to directly test these hypotheses, we speculate that the results obtained from both studies might be explained by the capacity of classic psychedelics (and relatedly psilocybin-assisted therapy) to foster long-term improvements in mindfulness capacities and connectedness with significant others 37 , 64 , consequently impacting sexual satisfaction. Qualitative and quantitative research shows that psychedelic-use can foster non-judgement and non-reactivity 37 , 64 , an ability to articulate momentary experience 36 , 65 and an openness to new experiences 43 , 44 , 66 . Furthermore, psychedelics appear to promote durable feelings of connection towards self and others 63 , 67 , increased willingness to accept and let go of one’s emotions, and decreased ruminative thinking 68 . In tandem, work by Keinplatz et al. 69 identified eight major components that contribute to an optimal sexual experience: being present, connection, deep sexual and erotic intimacy, extraordinary communication, interpersonal risk-taking and exploration, authenticity, vulnerability, and transcendence. Subsequent research evidenced the importance of maintaining a mindful 70 , 71 and open 72 state of mind for attaining a satisfactory sexual performance. Moreover, it has been shown that increasing trait mindfulness in both women and men improved SD, including arousal/interest disorders 46 , 47 , 73 , 74 , 75 . Cross-sectional, longitudinal, and experimental studies also indicate that experiencing emotional connection and intimacy with one’s partner can maintain sexual desire and activity in relationships of longer duration 48 , 49 , 76 and that a type of sexual activity understood as shared and mutual by both partners can be conductive of a better couple’s mental health 28 . Additionally, evidence from neuroimaging research 77 previously found that female Hypoactive Sexual Desire Disorder’ (HSDD) was linked with higher levels of activity in brain regions involved in self-referential functions, such as the medial prefrontal cortex and the posterior cingulate cortex. It was suggested that HSDD might be the result of excessive cognitive activity directed toward oneself—i.e., self-consciousness, rather than naturally attending to sensory aspects of the sexual experience. Disruption of cortical activity in brain regions involved in self-referential processing has been found to be a somewhat consistent marker of the action of psychedelics 78 . By combining the results from these fields of research, it thus appears plausible that psychedelic-use, or more cautiously, psychedelic-therapy, could have a positive effect on traits associated with more embodied and satisfactory sexual experiences, freer from cognitive interferences, aversions, anxieties and demands. Additionally, we speculate that an effect of psilocybin therapy on attachment styles might have also contributed to the observed results, despite this was not directly investigated. Depression has been previously demonstrated to be linked with attachment insecurity 79 and anxious and avoidant attachment styles have been both shown to be linked with decreased sexual satisfaction in the general population 80 , 81 . Psilocybin-therapy has been shown to improve attachment insecurity 3 months post-intervention 82 . Thus, the formation of a more secure attachment could have also contributed to improving sexual satisfaction. Future research should investigate this matter.

Interestingly, it was also found that participants reported perceiving sex as a more spiritual or sacred experience after psychedelic use. The rationale behind investigating this research question stems from our prior discovery that psychedelic use can amplify spiritual beliefs and attitudes towards life 83 . We are thus wanted to explore whether this increased spirituality translates into the domain of sexual experiences. While an allegiance to a religious belief system has been found to be associated with fewer life partners and lower rates of premarital and extramarital sex 84 , the link with spirituality, typically involves a ‘self-transcendent’ perspective, is less clear. Previous research indicates that ascribing spiritual or transcendent qualities to sexual intercourse is linked with increased sexual satisfaction 69 , 85 . However, conflicting research indicated that perceiving sex as more spiritual is not inherently positive, as spirituality has been found to be positively associated with a higher frequency of sex without a condom in women, suggesting that it might be a factor for risky sexual behaviour 84 . Additionally, participants from the survey sample appeared to be more willing to try new things in their sexual life, an effect that might be explained by increased openness to experience after psychedelic use 43 , 44 , 66 . More research investigating the links between sexual attitudes and behaviours, spirituality and psychedelic use is needed to better understand the complex relationships between these factors.

Limitations

The findings of the present study should be considered in the context of its limitations.

Analyses in this study were conducted based on individual items of the BISF-W 86 , a previously validated measure. Given our mixed-gender sample, we chose items relevant to both sexes, focusing on domains like pleasure, communication, partner satisfaction, sex importance, and body image satisfaction. To reduce participant burden amidst multiple measures, we didn’t use the full scale. While we employed suitable statistical methods for ordinal data, future studies should use comprehensive, validated scales. We also introduced unvalidated items on viewing sex as a spiritual experience and sexual openness, without defining terms like “spiritual” and “new things”. For these reasons, caution is advised before interpreting these specific results.

Additionally, there are several distinct features and limitations to the observational study design employed in our investigation. Study 1 lacks of experimental control, potential biases towards psychedelic drugs due to opportunity sampling, demographic and other biases related to sampling and attrition issues, and reliance on subjective reporting of drug dosages. Importantly, without experimental control, we cannot establish causality or control for potential confounding factors. On the other hand, Study 2, based on RCT data, provides evidence with the experimental control that Study 1 lacks. RCTs, including ours, offer controlled settings to evaluate specific interventions, often seen as valuable in the research community for treatment evaluation. However, it is important to note that Study 1 and Study 2 cater to different contexts and realities. Study 1 assesses community-dwelling individuals, most of whom are presumably healthy and use psychedelics for recreational and wellbeing related purposes. In contrast, Study 2 evaluates the effects of psilocybin on depressed patients in a clinical setting. While the studies address different questions and settings, by presenting both observational and RCT data, our intention was to provide a broader perspective on the effects of psychedelics on sexual functioning and wellbeing. These two distinct study designs offer complementary insights into the topic, each from a different vantage point. While this approach possesses inherent limitations, our aim was to provide readers with a richer understanding by juxtaposing these two different perspectives, despite focusing on different populations and settings. Being this the first quantitative investigation on the effects of psychedelics on sexual functioning/wellbeing, we strongly encourage further research on the topic in order to overcome the current limitations.

Furthermore, future research on the effects of psychedelics on sexual functioning should consider including dyadic assessments, i.e., where the partner of the primary participant is involved, and questions that pertain to the social and cultural context of use, e.g., whether the substance was taken together with one’s partner. Relatedly, we do not know if participants engaged in sexual activities in while using psychedelics in Study 1, which could have implications for how they perceive its impact on their sexuality. However, it’s important to note that most participants in Study 1 consumed psychedelics in ceremonial settings, where sexual intercourse is strongly discouraged or even prohibited, even between romantic partners 87 . Partners are typically asked to maintain distance during these ceremonies. Nevertheless, we cannot exclude the possibility that some participants from Ref. 88 , consuming psychedelics in personal settings, engaged in such activities.

Study participants from the survey study sample and the RCT were predominantly white, sexually straight, employed and well-educated, limiting generalizability. Similar demographic data have been found in other psychedelic research studies 89 . Such consistency may imply that these demographics are reflective of the broader psychedelic-using population; however, they are not necessarily reflective of broader populations per se. Recent research has indicated that ethnoracial background moderates the health impact of psychedelic-use 90 . It is important therefore that future studies test the replicability of the present findings in more sociodemographically diverse samples. Moreover, both treatment groups benefited from extensive psychological support, with an approach inspired by the Acceptance and Commitment Therapy model 91 . Given that this model emphasizes enhancing acceptance and minimizing the suppression of challenging emotions, it might be possible that the therapeutic support acted synergistically with psilocybin to promote positive effects on sexual wellbeing. Future research should better investigate this matter, especially considering the link between sexual shame and sexual dysfunction.

The present results pertaining to escitalopram’s effects on sexual functioning cannot be generalised to other existing antidepressants, as existing research indicates that there are approved antidepressant medications on the market that do not induce SD at such high rates as SSRIs 14 . These medications have been previously advised for patients suffering from SSRI-induced SD. A further limitation of study 2 might be related to the confounding factor of antidepressant withdrawal, as the observed improvements in sexual function in the psilocybin arm could be attributed to the suspension of all antidepressants in the weeks preceding the administration of psilocybin. While only 11 out of 30 patients from the psilocybin group discontinued antidepressant medications before starting the study 7 , this could have impacted the results.

Lastly, there have been reports of sexually abusive behaviour in the context of psychedelic ceremonies and therapy 87 , 92 . While these dynamics are not unique to psychedelic therapies 93 , the addition of powerful mind-altering compounds in the equation requires the employment of additional caution, prevention and mitigation strategies. Relatedly, the use of psychedelic or empathogenic compounds in romantic contexts might also create complex relationship dynamics such as promoting feelings of attachment to an ordinarily undesired or abusive partner, sexual activities done under drug influence that are later regretted, or wrongly perceiving another individual as romantically or sexually interested or engaged—an issue that extends to other psychoactive drugs such as alcohol. As policies around psychedelic use evolve, it’s imperative to define clear ethical standards and professional guidelines to prevent abuse and ensure accountability. Educating individuals about potential risks and encouraging vigilance can further reduce harm and foster a safer environment for all involved.

Conclusions

The present study contributes some first preliminary evidence that both the naturalistic and controlled therapeutic use of psychedelic drugs might foster an improvement in several facets of sexual functioning and satisfaction, including experienced pleasure, sexual satisfaction, communication of sexual desires and body image. Moreover, the present study specifically highlights that psilocybin therapy for MDD might be linked with improvements in sexual functioning. On the other hand, escitalopram—a commonly used SSRI—seemed to negatively impact sexual functioning, despite both treatments inducing similar reductions in depressive symptoms. These findings highlight the need for further research utilizing more comprehensive and validated measures to fully understand the effects of psychedelics on sexual functioning. However, the preliminary results do suggest that psychedelics may be a useful tool for disorders that impact sexual functioning.

The present study combined datasets from two large prospective online survey studies investigating the impact of psychedelics consumed in personal and ceremonial settings in the real world. All studies collected data using the bespoke online software platform www.psychedelicsurvey.com and the online platform Alchemer. The first cohort survey study 88 recruited participants who were already planning to consume psychedelics in the near future, outside of a research or organised ceremonial setting. The second dataset comes from a survey study targeted towards individuals planning to attend an organised ‘ceremony’ entailing the consumption of a classic psychedelic substance (psilocybin/magic mushrooms/truffles, ayahuasca, DMT, San Pedro, LSD/1P‐LSD), e.g., in a psychedelic retreat or other form of guided psychedelic experience 38 . Both studies received a favourable opinion from the Imperial College Research Ethics Committee and were sponsored by the Imperial Joint Research and Compliance Office, and all participants were 18+ years old, recruited online and provided informed consent. In all three survey studies, participants were prompted to select the date of their future psychedelic experience, and questionnaires were automatically sent to them 1 week before the experience (baseline), and 4 weeks and 6 months after the experience. All methods were carried out by respecting/adhering to relevant guidelines and regulations. An overview of study 1 timepoints can be found in Fig.  5 . Extensive information about the design of these two prospective online surveys can be found in Refs. 38 , 88 . CONSORT diagram for Study 1 can be found in Supplementary Materials.

figure 5

Overview of Study 1 with the included items assessing sexual functioning and perceptions of sex at the relevant timepoints.

It comprises data derived from a phase II double-blind randomised controlled clinical trial (RCT) comparing psilocybin-therapy versus escitalopram treatment for major depression 7 . Participants had a diagnosis of moderate-severe MDD (> 17 on Hamilton-Depression [HAM-D-17 50 ] scale at screening), were between 18 to 65 years old and were recruited through trial networks, social media, and other sources (see 7 for demographic information). Participants were randomised to one of two arms: either receiving two doses of an active dose of psilocybin (25 mg) alongside 6 weeks of daily placebo (“psilocybin arm”), or two doses of a ‘control’ dose of psilocybin (1 mg) and daily escitalopram (10 mg for 3 weeks, then 20 mg for 3 weeks, “escitalopram arm”). During the active treatment period, each participant worked with two experienced therapists or psychiatrists administering an adapted form of Acceptance and Commitment Therapy 91 . On dosing days, the therapists accompanied them from the moment they ingested the drug until the day’s end. Before and after dosing days, participants underwent psychological preparation and integration, respectively. Taking into account screening, preparation, dosing, and integration, participants in each condition received approximately 20 h of in-person therapeutic support during the trial, as well as up to six further integration calls over Skype or by telephone. Licenses and approvals were obtained from the Home Office (Schedule 1), UK Medicines & Healthcare products Regulatory Agency (MHRA), Brent Research Ethics Committee (REC), the Health Research Authority (HRA) and Imperial College London (ICL) GDPR and the sponsors ICL Joint Research Compliance Office. Proprietary psilocybin was provided by COMPASS Pathways as ‘COMP360’ (Compass Pathways’ investigational, proprietary, synthetic, psilocybin formulation) and escitalopram by Guy’s and St Thomas’ Pharmacy. An overview of study 2 timepoints can be found in Fig.  6 , see 7 for further details on the study protocol and the main results of the trial. ClinicalTrials.gov Identifier: NCT03429075, registered on February 12, 2018; EudraCT: 2017-000219-18. CONSORT diagram for Study 2 can be found in Supplementary Materials.

figure 6

Overview of the DB-RCT trial procedure (Study 2). Numbers indicate days from baseline (day 0) to the 6-week trial primary end-point (day 42). The listed measures are only the ones included in the present study.

Sexual functioning and satisfaction

Consistent measures were used in Study 1 and 2. In Study 1, measures were employed at baseline (one week prior to the experience), 4 weeks, and 6 months after naturalistic psychedelic-use. In Study 2, measures were administered at baseline (1 week before dosing day 1) and at the 6-weeks follow-up, the RCT’s primary endpoint. Outcome measures were items extracted from the Brief Index of Sexual Functioning for Women (BISF-W), a standardized self-report measure of overall sexual function in women 86 . As the questionnaire was designed to be specifically used with women and our sample constituted of both men and women, we only used items that could be generalised to both sexes and we focused on the domains of experienced pleasure, communication, satisfaction of one’s partner, importance of sex, and satisfaction with one’s body image. We also did not use the full scale to limit the burden on participants, as a variety of other measures were also included. The questions and the response options were as follows: During the past month, have you felt pleasure from any forms of sexual experience? (0) I have not had a partner, (1) Have not felt any pleasure, (2) Seldom, less than 25% of the time, (3) Sometimes, about 50% of the time, (4) Usually, about 75% of the time, (5) Always felt pleasure. During the past month, how frequently have you been able to communicate your sexual desires or preferences to your partner/s?: (0) I have not had a partner/s, (1) I have been unable to communicate my desires or preferences, (2) Seldom, less than 25% of the time, (3) Sometimes, about 50% of the time, (4) usually, about 75% of the time, (5) I was always able to communicate my desires or my preferences. Overall, how satisfied have you been with your sexual relationship with your partner/s? (0) I have not had a partner/s, (1) Very satisfied, (2) Somewhat satisfied, (3) Neither satisfied nor dissatisfied, (4) Somewhat dissatisfied, (5) Very dissatisfied. Overall, how important is sexual activity in your life? (0) Not at all important, (1) Somewhat unimportant, (2) Neither important nor unimportant, (3) Somewhat important, (4) Very important. How satisfied you are with the overall appearance of your body? (0) Very satisfied, (1) Somewhat satisfied, (2) Neither satisfied nor dissatisfied, (3) Somewhat dissatisfied, (4) Very dissatisfied. If participants responded they did not have a partner in a question (response option 0), the answer was not included in the analysis for that specific item.

Additionally, we constructed two items to investigate whether psychedelics would be associated with a change in people’s (1) openness to sexual exploration and (2) perception of sex as a ‘spiritual experience’, where the latter term was not explicitly defined for the respondent. We conceived these 2 items after a review of the existing anecdotal reports of the effects of psychedelics on one’s sexual life 30 , 31 , 32 , 33 and the cultural association between psychedelic-use, liberal sexual attitudes and behaviours and spiritual ideologies 2 . The items read as follows: “I am very open to trying out new things in my sex life” and “I see sex as a spiritual or sacred experience” and could be answered on a 7-point Likert scale.

Finally, exclusively in the 6 weeks follow-up of Study 2, we added item 13 from the BISF-W. This asks participants to retrospectively rate the level of change in any of the following areas of sexual functioning in the previous 6 weeks: (1) sexual interest, (2) sexual arousal, (3) sexual activity, (4) sexual satisfaction, (5) sexual anxiety. The response options were: (1) not applicable, (2) no change, (3) increase, (4) decrease.

Sexual dysfunction

To assess the appearance of sexual dysfunction after drug treatment in Study 2 we used the Psychotropic-Related Sexual Dysfunction Questionnaire (PRSexDQ-SALSEX 94 ). The scales include 7 items assessing SD. The first is a screening item that assesses if the patient experienced any sort of SD during treatment. The second item assesses whether the patient has spontaneously reported any SD to his or her physician. The next items (items 3–7) assess five dimensions of SD according to severity or frequency: loss of libido (0 = nil, 1 = mild, 2 = moderate, 3 = severe), delayed orgasm or ejaculation (0 = nil, 1 = mild, 2 = moderate, 3 = severe), lack of orgasm or ejaculation (0 = never, 1 = occasionally, 2 = often, 3 = always), erectile dysfunction in men/vaginal lubrication dysfunction in women (0 = never, 1 = occasionally, 2 = often, 3 = always), and patient's tolerance of the SD (0 = no sexual dysfunction, 1 = good, 2 = fair, 3 = poor). Only items 3 through 7 account for the total score of the PRSexDQ-SALSEX. Sexual dysfunction is scored as mild = 1–5 (with no item > 1); moderate = 6–10 (OR any item = 2, with no item = 3) or severe = 11–15 (OR any item = 3). As the scale is designed for retrospective use, it was only collected at the 6-weeks follow-up of the trial.

The Flourishing Scale 95 is a brief 8-item summary measure of the respondent’s self-perceived success in important areas such as relationships, self-esteem, purpose, and optimism. The scale provides a single psychological well-being score. The scores range from 8 to 56. A high score represents a person with many psychological resources and strengths.

Depressive symptoms were assessed with the 16-item Quick Inventory of Depressive Symptomatology Self-Report 96 . The total score establishes the severity of depression, ranging from ‘absent’ (0–5) to ‘mild’ (6–10), ‘moderate’ (11–15), ‘severe’ (16–20) and ‘very severe’ (21–27).

Statistical analyses

Changes on the individual items of the adapted BISF-W from baseline to 4 weeks and 6 months after the psychedelic experience were assessed via non-parametric Friedman rank sum tests due to the ordinal nature of the response items. Wilcoxon signed-rank tests between baseline, 4-week, and 6-month endpoints were used as follow-up tests. Additionally, spearman correlations between changes on individual items of the BISF-W and changes in flourishing (FS) from baseline to the 4-week endpoint are reported in order to investigate if changes in sexual functioning correlated with changes in wellbeing. Finally, cumulative links models were fitted in order to investigate differences between male and female participants on any of the sexuality-related items (Supplementary Material 1 ).

Due to the limited sample size and structure of the Likert-item based data, cumulative link models for ordinal regression were performed to compare changes in BISF-W items between the psilocybin and escitalopram arms of the RCT 97 . Cumulative link models are structurally related to mixed linear models, in that they allow fitting random intercepts and slopes on ordinal, instead of continuous data. For the present sample, models with random intercept only were found to produce the best fit indices, based on Bayesian Information Criteria (BIC). Symmetric threshold parameters were chosen for items rated from Strongly Disagree to Strongly Agree, while equidistant thresholds were used for items rated using equally spaced numerically defined proportions (e.g., None of the time, 25% of the time, 50% of the time, etc.). Post-hoc within-group contrasts were calculated based on estimated marginal means for all items. Rosenthal correlation coefficients (R) were added as effect size (EF) estimates in Table 3 . They are calculated by dividing the z value by the sqrt of the sample size 98 . These coefficients are commonly used in the case of ordinal variables and a value of 0.00 < 0.20 indicates a very low ES, 0.20 < 0.40 low ES, 0.40 < 0.60 moderate ES, 0.60 < 0.80 strong ES, 0.80 < 1.00 very strong ES. Scores on the BISF-W item 13, which was only included at the endpoint, were compared between the groups via Mann Whitney U tests, where rank-biserial correlation coefficients (r) ≥ 0.3 was defined as a small, r ≤ 0.5 medium and r > 0.5 as a large effect. Ordinal scores from the PRSexDQ-SALSEX, which was also only included at the endpoint, were also compared using a Mann Whitney U test in order to investigate differences in the severity of sexual dysfunction between the two groups.

Due to the small sample size, Bonferroni-corrected spearman correlations between longitudinal changes in depressive symptoms (QIDS-SR-16) and SF were calculated based only on the retrospective BISF-W item 13 investigating retrospective changes in sexual interest, arousal, activity, satisfaction, and anxiety in order avoid inflation of the number of tests. These correlations investigated if changes in depression correlated with changes in sexual functioning.

Data availability

The data that support the findings of this study are available from the corresponding author, [TB], upon reasonable request.

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Acknowledgements

TB would like to thank Dr Zhana Vrangalova for the intellectual input and useful feedback on this work.

We would like to thank the Alexander Mosley Charitable Trust for funding the psilocybin vs escitalopram clinical trial. We would also like to acknowledge the funders of the Center for Psychedelic Research for providing supplementary funding for staff involved in the trial.

Author information

These authors contributed equally: Tommaso Barba and Hannes Kettner.

These authors jointly supervised this work: Robin Carhart-Harris and Bruna Giribaldi.

Authors and Affiliations

Department of Medicine, Centre for Psychedelic Research, Imperial College London, London, UK

Tommaso Barba, Hannes Kettner, Caterina Radu, Joseph M. Peill, Leor Roseman, David J. Nutt, David Erritzoe, Robin Carhart-Harris & Bruna Giribaldi

Psychedelics Division, Neuroscape, Department of Neurology, University of California San Francisco, San Francisco, United States

Hannes Kettner & Robin Carhart-Harris

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Contributions

B.T.—formulating the research questions, conducting the data analysis, visualizing the results, interpreting the results, reviewing the literature, writing the paper. H.K.—formulating the research questions, planning and conducting the data analysis, visualizing the results, interpreting the results, reviewing the literature, writing the paper. C.R.—Writing the paper, help with literature search and figure design. J.M.P.—Providing valuable feedback and responsible of data administration of both studies. L.R.—designing and data collection in study 1 and providing feedback. D.N.—Principal Investigator of study 2 and providing feedback. D.E.—designing study 1 and 2 and providing feedback. R.C.-H.—Designing study 1 and 2, supervision of research questions, data analysis, interpretation, and writing. B.G.—Formulating the research questions, supervision of data analysis, interpretation, writing and trial coordination of study 2.

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Correspondence to Tommaso Barba .

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Competing interests.

Dr. Carhart-Harris reports receiving consulting fees from Mindstate and Beckley Psytech. Dr. Erritzoe reports receiving consulting fees from Field Trip and Mydecine. Dr. Nutt, reports receiving consulting fees from Awakn, H. Lundbeck, and Psyched Wellness, advisory board fees from COMPASS Pathways, and lecture fees from Takeda Medical Research Foundation and owning stock in Alcarelle.Tommaso Barba reports receiving consulting fees from LivingAdamo. None of the aforementioned organizations were involved in the design, execution, interpretation, or communication of findings from present study. The other authors declare no competing interests.

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Barba, T., Kettner, H., Radu, C. et al. Psychedelics and sexual functioning: a mixed-methods study. Sci Rep 14 , 2181 (2024). https://doi.org/10.1038/s41598-023-49817-4

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Introduction, 1 installed capacity and application of solar energy worldwide, 2 the role of solar energy in sustainable development, 3 the perspective of solar energy, 4 conclusions, conflict of interest statement.

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Solar energy technology and its roles in sustainable development

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Ali O M Maka, Jamal M Alabid, Solar energy technology and its roles in sustainable development, Clean Energy , Volume 6, Issue 3, June 2022, Pages 476–483, https://doi.org/10.1093/ce/zkac023

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Solar energy is environmentally friendly technology, a great energy supply and one of the most significant renewable and green energy sources. It plays a substantial role in achieving sustainable development energy solutions. Therefore, the massive amount of solar energy attainable daily makes it a very attractive resource for generating electricity. Both technologies, applications of concentrated solar power or solar photovoltaics, are always under continuous development to fulfil our energy needs. Hence, a large installed capacity of solar energy applications worldwide, in the same context, supports the energy sector and meets the employment market to gain sufficient development. This paper highlights solar energy applications and their role in sustainable development and considers renewable energy’s overall employment potential. Thus, it provides insights and analysis on solar energy sustainability, including environmental and economic development. Furthermore, it has identified the contributions of solar energy applications in sustainable development by providing energy needs, creating jobs opportunities and enhancing environmental protection. Finally, the perspective of solar energy technology is drawn up in the application of the energy sector and affords a vision of future development in this domain.

graphic

With reference to the recommendations of the UN, the Climate Change Conference, COP26, was held in Glasgow , UK, in 2021. They reached an agreement through the representatives of the 197 countries, where they concurred to move towards reducing dependency on coal and fossil-fuel sources. Furthermore, the conference stated ‘the various opportunities for governments to prioritize health and equity in the international climate movement and sustainable development agenda’. Also, one of the testaments is the necessity to ‘create energy systems that protect and improve climate and health’ [ 1 , 2 ].

The Paris Climate Accords is a worldwide agreement on climate change signed in 2015, which addressed the mitigation of climate change, adaptation and finance. Consequently, the representatives of 196 countries concurred to decrease their greenhouse gas emissions [ 3 ]. The Paris Agreement is essential for present and future generations to attain a more secure and stable environment. In essence, the Paris Agreement has been about safeguarding people from such an uncertain and progressively dangerous environment and ensuring everyone can have the right to live in a healthy, pollutant-free environment without the negative impacts of climate change [ 3 , 4 ].

In recent decades, there has been an increase in demand for cleaner energy resources. Based on that, decision-makers of all countries have drawn up plans that depend on renewable sources through a long-term strategy. Thus, such plans reduce the reliance of dependence on traditional energy sources and substitute traditional energy sources with alternative energy technology. As a result, the global community is starting to shift towards utilizing sustainable energy sources and reducing dependence on traditional fossil fuels as a source of energy [ 5 , 6 ].

In 2015, the UN adopted the sustainable development goals (SDGs) and recognized them as international legislation, which demands a global effort to end poverty, safeguard the environment and guarantee that by 2030, humanity lives in prosperity and peace. Consequently, progress needs to be balanced among economic, social and environmental sustainability models [ 7 ].

Many national and international regulations have been established to control the gas emissions and pollutants that impact the environment [ 8 ]. However, the negative effects of increased carbon in the atmosphere have grown in the last 10 years. Production and use of fossil fuels emit methane (CH 4 ), carbon dioxide (CO 2 ) and carbon monoxide (CO), which are the most significant contributors to environmental emissions on our planet. Additionally, coal and oil, including gasoline, coal, oil and methane, are commonly used in energy for transport or for generating electricity. Therefore, burning these fossil fuel s is deemed the largest emitter when used for electricity generation, transport, etc. However, these energy resources are considered depleted energy sources being consumed to an unsustainable degree [ 9–11 ].

Energy is an essential need for the existence and growth of human communities. Consequently, the need for energy has increased gradually as human civilization has progressed. Additionally, in the past few decades, the rapid rise of the world’s population and its reliance on technological developments have increased energy demands. Furthermore, green technology sources play an important role in sustainably providing energy supplies, especially in mitigating climate change [ 5 , 6 , 8 ].

Currently, fossil fuels remain dominant and will continue to be the primary source of large-scale energy for the foreseeable future; however, renewable energy should play a vital role in the future of global energy. The global energy system is undergoing a movement towards more sustainable sources of energy [ 12 , 13 ].

Power generation by fossil-fuel resources has peaked, whilst solar energy is predicted to be at the vanguard of energy generation in the near future. Moreover, it is predicted that by 2050, the generation of solar energy will have increased to 48% due to economic and industrial growth [ 13 , 14 ].

In recent years, it has become increasingly obvious that the globe must decrease greenhouse gas emissions by 2050, ideally towards net zero, if we are to fulfil the Paris Agreement’s goal to reduce global temperature increases [ 3 , 4 ]. The net-zero emissions complement the scenario of sustainable development assessment by 2050. According to the agreed scenario of sustainable development, many industrialized economies must achieve net-zero emissions by 2050. However, the net-zero emissions 2050 brought the first detailed International Energy Agency (IEA) modelling of what strategy will be required over the next 10 years to achieve net-zero carbon emissions worldwide by 2050 [ 15–17 ].

The global statistics of greenhouse gas emissions have been identified; in 2019, there was a 1% decrease in CO 2 emissions from the power industry; that figure dropped by 7% in 2020 due to the COVID-19 crisis, thus indicating a drop in coal-fired energy generation that is being squeezed by decreasing energy needs, growth of renewables and the shift away from fossil fuels. As a result, in 2020, the energy industry was expected to generate ~13 Gt CO 2 , representing ~40% of total world energy sector emissions related to CO 2 . The annual electricity generation stepped back to pre-crisis levels by 2021, although due to a changing ‘fuel mix’, the CO 2 emissions in the power sector will grow just a little before remaining roughly steady until 2030 [ 15 ].

Therefore, based on the information mentioned above, the advantages of solar energy technology are a renewable and clean energy source that is plentiful, cheaper costs, less maintenance and environmentally friendly, to name but a few. The significance of this paper is to highlight solar energy applications to ensure sustainable development; thus, it is vital to researchers, engineers and customers alike. The article’s primary aim is to raise public awareness and disseminate the culture of solar energy usage in daily life, since moving forward, it is the best. The scope of this paper is as follows. Section 1 represents a summary of the introduction. Section 2 represents a summary of installed capacity and the application of solar energy worldwide. Section 3 presents the role of solar energy in the sustainable development and employment of renewable energy. Section 4 represents the perspective of solar energy. Finally, Section 5 outlines the conclusions and recommendations for future work.

1.1 Installed capacity of solar energy

The history of solar energy can be traced back to the seventh century when mirrors with solar power were used. In 1893, the photovoltaic (PV) effect was discovered; after many decades, scientists developed this technology for electricity generation [ 18 ]. Based on that, after many years of research and development from scientists worldwide, solar energy technology is classified into two key applications: solar thermal and solar PV.

PV systems convert the Sun’s energy into electricity by utilizing solar panels. These PV devices have quickly become the cheapest option for new electricity generation in numerous world locations due to their ubiquitous deployment. For example, during the period from 2010 to 2018, the cost of generating electricity by solar PV plants decreased by 77%. However, solar PV installed capacity progress expanded 100-fold between 2005 and 2018. Consequently, solar PV has emerged as a key component in the low-carbon sustainable energy system required to provide access to affordable and dependable electricity, assisting in fulfilling the Paris climate agreement and in achieving the 2030 SDG targets [ 19 ].

The installed capacity of solar energy worldwide has been rapidly increased to meet energy demands. The installed capacity of PV technology from 2010 to 2020 increased from 40 334 to 709 674 MW, whereas the installed capacity of concentrated solar power (CSP) applications, which was 1266 MW in 2010, after 10 years had increased to 6479 MW. Therefore, solar PV technology has more deployed installations than CSP applications. So, the stand-alone solar PV and large-scale grid-connected PV plants are widely used worldwide and used in space applications. Fig. 1 represents the installation of solar energy worldwide.

Installation capacity of solar energy worldwide [20].

Installation capacity of solar energy worldwide [ 20 ].

1.2 Application of solar energy

Energy can be obtained directly from the Sun—so-called solar energy. Globally, there has been growth in solar energy applications, as it can be used to generate electricity, desalinate water and generate heat, etc. The taxonomy of applications of solar energy is as follows: (i) PVs and (ii) CSP. Fig. 2 details the taxonomy of solar energy applications.

The taxonomy of solar energy applications.

The taxonomy of solar energy applications.

Solar cells are devices that convert sunlight directly into electricity; typical semiconductor materials are utilized to form a PV solar cell device. These materials’ characteristics are based on atoms with four electrons in their outer orbit or shell. Semiconductor materials are from the periodic table’s group ‘IV’ or a mixture of groups ‘IV’ and ‘II’, the latter known as ‘II–VI’ semiconductors [ 21 ]. Additionally, a periodic table mixture of elements from groups ‘III’ and ‘V’ can create ‘III–V’ materials [ 22 ].

PV devices, sometimes called solar cells, are electronic devices that convert sunlight into electrical power. PVs are also one of the rapidly growing renewable-energy technologies of today. It is therefore anticipated to play a significant role in the long-term world electricity-generating mixture moving forward.

Solar PV systems can be incorporated to supply electricity on a commercial level or installed in smaller clusters for mini-grids or individual usage. Utilizing PV modules to power mini-grids is a great way to offer electricity to those who do not live close to power-transmission lines, especially in developing countries with abundant solar energy resources. In the most recent decade, the cost of producing PV modules has dropped drastically, giving them not only accessibility but sometimes making them the least expensive energy form. PV arrays have a 30-year lifetime and come in various shades based on the type of material utilized in their production.

The most typical method for solar PV desalination technology that is used for desalinating sea or salty water is electrodialysis (ED). Therefore, solar PV modules are directly connected to the desalination process. This technique employs the direct-current electricity to remove salt from the sea or salty water.

The technology of PV–thermal (PV–T) comprises conventional solar PV modules coupled with a thermal collector mounted on the rear side of the PV module to pre-heat domestic hot water. Accordingly, this enables a larger portion of the incident solar energy on the collector to be converted into beneficial electrical and thermal energy.

A zero-energy building is a building that is designed for zero net energy emissions and emits no carbon dioxide. Building-integrated PV (BIPV) technology is coupled with solar energy sources and devices in buildings that are utilized to supply energy needs. Thus, building-integrated PVs utilizing thermal energy (BIPV/T) incorporate creative technologies such as solar cooling [ 23 ].

A PV water-pumping system is typically used to pump water in rural, isolated and desert areas. The system consists of PV modules to power a water pump to the location of water need. The water-pumping rate depends on many factors such as pumping head, solar intensity, etc.

A PV-powered cathodic protection (CP) system is designed to supply a CP system to control the corrosion of a metal surface. This technique is based on the impressive current acquired from PV solar energy systems and is utilized for burying pipelines, tanks, concrete structures, etc.

Concentrated PV (CPV) technology uses either the refractive or the reflective concentrators to increase sunlight to PV cells [ 24 , 25 ]. High-efficiency solar cells are usually used, consisting of many layers of semiconductor materials that stack on top of each other. This technology has an efficiency of >47%. In addition, the devices produce electricity and the heat can be used for other purposes [ 26 , 27 ].

For CSP systems, the solar rays are concentrated using mirrors in this application. These rays will heat a fluid, resulting in steam used to power a turbine and generate electricity. Large-scale power stations employ CSP to generate electricity. A field of mirrors typically redirect rays to a tall thin tower in a CSP power station. Thus, numerous large flat heliostats (mirrors) are used to track the Sun and concentrate its light onto a receiver in power tower systems, sometimes known as central receivers. The hot fluid could be utilized right away to produce steam or stored for later usage. Another of the great benefits of a CSP power station is that it may be built with molten salts to store heat and generate electricity outside of daylight hours.

Mirrored dishes are used in dish engine systems to focus and concentrate sunlight onto a receiver. The dish assembly tracks the Sun’s movement to capture as much solar energy as possible. The engine includes thin tubes that work outside the four-piston cylinders and it opens into the cylinders containing hydrogen or helium gas. The pistons are driven by the expanding gas. Finally, the pistons drive an electric generator by turning a crankshaft.

A further water-treatment technique, using reverse osmosis, depends on the solar-thermal and using solar concentrated power through the parabolic trough technique. The desalination employs CSP technology that utilizes hybrid integration and thermal storage allows continuous operation and is a cost-effective solution. Solar thermal can be used for domestic purposes such as a dryer. In some countries or societies, the so-called food dehydration is traditionally used to preserve some food materials such as meats, fruits and vegetables.

Sustainable energy development is defined as the development of the energy sector in terms of energy generating, distributing and utilizing that are based on sustainability rules [ 28 ]. Energy systems will significantly impact the environment in both developed and developing countries. Consequently, the global sustainable energy system must optimize efficiency and reduce emissions [ 29 ].

The sustainable development scenario is built based on the economic perspective. It also examines what activities will be required to meet shared long-term climate benefits, clean air and energy access targets. The short-term details are based on the IEA’s sustainable recovery strategy, which aims to promote economies and employment through developing a cleaner and more reliable energy infrastructure [ 15 ]. In addition, sustainable development includes utilizing renewable-energy applications, smart-grid technologies, energy security, and energy pricing, and having a sound energy policy [ 29 ].

The demand-side response can help meet the flexibility requirements in electricity systems by moving demand over time. As a result, the integration of renewable technologies for helping facilitate the peak demand is reduced, system stability is maintained, and total costs and CO 2 emissions are reduced. The demand-side response is currently used mostly in Europe and North America, where it is primarily aimed at huge commercial and industrial electricity customers [ 15 ].

International standards are an essential component of high-quality infrastructure. Establishing legislative convergence, increasing competition and supporting innovation will allow participants to take part in a global world PV market [ 30 ]. Numerous additional countries might benefit from more actively engaging in developing global solar PV standards. The leading countries in solar PV manufacturing and deployment have embraced global standards for PV systems and highly contributed to clean-energy development. Additional assistance and capacity-building to enhance quality infrastructure in developing economies might also help support wider implementation and compliance with international solar PV standards. Thus, support can bring legal requirements and frameworks into consistency and give additional impetus for the trade of secure and high-quality solar PV products [ 19 ].

Continuous trade-led dissemination of solar PV and other renewable technologies will strengthen the national infrastructure. For instance, off-grid solar energy alternatives, such as stand-alone systems and mini-grids, could be easily deployed to assist healthcare facilities in improving their degree of services and powering portable testing sites and vaccination coolers. In addition to helping in the immediate medical crisis, trade-led solar PV adoption could aid in the improving economy from the COVID-19 outbreak, not least by providing jobs in the renewable-energy sector, which are estimated to reach >40 million by 2050 [ 19 ].

The framework for energy sustainability development, by the application of solar energy, is one way to achieve that goal. With the large availability of solar energy resources for PV and CSP energy applications, we can move towards energy sustainability. Fig. 3 illustrates plans for solar energy sustainability.

Framework for solar energy applications in energy sustainability.

Framework for solar energy applications in energy sustainability.

The environmental consideration of such applications, including an aspect of the environmental conditions, operating conditions, etc., have been assessed. It is clean, friendly to the environment and also energy-saving. Moreover, this technology has no removable parts, low maintenance procedures and longevity.

Economic and social development are considered by offering job opportunities to the community and providing cheaper energy options. It can also improve people’s income; in turn, living standards will be enhanced. Therefore, energy is paramount, considered to be the most vital element of human life, society’s progress and economic development.

As efforts are made to increase the energy transition towards sustainable energy systems, it is anticipated that the next decade will see a continued booming of solar energy and all clean-energy technology. Scholars worldwide consider research and innovation to be substantial drivers to enhance the potency of such solar application technology.

2.1 Employment from renewable energy

The employment market has also boomed with the deployment of renewable-energy technology. Renewable-energy technology applications have created >12 million jobs worldwide. The solar PV application came as the pioneer, which created >3 million jobs. At the same time, while the solar thermal applications (solar heating and cooling) created >819 000 jobs, the CSP attained >31 000 jobs [ 20 ].

According to the reports, although top markets such as the USA, the EU and China had the highest investment in renewables jobs, other Asian countries have emerged as players in the solar PV panel manufacturers’ industry [ 31 ].

Solar energy employment has offered more employment than other renewable sources. For example, in the developing countries, there was a growth in employment chances in solar applications that powered ‘micro-enterprises’. Hence, it has been significant in eliminating poverty, which is considered the key goal of sustainable energy development. Therefore, solar energy plays a critical part in fulfilling the sustainability targets for a better plant and environment [ 31 , 32 ]. Fig. 4 illustrates distributions of world renewable-energy employment.

World renewable-energy employment [20].

World renewable-energy employment [ 20 ].

The world distribution of PV jobs is disseminated across the continents as follows. There was 70% employment in PV applications available in Asia, while 10% is available in North America, 10% available in South America and 10% availability in Europe. Table 1 details the top 10 countries that have relevant jobs in Asia, North America, South America and Europe.

List of the top 10 countries that created jobs in solar PV applications [ 19 , 33 ]

Solar energy investments can meet energy targets and environmental protection by reducing carbon emissions while having no detrimental influence on the country’s development [ 32 , 34 ]. In countries located in the ‘Sunbelt’, there is huge potential for solar energy, where there is a year-round abundance of solar global horizontal irradiation. Consequently, these countries, including the Middle East, Australia, North Africa, China, the USA and Southern Africa, to name a few, have a lot of potential for solar energy technology. The average yearly solar intensity is >2800 kWh/m 2 and the average daily solar intensity is >7.5 kWh/m 2 . Fig. 5 illustrates the optimum areas for global solar irradiation.

World global solar irradiation map [35].

World global solar irradiation map [ 35 ].

The distribution of solar radiation and its intensity are two important factors that influence the efficiency of solar PV technology and these two parameters vary among different countries. Therefore, it is essential to realize that some solar energy is wasted since it is not utilized. On the other hand, solar radiation is abundant in several countries, especially in developing ones, which makes it invaluable [ 36 , 37 ].

Worldwide, the PV industry has benefited recently from globalization, which has allowed huge improvements in economies of scale, while vertical integration has created strong value chains: as manufacturers source materials from an increasing number of suppliers, prices have dropped while quality has been maintained. Furthermore, the worldwide incorporated PV solar device market is growing fast, creating opportunities enabling solar energy firms to benefit from significant government help with underwriting, subsides, beneficial trading licences and training of a competent workforce, while the increased rivalry has reinforced the motivation to continue investing in research and development, both public and private [ 19 , 33 ].

The global outbreak of COVID-19 has impacted ‘cross-border supply chains’ and those investors working in the renewable-energy sector. As a result, more diversity of solar PV supply-chain processes may be required in the future to enhance long-term flexibility versus exogenous shocks [ 19 , 33 ].

It is vital to establish a well-functioning quality infrastructure to expand the distribution of solar PV technologies beyond borders and make it easier for new enterprises to enter solar PV value chains. In addition, a strong quality infrastructure system is a significant instrument for assisting local firms in meeting the demands of trade markets. Furthermore, high-quality infrastructure can help reduce associated risks with the worldwide PV project value chain, such as underperforming, inefficient and failing goods, limiting the development, improvement and export of these technologies. Governments worldwide are, at various levels, creating quality infrastructure, including the usage of metrology i.e. the science of measurement and its application, regulations, testing procedures, accreditation, certification and market monitoring [ 33 , 38 ].

The perspective is based on a continuous process of technological advancement and learning. Its speed is determined by its deployment, which varies depending on the scenario [ 39 , 40 ]. The expense trends support policy preferences for low-carbon energy sources, particularly in increased energy-alteration scenarios. Emerging technologies are introduced and implemented as quickly as they ever have been before in energy history [ 15 , 33 ].

The CSP stations have been in use since the early 1980s and are currently found all over the world. The CSP power stations in the USA currently produce >800 MW of electricity yearly, which is sufficient to power ~500 000 houses. New CSP heat-transfer fluids being developed can function at ~1288 o C, which is greater than existing fluids, to improve the efficiency of CSP systems and, as a result, to lower the cost of energy generated using this technology. Thus, as a result, CSP is considered to have a bright future, with the ability to offer large-scale renewable energy that can supplement and soon replace traditional electricity-production technologies [ 41 ]. The DESERTEC project has drawn out the possibility of CSP in the Sahara Desert regions. When completed, this investment project will have the world’s biggest energy-generation capacity through the CSP plant, which aims to transport energy from North Africa to Europe [ 42 , 43 ].

The costs of manufacturing materials for PV devices have recently decreased, which is predicted to compensate for the requirements and increase the globe’s electricity demand [ 44 ]. Solar energy is a renewable, clean and environmentally friendly source of energy. Therefore, solar PV application techniques should be widely utilized. Although PV technology has always been under development for a variety of purposes, the fact that PV solar cells convert the radiant energy from the Sun directly into electrical power means it can be applied in space and in terrestrial applications [ 38 , 45 ].

In one way or another, the whole renewable-energy sector has a benefit over other energy industries. A long-term energy development plan needs an energy source that is inexhaustible, virtually accessible and simple to gather. The Sun rises over the horizon every day around the globe and leaves behind ~108–1018 kWh of energy; consequently, it is more than humanity will ever require to fulfil its desire for electricity [ 46 ].

The technology that converts solar radiation into electricity is well known and utilizes PV cells, which are already in use worldwide. In addition, various solar PV technologies are available today, including hybrid solar cells, inorganic solar cells and organic solar cells. So far, solar PV devices made from silicon have led the solar market; however, these PVs have certain drawbacks, such as expenditure of material, time-consuming production, etc. It is important to mention here the operational challenges of solar energy in that it does not work at night, has less output in cloudy weather and does not work in sandstorm conditions. PV battery storage is widely used to reduce the challenges to gain high reliability. Therefore, attempts have been made to find alternative materials to address these constraints. Currently, this domination is challenged by the evolution of the emerging generation of solar PV devices based on perovskite, organic and organic/inorganic hybrid materials.

This paper highlights the significance of sustainable energy development. Solar energy would help steady energy prices and give numerous social, environmental and economic benefits. This has been indicated by solar energy’s contribution to achieving sustainable development through meeting energy demands, creating jobs and protecting the environment. Hence, a paramount critical component of long-term sustainability should be investigated. Based on the current condition of fossil-fuel resources, which are deemed to be depleting energy sources, finding an innovative technique to deploy clean-energy technology is both essential and expected. Notwithstanding, solar energy has yet to reach maturity in development, especially CSP technology. Also, with growing developments in PV systems, there has been a huge rise in demand for PV technology applications all over the globe. Further work needs to be undertaken to develop energy sustainably and consider other clean energy resources. Moreover, a comprehensive experimental and validation process for such applications is required to develop cleaner energy sources to decarbonize our planet.

The authors declare that they have no known competing financial interests or personal relationships that could have appeared to influence the work reported in this paper.

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  10. How to write an introduction for a research paper

    What is an introduction for a research paper? Introductions to research papers do a lot of work. It may seem obvious, but introductions are always placed at the beginning of a paper. They guide your reader from a general subject area to the narrow topic that your paper covers. They also explain your paper's: Scope: The topic you'll be covering

  11. How to Write a Research Paper Introduction in 4 Steps

    Research paper introduction example. The following introduction is taken from a research paper exploring the potential uses of the peach palm. We've highlighted each step we mentioned above. Note that some of the steps may overlap a bit; the goal is to include all four components.

  12. How to write an introduction for a research paper

    The introduction to a research paper provides background information or context on the topic. It also includes the thesis statement and signposts that let the reader know what you will cover in the rest of the paper. Depending on the type of research paper that you're writing, you may also include a brief state of the field in your ...

  13. Learn How to Write an Introduction for a Research Paper

    An introduction is the initial part of a research paper and the part that a reader is likely to read first (at least when focusing deeply and reading it in detail). Hence, definitions, notions, and other information required for understanding the paper are presented/listed here.

  14. How to Write a Research Introduction: 10 Steps (with Pictures)

    The introduction to a research paper can be the most challenging part of the paper to write. The length of the introduction will vary depending on the type of research paper you are writing. An introduction should announce your topic, provide context and a rationale for your work, before stating your research questions and hypothesis. ...

  15. Organizing Academic Research Papers: 4. The Introduction

    The Introduction 1. Choosing a Topic 2. Preparing to Write 3. The Abstract 6. The Methodology 9. The Conclusion 11. Citing Sources Writing a Book Review Writing a Field Report Definition The introduction serves the purpose of leading the reader from a general subject area to a particular field of research.

  16. How to Write an Introduction, With Examples

    An introduction for an essay or research paper is the first paragraph, which explains the topic and prepares the reader for the rest of the work. Because it's responsible for both the reader's first impression and setting the stage for the rest of the work, the introduction paragraph is arguably the most important paragraph in the work.

  17. How to Write a Research Paper Introduction: Hook, Line, and Sinker

    A captivating introduction should immediately grab the reader's attention and draw them in, enticing them to learn more about your unique research. It should be thought-provoking, relevant and informative. By connecting with your audience and allowing them to identify with your work, you create an emotional investment from the start.

  18. How to Write a Thesis or Dissertation Introduction

    The introduction is the first section of your thesis or dissertation, appearing right after the table of contents. Your introduction draws your reader in, setting the stage for your research with a clear focus, purpose, and direction on a relevant topic. Your introduction should include:

  19. (PDF) How to Write an Introduction for Research

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

  20. Q: How is an introduction written in a research paper?

    Answer: The Introduction section sets the context for your research work, explains the research problem, and indicates the purpose behind the study. The Introduction also highlights how your research contributes to knowledge in your field and builds on previous similar studies. You need to ensure that your introduction does the following:

  21. (PDF) Introduction to research: Mastering the basics

    Abstract and Figures. This paper provides an in-depth introduction to research methods and discusses numerous aspects related to the research process. It begins with an overview of research—what ...

  22. The complexity of leadership in coproduction practices: a guiding

    Analysis. The method used for this research was a systematic review with qualitative synthesis. The strength of this approach lies in its ability to complement research evidence with user and practitioner considerations [].In the process of examining the full texts of the papers, two researchers (SK and SS) extracted background data independently.

  23. Rapid reviews methods series: guidance on rapid qualitative evidence

    This paper forms part of a series of methodological guidance from the Cochrane Rapid Reviews Methods Group and addresses rapid qualitative evidence syntheses (QESs), which use modified systematic, transparent and reproducible methodsu to accelerate the synthesis of qualitative evidence when faced with resource constraints. This guidance covers the review process as it relates to synthesis of ...

  24. Introducing Gemini 1.5, Google's next-generation AI model

    Gemini 1.5 delivers dramatically enhanced performance. It represents a step change in our approach, building upon research and engineering innovations across nearly every part of our foundation model development and infrastructure. This includes making Gemini 1.5 more efficient to train and serve, with a new Mixture-of-Experts (MoE) architecture.

  25. What should I include in a research paper introduction?

    The introduction of a research paper includes several key elements: A hook to catch the reader's interest Relevant background on the topic Details of your research problem and your problem statement A thesis statement or research question Sometimes an overview of the paper Frequently asked questions: Writing a research paper

  26. Psychedelics and sexual functioning: a mixed-methods study

    B.T.—formulating the research questions, conducting the data analysis, visualizing the results, interpreting the results, reviewing the literature, writing the paper. H.K.—formulating the ...

  27. Solar energy technology and its roles in sustainable development

    The article's primary aim is to raise public awareness and disseminate the culture of solar energy usage in daily life, since moving forward, it is the best. The scope of this paper is as follows. Section 1 represents a summary of the introduction. Section 2 represents a summary of installed capacity and the application of solar energy worldwide.