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How to Write a Research Paper Introduction (with Examples)

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

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

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

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

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

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Table of Contents

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

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

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

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

What are the parts of introduction in the research?

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

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

How to write a research paper introduction?

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

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

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

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

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

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

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

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

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How to use Paperpal to write the Introduction section

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

How to Write Research Paper Introduction

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

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

Structure of Research Paper Introduction

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

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

Research Paper Introduction Examples

Research Paper Introduction Examples could be:

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

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

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

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

Purpose of Research Paper Introduction

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

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

When to Write Research Paper Introduction

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

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

Advantages of Research Paper Introduction

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

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

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Muhammad Hassan

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How to write an effective introduction for your research paper

Last updated

20 January 2024

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However, the introduction is a vital element of your research paper . It helps the reader decide whether your paper is worth their time. As such, it's worth taking your time to get it right.

In this article, we'll tell you everything you need to know about writing an effective introduction for your research paper.

• The importance of an introduction in research papers

The primary purpose of an introduction is to provide an overview of your paper. This lets readers gauge whether they want to continue reading or not. The introduction should provide a meaningful roadmap of your research to help them make this decision. It should let readers know whether the information they're interested in is likely to be found in the pages that follow.

Aside from providing readers with information about the content of your paper, the introduction also sets the tone. It shows readers the style of language they can expect, which can further help them to decide how far to read.

When you take into account both of these roles that an introduction plays, it becomes clear that crafting an engaging introduction is the best way to get your paper read more widely. First impressions count, and the introduction provides that impression to readers.

• The optimum length for a research paper introduction

While there's no magic formula to determine exactly how long a research paper introduction should be, there are a few guidelines. Some variables that impact the ideal introduction length include:

Field of study

Complexity of the topic

Specific requirements of the course or publication

A commonly recommended length of a research paper introduction is around 10% of the total paper’s length. So, a ten-page paper has a one-page introduction. If the topic is complex, it may require more background to craft a compelling intro. Humanities papers tend to have longer introductions than those of the hard sciences.

The best way to craft an introduction of the right length is to focus on clarity and conciseness. Tell the reader only what is necessary to set up your research. An introduction edited down with this goal in mind should end up at an acceptable length.

• Evaluating successful research paper introductions

A good way to gauge how to create a great introduction is by looking at examples from across your field. The most influential and well-regarded papers should provide some insights into what makes a good introduction.

Dissecting examples: what works and why

We can make some general assumptions by looking at common elements of a good introduction, regardless of the field of research.

A common structure is to start with a broad context, and then narrow that down to specific research questions or hypotheses. This creates a funnel that establishes the scope and relevance.

The most effective introductions are careful about the assumptions they make regarding reader knowledge. By clearly defining key terms and concepts instead of assuming the reader is familiar with them, these introductions set a more solid foundation for understanding.

To pull in the reader and make that all-important good first impression, excellent research paper introductions will often incorporate a compelling narrative or some striking fact that grabs the reader's attention.

Finally, good introductions provide clear citations from past research to back up the claims they're making. In the case of argumentative papers or essays (those that take a stance on a topic or issue), a strong thesis statement compels the reader to continue reading.

Common pitfalls to avoid in research paper introductions

You can also learn what not to do by looking at other research papers. Many authors have made mistakes you can learn from.

We've talked about the need to be clear and concise. Many introductions fail at this; they're verbose, vague, or otherwise fail to convey the research problem or hypothesis efficiently. This often comes in the form of an overemphasis on background information, which obscures the main research focus.

Ensure your introduction provides the proper emphasis and excitement around your research and its significance. Otherwise, fewer people will want to read more about it.

• Crafting a compelling introduction for a research paper

Let’s take a look at the steps required to craft an introduction that pulls readers in and compels them to learn more about your research.

Step 1: Capturing interest and setting the scene

To capture the reader's interest immediately, begin your introduction with a compelling question, a surprising fact, a provocative quote, or some other mechanism that will hook readers and pull them further into the paper.

As they continue reading, the introduction should contextualize your research within the current field, showing readers its relevance and importance. Clarify any essential terms that will help them better understand what you're saying. This keeps the fundamentals of your research accessible to all readers from all backgrounds.

Step 2: Building a solid foundation with background information

Including background information in your introduction serves two major purposes:

It helps to clarify the topic for the reader

It establishes the depth of your research

The approach you take when conveying this information depends on the type of paper.

For argumentative papers, you'll want to develop engaging background narratives. These should provide context for the argument you'll be presenting.

For empirical papers, highlighting past research is the key. Often, there will be some questions that weren't answered in those past papers. If your paper is focused on those areas, those papers make ideal candidates for you to discuss and critique in your introduction.

Step 3: Pinpointing the research challenge

To capture the attention of the reader, you need to explain what research challenges you'll be discussing.

For argumentative papers, this involves articulating why the argument you'll be making is important. What is its relevance to current discussions or problems? What is the potential impact of people accepting or rejecting your argument?

For empirical papers, explain how your research is addressing a gap in existing knowledge. What new insights or contributions will your research bring to your field?

Step 4: Clarifying your research aims and objectives

We mentioned earlier that the introduction to a research paper can serve as a roadmap for what's within. We've also frequently discussed the need for clarity. This step addresses both of these.

When writing an argumentative paper, craft a thesis statement with impact. Clearly articulate what your position is and the main points you intend to present. This will map out for the reader exactly what they'll get from reading the rest.

For empirical papers, focus on formulating precise research questions and hypotheses. Directly link them to the gaps or issues you've identified in existing research to show the reader the precise direction your research paper will take.

Step 5: Sketching the blueprint of your study

Continue building a roadmap for your readers by designing a structured outline for the paper. Guide the reader through your research journey, explaining what the different sections will contain and their relationship to one another.

This outline should flow seamlessly as you move from section to section. Creating this outline early can also help guide the creation of the paper itself, resulting in a final product that's better organized. In doing so, you'll craft a paper where each section flows intuitively from the next.

Step 6: Integrating your research question

To avoid letting your research question get lost in background information or clarifications, craft your introduction in such a way that the research question resonates throughout. The research question should clearly address a gap in existing knowledge or offer a new perspective on an existing problem.

Tell users your research question explicitly but also remember to frequently come back to it. When providing context or clarification, point out how it relates to the research question. This keeps your focus where it needs to be and prevents the topic of the paper from becoming under-emphasized.

Step 7: Establishing the scope and limitations

So far, we've talked mostly about what's in the paper and how to convey that information to readers. The opposite is also important. Information that's outside the scope of your paper should be made clear to the reader in the introduction so their expectations for what is to follow are set appropriately.

Similarly, be honest and upfront about the limitations of the study. Any constraints in methodology, data, or how far your findings can be generalized should be fully communicated in the introduction.

Step 8: Concluding the introduction with a promise

The final few lines of the introduction are your last chance to convince people to continue reading the rest of the paper. Here is where you should make it very clear what benefit they'll get from doing so. What topics will be covered? What questions will be answered? Make it clear what they will get for continuing.

By providing a quick recap of the key points contained in the introduction in its final lines and properly setting the stage for what follows in the rest of the paper, you refocus the reader's attention on the topic of your research and guide them to read more.

• Research paper introduction best practices

Following the steps above will give you a compelling introduction that hits on all the key points an introduction should have. Some more tips and tricks can make an introduction even more polished.

As you follow the steps above, keep the following tips in mind.

Set the right tone and style

Like every piece of writing, a research paper should be written for the audience. That is to say, it should match the tone and style that your academic discipline and target audience expect. This is typically a formal and academic tone, though the degree of formality varies by field.

Kno w the audience

The perfect introduction balances clarity with conciseness. The amount of clarification required for a given topic depends greatly on the target audience. Knowing who will be reading your paper will guide you in determining how much background information is required.

Adopt the CARS (create a research space) model

The CARS model is a helpful tool for structuring introductions. This structure has three parts. The beginning of the introduction establishes the general research area. Next, relevant literature is reviewed and critiqued. The final section outlines the purpose of your study as it relates to the previous parts.

Master the art of funneling

The CARS method is one example of a well-funneled introduction. These start broadly and then slowly narrow down to your specific research problem. It provides a nice narrative flow that provides the right information at the right time. If you stray from the CARS model, try to retain this same type of funneling.

Incorporate narrative element

People read research papers largely to be informed. But to inform the reader, you have to hold their attention. A narrative style, particularly in the introduction, is a great way to do that. This can be a compelling story, an intriguing question, or a description of a real-world problem.

Write the introduction last

By writing the introduction after the rest of the paper, you'll have a better idea of what your research entails and how the paper is structured. This prevents the common problem of writing something in the introduction and then forgetting to include it in the paper. It also means anything particularly exciting in the paper isn’t neglected in the intro.

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• USC Libraries
• Research Guides

Organizing Your Social Sciences Research Paper

• 4. The Introduction
• Purpose of Guide
• Design Flaws to Avoid
• Independent and Dependent Variables
• Glossary of Research Terms
• Reading Research Effectively
• Narrowing a Topic Idea
• Broadening a Topic Idea
• Extending the Timeliness of a Topic Idea
• Academic Writing Style
• Applying Critical Thinking
• Choosing a Title
• Making an Outline
• Paragraph Development
• Research Process Video Series
• Executive Summary
• The C.A.R.S. Model
• Background Information
• The Research Problem/Question
• Theoretical Framework
• Citation Tracking
• Content Alert Services
• Evaluating Sources
• Primary Sources
• Secondary Sources
• Tiertiary Sources
• Scholarly vs. Popular Publications
• Qualitative Methods
• Quantitative Methods
• Insiderness
• Using Non-Textual Elements
• Limitations of the Study
• Common Grammar Mistakes
• Writing Concisely
• Avoiding Plagiarism
• Footnotes or Endnotes?
• Further Readings
• Generative AI and Writing
• USC Libraries Tutorials and Other Guides
• Bibliography

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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• If you are writing in a new discipline, you should always make sure to ask about conventions and expectations for introductions, just as you would for any other aspect of the essay. For example, while it may be acceptable to write a two-paragraph (or longer) introduction for your papers in some courses, instructors in other disciplines, such as those in some Government courses, may expect a shorter introduction that includes a preview of the argument that will follow.  
• In some disciplines (Government, Economics, and others), it’s common to offer an overview in the introduction of what points you will make in your essay. In other disciplines, you will not be expected to provide this overview in your introduction.  
• Avoid writing a very general opening sentence. While it may be true that “Since the dawn of time, people have been telling love stories,” it won’t help you explain what’s interesting about your topic.  
• Avoid writing a “funnel” introduction in which you begin with a very broad statement about a topic and move to a narrow statement about that topic. Broad generalizations about a topic will not add to your readers’ understanding of your specific essay topic.  
• Avoid beginning with a dictionary definition of a term or concept you will be writing about. If the concept is complicated or unfamiliar to your readers, you will need to define it in detail later in your essay. If it’s not complicated, you can assume your readers already know the definition.  
• Avoid offering too much detail in your introduction that a reader could better understand later in the paper.
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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 2,653,322 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

• 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.

• 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.

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

• 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

• 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.

• 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.

• 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

• 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.

• 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".

• 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

Community Q&A

• 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

• 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

You Might Also Like

• ↑ 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

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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How to Write a Thesis or Dissertation Introduction

Published on 9 September 2022 by Tegan George and Shona McCombes.

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.

Your introduction should include:

• Your topic, in context: what does your reader need to know to understand your thesis dissertation?
• Your focus and scope: what specific aspect of the topic will you address?
• The relevance of your research: how does your work fit into existing studies on your topic?
• Your questions and objectives: what does your research aim to find out, and how?
• An overview of your structure: what does each section contribute to the overall aim?

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Table of contents

How to start your introduction, topic and context, focus and scope, relevance and importance, questions and objectives, overview of the structure, thesis introduction example, introduction checklist, frequently asked questions about introductions.

Although your introduction kicks off your dissertation, it doesn’t have to be the first thing you write – in fact, it’s often one of the very last parts to be completed (just before your abstract ).

It’s a good idea to write a rough draft of your introduction as you begin your research, to help guide you. If you wrote a research proposal , consider using this as a template, as it contains many of the same elements. However, be sure to revise your introduction throughout the writing process, making sure it matches the content of your ensuing sections.

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Begin by introducing your research topic and giving any necessary background information. It’s important to contextualise your research and generate interest. Aim to show why your topic is timely or important. You may want to mention a relevant news item, academic debate, or practical problem.

After a brief introduction to your general area of interest, narrow your focus and define the scope of your research.

You can narrow this down in many ways, such as by:

• Geographical area
• Time period
• Demographics or communities
• Themes or aspects of the topic

It’s essential to share your motivation for doing this research, as well as how it relates to existing work on your topic. Further, you should also mention what new insights you expect it will contribute.

Start by giving a brief overview of the current state of research. You should definitely cite the most relevant literature, but remember that you will conduct a more in-depth survey of relevant sources in the literature review section, so there’s no need to go too in-depth in the introduction.

Depending on your field, the importance of your research might focus on its practical application (e.g., in policy or management) or on advancing scholarly understanding of the topic (e.g., by developing theories or adding new empirical data). In many cases, it will do both.

Ultimately, your introduction should explain how your thesis or dissertation:

• Helps solve a practical or theoretical problem
• Addresses a gap in the literature
• Builds on existing research
• Proposes a new understanding of your topic

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Perhaps the most important part of your introduction is your questions and objectives, as it sets up the expectations for the rest of your thesis or dissertation. How you formulate your research questions and research objectives will depend on your discipline, topic, and focus, but you should always clearly state the central aim of your research.

If your research aims to test hypotheses , you can formulate them here. Your introduction is also a good place for a conceptual framework that suggests relationships between variables .

• Conduct surveys to collect data on students’ levels of knowledge, understanding, and positive/negative perceptions of government policy.
• Determine whether attitudes to climate policy are associated with variables such as age, gender, region, and social class.
• Conduct interviews to gain qualitative insights into students’ perspectives and actions in relation to climate policy.

To help guide your reader, end your introduction with an outline  of the structure of the thesis or dissertation to follow. Share a brief summary of each chapter, clearly showing how each contributes to your central aims. However, be careful to keep this overview concise: 1-2 sentences should be enough.

I. Introduction

Human language consists of a set of vowels and consonants which are combined to form words. During the speech production process, thoughts are converted into spoken utterances to convey a message. The appropriate words and their meanings are selected in the mental lexicon (Dell & Burger, 1997). This pre-verbal message is then grammatically coded, during which a syntactic representation of the utterance is built.

Speech, language, and voice disorders affect the vocal cords, nerves, muscles, and brain structures, which result in a distorted language reception or speech production (Sataloff & Hawkshaw, 2014). The symptoms vary from adding superfluous words and taking pauses to hoarseness of the voice, depending on the type of disorder (Dodd, 2005). However, distortions of the speech may also occur as a result of a disease that seems unrelated to speech, such as multiple sclerosis or chronic obstructive pulmonary disease.

This study aims to determine which acoustic parameters are suitable for the automatic detection of exacerbations in patients suffering from chronic obstructive pulmonary disease (COPD) by investigating which aspects of speech differ between COPD patients and healthy speakers and which aspects differ between COPD patients in exacerbation and stable COPD patients.

Checklist: Introduction

I have introduced my research topic in an engaging way.

I have provided necessary context to help the reader understand my topic.

I have clearly specified the focus of my research.

I have shown the relevance and importance of the dissertation topic .

I have clearly stated the problem or question that my research addresses.

I have outlined the specific objectives of the research .

I have provided an overview of the dissertation’s structure .

You've written a strong introduction for your thesis or dissertation. Use the other checklists to continue improving your dissertation.

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
• A thesis statement or research question
• Sometimes an outline of the paper

Don’t feel that you have to write the introduction first. The introduction is often one of the last parts of the research paper you’ll write, along with the conclusion.

This is because it can be easier to introduce your paper once you’ve already written the body ; you may not have the clearest idea of your arguments until you’ve written them, and things can change during the writing process .

Research objectives describe what you intend your research project to accomplish.

They summarise the approach and purpose of the project and help to focus your research.

Your objectives should appear in the introduction of your research paper , at the end of your problem statement .

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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 they expect 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—they do 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

How to write an introduction for a research paper? Eventually (and with practice) all writers will develop their own strategy for writing the perfect introduction for a research paper. Once you are comfortable with writing, you will probably find your own, but coming up with a good strategy can be tough for beginning writers.

The Purpose of an Introduction

Your opening paragraphs, phrases for introducing thesis statements, research paper introduction examples, using the introduction to map out your research paper.

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• First write your thesis.Your thesis should state the main idea in specific terms.
• After you have a working thesis, tackle the body of your paper before you write the rest of the introduction. Each paragraph in the body should explore one specific topic that proves, or summarizes your thesis. Writing is a thinking process. Once you have worked your way through that process by writing the body of the paper, you will have an intimate understanding of how you are supporting your thesis. After you have written the body paragraphs, go back and rewrite your thesis to make it more specific and to connect it to the topics you addressed in the body paragraph.
• Revise your introduction several times, saving each revision. Be sure your introduction previews the topics you are presenting in your paper. One way of doing this is to use keywords from the topic sentences in each paragraph to introduce, or preview, the topics in your introduction.This “preview” will give your reader a context for understanding how you will make your case.
• Experiment by taking different approaches to your thesis with every revision you make. Play with the language in the introduction. Strike a new tone. Go back and compare versions. Then pick the one that works most effectively with the body of your research paper.
• Do not try to pack everything you want to say into your introduction. Just as your introduction should not be too short, it should also not be too long. Your introduction should be about the same length as any other paragraph in your research paper. Let the content—what you have to say—dictate the length.

The first page of your research paper should draw the reader into the text. It is the paper’s most important page and, alas, often the worst written. There are two culprits here and effective ways to cope with both of them.

First, the writer is usually straining too hard to say something terribly BIG and IMPORTANT about the thesis topic. The goal is worthy, but the aim is unrealistically high. The result is often a muddle of vague platitudes rather than a crisp, compelling introduction to the thesis. Want a familiar example? Listen to most graduation speakers. Their goal couldn’t be loftier: to say what education means and to tell an entire football stadium how to live the rest of their lives. The results are usually an avalanche of clichés and sodden prose.

The second culprit is bad timing. The opening and concluding paragraphs are usually written late in the game, after the rest of the thesis is finished and polished. There’s nothing wrong with writing these sections last. It’s usually the right approach since you need to know exactly what you are saying in the substantive middle sections of the thesis before you can introduce them effectively or draw together your findings. But having waited to write the opening and closing sections, you need to review and edit them several times to catch up. Otherwise, you’ll putting the most jagged prose in the most tender spots. Edit and polish your opening paragraphs with extra care. They should draw readers into the paper.

After you’ve done some extra polishing, I suggest a simple test for the introductory section. As an experiment, chop off the first few paragraphs. Let the paper begin on, say, paragraph 2 or even page 2. If you don’t lose much, or actually gain in clarity and pace, then you’ve got a problem.

There are two solutions. One is to start at this new spot, further into the text. After all, that’s where you finally gain traction on your subject. That works best in some cases, and we occasionally suggest it. The alternative, of course, is to write a new opening that doesn’t flop around, saying nothing.

What makes a good opening? Actually, they come in several flavors. One is an intriguing story about your topic. Another is a brief, compelling quote. When you run across them during your reading, set them aside for later use. Don’t be deterred from using them because they “don’t seem academic enough.” They’re fine as long as the rest of the paper doesn’t sound like you did your research in People magazine. The third, and most common, way to begin is by stating your main questions, followed by a brief comment about why they matter.

Whichever opening you choose, it should engage your readers and coax them to continue. Having done that, you should give them a general overview of the project—the main issues you will cover, the material you will use, and your thesis statement (that is, your basic approach to the topic). Finally, at the end of the introductory section, give your readers a brief road map, showing how the paper will unfold. How you do that depends on your topic but here are some general suggestions for phrase choice that may help:

• This analysis will provide …
• This paper analyzes the relationship between …
• This paper presents an analysis of …
• This paper will argue that …
• This topic supports the argument that…
• Research supports the opinion that …
• This paper supports the opinion that …
• An interpretation of the facts indicates …
• The results of this experiment show …
• The results of this research show …

Comparisons/Contrasts

• A comparison will show that …
• By contrasting the results,we see that …
• This paper examines the advantages and disadvantages of …

Definitions/Classifications

• This paper will provide a guide for categorizing the following:…
• This paper provides a definition of …
• This paper explores the meaning of …
• This paper will discuss the implications of …
• A discussion of this topic reveals …
• The following discussion will focus on …

Description

• This report describes…
• This report will illustrate…
• This paper provides an illustration of …

Process/Experimentation

• This paper will identify the reasons behind…
• The results of the experiment show …
• The process revealed that …
• This paper theorizes…
• This paper presents the theory that …
• In theory, this indicates that …

Quotes, anecdotes, questions, examples, and broad statements—all of them can used successfully to write an introduction for a research paper. It’s instructive to see them in action, in the hands of skilled academic writers.

Let’s begin with David M. Kennedy’s superb history, Freedom from Fear: The American People in Depression and War, 1929–1945 . Kennedy begins each chapter with a quote, followed by his text. The quote above chapter 1 shows President Hoover speaking in 1928 about America’s golden future. The text below it begins with the stock market collapse of 1929. It is a riveting account of just how wrong Hoover was. The text about the Depression is stronger because it contrasts so starkly with the optimistic quotation.

“We in America today are nearer the final triumph over poverty than ever before in the history of any land.”—Herbert Hoover, August 11, 1928 Like an earthquake, the stock market crash of October 1929 cracked startlingly across the United States, the herald of a crisis that was to shake the American way of life to its foundations. The events of the ensuing decade opened a fissure across the landscape of American history no less gaping than that opened by the volley on Lexington Common in April 1775 or by the bombardment of Sumter on another April four score and six years later. The ratcheting ticker machines in the autumn of 1929 did not merely record avalanching stock prices. In time they came also to symbolize the end of an era. (David M. Kennedy, Freedom from Fear: The American People in Depression and War, 1929–1945 . New York: Oxford University Press, 1999, p. 10)

Kennedy has exciting, wrenching material to work with. John Mueller faces the exact opposite problem. In Retreat from Doomsday: The Obsolescence of Major War , he is trying to explain why Great Powers have suddenly stopped fighting each other. For centuries they made war on each other with devastating regularity, killing millions in the process. But now, Mueller thinks, they have not just paused; they have stopped permanently. He is literally trying to explain why “nothing is happening now.” That may be an exciting topic intellectually, it may have great practical significance, but “nothing happened” is not a very promising subject for an exciting opening paragraph. Mueller manages to make it exciting and, at the same time, shows why it matters so much. Here’s his opening, aptly entitled “History’s Greatest Nonevent”:

On May 15, 1984, the major countries of the developed world had managed to remain at peace with each other for the longest continuous stretch of time since the days of the Roman Empire. If a significant battle in a war had been fought on that day, the press would have bristled with it. As usual, however, a landmark crossing in the history of peace caused no stir: the most prominent story in the New York Times that day concerned the saga of a manicurist, a machinist, and a cleaning woman who had just won a big Lotto contest. This book seeks to develop an explanation for what is probably the greatest nonevent in human history. (John Mueller, Retreat from Doomsday: The Obsolescence of Major War . New York: Basic Books, 1989, p. 3)

In the space of a few sentences, Mueller sets up his puzzle and reveals its profound human significance. At the same time, he shows just how easy it is to miss this milestone in the buzz of daily events. Notice how concretely he does that. He doesn’t just say that the New York Times ignored this record setting peace. He offers telling details about what they covered instead: “a manicurist, a machinist, and a cleaning woman who had just won a big Lotto contest.” Likewise, David Kennedy immediately entangles us in concrete events: the stunning stock market crash of 1929. These are powerful openings that capture readers’ interests, establish puzzles, and launch narratives.

Sociologist James Coleman begins in a completely different way, by posing the basic questions he will study. His ambitious book, Foundations of Social Theory , develops a comprehensive theory of social life, so it is entirely appropriate for him to begin with some major questions. But he could just as easily have begun with a compelling story or anecdote. He includes many of them elsewhere in his book. His choice for the opening, though, is to state his major themes plainly and frame them as a paradox. Sociologists, he says, are interested in aggregate behavior—how people act in groups, organizations, or large numbers—yet they mostly examine individuals:

A central problem in social science is that of accounting for the function of some kind of social system. Yet in most social research, observations are not made on the system as a whole, but on some part of it. In fact, the natural unit of observation is the individual person…  This has led to a widening gap between theory and research… (James S. Coleman, Foundations of Social Theory . Cambridge, MA: Harvard University Press, 1990, pp. 1–2)

After expanding on this point, Coleman explains that he will not try to remedy the problem by looking solely at groups or aggregate-level data. That’s a false solution, he says, because aggregates don’t act; individuals do. So the real problem is to show the links between individual actions and aggregate outcomes, between the micro and the macro.

The major problem for explanations of system behavior based on actions and orientations at a level below that of the system [in this case, on individual-level actions] is that of moving from the lower level to the system level. This has been called the micro-to-macro problem, and it is pervasive throughout the social sciences. (Coleman, Foundations of Social Theory , p. 6)

Explaining how to deal with this “micro-to-macro problem” is the central issue of Coleman’s book, and he announces it at the beginning.

Coleman’s theory-driven opening stands at the opposite end of the spectrum from engaging stories or anecdotes, which are designed to lure the reader into the narrative and ease the path to a more analytic treatment later in the text. Take, for example, the opening sentences of Robert L. Herbert’s sweeping study Impressionism: Art, Leisure, and Parisian Society : “When Henry Tuckerman came to Paris in 1867, one of the thousands of Americans attracted there by the huge international exposition, he was bowled over by the extraordinary changes since his previous visit twenty years before.” (Robert L. Herbert, Impressionism: Art, Leisure, and Parisian Society . New Haven, CT: Yale University Press, 1988, p. 1.) Herbert fills in the evocative details to set the stage for his analysis of the emerging Impressionist art movement and its connection to Parisian society and leisure in this period.

David Bromwich writes about Wordsworth, a poet so familiar to students of English literature that it is hard to see him afresh, before his great achievements, when he was just a young outsider starting to write. To draw us into Wordsworth’s early work, Bromwich wants us to set aside our entrenched images of the famous mature poet and see him as he was in the 1790s, as a beginning writer on the margins of society. He accomplishes this ambitious task in the opening sentences of Disowned by Memory: Wordsworth’s Poetry of the 1790s :

Wordsworth turned to poetry after the revolution to remind himself that he was still a human being. It was a curious solution, to a difficulty many would not have felt. The whole interest of his predicament is that he did feel it. Yet Wordsworth is now so established an eminence—his name so firmly fixed with readers as a moralist of self-trust emanating from complete self-security—that it may seem perverse to imagine him as a criminal seeking expiation. Still, that is a picture we get from The Borderers and, at a longer distance, from “Tintern Abbey.” (David Bromwich, Disowned by Memory: Wordsworth’s Poetry of the 1790s . Chicago: University of Chicago Press, 1998, p. 1)

That’s a wonderful opening! Look at how much Bromwich accomplishes in just a few words. He not only prepares the way for analyzing Wordsworth’s early poetry; he juxtaposes the anguished young man who wrote it to the self-confident, distinguished figure he became—the eminent man we can’t help remembering as we read his early poetry.

Let us highlight a couple of other points in this passage because they illustrate some intelligent writing choices. First, look at the odd comma in this sentence: “It was a curious solution, to a difficulty many would not have felt.” Any standard grammar book would say that comma is wrong and should be omitted. Why did Bromwich insert it? Because he’s a fine writer, thinking of his sentence rhythm and the point he wants to make. The comma does exactly what it should. It makes us pause, breaking the sentence into two parts, each with an interesting point. One is that Wordsworth felt a difficulty others would not have; the other is that he solved it in a distinctive way. It would be easy for readers to glide over this double message, so Bromwich has inserted a speed bump to slow us down. Most of the time, you should follow grammatical rules, like those about commas, but you should bend them when it serves a good purpose. That’s what the writer does here.

The second small point is the phrase “after the revolution” in the first sentence: “Wordsworth turned to poetry after the revolution to remind himself that he was still a human being.” Why doesn’t Bromwich say “after the French Revolution”? Because he has judged his book’s audience. He is writing for specialists who already know which revolution is reverberating through English life in the 1790s. It is the French Revolution, not the earlier loss of the American colonies. If Bromwich were writing for a much broader audience—say, the New York Times Book Review—he would probably insert the extra word to avoid confusion.

The message “Know your audience” applies to all writers. Don’t talk down to them by assuming they can’t get dressed in the morning. Don’t strut around showing off your book learnin’ by tossing in arcane facts and esoteric language for its own sake. Neither will win over readers.

Bromwich, Herbert, and Coleman open their works in different ways, but their choices work well for their different texts. Your task is to decide what kind of opening will work best for yours. Don’t let that happen by default, by grabbing the first idea you happen upon. Consider a couple of different ways of opening your thesis and then choose the one you prefer. Give yourself some options, think them over, then make an informed choice.

Whether you begin with a story, puzzle, or broad statement, the next part of the introduction should pose your main questions and establish your argument. This is your thesis statement—your viewpoint along with the supporting reasons and evidence. It should be articulated plainly so readers understand full well what your paper is about and what it will argue.

After that, give your readers a road map of what’s to come. That’s normally done at the end of the introductory section (or, in a book, at the end of the introductory chapter). Here’s John J. Mearsheimer presenting such a road map in The Tragedy of Great Power Politics . He not only tells us the order of upcoming chapters, he explains why he’s chosen that order and which chapters are most important:

The Plan of the Book The rest of the chapters in this book are concerned mainly with answering the six big questions about power which I identified earlier. Chapter 2, which is probably the most important chapter in the book, lays out my theory of why states compete for power and why they pursue hegemony. In Chapters 3 and 4, I define power and explain how to measure it. I do this in order to lay the groundwork for testing my theory… (John J. Mearsheimer, The Tragedy of Great Power Politics . New York: W. W. Norton, 2001, p. 27)

As this excerpt makes clear, Mearsheimer has already laid out his “six big questions” in the introduction. Now he’s showing us the path ahead, the path to answering those questions.

At the end of the introduction, give your readers a road map of what’s to come. Tell them what the upcoming sections will be and why they are arranged in this particular order.

After having written your introduction it’s time to move to the biggest part: body of a research paper.

Back to How To Write A Research Paper .

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How to Write an Introduction For a Research Paper

Learn how to write a strong and efficient research paper introduction by following the suitable structure and avoiding typical errors.

An introduction to any type of paper is sometimes misunderstood as the beginning; yet, an introduction is actually intended to present your chosen subject to the audience in a way that makes it more appealing and leaves your readers thirsty for more information. After the title and abstract, your audience will read the introduction, thus it’s critical to get off to a solid start.  

This article includes instructions on how to write an introduction for a research paper that engages the reader in your research. You can produce a strong opening for your research paper if you stick to the format and a few basic principles.

What is An Introduction To a Research Paper?

An introduction is the opening section of a research paper and the section that a reader is likely to read first, in which the objective and goals of the subsequent writing are stated. 

The introduction serves numerous purposes. It provides context for your research, explains your topic and objectives, and provides an outline of the work. A solid introduction will establish the tone for the remainder of your paper, enticing readers to continue reading through the methodology, findings, and discussion. 

Even though introductions are generally presented at the beginning of a document, we must distinguish an introduction from the beginning of your research. An introduction, as the name implies, is supposed to introduce your subject without extending it. All relevant information and facts should be placed in the body and conclusion, not the introduction.

Structure Of An Introduction

Before explaining how to write an introduction for a research paper , it’s necessary to comprehend a structure that will make your introduction stronger and more straightforward.

A Good Hook

A hook is one of the most effective research introduction openers. A hook’s objective is to stimulate the reader’s interest to read the research paper.  There are various approaches you may take to generate a strong hook:  startling facts, a question, a brief overview, or even a quotation. 

Broad Overview

Following an excellent hook, you should present a wide overview of your major issue and some background information on your research. If you’re unsure about how to begin an essay introduction, the best approach is to offer a basic explanation of your topic before delving into specific issues. Simply said, you should begin with general information and then narrow it down to your relevant topics.

After offering some background information regarding your research’s main topic, go on to give readers a better understanding of what you’ll be covering throughout your research. In this section of your introduction, you should swiftly clarify your important topics in the sequence in which they will be addressed later, gradually introducing your thesis statement. You can use some  The following are some critical questions to address in this section of your introduction: Who? What? Where? When? How? And why is that?

Thesis Statement

The thesis statement, which must be stated in the beginning clause of your research since your entire research revolves around it, is the most important component of your research.

A thesis statement presents your audience with a quick overview of the research’s main assertion. In the body section of your work, your key argument is what you will expose or debate about it. An excellent thesis statement is usually very succinct, accurate, explicit, clear, and focused. Typically, your thesis should be at the conclusion of your introductory paragraph/section.

Tips for Writing a Strong Introduction

Aside from the good structure, here are a few tips to make your introduction strong and accurate:

• Keep in mind the aim of your research and make sure your introduction supports it.
• Use an appealing and relevant hook that catches the reader’s attention right away.
• Make it obvious to your readers what your stance is.
• Demonstrate your knowledge of your subject.
• Provide your readers with a road map to help them understand what you will address throughout the research.
• Be succinct – it is advised that your opening introduction consists of around 8-9 percent of the overall amount of words in your article (for example, 160 words for a 2000 words essay). 
• Make a strong and unambiguous thesis statement.
• Explain why the article is significant in 1-2 sentences.
• Remember to keep it interesting.

Mistakes to Avoid in Your Introduction

Check out what not to do and what to avoid now that you know the structure and how to write an introduction for a research paper .

• Lacking a feeling of direction or purpose.
• Giving out too much.
• Creating lengthy paragraphs.
• Excessive or insufficient background, literature, and theory.
• Including material that should be placed in the body and conclusion.
• Not writing enough or writing excessively.
• Using too many quotes.

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How to write an 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 an Effective Research Paper Introduction

The introduction of a research paper has several purposes. It presents your topic, describes the problem your research seeks to solve, and outlines the structure of your paper. It can also inform your audience about how your study differs from the research that has already been done. Generally, the introduction helps you to show your audience why your research topic is worth exploring. It gives you the chance to convince your reader why they should stick around and see what you have to say.

The first 1-2 sentences of your introduction should give an elevator pitch of your work. Be clear, relevant, and to the point. Don't sweat the engagement of your first sentences. You might have heard the advice that, when writing, you should use the first few sentences to wow your readers, transporting them into a lyrical world of imagination. While this is certainly good counsel in creative writing or consumer literature to hook your reader, research papers are another story; you won't need quotes from wise heroes of the past to grab your readers' attention. In most cases, your audience comprises people already interested in the field who are intrigued by your title and want to delve into what you have found through your study, and you don't want to include trite snippets right at the outset. Of course, you don't want to bore your readers either, so strive for clarity and direct information about your study so the readers who navigate to your paper know what they can expect.

To introduce your research paper effectively, include the following elements in your introduction. You will expand on these topics in greater detail in the paper, but in the introduction to your paper, you'll provide a summary of each one.

• Overview: Provide a focused statement on the subject matter of your research. What questions are you seeking to answer? How will your study make the world a better place? Here you can also briefly describe any problems you encountered while conducting your study (and be sure to state that you will address these problems within the paper!).
• Prior research: It's important that your audience knows you've already explored the field and looked around at what has already been written. Briefly discuss what past studies have concluded on the subject and what that means for your current study. Maybe in your search, you found that your research is the first to address your specific topic, which is why your study is so valuable. Let your readers know that you've done your homework.
• Rationale: Make your case regarding why your study is important today. What will your findings bring to the field? Your research could address current issues and events, or it might illuminate gaps in previous research that need to be filled in order to move ahead in the academic field and strengthen future studies.
• Methodology: In your methodology paragraph, briefly name the processes you applied during your study. Why are these tools the best ones for your specific research? What answers do you get from using these methods? Details on your methodology can bring credibility to your study and help with future application of your findings to similar fields.

• Outline of the paper: At the conclusion on your introduction, offer a review of what your study will discuss specifically in the sections that follow.

Once you've gathered all of the necessary elements for your introduction, try these tips to make your introduction pop:

• Try finalizing your introduction after you've finished writing the body of the paper. While it's beneficial to map out what you want your introduction to say before you begin your paper, wait until you've elaborated on your research in detail, and then create your introduction. With the entire work fresh in your mind, you have a clear grasp on what it's about, your purpose in writing it, and what the study results mean for the world.
• Show, don't tell. When giving a brief summary of your work, give compelling details about why this study is a good one to conduct. Remember, you still want to be brief, but you can accomplish clarity and brevity while also enticing your readers to share your vision. For example, instead of stating, "Dual language educational programs are important for children," consider saying, "Dual language programs help students develop increased cognitive function, future linguistic advantages, and a broadened worldview."
• Keep it simple. Don't bury the good points of your work in excessive detail within the introduction. Your entire paper is where you will delve into the finer points of the research, so take stock of which ideas are the most important and stick to those nuggets to motivate your audience to read on.
• Speak to a broader audience. Your research will certainly attract specialists in the field who know every term you could possibly throw at them, but your audience also includes laymen and people who haven't spent as much time in the field as you have, knee-deep in your study. Remember to make your introduction accessible to those who aren't familiar with the industry jargon. The body of the paper is a great place to flex your muscles and the nitty-gritty details of your research results, but the introduction should be consumable by a much more general group. If you have to use specialized language, make sure to define those obscure terms that only a select few people would know.

Your introduction gives your readers greater access to your work. You are the expert, of course, but your goal is to display your findings to a broader audience, and your introduction is the key to accomplishing that objective. Follow these tips and examples to help you create a strong introductory section for your research paper.

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How to Write an Effective Introduction

Affiliations.

• 1 Sydney Kimmel Medical College.
• 2 Rothman Institute, Philadelphia, PA.
• PMID: 30234565
• DOI: 10.1097/BSD.0000000000000714

Ideally, the Introduction is an essential attention grabbing section of a research paper. If written correctly, the Introduction peaks the reader's interest as well as serves as a roadmap for the rest of the paper. An effective Introduction builds off related empirical research and demonstrates a gap in which the current study fills. Finally, the Introduction proposes the research question(s) which will be answered in subsequent sections of the paper. A strong Introduction also requires the use of a simple and well-organized format as well as the avoidance of common pitfalls.

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The Research Process | Steps, How to Start & Tips

Introduction

Basic steps in the research process, conducting a literature review, designing the research project, collecting and analyzing data.

• Interpretation, conclusion and presentation of findings

Key principles for conducting research

The research process is a systematic method used to gather information and answer specific questions. The process ensures the findings are credible, high-quality, and applicable to a broader context. It can vary slightly between disciplines but typically follows a structured pathway from initial inquiry to final presentation of results.

What is the research process?

At its core, the research process involves several fundamental activities: identifying a topic that needs further investigation, reviewing existing knowledge on the subject, forming a precise research question , and designing a method to investigate it. This is followed by collecting and analyzing data , interpreting the results, and reporting the findings. Each step is crucial and builds upon the previous one, requiring meticulous attention to detail and rigorous methodology.

The research process is important because it provides a scientific basis for decision-making. Whether in academic, scientific, or commercial fields, research helps us understand complex issues, develop new tools or products, and improve existing practices. By adhering to a structured research process , researchers can produce results that are not only insightful but also transparent so that others can understand how the findings were developed and build on them in future studies. The integrity of the research process is essential for advancing knowledge and making informed decisions that can have significant social, economic, and scientific impacts.

The research process fosters critical thinking and problem-solving skills. It demands a clear articulation of a problem, thorough investigation, and thoughtful interpretation of data, all of which are valuable skills in any professional field. By following this process, researchers are better equipped to tackle complex questions and contribute meaningful solutions to real-world problems.

From finding the key theoretical concepts to presenting the research findings in a report, every step in the research process forms a cohesive pathway that supports researchers in systematically uncovering deep insights and generating meaningful knowledge, which is crucial for the success of any qualitative investigation.

Identifying key theoretical concepts

The first step in the research process involves finding the key theoretical concepts or words that specify the research topic and are always included in the title of the investigation. Without a definition, these words have no sense or meaning (Daft, 1995). To identify these concepts, a researcher must ask which theoretical keywords are implicit in the investigation. To answer this question a researcher should identify the logical relationships among the two words that catch the focus of the investigation. It is also crucial that researchers provide clear definitions for their theoretical keywords. The title of the research can then include these theoretical keywords and signal how they are being studied.

A piece of useful advice is to draw a conceptual map to visualize the direct or indirect relationships between the key theoretical words and choose a relationship between them as the focus of the investigation.

Developing a research question

One of the most important steps in the research endeavor is identifying a research question. Research questions answer aspects of the topic that need more knowledge or shed light on information that has to be prioritized before others. It is the first step in identifying which participants or type of data collection methods. Research questions put into practice the conceptual framework and make the initial theoretical concepts more explicit.

A research question carries a different implicit meaning depending on how it is framed. Questions starting with what, who, and where usually identify a phenomenon or elements of one, while how, why, when and how much describe, explain, predict or control a phenomenon.

Overall, research questions must be clear, focused and complex. They must also generate knowledge relevant to society and the answers must pose a comprehensive understanding that contributes to the scientific community.

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A literature review is the synthesis of the existing body of research relevant to a research topic. It allows researchers to identify the current state of the art of knowledge of a particular topic. When conducting research, it is the foundation and guides the researcher to the knowledge gaps that need to be covered to best contribute to the scientific community.

Common methodologies include miniaturized or complete reviews, descriptive or integrated reviews, narrative reviews, theoretical reviews, methodological reviews and systematic reviews.

When navigating through the literature, researchers must try to answer their research question with the most current peer-reviewed research when finding relevant data for a research project. It is important to use the existing literature in at least two different databases and adapt the key concepts to amplify their search. Researchers also pay attention to the titles, summaries and references of each article. It is recommended to have a research diary for useful previous research as it could be the researcher´s go-to source when writing the final report.

A good research design involves data analysis methods suited to the research question, and where data collection generates appropriate data for the analysis method (Willig, 2001).

Designing a qualitative study is a critical step in the research process, serving as the blueprint for the research study. This phase is a fundamental part of the planning process, ensuring that the chosen research methods align perfectly with the research's purpose. During this stage, a researcher decides on a specific approach—such as narrative , phenomenological , grounded theory , ethnographic , or case study —tailoring the design to the unique research problem and needs of the research project. By carefully selecting the research method and planning how to approach the data, researchers can ensure that their work remains focused and relevant to the intended study area.

A well-constructed research design is vital for maintaining the integrity and credibility of the study. It guides the researcher through the research process steps, from data collection to analysis, helping to manage and mitigate potential interpretations and errors. This detailed planning is crucial, particularly in qualitative studies, where the depth of understanding and interpretive nature of analysis can significantly influence outcomes.

The design of a qualitative study is more than a procedural formality; it is a strategic component of the research that enhances the quality of the results. It requires thoughtful consideration of the research question, ensuring that every aspect of the methodology contributes effectively to the overarching goals of the project.

Collecting data

Gathering data can involve various methods tailored to the study's specific needs. To collect data , techniques may include interviews , focus groups, surveys and observations , each chosen for its ability to target a specific group relevant to the research population. For example, focus groups might explore attitudes within a specific age group, while observations might analyze behaviours in a community for population research projects. Data may also come from secondary sources with quantitative and qualitative approaches such as library resources, market research, customer feedback or employee evaluations.

Effective data management is crucial, ensuring that primary data from direct collection and secondary data from sources like public health records are organized and maintained properly. This step is vital for maintaining the integrity of the data throughout the research process steps, supporting the overall goal of conducting thorough and coherent research.

Analyzing data

Once research data has been collected, the next critical step is to analyze the data. This phase is crucial for transforming raw data into high-quality information for meaningful research findings.

Analyzing qualitative data often involves coding and thematic analysis , which helps identify patterns and themes within the data. While qualitative research typically does not focus on drawing statistical conclusions, integrating basic statistical methods can sometimes add depth to the data interpretation, especially in mixed-methods research where quantitative data complements qualitative insights.

In each of the research process steps, researchers utilize various research tools and techniques to conduct research and analyze the data systematically. This may include computer-assisted qualitative data analysis software (CAQDAS) such as ATLAS.ti, which assists in organizing, sorting, and coding the data efficiently. It can also host the research diary and apply analysis methods such as word frequencies and network visualizations.

Interpretation, conclusion and presentation of research findings

Interpreting research findings.

By meticulously following systematic procedures and working through the data, researchers can ensure that their interpretations are grounded in the actual data collected, enhancing the trustworthiness and credibility of the research findings.

The interpretation of data is not merely about extracting information but also involves making sense of the data in the context of the existing literature and research objectives. This step is not only about what the data is, but what it means in the broader context of the study, enabling researchers to draw insightful conclusions that contribute to the academic and practical understanding of the field.

Concluding and presenting research findings

The final step is concluding and presenting the research data which are crucial for transforming analyzed data into meaningful insights and credible findings.

The results are typically shared in a research report or academic paper, detailing the findings and contextualizing them within the broader field. This document outlines how the insights contribute to existing knowledge, suggests areas for future research, and may propose practical applications.

Effective presentation is key to ensuring that these findings reach and impact the intended audience. This involves not just articulating the conclusions clearly but also using engaging formats and visual aids to enhance comprehension and engagement with the research.

The research process is a dynamic journey, characterized by a series of systematic research process steps designed to guide researchers successfully from inception to conclusion. Each step—from designing the study and collecting data to analyzing results and drawing conclusions—plays a critical role in ensuring the integrity and credibility of the research.

Qualitative research is guided by key principles designed to ensure the rigour and depth of the research study. Credibility is crucial, achieved through accurate representations of participant experiences, often verified by peer-review revision. Transferability is addressed by providing rich context, allowing others to evaluate the applicability of findings to similar settings. Dependability emphasizes the stability and consistency of data, maintained through detailed documentation of the research process (such as in a research diary), facilitating an audit trail. This aligns with confirmability, where the neutrality of the data is safeguarded by documenting researcher interpretations and decisions, ensuring findings are shaped by participants and not researcher predispositions.

Ethical integrity is paramount, upholding standards like informed consent and confidentiality to protect participant rights throughout the research journey. Qualitative research also strives for a richness and depth of data that captures the complex nature of human experiences and interactions, often exploring these phenomena through an iterative learning process. This involves cycles of data collection and analysis, allowing for ongoing adjustments based on emerging insights. Lastly, a holistic perspective is adopted to view phenomena in their entirety, considering all aspects of the context and environment, which enriches the understanding and relevance of the research outcomes. Together, these principles ensure qualitative research is both profound and ethically conducted, yielding meaningful and applicable insights.

Daft, R. L. (1995). Organization Theory and Design. West Publishing Company.

Willig, C. (2001). Introducing Qualitative Research in Psychology: Adventures in Theory and Method. McGraw-Hill Companies, Incorporated.

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How to Get Started on Your First Psychology Experiment

Acquiring even a little expertise in advance makes science research easier..

Updated May 16, 2024 | Reviewed by Ray Parker

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One of the most rewarding and frustrating parts of my long career as a psychology professor at a small liberal arts college has been guiding students through the senior capstone research experience required near the end of their college years. Each psychology major must conduct an independent experiment in which they collect data to test a hypothesis, analyze the data, write a research paper, and present their results at a college poster session or at a professional conference.

The rewarding part of the process is clear: The students' pride at seeing their poster on display and maybe even getting their name on an article in a professional journal allows us professors to get a glimpse of students being happy and excited—for a change. I also derive great satisfaction from watching a student discover that he or she has an aptitude for research and perhaps start shifting their career plans accordingly.

The frustrating part comes at the beginning of the research process when students are attempting to find a topic to work on. There is a lot of floundering around as students get stuck by doing something that seems to make sense: They begin by trying to “think up a study.”

The problem is that even if the student's research interest is driven by some very personal topic that is deeply relevant to their own life, they simply do not yet know enough to know where to begin. They do not know what has already been done by others, nor do they know how researchers typically attack that topic.

Students also tend to think in terms of mission statements (I want to cure eating disorders) rather than in terms of research questions (Why are people of some ages or genders more susceptible to eating disorders than others?).

Needless to say, attempting to solve a serious, long-standing societal problem in a few weeks while conducting one’s first psychology experiment can be a showstopper.

Even a Little Bit of Expertise Can Go a Long Way

My usual approach to helping students get past this floundering stage is to tell them to try to avoid thinking up a study altogether. Instead, I tell them to conceive of their mission as becoming an “expert” on some topic that they find interesting. They begin by reading journal articles, writing summaries of these articles, and talking to me about them. As the student learns more about the topic, our conversations become more sophisticated and interesting. Researchable questions begin to emerge, and soon, the student is ready to start writing a literature review that will sharpen the focus of their research question.

In short, even a little bit of expertise on a subject makes it infinitely easier to craft an experiment on that topic because the research done by others provides a framework into which the student can fit his or her own work.

This was a lesson I learned early in my career when I was working on my own undergraduate capstone experience. Faced with the necessity of coming up with a research topic and lacking any urgent personal issues that I was trying to resolve, I fell back on what little psychological expertise I had already accumulated.

In a previous psychology course, I had written a literature review on why some information fails to move from short-term memory into long-term memory. The journal articles that I had read for this paper relied primarily on laboratory studies with mice, and the debate that was going on between researchers who had produced different results in their labs revolved around subtle differences in the way that mice were released into the experimental apparatus in the studies.

Because I already had done some homework on this, I had a ready-made research question available: What if the experimental task was set up so that the researcher had no influence on how the mouse entered the apparatus at all? I was able to design a simple animal memory experiment that fit very nicely into the psychological literature that was already out there, and this prevented a lot of angst.

Please note that my undergraduate research project was guided by the “expertise” that I had already acquired rather than by a burning desire to solve some sort of personal or social problem. I guarantee that I had not been walking around as an undergraduate student worrying about why mice forget things, but I was nonetheless able to complete a fun and interesting study.

My first experiment may not have changed the world, but it successfully launched my research career, and I fondly remember it as I work with my students 50 years later.

Frank McAndrew, Ph.D., is the Cornelia H. Dudley Professor of Psychology at Knox College.

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Cultural Relativity and Acceptance of Embryonic Stem Cell Research

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There is a debate about the ethical implications of using human embryos in stem cell research, which can be influenced by cultural, moral, and social values. This paper argues for an adaptable framework to accommodate diverse cultural and religious perspectives. By using an adaptive ethics model, research protections can reflect various populations and foster growth in stem cell research possibilities.

INTRODUCTION

Stem cell research combines biology, medicine, and technology, promising to alter health care and the understanding of human development. Yet, ethical contention exists because of individuals’ perceptions of using human embryos based on their various cultural, moral, and social values. While these disagreements concerning policy, use, and general acceptance have prompted the development of an international ethics policy, such a uniform approach can overlook the nuanced ethical landscapes between cultures. With diverse viewpoints in public health, a single global policy, especially one reflecting Western ethics or the ethics prevalent in high-income countries, is impractical. This paper argues for a culturally sensitive, adaptable framework for the use of embryonic stem cells. Stem cell policy should accommodate varying ethical viewpoints and promote an effective global dialogue. With an extension of an ethics model that can adapt to various cultures, we recommend localized guidelines that reflect the moral views of the people those guidelines serve.

Stem cells, characterized by their unique ability to differentiate into various cell types, enable the repair or replacement of damaged tissues. Two primary types of stem cells are somatic stem cells (adult stem cells) and embryonic stem cells. Adult stem cells exist in developed tissues and maintain the body’s repair processes. [1] Embryonic stem cells (ESC) are remarkably pluripotent or versatile, making them valuable in research. [2] However, the use of ESCs has sparked ethics debates. Considering the potential of embryonic stem cells, research guidelines are essential. The International Society for Stem Cell Research (ISSCR) provides international stem cell research guidelines. They call for “public conversations touching on the scientific significance as well as the societal and ethical issues raised by ESC research.” [3] The ISSCR also publishes updates about culturing human embryos 14 days post fertilization, suggesting local policies and regulations should continue to evolve as ESC research develops. [4]  Like the ISSCR, which calls for local law and policy to adapt to developing stem cell research given cultural acceptance, this paper highlights the importance of local social factors such as religion and culture.

I.     Global Cultural Perspective of Embryonic Stem Cells

Views on ESCs vary throughout the world. Some countries readily embrace stem cell research and therapies, while others have stricter regulations due to ethical concerns surrounding embryonic stem cells and when an embryo becomes entitled to moral consideration. The philosophical issue of when the “someone” begins to be a human after fertilization, in the morally relevant sense, [5] impacts when an embryo becomes not just worthy of protection but morally entitled to it. The process of creating embryonic stem cell lines involves the destruction of the embryos for research. [6] Consequently, global engagement in ESC research depends on social-cultural acceptability.

a.     US and Rights-Based Cultures

In the United States, attitudes toward stem cell therapies are diverse. The ethics and social approaches, which value individualism, [7] trigger debates regarding the destruction of human embryos, creating a complex regulatory environment. For example, the 1996 Dickey-Wicker Amendment prohibited federal funding for the creation of embryos for research and the destruction of embryos for “more than allowed for research on fetuses in utero.” [8] Following suit, in 2001, the Bush Administration heavily restricted stem cell lines for research. However, the Stem Cell Research Enhancement Act of 2005 was proposed to help develop ESC research but was ultimately vetoed. [9] Under the Obama administration, in 2009, an executive order lifted restrictions allowing for more development in this field. [10] The flux of research capacity and funding parallels the different cultural perceptions of human dignity of the embryo and how it is socially presented within the country’s research culture. [11]

b.     Ubuntu and Collective Cultures

African bioethics differs from Western individualism because of the different traditions and values. African traditions, as described by individuals from South Africa and supported by some studies in other African countries, including Ghana and Kenya, follow the African moral philosophies of Ubuntu or Botho and Ukama , which “advocates for a form of wholeness that comes through one’s relationship and connectedness with other people in the society,” [12] making autonomy a socially collective concept. In this context, for the community to act autonomously, individuals would come together to decide what is best for the collective. Thus, stem cell research would require examining the value of the research to society as a whole and the use of the embryos as a collective societal resource. If society views the source as part of the collective whole, and opposes using stem cells, compromising the cultural values to pursue research may cause social detachment and stunt research growth. [13] Based on local culture and moral philosophy, the permissibility of stem cell research depends on how embryo, stem cell, and cell line therapies relate to the community as a whole. Ubuntu is the expression of humanness, with the person’s identity drawn from the “’I am because we are’” value. [14] The decision in a collectivistic culture becomes one born of cultural context, and individual decisions give deference to others in the society.

Consent differs in cultures where thought and moral philosophy are based on a collective paradigm. So, applying Western bioethical concepts is unrealistic. For one, Africa is a diverse continent with many countries with different belief systems, access to health care, and reliance on traditional or Western medicines. Where traditional medicine is the primary treatment, the “’restrictive focus on biomedically-related bioethics’” [is] problematic in African contexts because it neglects bioethical issues raised by traditional systems.” [15] No single approach applies in all areas or contexts. Rather than evaluating the permissibility of ESC research according to Western concepts such as the four principles approach, different ethics approaches should prevail.

Another consideration is the socio-economic standing of countries. In parts of South Africa, researchers have not focused heavily on contributing to the stem cell discourse, either because it is not considered health care or a health science priority or because resources are unavailable. [16] Each country’s priorities differ given different social, political, and economic factors. In South Africa, for instance, areas such as maternal mortality, non-communicable diseases, telemedicine, and the strength of health systems need improvement and require more focus. [17] Stem cell research could benefit the population, but it also could divert resources from basic medical care. Researchers in South Africa adhere to the National Health Act and Medicines Control Act in South Africa and international guidelines; however, the Act is not strictly enforced, and there is no clear legislation for research conduct or ethical guidelines. [18]

Some parts of Africa condemn stem cell research. For example, 98.2 percent of the Tunisian population is Muslim. [19] Tunisia does not permit stem cell research because of moral conflict with a Fatwa. Religion heavily saturates the regulation and direction of research. [20] Stem cell use became permissible for reproductive purposes only recently, with tight restrictions preventing cells from being used in any research other than procedures concerning ART/IVF.  Their use is conditioned on consent, and available only to married couples. [21] The community's receptiveness to stem cell research depends on including communitarian African ethics.

c.     Asia

Some Asian countries also have a collective model of ethics and decision making. [22] In China, the ethics model promotes a sincere respect for life or human dignity, [23] based on protective medicine. This model, influenced by Traditional Chinese Medicine (TCM), [24] recognizes Qi as the vital energy delivered via the meridians of the body; it connects illness to body systems, the body’s entire constitution, and the universe for a holistic bond of nature, health, and quality of life. [25] Following a protective ethics model, and traditional customs of wholeness, investment in stem cell research is heavily desired for its applications in regenerative therapies, disease modeling, and protective medicines. In a survey of medical students and healthcare practitioners, 30.8 percent considered stem cell research morally unacceptable while 63.5 percent accepted medical research using human embryonic stem cells. Of these individuals, 89.9 percent supported increased funding for stem cell research. [26] The scientific community might not reflect the overall population. From 1997 to 2019, China spent a total of $576 million (USD) on stem cell research at 8,050 stem cell programs, increased published presence from 0.6 percent to 14.01 percent of total global stem cell publications as of 2014, and made significant strides in cell-based therapies for various medical conditions. [27] However, while China has made substantial investments in stem cell research and achieved notable progress in clinical applications, concerns linger regarding ethical oversight and transparency. [28] For example, the China Biosecurity Law, promoted by the National Health Commission and China Hospital Association, attempted to mitigate risks by introducing an institutional review board (IRB) in the regulatory bodies. 5800 IRBs registered with the Chinese Clinical Trial Registry since 2021. [29] However, issues still need to be addressed in implementing effective IRB review and approval procedures.

The substantial government funding and focus on scientific advancement have sometimes overshadowed considerations of regional cultures, ethnic minorities, and individual perspectives, particularly evident during the one-child policy era. As government policy adapts to promote public stability, such as the change from the one-child to the two-child policy, [30] research ethics should also adapt to ensure respect for the values of its represented peoples.

Japan is also relatively supportive of stem cell research and therapies. Japan has a more transparent regulatory framework, allowing for faster approval of regenerative medicine products, which has led to several advanced clinical trials and therapies. [31] South Korea is also actively engaged in stem cell research and has a history of breakthroughs in cloning and embryonic stem cells. [32] However, the field is controversial, and there are issues of scientific integrity. For example, the Korean FDA fast-tracked products for approval, [33] and in another instance, the oocyte source was unclear and possibly violated ethical standards. [34] Trust is important in research, as it builds collaborative foundations between colleagues, trial participant comfort, open-mindedness for complicated and sensitive discussions, and supports regulatory procedures for stakeholders. There is a need to respect the culture’s interest, engagement, and for research and clinical trials to be transparent and have ethical oversight to promote global research discourse and trust.

d.     Middle East

Countries in the Middle East have varying degrees of acceptance of or restrictions to policies related to using embryonic stem cells due to cultural and religious influences. Saudi Arabia has made significant contributions to stem cell research, and conducts research based on international guidelines for ethical conduct and under strict adherence to guidelines in accordance with Islamic principles. Specifically, the Saudi government and people require ESC research to adhere to Sharia law. In addition to umbilical and placental stem cells, [35] Saudi Arabia permits the use of embryonic stem cells as long as they come from miscarriages, therapeutic abortions permissible by Sharia law, or are left over from in vitro fertilization and donated to research. [36] Laws and ethical guidelines for stem cell research allow the development of research institutions such as the King Abdullah International Medical Research Center, which has a cord blood bank and a stem cell registry with nearly 10,000 donors. [37] Such volume and acceptance are due to the ethical ‘permissibility’ of the donor sources, which do not conflict with religious pillars. However, some researchers err on the side of caution, choosing not to use embryos or fetal tissue as they feel it is unethical to do so. [38]

Jordan has a positive research ethics culture. [39] However, there is a significant issue of lack of trust in researchers, with 45.23 percent (38.66 percent agreeing and 6.57 percent strongly agreeing) of Jordanians holding a low level of trust in researchers, compared to 81.34 percent of Jordanians agreeing that they feel safe to participate in a research trial. [40] Safety testifies to the feeling of confidence that adequate measures are in place to protect participants from harm, whereas trust in researchers could represent the confidence in researchers to act in the participants’ best interests, adhere to ethical guidelines, provide accurate information, and respect participants’ rights and dignity. One method to improve trust would be to address communication issues relevant to ESC. Legislation surrounding stem cell research has adopted specific language, especially concerning clarification “between ‘stem cells’ and ‘embryonic stem cells’” in translation. [41] Furthermore, legislation “mandates the creation of a national committee… laying out specific regulations for stem-cell banking in accordance with international standards.” [42] This broad regulation opens the door for future global engagement and maintains transparency. However, these regulations may also constrain the influence of research direction, pace, and accessibility of research outcomes.

e.     Europe

In the European Union (EU), ethics is also principle-based, but the principles of autonomy, dignity, integrity, and vulnerability are interconnected. [43] As such, the opportunity for cohesion and concessions between individuals’ thoughts and ideals allows for a more adaptable ethics model due to the flexible principles that relate to the human experience The EU has put forth a framework in its Convention for the Protection of Human Rights and Dignity of the Human Being allowing member states to take different approaches. Each European state applies these principles to its specific conventions, leading to or reflecting different acceptance levels of stem cell research. [44]

For example, in Germany, Lebenzusammenhang , or the coherence of life, references integrity in the unity of human culture. Namely, the personal sphere “should not be subject to external intervention.” [45]  Stem cell interventions could affect this concept of bodily completeness, leading to heavy restrictions. Under the Grundgesetz, human dignity and the right to life with physical integrity are paramount. [46] The Embryo Protection Act of 1991 made producing cell lines illegal. Cell lines can be imported if approved by the Central Ethics Commission for Stem Cell Research only if they were derived before May 2007. [47] Stem cell research respects the integrity of life for the embryo with heavy specifications and intense oversight. This is vastly different in Finland, where the regulatory bodies find research more permissible in IVF excess, but only up to 14 days after fertilization. [48] Spain’s approach differs still, with a comprehensive regulatory framework. [49] Thus, research regulation can be culture-specific due to variations in applied principles. Diverse cultures call for various approaches to ethical permissibility. [50] Only an adaptive-deliberative model can address the cultural constructions of self and achieve positive, culturally sensitive stem cell research practices. [51]

II.     Religious Perspectives on ESC

Embryonic stem cell sources are the main consideration within religious contexts. While individuals may not regard their own religious texts as authoritative or factual, religion can shape their foundations or perspectives.

The Qur'an states:

“And indeed We created man from a quintessence of clay. Then We placed within him a small quantity of nutfa (sperm to fertilize) in a safe place. Then We have fashioned the nutfa into an ‘alaqa (clinging clot or cell cluster), then We developed the ‘alaqa into mudgha (a lump of flesh), and We made mudgha into bones, and clothed the bones with flesh, then We brought it into being as a new creation. So Blessed is Allah, the Best of Creators.” [52]

Many scholars of Islam estimate the time of soul installment, marked by the angel breathing in the soul to bring the individual into creation, as 120 days from conception. [53] Personhood begins at this point, and the value of life would prohibit research or experimentation that could harm the individual. If the fetus is more than 120 days old, the time ensoulment is interpreted to occur according to Islamic law, abortion is no longer permissible. [54] There are a few opposing opinions about early embryos in Islamic traditions. According to some Islamic theologians, there is no ensoulment of the early embryo, which is the source of stem cells for ESC research. [55]

In Buddhism, the stance on stem cell research is not settled. The main tenets, the prohibition against harming or destroying others (ahimsa) and the pursuit of knowledge (prajña) and compassion (karuna), leave Buddhist scholars and communities divided. [56] Some scholars argue stem cell research is in accordance with the Buddhist tenet of seeking knowledge and ending human suffering. Others feel it violates the principle of not harming others. Finding the balance between these two points relies on the karmic burden of Buddhist morality. In trying to prevent ahimsa towards the embryo, Buddhist scholars suggest that to comply with Buddhist tenets, research cannot be done as the embryo has personhood at the moment of conception and would reincarnate immediately, harming the individual's ability to build their karmic burden. [57] On the other hand, the Bodhisattvas, those considered to be on the path to enlightenment or Nirvana, have given organs and flesh to others to help alleviate grieving and to benefit all. [58] Acceptance varies on applied beliefs and interpretations.

Catholicism does not support embryonic stem cell research, as it entails creation or destruction of human embryos. This destruction conflicts with the belief in the sanctity of life. For example, in the Old Testament, Genesis describes humanity as being created in God’s image and multiplying on the Earth, referencing the sacred rights to human conception and the purpose of development and life. In the Ten Commandments, the tenet that one should not kill has numerous interpretations where killing could mean murder or shedding of the sanctity of life, demonstrating the high value of human personhood. In other books, the theological conception of when life begins is interpreted as in utero, [59] highlighting the inviolability of life and its formation in vivo to make a religious point for accepting such research as relatively limited, if at all. [60] The Vatican has released ethical directives to help apply a theological basis to modern-day conflicts. The Magisterium of the Church states that “unless there is a moral certainty of not causing harm,” experimentation on fetuses, fertilized cells, stem cells, or embryos constitutes a crime. [61] Such procedures would not respect the human person who exists at these stages, according to Catholicism. Damages to the embryo are considered gravely immoral and illicit. [62] Although the Catholic Church officially opposes abortion, surveys demonstrate that many Catholic people hold pro-choice views, whether due to the context of conception, stage of pregnancy, threat to the mother’s life, or for other reasons, demonstrating that practicing members can also accept some but not all tenets. [63]

Some major Jewish denominations, such as the Reform, Conservative, and Reconstructionist movements, are open to supporting ESC use or research as long as it is for saving a life. [64] Within Judaism, the Talmud, or study, gives personhood to the child at birth and emphasizes that life does not begin at conception: [65]

“If she is found pregnant, until the fortieth day it is mere fluid,” [66]

Whereas most religions prioritize the status of human embryos, the Halakah (Jewish religious law) states that to save one life, most other religious laws can be ignored because it is in pursuit of preservation. [67] Stem cell research is accepted due to application of these religious laws.

We recognize that all religions contain subsets and sects. The variety of environmental and cultural differences within religious groups requires further analysis to respect the flexibility of religious thoughts and practices. We make no presumptions that all cultures require notions of autonomy or morality as under the common morality theory , which asserts a set of universal moral norms that all individuals share provides moral reasoning and guides ethical decisions. [68] We only wish to show that the interaction with morality varies between cultures and countries.

III.     A Flexible Ethical Approach

The plurality of different moral approaches described above demonstrates that there can be no universally acceptable uniform law for ESC on a global scale. Instead of developing one standard, flexible ethical applications must be continued. We recommend local guidelines that incorporate important cultural and ethical priorities.

While the Declaration of Helsinki is more relevant to people in clinical trials receiving ESC products, in keeping with the tradition of protections for research subjects, consent of the donor is an ethical requirement for ESC donation in many jurisdictions including the US, Canada, and Europe. [69] The Declaration of Helsinki provides a reference point for regulatory standards and could potentially be used as a universal baseline for obtaining consent prior to gamete or embryo donation.

For instance, in Columbia University’s egg donor program for stem cell research, donors followed standard screening protocols and “underwent counseling sessions that included information as to the purpose of oocyte donation for research, what the oocytes would be used for, the risks and benefits of donation, and process of oocyte stimulation” to ensure transparency for consent. [70] The program helped advance stem cell research and provided clear and safe research methods with paid participants. Though paid participation or covering costs of incidental expenses may not be socially acceptable in every culture or context, [71] and creating embryos for ESC research is illegal in many jurisdictions, Columbia’s program was effective because of the clear and honest communications with donors, IRBs, and related stakeholders.  This example demonstrates that cultural acceptance of scientific research and of the idea that an egg or embryo does not have personhood is likely behind societal acceptance of donating eggs for ESC research. As noted, many countries do not permit the creation of embryos for research.

Proper communication and education regarding the process and purpose of stem cell research may bolster comprehension and garner more acceptance. “Given the sensitive subject material, a complete consent process can support voluntary participation through trust, understanding, and ethical norms from the cultures and morals participants value. This can be hard for researchers entering countries of different socioeconomic stability, with different languages and different societal values. [72]

An adequate moral foundation in medical ethics is derived from the cultural and religious basis that informs knowledge and actions. [73] Understanding local cultural and religious values and their impact on research could help researchers develop humility and promote inclusion.

IV.     Concerns

Some may argue that if researchers all adhere to one ethics standard, protection will be satisfied across all borders, and the global public will trust researchers. However, defining what needs to be protected and how to define such research standards is very specific to the people to which standards are applied. We suggest that applying one uniform guide cannot accurately protect each individual because we all possess our own perceptions and interpretations of social values. [74] Therefore, the issue of not adjusting to the moral pluralism between peoples in applying one standard of ethics can be resolved by building out ethics models that can be adapted to different cultures and religions.

Other concerns include medical tourism, which may promote health inequities. [75] Some countries may develop and approve products derived from ESC research before others, compromising research ethics or drug approval processes. There are also concerns about the sale of unauthorized stem cell treatments, for example, those without FDA approval in the United States. Countries with robust research infrastructures may be tempted to attract medical tourists, and some customers will have false hopes based on aggressive publicity of unproven treatments. [76]

For example, in China, stem cell clinics can market to foreign clients who are not protected under the regulatory regimes. Companies employ a marketing strategy of “ethically friendly” therapies. Specifically, in the case of Beike, China’s leading stem cell tourism company and sprouting network, ethical oversight of administrators or health bureaus at one site has “the unintended consequence of shifting questionable activities to another node in Beike's diffuse network.” [77] In contrast, Jordan is aware of stem cell research’s potential abuse and its own status as a “health-care hub.” Jordan’s expanded regulations include preserving the interests of individuals in clinical trials and banning private companies from ESC research to preserve transparency and the integrity of research practices. [78]

The social priorities of the community are also a concern. The ISSCR explicitly states that guidelines “should be periodically revised to accommodate scientific advances, new challenges, and evolving social priorities.” [79] The adaptable ethics model extends this consideration further by addressing whether research is warranted given the varying degrees of socioeconomic conditions, political stability, and healthcare accessibilities and limitations. An ethical approach would require discussion about resource allocation and appropriate distribution of funds. [80]

While some religions emphasize the sanctity of life from conception, which may lead to public opposition to ESC research, others encourage ESC research due to its potential for healing and alleviating human pain. Many countries have special regulations that balance local views on embryonic personhood, the benefits of research as individual or societal goods, and the protection of human research subjects. To foster understanding and constructive dialogue, global policy frameworks should prioritize the protection of universal human rights, transparency, and informed consent. In addition to these foundational global policies, we recommend tailoring local guidelines to reflect the diverse cultural and religious perspectives of the populations they govern. Ethics models should be adapted to local populations to effectively establish research protections, growth, and possibilities of stem cell research.

For example, in countries with strong beliefs in the moral sanctity of embryos or heavy religious restrictions, an adaptive model can allow for discussion instead of immediate rejection. In countries with limited individual rights and voice in science policy, an adaptive model ensures cultural, moral, and religious views are taken into consideration, thereby building social inclusion. While this ethical consideration by the government may not give a complete voice to every individual, it will help balance policies and maintain the diverse perspectives of those it affects. Embracing an adaptive ethics model of ESC research promotes open-minded dialogue and respect for the importance of human belief and tradition. By actively engaging with cultural and religious values, researchers can better handle disagreements and promote ethical research practices that benefit each society.

This brief exploration of the religious and cultural differences that impact ESC research reveals the nuances of relative ethics and highlights a need for local policymakers to apply a more intense adaptive model.

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[36] Association for the Advancement of Blood and Biotherapies.  https://www.aabb.org/regulatory-and-advocacy/regulatory-affairs/regulatory-for-cellular-therapies/international-competent-authorities/saudi-arabia

[37] Alahmad, G., Aljohani, S., & Najjar, M. F. (2020). Ethical challenges regarding the use of stem cells: Interviews with researchers from Saudi Arabia.  BMC medical ethics ,  21 (1), 35. https://doi.org/10.1186/s12910-020-00482-6

[38] Alahmad, G., Aljohani, S., & Najjar, M. F. (2020). Ethical challenges regarding the use of stem cells: Interviews with researchers from Saudi Arabia. BMC medical ethics , 21(1), 35. https://doi.org/10.1186/s12910-020-00482-6

Culturally, autonomy practices follow a relational autonomy approach based on a paternalistic deontological health care model. The adherence to strict international research policies and religious pillars within the regulatory environment is a great foundation for research ethics. However, there is a need to develop locally targeted ethics approaches for research (as called for in Alahmad, G., Aljohani, S., & Najjar, M. F. (2020). Ethical challenges regarding the use of stem cells: interviews with researchers from Saudi Arabia. BMC medical ethics, 21(1), 35. https://doi.org/10.1186/s12910-020-00482-6), this decision-making approach may help advise a research decision model. For more on the clinical cultural autonomy approaches, see: Alabdullah, Y. Y., Alzaid, E., Alsaad, S., Alamri, T., Alolayan, S. W., Bah, S., & Aljoudi, A. S. (2022). Autonomy and paternalism in Shared decision‐making in a Saudi Arabian tertiary hospital: A cross‐sectional study. Developing World Bioethics , 23 (3), 260–268. https://doi.org/10.1111/dewb.12355 ; Bukhari, A. A. (2017). Universal Principles of Bioethics and Patient Rights in Saudi Arabia (Doctoral dissertation, Duquesne University). https://dsc.duq.edu/etd/124; Ladha, S., Nakshawani, S. A., Alzaidy, A., & Tarab, B. (2023, October 26). Islam and Bioethics: What We All Need to Know . Columbia University School of Professional Studies. https://sps.columbia.edu/events/islam-and-bioethics-what-we-all-need-know

[39] Ababneh, M. A., Al-Azzam, S. I., Alzoubi, K., Rababa’h, A., & Al Demour, S. (2021). Understanding and attitudes of the Jordanian public about clinical research ethics.  Research Ethics ,  17 (2), 228-241.  https://doi.org/10.1177/1747016120966779

[40] Ababneh, M. A., Al-Azzam, S. I., Alzoubi, K., Rababa’h, A., & Al Demour, S. (2021). Understanding and attitudes of the Jordanian public about clinical research ethics.  Research Ethics ,  17 (2), 228-241.  https://doi.org/10.1177/1747016120966779

[41] Dajani, R. (2014). Jordan’s stem-cell law can guide the Middle East.  Nature  510, 189. https://doi.org/10.1038/510189a

[42] Dajani, R. (2014). Jordan’s stem-cell law can guide the Middle East.  Nature  510, 189. https://doi.org/10.1038/510189a

[43] The EU’s definition of autonomy relates to the capacity for creating ideas, moral insight, decisions, and actions without constraint, personal responsibility, and informed consent. However, the EU views autonomy as not completely able to protect individuals and depends on other principles, such as dignity, which “expresses the intrinsic worth and fundamental equality of all human beings.” Rendtorff, J.D., Kemp, P. (2019). Four Ethical Principles in European Bioethics and Biolaw: Autonomy, Dignity, Integrity and Vulnerability. In: Valdés, E., Lecaros, J. (eds) Biolaw and Policy in the Twenty-First Century. International Library of Ethics, Law, and the New Medicine, vol 78. Springer, Cham. https://doi.org/10.1007/978-3-030-05903-3_3

[44] Council of Europe. Convention for the protection of Human Rights and Dignity of the Human Being with regard to the Application of Biology and Medicine: Convention on Human Rights and Biomedicine (ETS No. 164) https://www.coe.int/en/web/conventions/full-list?module=treaty-detail&treatynum=164 (forbidding the creation of embryos for research purposes only, and suggests embryos in vitro have protections.); Also see Drabiak-Syed B. K. (2013). New President, New Human Embryonic Stem Cell Research Policy: Comparative International Perspectives and Embryonic Stem Cell Research Laws in France.  Biotechnology Law Report ,  32 (6), 349–356. https://doi.org/10.1089/blr.2013.9865

[45] Rendtorff, J.D., Kemp, P. (2019). Four Ethical Principles in European Bioethics and Biolaw: Autonomy, Dignity, Integrity and Vulnerability. In: Valdés, E., Lecaros, J. (eds) Biolaw and Policy in the Twenty-First Century. International Library of Ethics, Law, and the New Medicine, vol 78. Springer, Cham. https://doi.org/10.1007/978-3-030-05903-3_3

[46] Tomuschat, C., Currie, D. P., Kommers, D. P., & Kerr, R. (Trans.). (1949, May 23). Basic law for the Federal Republic of Germany. https://www.btg-bestellservice.de/pdf/80201000.pdf

[47] Regulation of Stem Cell Research in Germany . Eurostemcell. (2017, April 26). https://www.eurostemcell.org/regulation-stem-cell-research-germany

[48] Regulation of Stem Cell Research in Finland . Eurostemcell. (2017, April 26). https://www.eurostemcell.org/regulation-stem-cell-research-finland

[49] Regulation of Stem Cell Research in Spain . Eurostemcell. (2017, April 26). https://www.eurostemcell.org/regulation-stem-cell-research-spain

[50] Some sources to consider regarding ethics models or regulatory oversights of other cultures not covered:

Kara MA. Applicability of the principle of respect for autonomy: the perspective of Turkey. J Med Ethics. 2007 Nov;33(11):627-30. doi: 10.1136/jme.2006.017400. PMID: 17971462; PMCID: PMC2598110.

Ugarte, O. N., & Acioly, M. A. (2014). The principle of autonomy in Brazil: one needs to discuss it ...  Revista do Colegio Brasileiro de Cirurgioes ,  41 (5), 374–377. https://doi.org/10.1590/0100-69912014005013

Bharadwaj, A., & Glasner, P. E. (2012). Local cells, global science: The rise of embryonic stem cell research in India . Routledge.

For further research on specific European countries regarding ethical and regulatory framework, we recommend this database: Regulation of Stem Cell Research in Europe . Eurostemcell. (2017, April 26). https://www.eurostemcell.org/regulation-stem-cell-research-europe   

[51] Klitzman, R. (2006). Complications of culture in obtaining informed consent. The American Journal of Bioethics, 6(1), 20–21. https://doi.org/10.1080/15265160500394671 see also: Ekmekci, P. E., & Arda, B. (2017). Interculturalism and Informed Consent: Respecting Cultural Differences without Breaching Human Rights.  Cultura (Iasi, Romania) ,  14 (2), 159–172.; For why trust is important in research, see also: Gray, B., Hilder, J., Macdonald, L., Tester, R., Dowell, A., & Stubbe, M. (2017). Are research ethics guidelines culturally competent?  Research Ethics ,  13 (1), 23-41.  https://doi.org/10.1177/1747016116650235

[52] The Qur'an  (M. Khattab, Trans.). (1965). Al-Mu’minun, 23: 12-14. https://quran.com/23

[53] Lenfest, Y. (2017, December 8). Islam and the beginning of human life . Bill of Health. https://blog.petrieflom.law.harvard.edu/2017/12/08/islam-and-the-beginning-of-human-life/

[54] Aksoy, S. (2005). Making regulations and drawing up legislation in Islamic countries under conditions of uncertainty, with special reference to embryonic stem cell research. Journal of Medical Ethics , 31: 399-403.; see also: Mahmoud, Azza. "Islamic Bioethics: National Regulations and Guidelines of Human Stem Cell Research in the Muslim World." Master's thesis, Chapman University, 2022. https://doi.org/10.36837/ chapman.000386

[55] Rashid, R. (2022). When does Ensoulment occur in the Human Foetus. Journal of the British Islamic Medical Association , 12 (4). ISSN 2634 8071. https://www.jbima.com/wp-content/uploads/2023/01/2-Ethics-3_-Ensoulment_Rafaqat.pdf.

[56] Sivaraman, M. & Noor, S. (2017). Ethics of embryonic stem cell research according to Buddhist, Hindu, Catholic, and Islamic religions: perspective from Malaysia. Asian Biomedicine,8(1) 43-52.  https://doi.org/10.5372/1905-7415.0801.260

[57] Jafari, M., Elahi, F., Ozyurt, S. & Wrigley, T. (2007). 4. Religious Perspectives on Embryonic Stem Cell Research. In K. Monroe, R. Miller & J. Tobis (Ed.),  Fundamentals of the Stem Cell Debate: The Scientific, Religious, Ethical, and Political Issues  (pp. 79-94). Berkeley: University of California Press.  https://escholarship.org/content/qt9rj0k7s3/qt9rj0k7s3_noSplash_f9aca2e02c3777c7fb76ea768ba458f0.pdf https://doi.org/10.1525/9780520940994-005

[58] Lecso, P. A. (1991). The Bodhisattva Ideal and Organ Transplantation.  Journal of Religion and Health ,  30 (1), 35–41. http://www.jstor.org/stable/27510629 ; Bodhisattva, S. (n.d.). The Key of Becoming a Bodhisattva . A Guide to the Bodhisattva Way of Life. http://www.buddhism.org/Sutras/2/BodhisattvaWay.htm

[59] There is no explicit religious reference to when life begins or how to conduct research that interacts with the concept of life. However, these are relevant verses pertaining to how the fetus is viewed. (( King James Bible . (1999). Oxford University Press. (original work published 1769))

Jerimiah 1: 5 “Before I formed thee in the belly I knew thee; and before thou camest forth out of the womb I sanctified thee…”

In prophet Jerimiah’s insight, God set him apart as a person known before childbirth, a theme carried within the Psalm of David.

Psalm 139: 13-14 “…Thou hast covered me in my mother's womb. I will praise thee; for I am fearfully and wonderfully made…”

These verses demonstrate David’s respect for God as an entity that would know of all man’s thoughts and doings even before birth.

[60] It should be noted that abortion is not supported as well.

[61] The Vatican. (1987, February 22). Instruction on Respect for Human Life in Its Origin and on the Dignity of Procreation Replies to Certain Questions of the Day . Congregation For the Doctrine of the Faith. https://www.vatican.va/roman_curia/congregations/cfaith/documents/rc_con_cfaith_doc_19870222_respect-for-human-life_en.html

[62] The Vatican. (2000, August 25). Declaration On the Production and the Scientific and Therapeutic Use of Human Embryonic Stem Cells . Pontifical Academy for Life. https://www.vatican.va/roman_curia/pontifical_academies/acdlife/documents/rc_pa_acdlife_doc_20000824_cellule-staminali_en.html ; Ohara, N. (2003). Ethical Consideration of Experimentation Using Living Human Embryos: The Catholic Church’s Position on Human Embryonic Stem Cell Research and Human Cloning. Department of Obstetrics and Gynecology . Retrieved from https://article.imrpress.com/journal/CEOG/30/2-3/pii/2003018/77-81.pdf.

[63] Smith, G. A. (2022, May 23). Like Americans overall, Catholics vary in their abortion views, with regular mass attenders most opposed . Pew Research Center. https://www.pewresearch.org/short-reads/2022/05/23/like-americans-overall-catholics-vary-in-their-abortion-views-with-regular-mass-attenders-most-opposed/

[64] Rosner, F., & Reichman, E. (2002). Embryonic stem cell research in Jewish law. Journal of halacha and contemporary society , (43), 49–68.; Jafari, M., Elahi, F., Ozyurt, S. & Wrigley, T. (2007). 4. Religious Perspectives on Embryonic Stem Cell Research. In K. Monroe, R. Miller & J. Tobis (Ed.),  Fundamentals of the Stem Cell Debate: The Scientific, Religious, Ethical, and Political Issues  (pp. 79-94). Berkeley: University of California Press.  https://escholarship.org/content/qt9rj0k7s3/qt9rj0k7s3_noSplash_f9aca2e02c3777c7fb76ea768ba458f0.pdf https://doi.org/10.1525/9780520940994-005

[65] Schenker J. G. (2008). The beginning of human life: status of embryo. Perspectives in Halakha (Jewish Religious Law).  Journal of assisted reproduction and genetics ,  25 (6), 271–276. https://doi.org/10.1007/s10815-008-9221-6

[66] Ruttenberg, D. (2020, May 5). The Torah of Abortion Justice (annotated source sheet) . Sefaria. https://www.sefaria.org/sheets/234926.7?lang=bi&with=all&lang2=en

[67] Jafari, M., Elahi, F., Ozyurt, S. & Wrigley, T. (2007). 4. Religious Perspectives on Embryonic Stem Cell Research. In K. Monroe, R. Miller & J. Tobis (Ed.),  Fundamentals of the Stem Cell Debate: The Scientific, Religious, Ethical, and Political Issues  (pp. 79-94). Berkeley: University of California Press.  https://escholarship.org/content/qt9rj0k7s3/qt9rj0k7s3_noSplash_f9aca2e02c3777c7fb76ea768ba458f0.pdf https://doi.org/10.1525/9780520940994-005

[68] Gert, B. (2007). Common morality: Deciding what to do . Oxford Univ. Press.

[69] World Medical Association (2013). World Medical Association Declaration of Helsinki: ethical principles for medical research involving human subjects. JAMA , 310(20), 2191–2194. https://doi.org/10.1001/jama.2013.281053 Declaration of Helsinki – WMA – The World Medical Association .; see also: National Commission for the Protection of Human Subjects of Biomedical and Behavioral Research. (1979).  The Belmont report: Ethical principles and guidelines for the protection of human subjects of research . U.S. Department of Health and Human Services.  https://www.hhs.gov/ohrp/regulations-and-policy/belmont-report/read-the-belmont-report/index.html

[70] Zakarin Safier, L., Gumer, A., Kline, M., Egli, D., & Sauer, M. V. (2018). Compensating human subjects providing oocytes for stem cell research: 9-year experience and outcomes.  Journal of assisted reproduction and genetics ,  35 (7), 1219–1225. https://doi.org/10.1007/s10815-018-1171-z https://www.ncbi.nlm.nih.gov/pmc/articles/PMC6063839/ see also: Riordan, N. H., & Paz Rodríguez, J. (2021). Addressing concerns regarding associated costs, transparency, and integrity of research in recent stem cell trial. Stem Cells Translational Medicine , 10 (12), 1715–1716. https://doi.org/10.1002/sctm.21-0234

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[72] Krosin, M. T., Klitzman, R., Levin, B., Cheng, J., & Ranney, M. L. (2006). Problems in comprehension of informed consent in rural and peri-urban Mali, West Africa.  Clinical trials (London, England) ,  3 (3), 306–313. https://doi.org/10.1191/1740774506cn150oa

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[74] Msoroka, M. S., & Amundsen, D. (2018). One size fits not quite all: Universal research ethics with diversity.  Research Ethics ,  14 (3), 1-17.  https://doi.org/10.1177/1747016117739939

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[76] Stem Cell Tourism: False Hope for Real Money . Harvard Stem Cell Institute (HSCI). (2023). https://hsci.harvard.edu/stem-cell-tourism , See also: Bissassar, M. (2017). Transnational Stem Cell Tourism: An ethical analysis.  Voices in Bioethics ,  3 . https://doi.org/10.7916/vib.v3i.6027

[77] Song, P. (2011) The proliferation of stem cell therapies in post-Mao China: problematizing ethical regulation,  New Genetics and Society , 30:2, 141-153, DOI:  10.1080/14636778.2011.574375

[78] Dajani, R. (2014). Jordan’s stem-cell law can guide the Middle East.  Nature  510, 189. https://doi.org/10.1038/510189a

[79] International Society for Stem Cell Research. (2024). Standards in stem cell research . International Society for Stem Cell Research. https://www.isscr.org/guidelines/5-standards-in-stem-cell-research

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Mifrah Hayath

SM Candidate Harvard Medical School, MS Biotechnology Johns Hopkins University

Olivia Bowers

MS Bioethics Columbia University (Disclosure: affiliated with Voices in Bioethics)

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• Published: 08 May 2024

Exploring the dynamics of consumer engagement in social media influencer marketing: from the self-determination theory perspective

• Chenyu Gu   ORCID: orcid.org/0000-0001-6059-0573 1 &
• Qiuting Duan 2  

Humanities and Social Sciences Communications volume  11 , Article number:  587 ( 2024 ) Cite this article

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Influencer advertising has emerged as an integral part of social media marketing. Within this realm, consumer engagement is a critical indicator for gauging the impact of influencer advertisements, as it encompasses the proactive involvement of consumers in spreading advertisements and creating value. Therefore, investigating the mechanisms behind consumer engagement holds significant relevance for formulating effective influencer advertising strategies. The current study, grounded in self-determination theory and employing a stimulus-organism-response framework, constructs a general model to assess the impact of influencer factors, advertisement information, and social factors on consumer engagement. Analyzing data from 522 samples using structural equation modeling, the findings reveal: (1) Social media influencers are effective at generating initial online traffic but have limited influence on deeper levels of consumer engagement, cautioning advertisers against overestimating their impact; (2) The essence of higher-level engagement lies in the ad information factor, affirming that in the new media era, content remains ‘king’; (3) Interpersonal factors should also be given importance, as influencing the surrounding social groups of consumers is one of the effective ways to enhance the impact of advertising. Theoretically, current research broadens the scope of both social media and advertising effectiveness studies, forming a bridge between influencer marketing and consumer engagement. Practically, the findings offer macro-level strategic insights for influencer marketing.

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Introduction.

Recent studies have highlighted an escalating aversion among audiences towards traditional online ads, leading to a diminishing effectiveness of traditional online advertising methods (Lou et al., 2019 ). In an effort to overcome these challenges, an increasing number of brands are turning to influencers as their spokespersons for advertising. Utilizing influencers not only capitalizes on their significant influence over their fan base but also allows for the dissemination of advertising messages in a more native and organic manner. Consequently, influencer-endorsed advertising has become a pivotal component and a growing trend in social media advertising (Gräve & Bartsch, 2022 ). Although the topic of influencer-endorsed advertising has garnered increasing attention from scholars, the field is still in its infancy, offering ample opportunities for in-depth research and exploration (Barta et al., 2023 ).

Presently, social media influencers—individuals with substantial follower bases—have emerged as the new vanguard in advertising (Hudders & Lou, 2023 ). Their tweets and videos possess the remarkable potential to sway the purchasing decisions of thousands if not millions. This influence largely hinges on consumer engagement behaviors, implying that the impact of advertising can proliferate throughout a consumer’s entire social network (Abbasi et al., 2023 ). Consequently, exploring ways to enhance consumer engagement is of paramount theoretical and practical significance for advertising effectiveness research (Xiao et al., 2023 ). This necessitates researchers to delve deeper into the exploration of the stimulating factors and psychological mechanisms influencing consumer engagement behaviors (Vander Schee et al., 2020 ), which is the gap this study seeks to address.

The Stimulus-Organism-Response (S-O-R) framework has been extensively applied in the study of consumer engagement behaviors (Tak & Gupta, 2021 ) and has been shown to integrate effectively with self-determination theory (Yang et al., 2019 ). Therefore, employing the S-O-R framework to investigate consumer engagement behaviors in the context of influencer advertising is considered a rational approach. The current study embarks on an in-depth analysis of the transformation process from three distinct dimensions. In the Stimulus (S) phase, we focus on how influencer factors, advertising message factors, and social influence factors act as external stimuli. This phase scrutinizes the external environment’s role in triggering consumer reactions. During the Organism (O) phase, the research explores the intrinsic psychological motivations affecting individual behavior as posited in self-determination theory. This includes the willingness for self-disclosure, the desire for innovation, and trust in advertising messages. The investigation in this phase aims to understand how these internal motivations shape consumer attitudes and perceptions in the context of influencer marketing. Finally, in the Response (R) phase, the study examines how these psychological factors influence consumer engagement behavior. This part of the research seeks to understand the transition from internal psychological states to actual consumer behavior, particularly how these states drive the consumers’ deep integration and interaction with the influencer content.

Despite the inherent limitations of cross-sectional analysis in capturing the full temporal dynamics of consumer engagement, this study seeks to unveil the dynamic interplay between consumers’ psychological needs—autonomy, competence, and relatedness—and their varying engagement levels in social media influencer marketing, grounded in self-determination theory. Through this lens, by analyzing factors related to influencers, content, and social context, we aim to infer potential dynamic shifts in engagement behaviors as psychological needs evolve. This approach allows us to offer a snapshot of the complex, multi-dimensional nature of consumer engagement dynamics, providing valuable insights for both theoretical exploration and practical application in the constantly evolving domain of social media marketing. Moreover, the current study underscores the significance of adapting to the dynamic digital environment and highlights the evolving nature of consumer engagement in the realm of digital marketing.

Literature review

Stimulus-organism-response (s-o-r) model.

The Stimulus-Response (S-R) model, originating from behaviorist psychology and introduced by psychologist Watson ( 1917 ), posits that individual behaviors are directly induced by external environmental stimuli. However, this model overlooks internal personal factors, complicating the explanation of psychological states. Mehrabian and Russell ( 1974 ) expanded this by incorporating the individual’s cognitive component (organism) into the model, creating the Stimulus-Organism-Response (S-O-R) framework. This model has become a crucial theoretical framework in consumer psychology as it interprets internal psychological cognitions as mediators between stimuli and responses. Integrating with psychological theories, the S-O-R model effectively analyzes and explains the significant impact of internal psychological factors on behavior (Koay et al., 2020 ; Zhang et al., 2021 ), and is extensively applied in investigating user behavior on social media platforms (Hewei & Youngsook, 2022 ). This study combines the S-O-R framework with self-determination theory to examine consumer engagement behaviors in the context of social media influencer advertising, a logic also supported by some studies (Yang et al., 2021 ).

Self-determination theory

Self-determination theory, proposed by Richard and Edward (2000), is a theoretical framework exploring human behavioral motivation and personality. The theory emphasizes motivational processes, positing that individual behaviors are developed based on factors satisfying their psychological needs. It suggests that individual behavioral tendencies are influenced by the needs for competence, relatedness, and autonomy. Furthermore, self-determination theory, along with organic integration theory, indicates that individual behavioral tendencies are also affected by internal psychological motivations and external situational factors.

Self-determination theory has been validated by scholars in the study of online user behaviors. For example, Sweet applied the theory to the investigation of community building in online networks, analyzing knowledge-sharing behaviors among online community members (Sweet et al., 2020 ). Further literature review reveals the applicability of self-determination theory to consumer engagement behaviors, particularly in the context of influencer marketing advertisements. Firstly, self-determination theory is widely applied in studying the psychological motivations behind online behaviors, suggesting that the internal and external motivations outlined within the theory might also apply to exploring consumer behaviors in influencer marketing scenarios (Itani et al., 2022 ). Secondly, although research on consumer engagement in the social media influencer advertising context is still in its early stages, some studies have utilized SDT to explore behaviors such as information sharing and electronic word-of-mouth dissemination (Astuti & Hariyawan, 2021 ). These behaviors, which are part of the content contribution and creation dimensions of consumer engagement, may share similarities in the underlying psychological motivational mechanisms. Thus, this study will build upon these foundations to construct the Organism (O) component of the S-O-R model, integrating insights from SDT to further understand consumer engagement in influencer marketing.

Consumer engagement

Although scholars generally agree at a macro level to define consumer engagement as the creation of additional value by consumers or customers beyond purchasing products, the specific categorization of consumer engagement varies in different studies. For instance, Simon and Tossan interpret consumer engagement as a psychological willingness to interact with influencers (Simon & Tossan, 2018 ). However, such a broad definition lacks precision in describing various levels of engagement. Other scholars directly use tangible metrics on social media platforms, such as likes, saves, comments, and shares, to represent consumer engagement (Lee et al., 2018 ). While this quantitative approach is not flawed and can be highly effective in practical applications, it overlooks the content aspect of engagement, contradicting the “content is king” principle of advertising and marketing. We advocate for combining consumer engagement with the content aspect, as content engagement not only generates more traces of consumer online behavior (Oestreicher-Singer & Zalmanson, 2013 ) but, more importantly, content contribution and creation are central to social media advertising and marketing, going beyond mere content consumption (Qiu & Kumar, 2017 ). Meanwhile, we also need to emphasize that engagement is not a fixed state but a fluctuating process influenced by ongoing interactions between consumers and influencers, mediated by the evolving nature of social media platforms and the shifting sands of consumer preferences (Pradhan et al., 2023 ). Consumer engagement in digital environments undergoes continuous change, reflecting a journey rather than a destination (Viswanathan et al., 2017 ).

The current study adopts a widely accepted definition of consumer engagement from existing research, offering operational feasibility and aligning well with the research objectives of this paper. Consumer engagement behaviors in the context of this study encompass three dimensions: content consumption, content contribution, and content creation (Muntinga et al., 2011 ). These dimensions reflect a spectrum of digital engagement behaviors ranging from low to high levels (Schivinski et al., 2016 ). Specifically, content consumption on social media platforms represents a lower level of engagement, where consumers merely click and read the information but do not actively contribute or create user-generated content. Some studies consider this level of engagement as less significant for in-depth exploration because content consumption, compared to other forms, generates fewer visible traces of consumer behavior (Brodie et al., 2013 ). Even in a study by Qiu and Kumar, it was noted that the conversion rate of content consumption is low, contributing minimally to the success of social media marketing (Qiu & Kumar, 2017 ).

On the other hand, content contribution, especially content creation, is central to social media marketing. When consumers comment on influencer content or share information with their network nodes, it is termed content contribution, representing a medium level of online consumer engagement (Piehler et al., 2019 ). Furthermore, when consumers actively upload and post brand-related content on social media, this higher level of behavior is referred to as content creation. Content creation represents the highest level of consumer engagement (Cheung et al., 2021 ). Although medium and high levels of consumer engagement are more valuable for social media advertising and marketing, this exploratory study still retains the content consumption dimension of consumer engagement behaviors.

Theoretical framework

Internal organism factors: self-disclosure willingness, innovativeness, and information trust.

In existing research based on self-determination theory that focuses on online behavior, competence, relatedness, and autonomy are commonly considered as internal factors influencing users’ online behaviors. However, this approach sometimes strays from the context of online consumption. Therefore, in studies related to online consumption, scholars often use self-disclosure willingness as an overt representation of autonomy, innovativeness as a representation of competence, and trust as a representation of relatedness (Mahmood et al., 2019 ).

The use of these overt variables can be logically explained as follows: According to self-determination theory, individuals with a higher level of self-determination are more likely to adopt compensatory mechanisms to facilitate behavior compared to those with lower self-determination (Wehmeyer, 1999 ). Self-disclosure, a voluntary act of sharing personal information with others, is considered a key behavior in the development of interpersonal relationships. In social environments, self-disclosure can effectively alleviate stress and build social connections, while also seeking societal validation of personal ideas (Altman & Taylor, 1973 ). Social networks, as para-social entities, possess the interactive attributes of real societies and are likely to exhibit similar mechanisms. In consumer contexts, personal disclosures can include voluntary sharing of product interests, consumption experiences, and future purchase intentions (Robertshaw & Marr, 2006 ). While material incentives can prompt personal information disclosure, many consumers disclose personal information online voluntarily, which can be traced back to an intrinsic need for autonomy (Stutzman et al., 2011 ). Thus, in this study, we consider the self-disclosure willingness as a representation of high autonomy.

Innovativeness refers to an individual’s internal level of seeking novelty and represents their personality and tendency for novelty (Okazaki, 2009 ). Often used in consumer research, innovative consumers are inclined to try new technologies and possess an intrinsic motivation to use new products. Previous studies have shown that consumers with high innovativeness are more likely to search for information on new products and share their experiences and expertise with others, reflecting a recognition of their own competence (Kaushik & Rahman, 2014 ). Therefore, in consumer contexts, innovativeness is often regarded as the competence dimension within the intrinsic factors of self-determination (Wang et al., 2016 ), with external motivations like information novelty enhancing this intrinsic motivation (Lee et al., 2015 ).

Trust refers to an individual’s willingness to rely on the opinions of others they believe in. From a social psychological perspective, trust indicates the willingness to assume the risk of being harmed by another party (McAllister, 1995 ). Widely applied in social media contexts for relational marketing, information trust has been proven to positively influence the exchange and dissemination of consumer information, representing a close and advanced relationship between consumers and businesses, brands, or advertising endorsers (Steinhoff et al., 2019 ). Consumers who trust brands or social media influencers are more willing to share information without fear of exploitation (Pop et al., 2022 ), making trust a commonly used representation of the relatedness dimension in self-determination within consumer contexts.

Construction of the path from organism to response: self-determination internal factors and consumer engagement behavior

Following the logic outlined above, the current study represents the internal factors of self-determination theory through three variables: self-disclosure willingness, innovativeness, and information trust. Next, the study explores the association between these self-determination internal factors and consumer engagement behavior, thereby constructing the link between Organism (O) and Response (R).

Self-disclosure willingness and consumer engagement behavior

In the realm of social sciences, the concept of self-disclosure willingness has been thoroughly examined from diverse disciplinary perspectives, encompassing communication studies, sociology, and psychology. Viewing from the lens of social interaction dynamics, self-disclosure is acknowledged as a fundamental precondition for the initiation and development of online social relationships and interactive engagements (Luo & Hancock, 2020 ). It constitutes an indispensable component within the spectrum of interactive behaviors and the evolution of interpersonal connections. Voluntary self-disclosure is characterized by individuals divulging information about themselves, which typically remains unknown to others and is inaccessible through alternative sources. This concept aligns with the tenets of uncertainty reduction theory, which argues that during interpersonal engagements, individuals seek information about their counterparts as a means to mitigate uncertainties inherent in social interactions (Lee et al., 2008 ). Self-disclosure allows others to gain more personal information, thereby helping to reduce the uncertainty in interpersonal relationships. Such disclosure is voluntary rather than coerced, and this sharing of information can facilitate the development of relationships between individuals (Towner et al., 2022 ). Furthermore, individuals who actively engage in social media interactions (such as liking, sharing, and commenting on others’ content) often exhibit higher levels of self-disclosure (Chu et al., 2023 ); additional research indicates a positive correlation between self-disclosure and online engagement behaviors (Lee et al., 2023 ). Taking the context of the current study, the autonomous self-disclosure willingness can incline social media users to read advertising content more attentively and share information with others, and even create evaluative content. Therefore, this paper proposes the following research hypothesis:

H1a: The self-disclosure willingness is positively correlated with content consumption in consumer engagement behavior.

H1b: The self-disclosure willingness is positively correlated with content contribution in consumer engagement behavior.

H1c: The self-disclosure willingness is positively correlated with content creation in consumer engagement behavior.

Innovativeness and consumer engagement behavior

Innovativeness represents an individual’s propensity to favor new technologies and the motivation to use new products, associated with the cognitive perception of one’s self-competence. Individuals with a need for self-competence recognition often exhibit higher innovativeness (Kelley & Alden, 2016 ). Existing research indicates that users with higher levels of innovativeness are more inclined to accept new product information and share their experiences and discoveries with others in their social networks (Yusuf & Busalim, 2018 ). Similarly, in the context of this study, individuals, as followers of influencers, signify an endorsement of the influencer. Driven by innovativeness, they may be more eager to actively receive information from influencers. If they find the information valuable, they are likely to share it and even engage in active content re-creation to meet their expectations of self-image. Therefore, this paper proposes the following research hypotheses:

H2a: The innovativeness of social media users is positively correlated with content consumption in consumer engagement behavior.

H2b: The innovativeness of social media users is positively correlated with content contribution in consumer engagement behavior.

H2c: The innovativeness of social media users is positively correlated with content creation in consumer engagement behavior.

Information trust and consumer engagement

Trust refers to an individual’s willingness to rely on the statements and opinions of a target object (Moorman et al., 1993 ). Extensive research indicates that trust positively impacts information dissemination and content sharing in interpersonal communication environments (Majerczak & Strzelecki, 2022 ); when trust is established, individuals are more willing to share their resources and less suspicious of being exploited. Trust has also been shown to influence consumers’ participation in community building and content sharing on social media, demonstrating cross-cultural universality (Anaya-Sánchez et al., 2020 ).

Trust in influencer advertising information is also a key predictor of consumers’ information exchange online. With many social media users now operating under real-name policies, there is an increased inclination to trust information shared on social media over that posted by corporate accounts or anonymously. Additionally, as users’ social networks partially overlap with their real-life interpersonal networks, extensive research shows that more consumers increasingly rely on information posted and shared on social networks when making purchase decisions (Wang et al., 2016 ). This aligns with the effectiveness goals of influencer marketing advertisements and the characteristics of consumer engagement. Trust in the content posted by influencers is considered a manifestation of a strong relationship between fans and influencers, central to relationship marketing (Kim & Kim, 2021 ). Based on trust in the influencer, which then extends to trust in their content, people are more inclined to browse information posted by influencers, share this information with others, and even create their own content without fear of exploitation or negative consequences. Therefore, this paper proposes the following research hypotheses:

H3a: Information trust is positively correlated with content consumption in consumer engagement behavior.

H3b: Information trust is positively correlated with content contribution in consumer engagement behavior.

H3c: Information trust is positively correlated with content creation in consumer engagement behavior.

Construction of the path from stimulus to organism: influencer factors, advertising information factors, social factors, and self-determination internal factors

Having established the logical connection from Organism (O) to Response (R), we further construct the influence path from Stimulus (S) to Organism (O). Revisiting the definition of influencer advertising in social media, companies, and brands leverage influencers on social media platforms to disseminate advertising content, utilizing the influencers’ relationships and influence over consumers for marketing purposes. In addition to consumer’s internal factors, elements such as companies, brands, influencers, and the advertisements themselves also impact consumer behavior. Although factors like the brand image perception of companies may influence consumer behavior, considering that in influencer marketing, companies and brands do not directly interact with consumers, this study prioritizes the dimensions of influencers and advertisements. Furthermore, the impact of social factors on individual cognition and behavior is significant, thus, the current study integrates influencers, advertisements, and social dimensions as the Stimulus (S) component.

Influencer factors: parasocial identification

Self-determination theory posits that relationships are one of the key motivators influencing individual behavior. In the context of social media research, users anticipate establishing a parasocial relationship with influencers, resembling real-life relationships. Hence, we consider the parasocial identification arising from users’ parasocial interactions with influencers as the relational motivator. Parasocial interaction refers to the one-sided personal relationship that individuals develop with media characters (Donald & Richard, 1956 ). During this process, individuals believe that the media character is directly communicating with them, creating a sense of positive intimacy (Giles, 2002 ). Over time, through repeated unilateral interactions with media characters, individuals develop a parasocial relationship, leading to parasocial identification. However, parasocial identification should not be directly equated with the concept of social identification in social identity theory. Social identification occurs when individuals psychologically de-individualize themselves, perceiving the characteristics of their social group as their own, upon identifying themselves as part of that group. In contrast, parasocial identification refers to the one-sided interactional identification with media characters (such as celebrities or influencers) over time (Chen et al., 2021 ). Particularly when individuals’ needs for interpersonal interaction are not met in their daily lives, they turn to parasocial interactions to fulfill these needs (Shan et al., 2020 ). Especially on social media, which is characterized by its high visibility and interactivity, users can easily develop a strong parasocial identification with the influencers they follow (Wei et al., 2022 ).

Parasocial identification and self-disclosure willingness

Theories like uncertainty reduction, personal construct, and social exchange are often applied to explain the emergence of parasocial identification. Social media, with its convenient and interactive modes of information dissemination, enables consumers to easily follow influencers on media platforms. They can perceive the personality of influencers through their online content, viewing them as familiar individuals or even friends. Once parasocial identification develops, this pleasurable experience can significantly influence consumers’ cognitions and thus their behavioral responses. Research has explored the impact of parasocial identification on consumer behavior. For instance, Bond et al. found that on Twitter, the intensity of users’ parasocial identification with influencers positively correlates with their continuous monitoring of these influencers’ activities (Bond, 2016 ). Analogous to real life, where we tend to pay more attention to our friends in our social networks, a similar phenomenon occurs in the relationship between consumers and brands. This type of parasocial identification not only makes consumers willing to follow brand pages but also more inclined to voluntarily provide personal information (Chen et al., 2021 ). Based on this logic, we speculate that a similar relationship may exist between social media influencers and their fans. Fans develop parasocial identification with influencers through social media interactions, making them more willing to disclose their information, opinions, and views in the comment sections of the influencers they follow, engaging in more frequent social interactions (Chung & Cho, 2017 ), even if the content at times may be brand or company-embedded marketing advertisements. In other words, in the presence of influencers with whom they have established parasocial relationships, they are more inclined to disclose personal information, thereby promoting consumer engagement behavior. Therefore, we propose the following research hypotheses:

H4: Parasocial identification is positively correlated with consumer self-disclosure willingness.

H4a: Self-disclosure willingness mediates the impact of parasocial identification on content consumption in consumer engagement behavior.

H4b: Self-disclosure willingness mediates the impact of parasocial identification on content contribution in consumer engagement behavior.

H4c: Self-disclosure willingness mediates the impact of parasocial identification on content creation in consumer engagement behavior.

Parasocial identification and information trust

Information Trust refers to consumers’ willingness to trust the information contained in advertisements and to place themselves at risk. These risks include purchasing products inconsistent with the advertised information and the negative social consequences of erroneously spreading this information to others, leading to unpleasant consumption experiences (Minton, 2015 ). In advertising marketing, gaining consumers’ trust in advertising information is crucial. In the context of influencer marketing on social media, companies, and brands leverage the social connection between influencers and their fans. According to cognitive empathy theory, consumers project their trust in influencers onto the products endorsed, explaining the phenomenon of ‘loving the house for the crow on its roof.’ Research indicates that parasocial identification with influencers is a necessary condition for trust development. Consumers engage in parasocial interactions with influencers on social media, leading to parasocial identification (Jin et al., 2021 ). Consumers tend to reduce their cognitive load and simplify their decision-making processes, thus naturally adopting a positive attitude and trust towards advertising information disseminated by influencers with whom they have established parasocial identification. This forms the core logic behind the success of influencer marketing advertisements (Breves et al., 2021 ); furthermore, as mentioned earlier, because consumers trust these advertisements, they are also willing to share this information with friends and family and even engage in content re-creation. Therefore, we propose the following research hypotheses:

H5: Parasocial identification is positively correlated with information trust.

H5a: Information trust mediates the impact of parasocial identification on content consumption in consumer engagement behavior.

H5b: Information trust mediates the impact of parasocial identification on content contribution in consumer engagement behavior.

H5c: Information trust mediates the impact of parasocial identification on content creation in consumer engagement behavior.

Influencer factors: source credibility

Source credibility refers to the degree of trust consumers place in the influencer as a source, based on the influencer’s reliability and expertise. Numerous studies have validated the effectiveness of the endorsement effect in advertising (Schouten et al., 2021 ). The Source Credibility Model, proposed by the renowned American communication scholar Hovland and the “Yale School,” posits that in the process of information dissemination, the credibility of the source can influence the audience’s decision to accept the information. The credibility of the information is determined by two aspects of the source: reliability and expertise. Reliability refers to the audience’s trust in the “communicator’s objective and honest approach to providing information,” while expertise refers to the audience’s trust in the “communicator being perceived as an effective source of information” (Hovland et al., 1953 ). Hovland’s definitions reveal that the interpretation of source credibility is not about the inherent traits of the source itself but rather the audience’s perception of the source (Jang et al., 2021 ). This differs from trust and serves as a precursor to the development of trust. Specifically, reliability and expertise are based on the audience’s perception; thus, this aligns closely with the audience’s perception of influencers (Kim & Kim, 2021 ). This credibility is a cognitive statement about the source of information.

Source credibility and self-disclosure willingness

Some studies have confirmed the positive impact of an influencer’s self-disclosure on their credibility as a source (Leite & Baptista, 2022 ). However, few have explored the impact of an influencer’s credibility, as a source, on consumers’ self-disclosure willingness. Undoubtedly, an impact exists; self-disclosure is considered a method to attempt to increase intimacy with others (Leite et al., 2022 ). According to social exchange theory, people promote relationships through the exchange of information in interpersonal communication to gain benefits (Cropanzano & Mitchell, 2005 ). Credibility, deriving from an influencer’s expertise and reliability, means that a highly credible influencer may provide more valuable information to consumers. Therefore, based on the social exchange theory’s logic of reciprocal benefits, consumers might be more willing to disclose their information to trustworthy influencers, potentially even expanding social interactions through further consumer engagement behaviors. Thus, we propose the following research hypotheses:

H6: Source credibility is positively correlated with self-disclosure willingness.

H6a: Self-disclosure willingness mediates the impact of Source credibility on content consumption in consumer engagement behavior.

H6b: Self-disclosure willingness mediates the impact of Source credibility on content contribution in consumer engagement behavior.

H6c: Self-disclosure willingness mediates the impact of Source credibility on content creation in consumer engagement behavior.

Source credibility and information trust

Based on the Source Credibility Model, the credibility of an endorser as an information source can significantly influence consumers’ acceptance of the information (Shan et al., 2020 ). Existing research has demonstrated the positive impact of source credibility on consumers. Djafarova, in a study based on Instagram, noted through in-depth interviews with 18 users that an influencer’s credibility significantly affects respondents’ trust in the information they post. This credibility is composed of expertise and relevance to consumers, and influencers on social media are considered more trustworthy than traditional celebrities (Djafarova & Rushworth, 2017 ). Subsequently, Bao and colleagues validated in the Chinese consumer context, based on the ELM model and commitment-trust theory, that the credibility of brand pages on Weibo effectively fosters consumer trust in the brand, encouraging participation in marketing activities (Bao & Wang, 2021 ). Moreover, Hsieh et al. found that in e-commerce contexts, the credibility of the source is a significant factor influencing consumers’ trust in advertising information (Hsieh & Li, 2020 ). In summary, existing research has proven that the credibility of the source can promote consumer trust. Influencer credibility is a significant antecedent affecting consumers’ trust in the advertised content they publish. In brand communities, trust can foster consumer engagement behaviors (Habibi et al., 2014 ). Specifically, consumers are more likely to trust the advertising content published by influencers with higher credibility (more expertise and reliability), and as previously mentioned, consumer engagement behavior is more likely to occur. Based on this, the study proposes the following research hypotheses:

H7: Source credibility is positively correlated with information trust.

H7a: Information trust mediates the impact of source credibility on content consumption in consumer engagement behavior.

H7b: Information trust mediates the impact of source credibility on content contribution in consumer engagement behavior.

H7c: Information trust mediates the impact of source credibility on content creation in consumer engagement behavior.

Advertising information factors: informative value

Advertising value refers to “the relative utility value of advertising information to consumers and is a subjective evaluation by consumers.” In his research, Ducoffe pointed out that in the context of online advertising, the informative value of advertising is a significant component of advertising value (Ducoffe, 1995 ). Subsequent studies have proven that consumers’ perception of advertising value can effectively promote their behavioral response to advertisements (Van-Tien Dao et al., 2014 ). Informative value of advertising refers to “the information about products needed by consumers provided by the advertisement and its ability to enhance consumer purchase satisfaction.” From the perspective of information dissemination, valuable advertising information should help consumers make better purchasing decisions and reduce the effort spent searching for product information. The informational aspect of advertising has been proven to effectively influence consumers’ cognition and, in turn, their behavior (Haida & Rahim, 2015 ).

Informative value and innovativeness

As previously discussed, consumers’ innovativeness refers to their psychological trait of favoring new things. Studies have shown that consumers with high innovativeness prefer novel and valuable product information, as it satisfies their need for newness and information about new products, making it an important factor in social media advertising engagement (Shi, 2018 ). This paper also hypothesizes that advertisements with high informative value can activate consumers’ innovativeness, as the novelty of information is one of the measures of informative value (León et al., 2009 ). Acquiring valuable information can make individuals feel good about themselves and fulfill their perception of a “novel image.” According to social exchange theory, consumers can gain social capital in interpersonal interactions (such as social recognition) by sharing information about these new products they perceive as valuable. Therefore, the current study proposes the following research hypothesis:

H8: Informative value is positively correlated with innovativeness.

H8a: Innovativeness mediates the impact of informative value on content consumption in consumer engagement behavior.

H8b: Innovativeness mediates the impact of informative value on content contribution in consumer engagement behavior.

H8c: Innovativeness mediates the impact of informative value on content creation in consumer engagement behavior.

Informative value and information trust

Trust is a multi-layered concept explored across various disciplines, including communication, marketing, sociology, and psychology. For the purposes of this paper, a deep analysis of different levels of trust is not undertaken. Here, trust specifically refers to the trust in influencer advertising information within the context of social media marketing, denoting consumers’ belief in and reliance on the advertising information endorsed by influencers. Racherla et al. investigated the factors influencing consumers’ trust in online reviews, suggesting that information quality and value contribute to increasing trust (Racherla et al., 2012 ). Similarly, Luo and Yuan, in a study based on social media marketing, also confirmed that the value of advertising information posted on brand pages can foster consumer trust in the content (Lou & Yuan, 2019 ). Therefore, by analogy, this paper posits that the informative value of influencer-endorsed advertising can also promote consumer trust in that advertising information. The relationship between trust in advertising information and consumer engagement behavior has been discussed earlier. Thus, the current study proposes the following research hypotheses:

H9: Informative value is positively correlated with information trust.

H9a: Information trust mediates the impact of informative value on content consumption in consumer engagement behavior.

H9b: Information trust mediates the impact of informative value on content contribution in consumer engagement behavior.

H9c: Information trust mediates the impact of informative value on content creation in consumer engagement behavior.

Advertising information factors: ad targeting accuracy

Ad targeting accuracy refers to the degree of match between the substantive information contained in advertising content and consumer needs. Advertisements containing precise information often yield good advertising outcomes. In marketing practice, advertisers frequently use information technology to analyze the characteristics of different consumer groups in the target market and then target their advertisements accordingly to achieve precise dissemination and, consequently, effective advertising results. The utility of ad targeting accuracy has been confirmed by many studies. For instance, in the research by Qiu and Chen, using a modified UTAUT model, it was demonstrated that the accuracy of advertising effectively promotes consumer acceptance of advertisements in WeChat Moments (Qiu & Chen, 2018 ). Although some studies on targeted advertising also indicate that overly precise ads may raise concerns about personal privacy (Zhang et al., 2019 ), overall, the accuracy of advertising information is effective in enhancing advertising outcomes and is a key element in the success of targeted advertising.

Ad targeting accuracy and information trust

In influencer marketing advertisements, due to the special relationship recognition between consumers and influencers, the privacy concerns associated with ad targeting accuracy are alleviated (Vrontis et al., 2021 ). Meanwhile, the informative value brought by targeting accuracy is highlighted. More precise advertising content implies higher informative value and also signifies that the advertising content is more worthy of consumer trust (Della Vigna, Gentzkow, 2010 ). As previously discussed, people are more inclined to read and engage with advertising content they trust and recognize. Therefore, the current study proposes the following research hypotheses:

H10: Ad targeting accuracy is positively correlated with information trust.

H10a: Information trust mediates the impact of ad targeting accuracy on content consumption in consumer engagement behavior.

H10b: Information trust mediates the impact of ad targeting accuracy on content contribution in consumer engagement behavior.

H10c: Information trust mediates the impact of ad targeting accuracy on content creation in consumer engagement behavior.

Social factors: subjective norm

The Theory of Planned Behavior, proposed by Ajzen ( 1991 ), suggests that individuals’ actions are preceded by conscious choices and are underlain by plans. TPB has been widely used by scholars in studying personal online behaviors, these studies collectively validate the applicability of TPB in the context of social media for researching online behaviors (Huang, 2023 ). Additionally, the self-determination theory, which underpins this chapter’s research, also supports the notion that individuals’ behavioral decisions are based on internal cognitions, aligning with TPB’s assertions. Therefore, this paper intends to select subjective norms from TPB as a factor of social influence. Subjective norm refers to an individual’s perception of the expectations of significant others in their social relationships regarding their behavior. Empirical research in the consumption field has demonstrated the significant impact of subjective norms on individual psychological cognition (Yang & Jolly, 2009 ). A meta-analysis by Hagger, Chatzisarantis ( 2009 ) even highlighted the statistically significant association between subjective norms and self-determination factors. Consequently, this study further explores its application in the context of influencer marketing advertisements on social media.

Subjective norm and self-disclosure willingness

In numerous studies on social media privacy, subjective norms significantly influence an individual’s self-disclosure willingness. Wirth et al. ( 2019 ) based on the privacy calculus theory, surveyed 1,466 participants and found that personal self-disclosure on social media is influenced by the behavioral expectations of other significant reference groups around them. Their research confirmed that subjective norms positively influence self-disclosure of information and highlighted that individuals’ cognitions and behaviors cannot ignore social and environmental factors. Heirman et al. ( 2013 ) in an experiment with Instagram users, also noted that subjective norms could promote positive consumer behavioral responses. Specifically, when important family members and friends highly regard social media influencers as trustworthy, we may also be more inclined to disclose our information to influencers and share this information with our surrounding family and friends without fear of disapproval. In our subjective norms, this is considered a positive and valuable interactive behavior, leading us to exhibit engagement behaviors. Based on this logic, we propose the following research hypotheses:

H11: Subjective norms are positively correlated with self-disclosure willingness.

H11a: Self-disclosure willingness mediates the impact of subjective norms on content consumption in consumer engagement behavior.

H11b: Self-disclosure willingness mediates the impact of subjective norms on content contribution in consumer engagement behavior.

H11c: Self-disclosure willingness mediates the impact of subjective norms on content creation in consumer engagement behavior.

Subjective norm and information trust

Numerous studies have indicated that subjective norms significantly influence trust (Roh et al., 2022 ). This can be explained by reference group theory, suggesting people tend to minimize the effort expended in decision-making processes, often looking to the behaviors or attitudes of others as a point of reference; for instance, subjective norms can foster acceptance of technology by enhancing trust (Gupta et al., 2021 ). Analogously, if a consumer’s social network generally holds positive attitudes toward influencer advertising, they are also more likely to trust the endorsed advertisement information, as it conserves the extensive effort required in gathering product information (Chetioui et al., 2020 ). Therefore, this paper proposes the following research hypotheses:

H12: Subjective norms are positively correlated with information trust.

H12a: Information trust mediates the impact of subjective norms on content consumption in consumer engagement behavior.

H12b: Information trust mediates the impact of subjective norms on content contribution in consumer engagement behavior.

H12c: Information trust mediates the impact of subjective norms on content creation in consumer engagement behavior.

Conceptual model

In summary, based on the Stimulus (S)-Organism (O)-Response (R) framework, this study constructs the external stimulus factors (S) from three dimensions: influencer factors (parasocial identification, source credibility), advertising information factors (informative value, Ad targeting accuracy), and social influence factors (subjective norms). This is grounded in social capital theory and the theory of planned behavior. drawing on self-determination theory, the current study constructs the individual psychological factors (O) using self-disclosure willingness, innovativeness, and information trust. Finally, the behavioral response (R) is constructed using consumer engagement, which includes content consumption, content contribution, and content creation, as illustrated in Fig. 1 .

Consumer engagement behavior impact model based on SOR framework.

Materials and methods

Participants and procedures.

The current study conducted a survey through the Wenjuanxing platform to collect data. Participants were recruited through social media platforms such as WeChat, Douyin, Weibo et al., as samples drawn from social media users better align with the research purpose of our research and ensure the validity of the sample. Before the survey commenced, all participants were explicitly informed about the purpose of this study, and it was made clear that volunteers could withdraw from the survey at any time. Initially, 600 questionnaires were collected, with 78 invalid responses excluded. The criteria for valid questionnaires were as follows: (1) Respondents must have answered “Yes” to the question, “Do you follow any influencers (internet celebrities) on social media platforms?” as samples not using social media or not following influencers do not meet the study’s objective, making this question a prerequisite for continuing the survey; (2) Respondents had to correctly answer two hidden screening questions within the questionnaire to ensure that they did not randomly select scores; (3) The total time taken to complete the questionnaire had to exceed one minute, ensuring that respondents had sufficient time to understand and thoughtfully answer each question; (4) Respondents were not allowed to choose the same score for eight consecutive questions. Ultimately, 522 valid questionnaires were obtained, with an effective rate of 87.00%, meeting the basic sample size requirements for research models (Gefen et al., 2011 ). Detailed demographic information of the study participants is presented in Table 1 .

Measurements

To ensure the validity and reliability of the data analysis results in this study, the measurement tools and scales used in this chapter were designed with reference to existing established research. The main variables in the survey questionnaire include parasocial identification, source credibility, informative value, ad targeting accuracy, subjective norms, self-disclosure willingness, innovativeness, information trust, content consumption, content contribution, and content creation. The measurement scale for parasocial identification was adapted from the research of Schramm and Hartmann, comprising 6 items (Schramm & Hartmann, 2008 ). The source credibility scale was combined from the studies of Cheung et al. and Luo & Yuan’s research in the context of social media influencer marketing, including 4 items (Cheung et al., 2009 ; Lou & Yuan, 2019 ). The scale for informative value was modified based on Voss et al.‘s research, consisting of 4 items (Voss et al., 2003 ). The ad targeting accuracy scale was derived from the research by Qiu Aimei et al., 2018 ) including 3 items. The subjective norm scale was adapted from Ajzen’s original scale, comprising 3 items (Ajzen, 2002 ). The self-disclosure willingness scale was developed based on Chu and Kim’s research, including 3 items (Chu & Kim, 2011 ). The innovativeness scale was formulated following the study by Sun et al., comprising 4 items (Sun et al., 2006 ). The information trust scale was created in reference to Chu and Choi’s research, including 3 items (Chu & Choi, 2011 ). The scales for the three components of social media consumer engagement—content consumption, content contribution, and content creation—were sourced from the research by Buzeta et al., encompassing 8 items in total (Buzeta et al., 2020 ).

All scales were appropriately revised for the context of social media influencer marketing. To avoid issues with scoring neutral attitudes, a uniform Likert seven-point scale was used for each measurement item (ranging from 1 to 7, representing a spectrum from ‘strongly disagree’ to ‘strongly agree’). After the overall design of the questionnaire was completed, a pre-test was conducted with 30 social media users to ensure that potential respondents could clearly understand the meaning of each question and that there were no obstacles to answering. This pre-test aimed to prevent any difficulties or misunderstandings in the questionnaire items. The final version of the questionnaire is presented in Table 2 .

Data analysis

Since the model framework of the current study is derived from theoretical deductions of existing research and, while logically constructed, does not originate from an existing research model, this study still falls under the category of exploratory research. According to the analysis suggestions of Hair and other scholars, in cases of exploratory research model frameworks, it is more appropriate to choose Smart PLS for Partial Least Squares Path Analysis (PLS) to conduct data analysis and testing of the research model (Hair et al., 2012 ).

Measurement of model

In this study, careful data collection and management resulted in no missing values in the dataset. This ensured the integrity and reliability of the subsequent data analysis. As shown in Table 3 , after deleting measurement items with factor loadings below 0.5, the final factor loadings of the measurement items in this study range from 0.730 to 0.964. This indicates that all measurement items meet the retention criteria. Additionally, the Cronbach’s α values of the latent variables range from 0.805 to 0.924, and all latent variables have Composite Reliability (CR) values greater than the acceptable value of 0.7, demonstrating that the scales of this study have passed the reliability test requirements (Hair et al., 2019 ). All latent variables in this study have Average Variance Extracted (AVE) values greater than the standard acceptance value of 0.5, indicating that the convergent validity of the variables also meets the standard (Fornell & Larcker, 1981 ). Furthermore, the results show that the Variance Inflation Factor (VIF) values for each factor are below 10, indicating that there are no multicollinearity issues with the scales in this study (Hair, 2009 ).

The current study then further verified the discriminant validity of the variables, with specific results shown in Table 4 . The square roots of the average variance extracted (AVE) values for all variables (bolded on the diagonal) are greater than the Pearson correlation coefficients between the variables, indicating that the discriminant validity of the scales in this study meets the required standards (Fornell & Larcker, 1981 ). Additionally, a single-factor test method was employed to examine common method bias in the data. The first unrotated factor accounted for 29.71% of the variance, which is less than the critical threshold of 40%. Therefore, the study passed the test and did not exhibit serious common method bias (Podsakoff et al., 2003 ).

To ensure the robustness and appropriateness of our structural equation model, we also conducted a thorough evaluation of the model fit. Initially, through PLS Algorithm calculations, the R 2 values of each variable were greater than the standard acceptance value of 0.1, indicating good predictive accuracy of the model. Subsequently, Blindfolding calculations were performed, and the results showed that the Stone-Geisser Q 2 values of each variable were greater than 0, demonstrating that the model of this study effectively predicts the relationships between variables (Dijkstra & Henseler, 2015 ). In addition, through CFA, we also obtained some indicator values, specifically, χ 2 /df = 2.528 < 0.3, RMSEA = 0.059 < 0.06, SRMR = 0.055 < 0.08. Given its sensitivity to sample size, we primarily focused on the CFI, TLI, and NFI values, CFI = 0.953 > 0.9, TLI = 0.942 > 0.9, and NFI = 0.923 > 0.9 indicating a good fit. Additionally, RMSEA values below 0.06 and SRMR values below 0.08 were considered indicative of a good model fit. These indices collectively suggested that our model demonstrates a satisfactory fit with the data, thereby reinforcing the validity of our findings.

Research hypothesis testing

The current study employed a Bootstrapping test with a sample size of 5000 on the collected raw data to explore the coefficients and significance of the paths in the research model. The final test data results of this study’s model are presented in Table 5 .

The current study employs S-O-R model as the framework, grounded in theories such as self-determination theory and theory of planned behavior, to construct an influence model of consumer engagement behavior in the context of social media influencer marketing. It examines how influencer factors, advertisement information factors, and social influence factors affect consumer engagement behavior by impacting consumers’ psychological cognitions. Using structural equation modeling to analyze collected data ( N  = 522), it was found that self-disclosure willingness, innovativeness, and information trust positively influence consumer engagement behavior, with innovativeness having the largest impact on higher levels of engagement. Influencer factors, advertisement information factors, and social factors serve as effective external stimuli, influencing psychological motivators and, consequently, consumer engagement behavior. The specific research results are illustrated in Fig. 2 .

Tested structural model of consumer engagement behavior.

The impact of psychological motivators on different levels of consumer engagement: self-disclosure willingness, innovativeness, and information trust

The research analysis indicates that self-disclosure willingness and information trust are key drivers for content consumption (H1a, H2a validated). This aligns with previous findings that individuals with a higher willingness to disclose themselves show greater levels of engagement behavior (Chu et al., 2023 ); likewise, individuals who trust advertisement information are more inclined to engage with advertisement content (Kim, Kim, 2021 ). Moreover, our study finds that information trust has a stronger impact on content consumption, underscoring the importance of trust in the dissemination of advertisement information. However, no significant association was found between individual innovativeness and content consumption (H3a not validated).

Regarding the dimension of content contribution in consumer engagement, self-disclosure willingness, information trust, and innovativeness all positively impact it (H1b, H2b, and H3b all validated). This is consistent with earlier research findings that individuals with higher self-disclosure willingness are more likely to like, comment on, or share content posted by influencers on social media platforms (Towner et al., 2022 ); the conclusions of this paper also support that innovativeness is an important psychological driver for active participation in social media interactions (Kamboj & Sharma, 2023 ). However, at the level of consumer engagement in content contribution, while information trust also exerts a positive effect, its impact is the weakest, although information trust has the strongest impact on content consumption.

In social media advertising, the ideal outcome is the highest level of consumer engagement, i.e., content creation, meaning consumers actively join in brand content creation, seeing themselves as co-creators with the brand (Nadeem et al., 2021 ). Our findings reveal that self-disclosure willingness, innovativeness, and information trust all positively influence content creation (H1c, H2c, and H3c all validated). The analysis found that similar to the impact on content contribution, innovativeness has the most significant effect on encouraging individual content creation, followed by self-disclosure willingness, with information trust having the least impact.

In summary, while some previous studies have shown that self-disclosure willingness, innovativeness, and information trust are important factors in promoting consumer engagement (Chu et al., 2023 ; Nadeem et al., 2021 ; Geng et al., 2021 ), this study goes further by integrating and comparing all three within the same research framework. It was found that to trigger higher levels of consumer engagement behavior, trust is not the most crucial psychological motivator; rather, the most effective method is to stimulate consumers’ innovativeness, thus complementing previous research. Subsequently, this study further explores the impact of different stimulus factors on various psychological motivators.

The influence of external stimulus factors on psychological motivators: influencer factors, advertisement information factors, and social factors

The current findings indicate that influencer factors, such as parasocial identification and source credibility, effectively enhance consumer engagement by influencing self-disclosure willingness and information trust. This aligns with prior research highlighting the significance of parasocial identification (Shan et al., 2020 ). Studies suggest parasocial identification positively impacts consumer engagement by boosting self-disclosure willingness and information trust (validated H4a, H4b, H4c, and H5a), but not content contribution or creation through information trust (H5b, H5c not validated). Source credibility’s influence on self-disclosure willingness was not significant (H6 not validated), thus negating the mediating effect of self-disclosure willingness (H6a, H6b, H6c not validated). Influencer credibility mainly affects engagement through information trust (H7a, H7b, H7c validated), supporting previous findings (Shan et al., 2020 ).

Advertisement factors (informative value and ad targeting accuracy) promote engagement through innovativeness and information trust. Informative value significantly impacts higher-level content contribution and creation through innovativeness (H8b, H8c validated), while ad targeting accuracy influences consumer engagement at all levels mainly through information trust (H10a, H10b, H10c validated).

Social factors (subjective norms) enhance self-disclosure willingness and information trust, consistent with previous research (Wirth et al., 2019 ; Gupta et al., 2021 ), and further promote consumer engagement across all levels (H11a, H11b, H11c, H12a, H12b, and H12c all validated).

In summary, influencer, advertisement, and social factors impact consumer engagement behavior by influencing psychological motivators, with influencer factors having the greatest effect on content consumption, advertisement content factors significantly raising higher-level consumer engagement through innovativeness, and social factors also influencing engagement through self-disclosure willingness and information trust.

Implication

From a theoretical perspective, current research presents a comprehensive model of consumer engagement within the context of influencer advertising on social media. This model not only expands the research horizon in the fields of social media influencer advertising and consumer engagement but also serves as a bridge between two crucial themes in new media advertising studies. Influencer advertising has become an integral part of social media advertising, and the construction of a macro model aids researchers in understanding consumer psychological processes and behavioral patterns. It also assists advertisers in formulating more effective strategies. Consumer engagement, focusing on the active role of consumers in disseminating information and the long-term impact on advertising effectiveness, aligns more closely with the advertising effectiveness measures in the new media context than traditional advertising metrics. However, the intersection of these two vital themes lacks comprehensive research and a universal model. This study constructs a model that elucidates the effects of various stimuli on consumer psychology and engagement behaviors, exploring the connections and mechanisms through different mediating pathways. By differentiating levels of engagement, the study offers more nuanced conclusions for diverse advertising objectives. Furthermore, this research validates the applicability of self-determination theory in the context of influencer advertising effectiveness. While this psychological theory has been utilized in communication behavior research, its effectiveness in the field of advertising requires further exploration. The current study introduces self-determination theory into the realm of influencer advertising and consumer engagement, thereby expanding its application in the field of advertising communication. It also responds to the call from the advertising and marketing academic community to incorporate more psychological theories to explain the ‘black box’ of consumer psychology. The inclusion of this theory re-emphasizes the people-centric approach of this research and highlights the primary role of individuals in advertising communication studies.

From a practical perspective, this study provides significant insights for adapting marketing strategies to the evolving media landscape and the empowered role of audiences. Firstly, in the face of changes in the communication environment and the empowerment of audience communication capabilities, traditional marketing approaches are becoming inadequate for new media advertising needs. Traditional advertising focuses on direct, point-to-point effects, whereas social media advertising aims for broader, point-to-mass communication, leveraging audience proactivity to facilitate the viral spread of content across online social networks. Secondly, for brands, the general influence model proposed in this study offers guidance for influencer advertising strategy. If the goal is to maximize reach and brand recognition with a substantial advertising budget, partnering with top influencers who have a large following can be an effective strategy. However, if the objective is to maximize cost-effectiveness with a limited budget by leveraging consumer initiative for secondary spread, the focus should be on designing advertising content that stimulates consumer creativity and willingness to innovate. Thirdly, influencers are advised to remain true to their followers. In influencer marketing, influencers attract advertisers through their influence over followers, converting this influence into commercial gain. This influence stems from the trust followers place in the influencer, thus influencers should maintain professional integrity and prioritize the quality of information they share, even when presented with advertising opportunities. Lastly, influencers should assert more control over their relationships with advertisers. In traditional advertising, companies and brands often exert significant control over the content. However, in the social media era, influencers should negotiate more creative freedom in their advertising partnerships, asserting a more equal relationship with advertisers. This approach ensures that content quality remains high, maintaining the trust influencers have built with their followers.

Limitations and future directions

while this study offers valuable insights into the dynamics of influencer marketing and consumer engagement on social media, several limitations should be acknowledged: Firstly, constrained by the research objectives and scope, this study’s proposed general impact model covers three dimensions: influencers, advertisement information, and social factors. However, these dimensions are not limited to the five variables discussed in this paper. Therefore, we call for future research to supplement and explore more crucial factors. Secondly, in the actual communication environment, there may be differences in the impact of communication effectiveness across various social media platforms. Thus, future research could also involve comparative studies and explorations between different social media platforms. Thirdly, the current study primarily examines the direct effects of various factors on consumer engagement. However, the potential interaction effects between these variables (e.g., how influencers’ credibility might interact with advertisement information quality) are not extensively explored. Future research could investigate these complex interrelationships for a more holistic understanding. Lastly, our study, being cross-sectional, offers preliminary insights into the complex and dynamic nature of engagement between social media influencers and consumers, yet it does not incorporate the temporal dimension. The diverse impacts of psychological needs on engagement behaviors hint at an underlying dynamism that merits further investigation. Future research should consider employing longitudinal designs to directly observe how these dynamics evolve over time.

The findings of the current study not only theoretically validate the applicability of self-determination theory in the field of social media influencer marketing advertising research but also broaden the scope of advertising effectiveness research from the perspective of consumer engagement. Moreover, the research framework offers strategic guidance and reference for influencer marketing strategies. The main conclusions of this study can be summarized as follows.

Innovativeness is the key factor in high-level consumer engagement behavior. Content contribution represents a higher level of consumer engagement compared to content consumption, as it not only requires consumers to dedicate attention to viewing advertising content but also to share this information across adjacent nodes within their social networks. This dissemination of information is a pivotal factor in the success of influencer marketing advertisements. Hence, companies and brands prioritize consumers’ content contribution over mere viewing of advertising content (Qiu & Kumar, 2017 ). Compared to content consumption and contribution, content creation is considered the highest level of consumer engagement, where consumers actively create and upload brand-related content, and it represents the most advanced outcome sought by enterprises and brands in advertising campaigns (Cheung et al., 2021 ). The current study posits that to pursue better outcomes in social media influencer advertising marketing, enhancing consumers’ willingness for self-disclosure, innovativeness, and trust in advertising information are effective strategies. However, the crux lies in leveraging the consumer’s subjective initiative, particularly in boosting their innovativeness. If the goal is simply to achieve content consumption rather than higher levels of consumer engagement, the focus should be on fostering trust in advertising information. There is no hierarchy in the efficacy of different strategies; they should align with varying marketing contexts and advertising objectives.

The greatest role of social media influencers lies in attracting online traffic. information trust is the core element driving content consumption, and influencer factors mainly affect consumer engagement behaviors through information trust. Therefore, this study suggests that the primary role of influencers in social media advertising is to attract online traffic, i.e., increase consumer behavior regarding ad content consumption (reducing avoidance of ad content), and help brands achieve the initial goal of making consumers “see and complete ads.” However, their impact on further high-level consumer engagement behaviors is limited. This mechanism serves as a reminder to advertisers not to overestimate the effects of influencers in marketing. Currently, top influencers command a significant portion of the ad budget, which could squeeze the budget for other aspects of advertising, potentially affecting the overall effectiveness of the campaign. Businesses and brands should consider deeper strategic implications when planning their advertising campaigns.

Valuing Advertising Information Factors, Content Remains King. Our study posits that in the social media influencer marketing context, the key to enhancing consumer contribution and creation of advertising content lies primarily in the advertising information factors. In other words, while content consumption is important, advertisers should objectively assess the role influencers play in advertising. In the era of social media, content remains ‘king’ in advertising. This view indirectly echoes the points made in the previous paragraph: influencers effectively perform initial ‘online traffic generation’ tasks in social media, but this role should not be overly romanticized or exaggerated. Whether it’s companies, brands, or influencers, providing consumers with advertisements rich in informational value is crucial to achieving better advertising outcomes and potentially converting consumers into stakeholders.

Subjective norm is an unignorable social influence factor. Social media is characterized by its network structure of information dissemination, where a node’s information is visible to adjacent nodes. For instance, if user A likes a piece of content C from influencer I, A’s follower B, who may not follow influencer I, can still see content C via user A’s page. The aim of marketing in the social media era is to influence a node and then spread the information to adjacent nodes, either secondarily or multiple times (Kumar & Panda, 2020 ). According to the Theory of Planned Behavior, an individual’s actions are influenced by significant others in their lives, such as family and friends. Previous studies have proven the effectiveness of the Theory of Planned Behavior in influencing attitudes toward social media advertising (Ranjbarian et al., 2012 ). Current research further confirms that subjective norms also influence consumer engagement behaviors in influencer marketing on social media. Therefore, in advertising practice, brands should not only focus on individual consumers but also invest efforts in groups that can influence consumer decisions. Changing consumer behavior in the era of social media marketing doesn’t solely rely on the company’s efforts.

As communication technology advances, media platforms will further empower individual communicative capabilities, moving beyond the era of the “magic bullet” theory. The distinction between being a recipient and a transmitter of information is increasingly blurred. In an era where everyone is both an audience and an influencer, research confined to the role of the ‘recipient’ falls short of addressing the dynamics of ‘transmission’. Future research in marketing and advertising should thus focus more on the power of individual transmission. Furthermore, as Marshall McLuhan famously said, “the medium is the extension of man.” The evolution of media technology remains human-centric. Accordingly, future marketing research, while paying heed to media transformations, should emphasize the centrality of the ‘human’ element.

Data availability

The datasets generated and/or analyzed during the current study are not publicly available due to privacy issues. Making the full data set publicly available could potentially breach the privacy that was promised to participants when they agreed to take part, and may breach the ethics approval for the study. The data are available from the corresponding author on reasonable request.

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Acknowledgements

The authors thank all the participants of this study. The participants were all informed about the purpose and content of the study and voluntarily agreed to participate. The participants were able to stop participating at any time without penalty. Funding for this study was provided by Minjiang University Research Start-up Funds (No. 324-32404314).

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Conceptualization: CG; methodology: CG and QD; software: CG and QD; validation: CG; formal analysis: CG and QD; investigation: CG and QD; resources: CG; data curation: CG and QD; writing—original draft preparation: CG; writing—review and editing: CG; visualization: CG; project administration: CG. All authors have read and agreed to the published version of the manuscript.

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Correspondence to Chenyu Gu .

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Gu, C., Duan, Q. Exploring the dynamics of consumer engagement in social media influencer marketing: from the self-determination theory perspective. Humanit Soc Sci Commun 11 , 587 (2024). https://doi.org/10.1057/s41599-024-03127-w

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Environmental impacts and performance assessment of recycled fine aggregate concrete

• Research Article
• Published: 17 May 2024

Cite this article

• Mudassar Munir Shah 1 ,
• Usama Khalid   ORCID: orcid.org/0000-0003-3073-2264 2 ,
• Hassan Mujtaba 3 ,
• Syeda Areej Zahra Naqvi 4 &
• Salman Masood 5  

Natural disasters and human demolition create vast amounts of construction and demolition waste (CDW), with a substantial portion being concrete waste. Managing this concrete waste is a daunting challenge for developing countries with limited resources, aiming to mitigate its harmful environmental effects. Therefore, the proposed approach involves using recycled fine aggregates (RFA) instead of fresh fine aggregates (FFA) in concrete, which aligns closely with achieving sustainable environmental objectives. Extensive laboratory tests were conducted to assess the effects of adding RFA to concrete. The influence of 0 to 100% RFA replacement and different curing times was investigated on compressive strength, tensile strength, resistance against chloride ion penetration and chemicals exposure, and quality of aggregates. So, around 30%, 35%, 20%, and 79% reductions in compression strength, tensile strength, modulus of elasticity, and workability were estimated when 100% RFA was used in recycled aggregate concrete (RAC). However, according to results analyses, the performance of RAC is reliable up to 50% of RFA in proposed conditions and mix design. In addition, major environmental impacts such as global warming potential, aquatic eutrophication, and aquatic acidification were reduced by 47%, 40%, and 18%, respectively, for concrete having 50% RFA than concrete having 100% FFA.

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Data availability

The datasets used during the current study are available from the corresponding author upon reasonable request.

Abbreviations

American Society for Testing and Materials

Asian Development Bank (ADB)

• Construction and demolition waste

Construction Materials Recycling Association

Crushed limestone

Coefficient of curvature

Coefficient of uniformity

Mean size diameter

European Environment Agency

Modulus of elasticity

Fresh coarse aggregates

Fresh fine aggregate

Fourier transform infrared spectroscopy

Compressive strength of concrete

Tensile strength of concrete

German technical cooperation

Interface transition zone

Modulus of elasticity estimation factor

Million tons per annum

Recycled aggregate concrete

Recycled fine aggregate

Recycled coarse aggregates

Rapid chlorine penetration test

Sustainable Development Goals

United Nations

United Nations Development Program

United Nations Office for the Coordination of Humanitarian Affairs

Universal testing machine

Water cement ratio

X-ray diffraction

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Department of Civil Engineering, Faculty of Infrastructure, Dalian University of Technology, Dalian, 116024, China

Mudassar Munir Shah

National Institute of Transportation (NIT-Risalpur), National University of Sciences and Technology (NUST), Islamabad, 44000, Pakistan

Usama Khalid

Department of Civil Engineering, University of Engineering and Technology, Lahore, 54980, Pakistan

Hassan Mujtaba

Department of City and Regional Planning, Lahore College for Women University (LCWU), Lahore, 44444, Pakistan

Syeda Areej Zahra Naqvi

School of Civil Engineering, Harbin Institute of Technology, Harbin, 150090, China

Salman Masood

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MMS: conceptualization, methodology, validation, investigation, writing original draft, formal analysis, and visualization.

UK: conceptualization; data curation; resources; validation; writing—review and editing; and visualization.

HM: resources and writing—review and editing.

SAZN: visualization and data curation.

SM: resources and formal analysis.

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Correspondence to Usama Khalid .

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Shah, M.M., Khalid, U., Mujtaba, H. et al. Environmental impacts and performance assessment of recycled fine aggregate concrete. Environ Sci Pollut Res (2024). https://doi.org/10.1007/s11356-024-33590-6

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Received : 23 May 2023

Accepted : 02 May 2024

Published : 17 May 2024

DOI : https://doi.org/10.1007/s11356-024-33590-6

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ORIGINAL RESEARCH article

This article is part of the research topic.

Psychology of Financial Management

Supporting Pension Decisions with Value Clarification Methods or Testimonials: Two Studies Showing Mixed Effects on Activation and Feeling of Preparation Provisionally Accepted

• 1 Utrecht University, Netherlands

The final, formatted version of the article will be published soon.

Introduction: Pension participants need appropriate support when making (complex) pension decisions. Grounded in Fuzzy-Trace Theory, we argue that suitable decisions require participants to (accurately) understand meaningful differences between decision alternatives. Based on this, we investigated the effectiveness of different types of decision support for the decision when to retire. Methods: We conducted two experiments among participants of four Dutch pension funds (Study 1: N = 2,328, Study 2: N = 500) on the effectiveness of three different types of decision support: a) a traditional pros and cons text, b) a Value Clarification Method (VCM), and c) testimonials.The studies showed mixed results. In the first study, we found an activating effect of the VCM and the testimonials: participants who received one of these two types of decision support were more likely to visit a web page with additional information. In the second study, we found no differences between the three types of decision support. Conclusion: We discuss possible explanations for the effects found, as well as implications for future (research on) pension decision support.

Keywords: pension communication1, decision support2, Fuzzy-Trace Theory3, Value Clarification Methods4, testimonials5, activation6, feeling of preparation7, appreciation8

Received: 12 Jan 2024; Accepted: 17 May 2024.

Copyright: © 2024 Strikwerda, Holleman and Hoeken. This is an open-access article distributed under the terms of the Creative Commons Attribution License (CC BY) . The use, distribution or reproduction in other forums is permitted, provided the original author(s) or licensor are credited and that the original publication in this journal is cited, in accordance with accepted academic practice. No use, distribution or reproduction is permitted which does not comply with these terms.

* Correspondence: Mx. Jelle Strikwerda, Utrecht University, Utrecht, Netherlands

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