example of the significance of the study in research paper

How To Write Significance of the Study (With Examples) 

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

Related: How to Write a Concept Paper for Academic Research

Table of Contents

What is the significance of the study.

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

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

Where Should I Put the Significance of the Study?

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

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

Why Should I Include the Significance of the Study?

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

How To Write Significance of the Study: 5 Steps

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

1. Use Your Research Problem as a Starting Point

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

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

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

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

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

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

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

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

3. Explain How Your Research Will Benefit Society

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

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

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

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

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

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

Tips and Warnings

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

Significance of the Study Examples

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

Example 1: STEM-Related Research

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

Significance of the Study .

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

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

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

Example 2: Business and Management-Related Research

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

Significance of the Study:

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

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

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

Example 3: Social Science -Related Research.

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

Significance of the Study :

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

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

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

Example 4: Humanities-Related Research

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

Significance of the Study: 

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

Specifically, this research will benefit the following:

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

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

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

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

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

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

Frequently Asked Questions

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Jewel Kyle Fabula

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

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What is the Significance of a Study? Examples and Guide

If you’re reading this post you’re probably wondering: what is the significance of a study?

No matter where you’re at with a piece of research, it is a good idea to think about the potential significance of your work. And sometimes you’ll have to explicitly write a statement of significance in your papers, it addition to it forming part of your thesis.

In this post I’ll cover what the significance of a study is, how to measure it, how to describe it with examples and add in some of my own experiences having now worked in research for over nine years.

If you’re reading this because you’re writing up your first paper, welcome! You may also like my how-to guide for all aspects of writing your first research paper .

Looking for guidance on writing the statement of significance for a paper or thesis? Click here to skip straight to that section.

What is the Significance of a Study?

For research papers, theses or dissertations it’s common to explicitly write a section describing the significance of the study. We’ll come onto what to include in that section in just a moment.

However the significance of a study can actually refer to several different things.

Working our way from the most technical to the broadest, depending on the context, the significance of a study may refer to:

• Within your study: Statistical significance. Can we trust the findings?
• Wider research field: Research significance. How does your study progress the field?
• Commercial / economic significance: Could there be business opportunities for your findings?
• Societal significance: What impact could your study have on the wider society.
• And probably other domain-specific significance!

We’ll shortly cover each of them in turn, including how they’re measured and some examples for each type of study significance.

But first, let’s touch on why you should consider the significance of your research at an early stage.

Why Care About the Significance of a Study?

No matter what is motivating you to carry out your research, it is sensible to think about the potential significance of your work. In the broadest sense this asks, how does the study contribute to the world?

After all, for many people research is only worth doing if it will result in some expected significance. For the vast majority of us our studies won’t be significant enough to reach the evening news, but most studies will help to enhance knowledge in a particular field and when research has at least some significance it makes for a far more fulfilling longterm pursuit.

Furthermore, a lot of us are carrying out research funded by the public. It therefore makes sense to keep an eye on what benefits the work could bring to the wider community.

Often in research you’ll come to a crossroads where you must decide which path of research to pursue. Thinking about the potential benefits of a strand of research can be useful for deciding how to spend your time, money and resources.

It’s worth noting though, that not all research activities have to work towards obvious significance. This is especially true while you’re a PhD student, where you’re figuring out what you enjoy and may simply be looking for an opportunity to learn a new skill.

However, if you’re trying to decide between two potential projects, it can be useful to weigh up the potential significance of each.

Let’s now dive into the different types of significance, starting with research significance.

Research Significance

What is the research significance of a study.

Unless someone specifies which type of significance they’re referring to, it is fair to assume that they want to know about the research significance of your study.

Research significance describes how your work has contributed to the field, how it could inform future studies and progress research.

Where should I write about my study’s significance in my thesis?

Typically you should write about your study’s significance in the Introduction and Conclusions sections of your thesis.

It’s important to mention it in the Introduction so that the relevance of your work and the potential impact and benefits it could have on the field are immediately apparent. Explaining why your work matters will help to engage readers (and examiners!) early on.

It’s also a good idea to detail the study’s significance in your Conclusions section. This adds weight to your findings and helps explain what your study contributes to the field.

On occasion you may also choose to include a brief description in your Abstract.

What is expected when submitting an article to a journal

It is common for journals to request a statement of significance, although this can sometimes be called other things such as:

• Impact statement
• Significance statement
• Advances in knowledge section

Here is one such example of what is expected:

Impact Statement:  An Impact Statement is required for all submissions.  Your impact statement will be evaluated by the Editor-in-Chief, Global Editors, and appropriate Associate Editor. For your manuscript to receive full review, the editors must be convinced that it is an important advance in for the field. The Impact Statement is not a restating of the abstract. It should address the following: Why is the work submitted important to the field? How does the work submitted advance the field? What new information does this work impart to the field? How does this new information impact the field? Experimental Biology and Medicine journal, author guidelines

Typically the impact statement will be shorter than the Abstract, around 150 words.

Defining the study’s significance is helpful not just for the impact statement (if the journal asks for one) but also for building a more compelling argument throughout your submission. For instance, usually you’ll start the Discussion section of a paper by highlighting the research significance of your work. You’ll also include a short description in your Abstract too.

How to describe the research significance of a study, with examples

Whether you’re writing a thesis or a journal article, the approach to writing about the significance of a study are broadly the same.

I’d therefore suggest using the questions above as a starting point to base your statements on.

• Why is the work submitted important to the field?
• How does the work submitted advance the field?
• What new information does this work impart to the field?
• How does this new information impact the field?

Answer those questions and you’ll have a much clearer idea of the research significance of your work.

When describing it, try to clearly state what is novel about your study’s contribution to the literature. Then go on to discuss what impact it could have on progressing the field along with recommendations for future work.

Potential sentence starters

If you’re not sure where to start, why not set a 10 minute timer and have a go at trying to finish a few of the following sentences. Not sure on what to put? Have a chat to your supervisor or lab mates and they may be able to suggest some ideas.

• This study is important to the field because…
• These findings advance the field by…
• Our results highlight the importance of…
• Our discoveries impact the field by…

Now you’ve had a go let’s have a look at some real life examples.

Statement of significance examples

A statement of significance / impact:

Impact Statement This review highlights the historical development of the concept of “ideal protein” that began in the 1950s and 1980s for poultry and swine diets, respectively, and the major conceptual deficiencies of the long-standing concept of “ideal protein” in animal nutrition based on recent advances in amino acid (AA) metabolism and functions. Nutritionists should move beyond the “ideal protein” concept to consider optimum ratios and amounts of all proteinogenic AAs in animal foods and, in the case of carnivores, also taurine. This will help formulate effective low-protein diets for livestock, poultry, and fish, while sustaining global animal production. Because they are not only species of agricultural importance, but also useful models to study the biology and diseases of humans as well as companion (e.g. dogs and cats), zoo, and extinct animals in the world, our work applies to a more general readership than the nutritionists and producers of farm animals. Wu G, Li P. The “ideal protein” concept is not ideal in animal nutrition.  Experimental Biology and Medicine . 2022;247(13):1191-1201. doi: 10.1177/15353702221082658

And the same type of section but this time called “Advances in knowledge”:

Advances in knowledge: According to the MY-RADs criteria, size measurements of focal lesions in MRI are now of relevance for response assessment in patients with monoclonal plasma cell disorders. Size changes of 1 or 2 mm are frequently observed due to uncertainty of the measurement only, while the actual focal lesion has not undergone any biological change. Size changes of at least 6 mm or more in  T 1  weighted or  T 2  weighted short tau inversion recovery sequences occur in only 5% or less of cases when the focal lesion has not undergone any biological change. Wennmann M, Grözinger M, Weru V, et al. Test-retest, inter- and intra-rater reproducibility of size measurements of focal bone marrow lesions in MRI in patients with multiple myeloma [published online ahead of print, 2023 Apr 12].  Br J Radiol . 2023;20220745. doi: 10.1259/bjr.20220745

Other examples of research significance

Moving beyond the formal statement of significance, here is how you can describe research significance more broadly within your paper.

Describing research impact in an Abstract of a paper:

Three-dimensional visualisation and quantification of the chondrocyte population within articular cartilage can be achieved across a field of view of several millimetres using laboratory-based micro-CT. The ability to map chondrocytes in 3D opens possibilities for research in fields from skeletal development through to medical device design and treatment of cartilage degeneration. Conclusions section of the abstract in my first paper .

In the Discussion section of a paper:

We report for the utility of a standard laboratory micro-CT scanner to visualise and quantify features of the chondrocyte population within intact articular cartilage in 3D. This study represents a complimentary addition to the growing body of evidence supporting the non-destructive imaging of the constituents of articular cartilage. This offers researchers the opportunity to image chondrocyte distributions in 3D without specialised synchrotron equipment, enabling investigations such as chondrocyte morphology across grades of cartilage damage, 3D strain mapping techniques such as digital volume correlation to evaluate mechanical properties  in situ , and models for 3D finite element analysis  in silico  simulations. This enables an objective quantification of chondrocyte distribution and morphology in three dimensions allowing greater insight for investigations into studies of cartilage development, degeneration and repair. One such application of our method, is as a means to provide a 3D pattern in the cartilage which, when combined with digital volume correlation, could determine 3D strain gradient measurements enabling potential treatment and repair of cartilage degeneration. Moreover, the method proposed here will allow evaluation of cartilage implanted with tissue engineered scaffolds designed to promote chondral repair, providing valuable insight into the induced regenerative process. The Discussion section of the paper is laced with references to research significance.

How is longer term research significance measured?

Looking beyond writing impact statements within papers, sometimes you’ll want to quantify the long term research significance of your work. For instance when applying for jobs.

The most obvious measure of a study’s long term research significance is the number of citations it receives from future publications. The thinking is that a study which receives more citations will have had more research impact, and therefore significance , than a study which received less citations. Citations can give a broad indication of how useful the work is to other researchers but citations aren’t really a good measure of significance.

Bear in mind that us researchers can be lazy folks and sometimes are simply looking to cite the first paper which backs up one of our claims. You can find studies which receive a lot of citations simply for packaging up the obvious in a form which can be easily found and referenced, for instance by having a catchy or optimised title.

Likewise, research activity varies wildly between fields. Therefore a certain study may have had a big impact on a particular field but receive a modest number of citations, simply because not many other researchers are working in the field.

Nevertheless, citations are a standard measure of significance and for better or worse it remains impressive for someone to be the first author of a publication receiving lots of citations.

Other measures for the research significance of a study include:

• Accolades: best paper awards at conferences, thesis awards, “most downloaded” titles for articles, press coverage.
• How much follow-on research the study creates. For instance, part of my PhD involved a novel material initially developed by another PhD student in the lab. That PhD student’s research had unlocked lots of potential new studies and now lots of people in the group were using the same material and developing it for different applications. The initial study may not receive a high number of citations yet long term it generated a lot of research activity.

That covers research significance, but you’ll often want to consider other types of significance for your study and we’ll cover those next.

Statistical Significance

What is the statistical significance of a study.

Often as part of a study you’ll carry out statistical tests and then state the statistical significance of your findings: think p-values eg <0.05. It is useful to describe the outcome of these tests within your report or paper, to give a measure of statistical significance.

Effectively you are trying to show whether the performance of your innovation is actually better than a control or baseline and not just chance. Statistical significance deserves a whole other post so I won’t go into a huge amount of depth here.

Things that make publication in  The BMJ  impossible or unlikely Internal validity/robustness of the study • It had insufficient statistical power, making interpretation difficult; • Lack of statistical power; The British Medical Journal’s guide for authors

Calculating statistical significance isn’t always necessary (or valid) for a study, such as if you have a very small number of samples, but it is a very common requirement for scientific articles.

Writing a journal article? Check the journal’s guide for authors to see what they expect. Generally if you have approximately five or more samples or replicates it makes sense to start thinking about statistical tests. Speak to your supervisor and lab mates for advice, and look at other published articles in your field.

How is statistical significance measured?

Statistical significance is quantified using p-values . Depending on your study design you’ll choose different statistical tests to compute the p-value.

A p-value of 0.05 is a common threshold value. The 0.05 means that there is a 1/20 chance that the difference in performance you’re reporting is just down to random chance.

• p-values above 0.05 mean that the result isn’t statistically significant enough to be trusted: it is too likely that the effect you’re showing is just luck.
• p-values less than or equal to 0.05 mean that the result is statistically significant. In other words: unlikely to just be chance, which is usually considered a good outcome.

Low p-values (eg p = 0.001) mean that it is highly unlikely to be random chance (1/1000 in the case of p = 0.001), therefore more statistically significant.

It is important to clarify that, although low p-values mean that your findings are statistically significant, it doesn’t automatically mean that the result is scientifically important. More on that in the next section on research significance.

How to describe the statistical significance of your study, with examples

In the first paper from my PhD I ran some statistical tests to see if different staining techniques (basically dyes) increased how well you could see cells in cow tissue using micro-CT scanning (a 3D imaging technique).

In your methods section you should mention the statistical tests you conducted and then in the results you will have statements such as:

Between mediums for the two scan protocols C/N [contrast to noise ratio] was greater for EtOH than the PBS in both scanning methods (both  p  < 0.0001) with mean differences of 1.243 (95% CI [confidence interval] 0.709 to 1.778) for absorption contrast and 6.231 (95% CI 5.772 to 6.690) for propagation contrast. … Two repeat propagation scans were taken of samples from the PTA-stained groups. No difference in mean C/N was found with either medium: PBS had a mean difference of 0.058 ( p  = 0.852, 95% CI -0.560 to 0.676), EtOH had a mean difference of 1.183 ( p  = 0.112, 95% CI 0.281 to 2.648). From the Results section of my first paper, available here . Square brackets added for this post to aid clarity.

From this text the reader can infer from the first paragraph that there was a statistically significant difference in using EtOH compared to PBS (really small p-value of <0.0001). However, from the second paragraph, the difference between two repeat scans was statistically insignificant for both PBS (p = 0.852) and EtOH (p = 0.112).

By conducting these statistical tests you have then earned your right to make bold statements, such as these from the discussion section:

Propagation phase-contrast increases the contrast of individual chondrocytes [cartilage cells] compared to using absorption contrast. From the Discussion section from the same paper.

Without statistical tests you have no evidence that your results are not just down to random chance.

Beyond describing the statistical significance of a study in the main body text of your work, you can also show it in your figures.

In figures such as bar charts you’ll often see asterisks to represent statistical significance, and “n.s.” to show differences between groups which are not statistically significant. Here is one such figure, with some subplots, from the same paper:

In this example an asterisk (*) between two bars represents p < 0.05. Two asterisks (**) represents p < 0.001 and three asterisks (***) represents p < 0.0001. This should always be stated in the caption of your figure since the values that each asterisk refers to can vary.

Now that we know if a study is showing statistically and research significance, let’s zoom out a little and consider the potential for commercial significance.

Commercial and Industrial Significance

What are commercial and industrial significance.

Moving beyond significance in relation to academia, your research may also have commercial or economic significance.

Simply put:

• Commercial significance: could the research be commercialised as a product or service? Perhaps the underlying technology described in your study could be licensed to a company or you could even start your own business using it.
• Industrial significance: more widely than just providing a product which could be sold, does your research provide insights which may affect a whole industry? Such as: revealing insights or issues with current practices, performance gains you don’t want to commercialise (e.g. solar power efficiency), providing suggested frameworks or improvements which could be employed industry-wide.

I’ve grouped these two together because there can certainly be overlap. For instance, perhaps your new technology could be commercialised whilst providing wider improvements for the whole industry.

Commercial and industrial significance are not relevant to most studies, so only write about it if you and your supervisor can think of reasonable routes to your work having an impact in these ways.

How are commercial and industrial significance measured?

Unlike statistical and research significances, the measures of commercial and industrial significance can be much more broad.

Here are some potential measures of significance:

Commercial significance:

• How much value does your technology bring to potential customers or users?
• How big is the potential market and how much revenue could the product potentially generate?
• Is the intellectual property protectable? i.e. patentable, or if not could the novelty be protected with trade secrets: if so publish your method with caution!
• If commercialised, could the product bring employment to a geographical area?

Industrial significance:

What impact could it have on the industry? For instance if you’re revealing an issue with something, such as unintended negative consequences of a drug , what does that mean for the industry and the public? This could be:

• Reduced overhead costs
• Better safety
• Faster production methods
• Improved scaleability

How to describe the commercial and industrial significance of a study, with examples

Commercial significance.

If your technology could be commercially viable, and you’ve got an interest in commercialising it yourself, it is likely that you and your university may not want to immediately publish the study in a journal.

You’ll probably want to consider routes to exploiting the technology and your university may have a “technology transfer” team to help researchers navigate the various options.

However, if instead of publishing a paper you’re submitting a thesis or dissertation then it can be useful to highlight the commercial significance of your work. In this instance you could include statements of commercial significance such as:

The measurement technology described in this study provides state of the art performance and could enable the development of low cost devices for aerospace applications. An example of commercial significance I invented for this post

Industrial significance

First, think about the industrial sectors who could benefit from the developments described in your study.

For example if you’re working to improve battery efficiency it is easy to think of how it could lead to performance gains for certain industries, like personal electronics or electric vehicles. In these instances you can describe the industrial significance relatively easily, based off your findings.

For example:

By utilising abundant materials in the described battery fabrication process we provide a framework for battery manufacturers to reduce dependence on rare earth components. Again, an invented example

For other technologies there may well be industrial applications but they are less immediately obvious and applicable. In these scenarios the best you can do is to simply reframe your research significance statement in terms of potential commercial applications in a broad way.

As a reminder: not all studies should address industrial significance, so don’t try to invent applications just for the sake of it!

Societal Significance

What is the societal significance of a study.

The most broad category of significance is the societal impact which could stem from it.

If you’re working in an applied field it may be quite easy to see a route for your research to impact society. For others, the route to societal significance may be less immediate or clear.

Studies can help with big issues facing society such as:

• Medical applications : vaccines, surgical implants, drugs, improving patient safety. For instance this medical device and drug combination I worked on which has a very direct route to societal significance.
• Political significance : Your research may provide insights which could contribute towards potential changes in policy or better understanding of issues facing society.
• Public health : for instance COVID-19 transmission and related decisions.
• Climate change : mitigation such as more efficient solar panels and lower cost battery solutions, and studying required adaptation efforts and technologies. Also, better understanding around related societal issues, for instance this study on the effects of temperature on hate speech.

How is societal significance measured?

Societal significance at a high level can be quantified by the size of its potential societal effect. Just like a lab risk assessment, you can think of it in terms of probability (or how many people it could help) and impact magnitude.

Societal impact = How many people it could help x the magnitude of the impact

Think about how widely applicable the findings are: for instance does it affect only certain people? Then think about the potential size of the impact: what kind of difference could it make to those people?

Between these two metrics you can get a pretty good overview of the potential societal significance of your research study.

How to describe the societal significance of a study, with examples

Quite often the broad societal significance of your study is what you’re setting the scene for in your Introduction. In addition to describing the existing literature, it is common to for the study’s motivation to touch on its wider impact for society.

For those of us working in healthcare research it is usually pretty easy to see a path towards societal significance.

Our CLOUT model has state-of-the-art performance in mortality prediction, surpassing other competitive NN models and a logistic regression model … Our results show that the risk factors identified by the CLOUT model agree with physicians’ assessment, suggesting that CLOUT could be used in real-world clinicalsettings. Our results strongly support that CLOUT may be a useful tool to generate clinical prediction models, especially among hospitalized and critically ill patient populations. Learning Latent Space Representations to Predict Patient Outcomes: Model Development and Validation

In other domains the societal significance may either take longer or be more indirect, meaning that it can be more difficult to describe the societal impact.

Even so, here are some examples I’ve found from studies in non-healthcare domains:

We examined food waste as an initial investigation and test of this methodology, and there is clear potential for the examination of not only other policy texts related to food waste (e.g., liability protection, tax incentives, etc.; Broad Leib et al., 2020) but related to sustainable fishing (Worm et al., 2006) and energy use (Hawken, 2017). These other areas are of obvious relevance to climate change… AI-Based Text Analysis for Evaluating Food Waste Policies

The continued development of state-of-the art NLP tools tailored to climate policy will allow climate researchers and policy makers to extract meaningful information from this growing body of text, to monitor trends over time and administrative units, and to identify potential policy improvements. BERT Classification of Paris Agreement Climate Action Plans

Top Tips For Identifying & Writing About the Significance of Your Study

• Writing a thesis? Describe the significance of your study in the Introduction and the Conclusion .
• Submitting a paper? Read the journal’s guidelines. If you’re writing a statement of significance for a journal, make sure you read any guidance they give for what they’re expecting.
• Take a step back from your research and consider your study’s main contributions.
• Read previously published studies in your field . Use this for inspiration and ideas on how to describe the significance of your own study
• Discuss the study with your supervisor and potential co-authors or collaborators and brainstorm potential types of significance for it.

Now you’ve finished reading up on the significance of a study you may also like my how-to guide for all aspects of writing your first research paper .

Writing an academic journal paper

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What is the Significance of the Study?

• By DiscoverPhDs
• August 25, 2020

• what the significance of the study means,
• why it’s important to include in your research work,
• where you would include it in your paper, thesis or dissertation,
• how you write one
• and finally an example of a well written section about the significance of the study.

What does Significance of the Study mean?

The significance of the study is a written statement that explains why your research was needed. It’s a justification of the importance of your work and impact it has on your research field, it’s contribution to new knowledge and how others will benefit from it.

Why is the Significance of the Study important?

The significance of the study, also known as the rationale of the study, is important to convey to the reader why the research work was important. This may be an academic reviewer assessing your manuscript under peer-review, an examiner reading your PhD thesis, a funder reading your grant application or another research group reading your published journal paper. Your academic writing should make clear to the reader what the significance of the research that you performed was, the contribution you made and the benefits of it.

How do you write the Significance of the Study?

When writing this section, first think about where the gaps in knowledge are in your research field. What are the areas that are poorly understood with little or no previously published literature? Or what topics have others previously published on that still require further work. This is often referred to as the problem statement.

The introduction section within the significance of the study should include you writing the problem statement and explaining to the reader where the gap in literature is.

Then think about the significance of your research and thesis study from two perspectives: (1) what is the general contribution of your research on your field and (2) what specific contribution have you made to the knowledge and who does this benefit the most.

For example, the gap in knowledge may be that the benefits of dumbbell exercises for patients recovering from a broken arm are not fully understood. You may have performed a study investigating the impact of dumbbell training in patients with fractures versus those that did not perform dumbbell exercises and shown there to be a benefit in their use. The broad significance of the study would be the improvement in the understanding of effective physiotherapy methods. Your specific contribution has been to show a significant improvement in the rate of recovery in patients with broken arms when performing certain dumbbell exercise routines.

This statement should be no more than 500 words in length when written for a thesis. Within a research paper, the statement should be shorter and around 200 words at most.

Significance of the Study: An example

Building on the above hypothetical academic study, the following is an example of a full statement of the significance of the study for you to consider when writing your own. Keep in mind though that there’s no single way of writing the perfect significance statement and it may well depend on the subject area and the study content.

The statement of the significance of the study is used by students and researchers in academic writing to convey the importance of the research performed; this section is written at the end of the introduction and should describe the specific contribution made and who it benefits.

This article will answer common questions about the PhD synopsis, give guidance on how to write one, and provide my thoughts on samples.

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How to Write Significance of the Study in a Project Research Paper

When you write your thesis or research paper, there is a section of your introduction that is allotted to the significance of the study. The purpose of this section is to state why your study was needed and the contribution of your research to your field.

In this guide, you will learn the meaning of the significance of the study in your research paper and how to write one.

What is the Significance of the Study?

The significance of the study is basically a written statement that explains why your research was important. It justifies why your research was needed, the impact of your research in your field, its contribution, and how others (audience) would benefit from it.

Also referred to as the rationale of the study, the significance of the study is important to communicate why your research is important to your reader. It is important to make clear the significance of your study for easy comprehension by the readers.

Tips for writing the significance of the study

Reflect on the Problem Statement When writing this section of your paper, first reflect on what contribution your research is making to your field, the gaps in knowledge in your research field, and why your work should be published.

Your problem statement should be reflected in the introduction of the significance of the study. Your research problem statement can guide you to identify specific contributions your research is making to your field of study.

Write from a general contribution to a specific contribution Write your significance of the study in an inverted pyramid format. Start with your research contribution to society as a whole, and then proceed to narrow it down to a specific individual or group of people.

When writing your statement of study, the length should not be more than 500 words for a thesis and around 200 words for a research paper.

However, note that writing the significance of study depends on your subject area and your content as there is no single way of writing a perfect significance of study.

An Example of Significance of Study

This study's findings will further reveal how management-employee bilateral relationships can be strengthened while improving workplace productivity. The findings would be of major importance in assessing how collective bargaining can be a major tool in improving workplace performance in a developing economy like Nigeria. Collective bargaining would help both management and employees bargain on terms and conditions of service and resolve their grievances without leading to strikes, lock-outs, and other forms of industrial actions. The best approach in negotiating on the bargaining table is to provide employees with the importance of collective bargaining as the best method of settling the industrial conflict, which will improve their productivity and lead to higher organizational performance.

The significance of the study is used in academic writing by students and researchers to communicate the importance of a research problem. This section describes specific contributions made to your field of study and who benefits from it. Also, the extent to which the study matters and its potential benefits to people, researchers, departments and other fields are discussed here. This statement is written at the end of your introduction and should be well attended to.

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The significance of a study is its importance . It refers to the contribution(s) to and impact of the study on a research field. The significance also signals who benefits from the research findings and how.

Purpose of writing the significance of a study

A study’s significance should spark the interest of the reader. Researchers will be able to appreciate your work better when they understand the relevance and its (potential) impact. Peer reviewers also assess the significance of the work, which will influence the decision made (acceptance/rejection) on the manuscript. 

Sections in which the significance of the study is written

Introduction.

In the Introduction of your paper, the significance appears where you talk about the potential importance and impact of the study. It should flow naturally from the problem , aims and objectives, and rationale .

The significance is described in more detail in the concluding paragraph(s) of the Discussion or the dedicated Conclusions section. Here, you put the findings into perspective and outline the contributions of the findings in terms of implications and applications.

The significance may or may not appear in the abstract . When it does, it is written in the concluding lines of the abstract.

Significance vs. other introductory elements of your paper

In the Introduction…

• The problem statement outlines the concern that needs to be addressed.
• The research aim describes the purpose of the study.
• The objectives indicate how that aim will be achieved.
• The rationale explains why you are performing the study.
• The significance tells the reader how the findings affect the topic/broad field. In other words, the significance is about how much the findings matter.

How to write the significance of the study

A good significance statement may be written in different ways. The approach to writing it also depends on the study area. In the arts and humanities , the significance statement might be longer and more descriptive. In applied sciences , it might be more direct.

a. Suggested sequence for writing the significance statement

• Think of the gaps your study is setting out to address.
• Look at your research from general and specific angles in terms of its (potential) contribution .
• Once you have these points ready, start writing them, connecting them to your study as a whole.

b. Some ways to begin your statement(s) of significance

Here are some opening lines to build on:

• The particular significance of this study lies in the… 
• We argue that this study moves the field forward because…
• This study makes some important contributions to…
• Our findings deepen the current understanding about…

c. Don’ts of writing a significance statement

• Don’t make it too long .
• Don’t repeat any information that has been presented in other sections.
• Don’t overstate or exaggerat e the importance; it should match your actual findings.

Example of significance of a study

Note the significance statements highlighted in the following fictional study.

Significance in the Introduction

The effects of Miyawaki forests on local biodiversity in urban housing complexes remain poorly understood. No formal studies on negative impacts on insect activity, populations or diversity have been undertaken thus far. In this study, we compared the effects that Miyawaki forests in urban dwellings have on local pollinator activity. The findings of this study will help improve the design of this afforestation technique in a way that balances local fauna, particularly pollinators, which are highly sensitive to microclimatic changes.

Significance in the Conclusion

[…] The findings provide valuable insights for guiding and informing Miyawaki afforestation in urban dwellings. We demonstrate that urban planning and landscaping policies need to consider potential declines.

A study’s significance usually appears at the end of the Introduction and in the Conclusion to describe the importance of the research findings. A strong and clear significance statement will pique the interest of readers, as well as that of relevant stakeholders.

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How To Write a Significance Statement for Your Research

A significance statement is an essential part of a research paper. It explains the importance and relevance of the study to the academic community and the world at large. To write a compelling significance statement, identify the research problem, explain why it is significant, provide evidence of its importance, and highlight its potential impact on future research, policy, or practice. A well-crafted significance statement should effectively communicate the value of the research to readers and help them understand why it matters.

Updated on May 4, 2023

A significance statement is a clearly stated, non-technical paragraph that explains why your research matters. It’s central in making the public aware of and gaining support for your research.

Write it in jargon-free language that a reader from any field can understand. Well-crafted, easily readable significance statements can improve your chances for citation and impact and make it easier for readers outside your field to find and understand your work.

Read on for more details on what a significance statement is, how it can enhance the impact of your research, and, of course, how to write one.

What is a significance statement in research?

A significance statement answers the question: How will your research advance scientific knowledge and impact society at large (as well as specific populations)? 

You might also see it called a “Significance of the study” statement. Some professional organizations in the STEM sciences and social sciences now recommended that journals in their disciplines make such statements a standard feature of each published article. Funding agencies also consider “significance” a key criterion for their awards.

Read some examples of significance statements from the Proceedings of the National Academy of Sciences (PNAS) here .

Depending upon the specific journal or funding agency’s requirements, your statement may be around 100 words and answer these questions:

1. What’s the purpose of this research?

2. What are its key findings?

3. Why do they matter?

4. Who benefits from the research results?

Readers will want to know: “What is interesting or important about this research?” Keep asking yourself that question.

Where to place the significance statement in your manuscript

Most journals ask you to place the significance statement before or after the abstract, so check with each journal’s guide. 

This article is focused on the formal significance statement, even though you’ll naturally highlight your project’s significance elsewhere in your manuscript. (In the introduction, you’ll set out your research aims, and in the conclusion, you’ll explain the potential applications of your research and recommend areas for future research. You’re building an overall case for the value of your work.)

Developing the significance statement

The main steps in planning and developing your statement are to assess the gaps to which your study contributes, and then define your work’s implications and impact.

Identify what gaps your study fills and what it contributes

Your literature review was a big part of how you planned your study. To develop your research aims and objectives, you identified gaps or unanswered questions in the preceding research and designed your study to address them.

Go back to that lit review and look at those gaps again. Review your research proposal to refresh your memory. Ask:

• How have my research findings advanced knowledge or provided notable new insights?
• How has my research helped to prove (or disprove) a hypothesis or answer a research question?
• Why are those results important?

Consider your study’s potential impact at two levels: 

• What contribution does my research make to my field?
• How does it specifically contribute to knowledge; that is, who will benefit the most from it?

Define the implications and potential impact

As you make notes, keep the reasons in mind for why you are writing this statement. Whom will it impact, and why?

The first audience for your significance statement will be journal reviewers when you submit your article for publishing. Many journals require one for manuscript submissions. Study the author’s guide of your desired journal to see its criteria ( here’s an example ). Peer reviewers who can clearly understand the value of your research will be more likely to recommend publication. 

Second, when you apply for funding, your significance statement will help justify why your research deserves a grant from a funding agency . The U.S. National Institutes of Health (NIH), for example, wants to see that a project will “exert a sustained, powerful influence on the research field(s) involved.” Clear, simple language is always valuable because not all reviewers will be specialists in your field.

Third, this concise statement about your study’s importance can affect how potential readers engage with your work. Science journalists and interested readers can promote and spread your work, enhancing your reputation and influence. Help them understand your work.

You’re now ready to express the importance of your research clearly and concisely. Time to start writing.

How to write a significance statement: Key elements 

When drafting your statement, focus on both the content and writing style.

• In terms of content, emphasize the importance, timeliness, and relevance of your research results. 
• Write the statement in plain, clear language rather than scientific or technical jargon. Your audience will include not just your fellow scientists but also non-specialists like journalists, funding reviewers, and members of the public. 

Follow the process we outline below to build a solid, well-crafted, and informative statement. 

Get started

Some suggested opening lines to help you get started might be:

• The implications of this study are… 
• Building upon previous contributions, our study moves the field forward because…
• Our study furthers previous understanding about…

Alternatively, you may start with a statement about the phenomenon you’re studying, leading to the problem statement.

Include these components

Next, draft some sentences that include the following elements. A good example, which we’ll use here, is a significance statement by Rogers et al. (2022) published in the Journal of Climate .

1. Briefly situate your research study in its larger context . Start by introducing the topic, leading to a problem statement. Here’s an example:

‘Heatwaves pose a major threat to human health, ecosystems, and human systems.”

2. State the research problem.

“Simultaneous heatwaves affecting multiple regions can exacerbate such threats. For example, multiple food-producing regions simultaneously undergoing heat-related crop damage could drive global food shortages.”

3. Tell what your study does to address it.

“We assess recent changes in the occurrence of simultaneous large heatwaves.”

4. Provide brief but powerful evidence to support the claims your statement is making , Use quantifiable terms rather than vague ones (e.g., instead of “This phenomenon is happening now more than ever,” see below how Rogers et al. (2022) explained it). This evidence intensifies and illustrates the problem more vividly:

“Such simultaneous heatwaves are 7 times more likely now than 40 years ago. They are also hotter and affect a larger area. Their increasing occurrence is mainly driven by warming baseline temperatures due to global heating, but changes in weather patterns contribute to disproportionate increases over parts of Europe, the eastern United States, and Asia.

5. Relate your study’s impact to the broader context , starting with its general significance to society—then, when possible, move to the particular as you name specific applications of your research findings. (Our example lacks this second level of application.) 

“Better understanding the drivers of weather pattern changes is therefore important for understanding future concurrent heatwave characteristics and their impacts.”

Refine your English

Don’t understate or overstate your findings – just make clear what your study contributes. When you have all the elements in place, review your draft to simplify and polish your language. Even better, get an expert AJE edit . Be sure to use “plain” language rather than academic jargon.

• Avoid acronyms, scientific jargon, and technical terms 
• Use active verbs in your sentence structure rather than passive voice (e.g., instead of “It was found that...”, use “We found...”)
• Make sentence structures short, easy to understand – readable
• Try to address only one idea in each sentence and keep sentences within 25 words (15 words is even better)
• Eliminate nonessential words and phrases (“fluff” and wordiness)

Enhance your significance statement’s impact

Always take time to review your draft multiple times. Make sure that you:

• Keep your language focused
• Provide evidence to support your claims
• Relate the significance to the broader research context in your field

After revising your significance statement, request feedback from a reading mentor about how to make it even clearer. If you’re not a native English speaker, seek help from a native-English-speaking colleague or use an editing service like AJE to make sure your work is at a native level.

Understanding the significance of your study

Your readers may have much less interest than you do in the specific details of your research methods and measures. Many readers will scan your article to learn how your findings might apply to them and their own research. 

Different types of significance

Your findings may have different types of significance, relevant to different populations or fields of study for different reasons. You can emphasize your work’s statistical, clinical, or practical significance. Editors or reviewers in the social sciences might also evaluate your work’s social or political significance.

Statistical significance means that the results are unlikely to have occurred randomly. Instead, it implies a true cause-and-effect relationship.

Clinical significance means that your findings are applicable for treating patients and improving quality of life.

Practical significance is when your research outcomes are meaningful to society at large, in the “real world.” Practical significance is usually measured by the study’s  effect size . Similarly, evaluators may attribute social or political significance to research that addresses “real and immediate” social problems.

The AJE Team

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• Study Background & Introduction

Q: What is meant by the significance of the study?

My study is about the lower grades of students.

Asked on 16 Jan, 2020

The significance of the study implies the importance of the study for the broader area of study, the specific question of the study, and the target group under study. In this case, the target group is students (whether of school, college, or university) and the broad area is the lower grades among these students. The specific question, I assume, will be around causes/factors, implications, or remedies for the lower grades. So, you will need to talk about how your study will be important or relevant for these various aspects of the study. The significance is written in the Introduction section of the paper, after providing the background (context) of the study. (Note that in the Discussion section, you will need to talk about the significance of the results – what the findings of the study mean for your study question – and you will need to do so in considerable detail.)

For more information on the significance of the study, you may refer to the following resources:

• What is significance of the study in research?
• What is the significance of a study and how is it stated in a research paper?

Answered by Editage Insights on 21 Jan, 2020

• Upvote this Answer

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11.1 The Purpose of Research Writing

Learning objectives.

• Identify reasons to research writing projects.
• Outline the steps of the research writing process.

Why was the Great Wall of China built? What have scientists learned about the possibility of life on Mars? What roles did women play in the American Revolution? How does the human brain create, store, and retrieve memories? Who invented the game of football, and how has it changed over the years?

You may know the answers to these questions off the top of your head. If you are like most people, however, you find answers to tough questions like these by searching the Internet, visiting the library, or asking others for information. To put it simply, you perform research.

Whether you are a scientist, an artist, a paralegal, or a parent, you probably perform research in your everyday life. When your boss, your instructor, or a family member asks you a question that you do not know the answer to, you locate relevant information, analyze your findings, and share your results. Locating, analyzing, and sharing information are key steps in the research process, and in this chapter, you will learn more about each step. By developing your research writing skills, you will prepare yourself to answer any question no matter how challenging.

Reasons for Research

When you perform research, you are essentially trying to solve a mystery—you want to know how something works or why something happened. In other words, you want to answer a question that you (and other people) have about the world. This is one of the most basic reasons for performing research.

But the research process does not end when you have solved your mystery. Imagine what would happen if a detective collected enough evidence to solve a criminal case, but she never shared her solution with the authorities. Presenting what you have learned from research can be just as important as performing the research. Research results can be presented in a variety of ways, but one of the most popular—and effective—presentation forms is the research paper . A research paper presents an original thesis, or purpose statement, about a topic and develops that thesis with information gathered from a variety of sources.

If you are curious about the possibility of life on Mars, for example, you might choose to research the topic. What will you do, though, when your research is complete? You will need a way to put your thoughts together in a logical, coherent manner. You may want to use the facts you have learned to create a narrative or to support an argument. And you may want to show the results of your research to your friends, your teachers, or even the editors of magazines and journals. Writing a research paper is an ideal way to organize thoughts, craft narratives or make arguments based on research, and share your newfound knowledge with the world.

Write a paragraph about a time when you used research in your everyday life. Did you look for the cheapest way to travel from Houston to Denver? Did you search for a way to remove gum from the bottom of your shoe? In your paragraph, explain what you wanted to research, how you performed the research, and what you learned as a result.

Research Writing and the Academic Paper

No matter what field of study you are interested in, you will most likely be asked to write a research paper during your academic career. For example, a student in an art history course might write a research paper about an artist’s work. Similarly, a student in a psychology course might write a research paper about current findings in childhood development.

Having to write a research paper may feel intimidating at first. After all, researching and writing a long paper requires a lot of time, effort, and organization. However, writing a research paper can also be a great opportunity to explore a topic that is particularly interesting to you. The research process allows you to gain expertise on a topic of your choice, and the writing process helps you remember what you have learned and understand it on a deeper level.

Research Writing at Work

Knowing how to write a good research paper is a valuable skill that will serve you well throughout your career. Whether you are developing a new product, studying the best way to perform a procedure, or learning about challenges and opportunities in your field of employment, you will use research techniques to guide your exploration. You may even need to create a written report of your findings. And because effective communication is essential to any company, employers seek to hire people who can write clearly and professionally.

Writing at Work

Take a few minutes to think about each of the following careers. How might each of these professionals use researching and research writing skills on the job?

• Medical laboratory technician
• Small business owner
• Information technology professional
• Freelance magazine writer

A medical laboratory technician or information technology professional might do research to learn about the latest technological developments in either of these fields. A small business owner might conduct research to learn about the latest trends in his or her industry. A freelance magazine writer may need to research a given topic to write an informed, up-to-date article.

Think about the job of your dreams. How might you use research writing skills to perform that job? Create a list of ways in which strong researching, organizing, writing, and critical thinking skills could help you succeed at your dream job. How might these skills help you obtain that job?

Steps of the Research Writing Process

How does a research paper grow from a folder of brainstormed notes to a polished final draft? No two projects are identical, but most projects follow a series of six basic steps.

These are the steps in the research writing process:

• Choose a topic.
• Plan and schedule time to research and write.
• Conduct research.
• Organize research and ideas.
• Draft your paper.
• Revise and edit your paper.

Each of these steps will be discussed in more detail later in this chapter. For now, though, we will take a brief look at what each step involves.

Step 1: Choosing a Topic

As you may recall from Chapter 8 “The Writing Process: How Do I Begin?” , to narrow the focus of your topic, you may try freewriting exercises, such as brainstorming. You may also need to ask a specific research question —a broad, open-ended question that will guide your research—as well as propose a possible answer, or a working thesis . You may use your research question and your working thesis to create a research proposal . In a research proposal, you present your main research question, any related subquestions you plan to explore, and your working thesis.

Step 2: Planning and Scheduling

Before you start researching your topic, take time to plan your researching and writing schedule. Research projects can take days, weeks, or even months to complete. Creating a schedule is a good way to ensure that you do not end up being overwhelmed by all the work you have to do as the deadline approaches.

During this step of the process, it is also a good idea to plan the resources and organizational tools you will use to keep yourself on track throughout the project. Flowcharts, calendars, and checklists can all help you stick to your schedule. See Chapter 11 “Writing from Research: What Will I Learn?” , Section 11.2 “Steps in Developing a Research Proposal” for an example of a research schedule.

Step 3: Conducting Research

When going about your research, you will likely use a variety of sources—anything from books and periodicals to video presentations and in-person interviews.

Your sources will include both primary sources and secondary sources . Primary sources provide firsthand information or raw data. For example, surveys, in-person interviews, and historical documents are primary sources. Secondary sources, such as biographies, literary reviews, or magazine articles, include some analysis or interpretation of the information presented. As you conduct research, you will take detailed, careful notes about your discoveries. You will also evaluate the reliability of each source you find.

Step 4: Organizing Research and the Writer’s Ideas

When your research is complete, you will organize your findings and decide which sources to cite in your paper. You will also have an opportunity to evaluate the evidence you have collected and determine whether it supports your thesis, or the focus of your paper. You may decide to adjust your thesis or conduct additional research to ensure that your thesis is well supported.

Remember, your working thesis is not set in stone. You can and should change your working thesis throughout the research writing process if the evidence you find does not support your original thesis. Never try to force evidence to fit your argument. For example, your working thesis is “Mars cannot support life-forms.” Yet, a week into researching your topic, you find an article in the New York Times detailing new findings of bacteria under the Martian surface. Instead of trying to argue that bacteria are not life forms, you might instead alter your thesis to “Mars cannot support complex life-forms.”

Step 5: Drafting Your Paper

Now you are ready to combine your research findings with your critical analysis of the results in a rough draft. You will incorporate source materials into your paper and discuss each source thoughtfully in relation to your thesis or purpose statement.

When you cite your reference sources, it is important to pay close attention to standard conventions for citing sources in order to avoid plagiarism , or the practice of using someone else’s words without acknowledging the source. Later in this chapter, you will learn how to incorporate sources in your paper and avoid some of the most common pitfalls of attributing information.

Step 6: Revising and Editing Your Paper

In the final step of the research writing process, you will revise and polish your paper. You might reorganize your paper’s structure or revise for unity and cohesion, ensuring that each element in your paper flows into the next logically and naturally. You will also make sure that your paper uses an appropriate and consistent tone.

Once you feel confident in the strength of your writing, you will edit your paper for proper spelling, grammar, punctuation, mechanics, and formatting. When you complete this final step, you will have transformed a simple idea or question into a thoroughly researched and well-written paper you can be proud of!

Review the steps of the research writing process. Then answer the questions on your own sheet of paper.

• In which steps of the research writing process are you allowed to change your thesis?
• In step 2, which types of information should you include in your project schedule?
• What might happen if you eliminated step 4 from the research writing process?

Key Takeaways

• People undertake research projects throughout their academic and professional careers in order to answer specific questions, share their findings with others, increase their understanding of challenging topics, and strengthen their researching, writing, and analytical skills.
• The research writing process generally comprises six steps: choosing a topic, scheduling and planning time for research and writing, conducting research, organizing research and ideas, drafting a paper, and revising and editing the paper.

Writing for Success Copyright © 2015 by University of Minnesota is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 4.0 International License , except where otherwise noted.

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• Research paper

Writing a Research Paper Introduction | Step-by-Step Guide

Published on September 24, 2022 by Jack Caulfield . Revised on March 27, 2023.

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

• Present your topic and get the reader interested
• Provide background or summarize existing research
• Position your own approach
• Detail your specific research problem and problem statement
• Give an overview of the paper’s structure

The introduction looks slightly different depending on whether your paper presents the results of original empirical research or constructs an argument by engaging with a variety of sources.

Table of contents

Step 1: introduce your topic, step 2: describe the background, step 3: establish your research problem, step 4: specify your objective(s), step 5: map out your paper, research paper introduction examples, frequently asked questions about the research paper introduction.

The first job of the introduction is to tell the reader what your topic is and why it’s interesting or important. This is generally accomplished with a strong opening hook.

The hook is a striking opening sentence that clearly conveys the relevance of your topic. Think of an interesting fact or statistic, a strong statement, a question, or a brief anecdote that will get the reader wondering about your topic.

For example, the following could be an effective hook for an argumentative paper about the environmental impact of cattle farming:

A more empirical paper investigating the relationship of Instagram use with body image issues in adolescent girls might use the following hook:

Don’t feel that your hook necessarily has to be deeply impressive or creative. Clarity and relevance are still more important than catchiness. The key thing is to guide the reader into your topic and situate your ideas.

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This part of the introduction differs depending on what approach your paper is taking.

In a more argumentative paper, you’ll explore some general background here. In a more empirical paper, this is the place to review previous research and establish how yours fits in.

Argumentative paper: Background information

After you’ve caught your reader’s attention, specify a bit more, providing context and narrowing down your topic.

Provide only the most relevant background information. The introduction isn’t the place to get too in-depth; if more background is essential to your paper, it can appear in the body .

Empirical paper: Describing previous research

For a paper describing original research, you’ll instead provide an overview of the most relevant research that has already been conducted. This is a sort of miniature literature review —a sketch of the current state of research into your topic, boiled down to a few sentences.

This should be informed by genuine engagement with the literature. Your search can be less extensive than in a full literature review, but a clear sense of the relevant research is crucial to inform your own work.

Begin by establishing the kinds of research that have been done, and end with limitations or gaps in the research that you intend to respond to.

The next step is to clarify how your own research fits in and what problem it addresses.

Argumentative paper: Emphasize importance

In an argumentative research paper, you can simply state the problem you intend to discuss, and what is original or important about your argument.

Empirical paper: Relate to the literature

In an empirical research paper, try to lead into the problem on the basis of your discussion of the literature. Think in terms of these questions:

• What research gap is your work intended to fill?
• What limitations in previous work does it address?
• What contribution to knowledge does it make?

You can make the connection between your problem and the existing research using phrases like the following.

Now you’ll get into the specifics of what you intend to find out or express in your research paper.

The way you frame your research objectives varies. An argumentative paper presents a thesis statement, while an empirical paper generally poses a research question (sometimes with a hypothesis as to the answer).

Argumentative paper: Thesis statement

The thesis statement expresses the position that the rest of the paper will present evidence and arguments for. It can be presented in one or two sentences, and should state your position clearly and directly, without providing specific arguments for it at this point.

Empirical paper: Research question and hypothesis

The research question is the question you want to answer in an empirical research paper.

Present your research question clearly and directly, with a minimum of discussion at this point. The rest of the paper will be taken up with discussing and investigating this question; here you just need to express it.

A research question can be framed either directly or indirectly.

• This study set out to answer the following question: What effects does daily use of Instagram have on the prevalence of body image issues among adolescent girls?
• We investigated the effects of daily Instagram use on the prevalence of body image issues among adolescent girls.

If your research involved testing hypotheses , these should be stated along with your research question. They are usually presented in the past tense, since the hypothesis will already have been tested by the time you are writing up your paper.

For example, the following hypothesis might respond to the research question above:

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The final part of the introduction is often dedicated to a brief overview of the rest of the paper.

In a paper structured using the standard scientific “introduction, methods, results, discussion” format, this isn’t always necessary. But if your paper is structured in a less predictable way, it’s important to describe the shape of it for the reader.

If included, the overview should be concise, direct, and written in the present tense.

• This paper will first discuss several examples of survey-based research into adolescent social media use, then will go on to …
• This paper first discusses several examples of survey-based research into adolescent social media use, then goes on to …

Full examples of research paper introductions are shown in the tabs below: one for an argumentative paper, the other for an empirical paper.

• Argumentative paper
• Empirical paper

Are cows responsible for climate change? A recent study (RIVM, 2019) shows that cattle farmers account for two thirds of agricultural nitrogen emissions in the Netherlands. These emissions result from nitrogen in manure, which can degrade into ammonia and enter the atmosphere. The study’s calculations show that agriculture is the main source of nitrogen pollution, accounting for 46% of the country’s total emissions. By comparison, road traffic and households are responsible for 6.1% each, the industrial sector for 1%. While efforts are being made to mitigate these emissions, policymakers are reluctant to reckon with the scale of the problem. The approach presented here is a radical one, but commensurate with the issue. This paper argues that the Dutch government must stimulate and subsidize livestock farmers, especially cattle farmers, to transition to sustainable vegetable farming. It first establishes the inadequacy of current mitigation measures, then discusses the various advantages of the results proposed, and finally addresses potential objections to the plan on economic grounds.

The rise of social media has been accompanied by a sharp increase in the prevalence of body image issues among women and girls. This correlation has received significant academic attention: Various empirical studies have been conducted into Facebook usage among adolescent girls (Tiggermann & Slater, 2013; Meier & Gray, 2014). These studies have consistently found that the visual and interactive aspects of the platform have the greatest influence on body image issues. Despite this, highly visual social media (HVSM) such as Instagram have yet to be robustly researched. This paper sets out to address this research gap. We investigated the effects of daily Instagram use on the prevalence of body image issues among adolescent girls. It was hypothesized that daily Instagram use would be associated with an increase in body image concerns and a decrease in self-esteem ratings.

The introduction of a research paper includes several key elements:

• A hook to catch the reader’s interest
• Relevant background on the topic
• Details of your research problem

and your problem statement

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

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 .

The way you present your research problem in your introduction varies depending on the nature of your research paper . A research paper that presents a sustained argument will usually encapsulate this argument in a thesis statement .

A research paper designed to present the results of empirical research tends to present a research question that it seeks to answer. It may also include a hypothesis —a prediction that will be confirmed or disproved by your research.

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How to Write the Rationale of the Study in Research (Examples)

What is the Rationale of the Study?

The rationale of the study in research explains the reason why the study was conducted or should be conducted. This means the study rationale should explain to the reader or examiner why the study is/was necessary. It is also sometimes called the “purpose” or “justification” of a study. While this is not difficult to grasp in itself, you might wonder how the rationale of the study is different from your research question or from the statement of the problem of your study, and how it fits into the rest of your thesis or research paper. 

The rationale of the study links the background of the study to your specific research question and justifies the need for the latter on the basis of the former. In brief, you first provide and discuss existing data on the topic, and then you tell the reader, based on the background evidence you just presented, where you identified gaps or issues and why you think it is important to address those. The problem statement, lastly, is the formulation of the specific research question you choose to investigate, following logically from your rationale, and the approach you are planning to use to do that.

Table of Contents:

How to write a rationale for a research paper , how do you justify the need for a research study.

• Study Rationale Example: Where Does It Go In Your Paper?

The basis for writing a research rationale is preliminary data or a clear description of an observation. If you are doing basic/theoretical research, then a literature review will help you identify gaps in current knowledge. In applied/practical research, you base your rationale on an existing issue with a certain process (e.g., vaccine proof registration) or practice (e.g., patient treatment) that is well documented and needs to be addressed. By presenting the reader with earlier evidence or observations, you can (and have to) convince them that you are not just repeating what other people have already done or said and that your ideas are not coming out of thin air. 

Once you have explained where you are coming from, you should justify the need for doing additional research–this is essentially the rationale of your study. Finally, when you have convinced the reader of the purpose of your work, you can end your introduction section with the statement of the problem of your research that contains clear aims and objectives and also briefly describes (and justifies) your methodological approach. 

When is the Rationale for Research Written?

The author can present the study rationale both before and after the research is conducted. 

• Before conducting research : The study rationale is a central component of the research proposal . It represents the plan of your work, constructed before the study is actually executed.
• Once research has been conducted : After the study is completed, the rationale is presented in a research article or  PhD dissertation  to explain why you focused on this specific research question. When writing the study rationale for this purpose, the author should link the rationale of the research to the aims and outcomes of the study.

What to Include in the Study Rationale

Although every study rationale is different and discusses different specific elements of a study’s method or approach, there are some elements that should be included to write a good rationale. Make sure to touch on the following:

• A summary of conclusions from your review of the relevant literature
• What is currently unknown (gaps in knowledge)
• Inconclusive or contested results  from previous studies on the same or similar topic
• The necessity to improve or build on previous research, such as to improve methodology or utilize newer techniques and/or technologies

There are different types of limitations that you can use to justify the need for your study. In applied/practical research, the justification for investigating something is always that an existing process/practice has a problem or is not satisfactory. Let’s say, for example, that people in a certain country/city/community commonly complain about hospital care on weekends (not enough staff, not enough attention, no decisions being made), but you looked into it and realized that nobody ever investigated whether these perceived problems are actually based on objective shortages/non-availabilities of care or whether the lower numbers of patients who are treated during weekends are commensurate with the provided services.

In this case, “lack of data” is your justification for digging deeper into the problem. Or, if it is obvious that there is a shortage of staff and provided services on weekends, you could decide to investigate which of the usual procedures are skipped during weekends as a result and what the negative consequences are. 

In basic/theoretical research, lack of knowledge is of course a common and accepted justification for additional research—but make sure that it is not your only motivation. “Nobody has ever done this” is only a convincing reason for a study if you explain to the reader why you think we should know more about this specific phenomenon. If there is earlier research but you think it has limitations, then those can usually be classified into “methodological”, “contextual”, and “conceptual” limitations. To identify such limitations, you can ask specific questions and let those questions guide you when you explain to the reader why your study was necessary:

Methodological limitations

• Did earlier studies try but failed to measure/identify a specific phenomenon?
• Was earlier research based on incorrect conceptualizations of variables?
• Were earlier studies based on questionable operationalizations of key concepts?
• Did earlier studies use questionable or inappropriate research designs?

Contextual limitations

• Have recent changes in the studied problem made previous studies irrelevant?
• Are you studying a new/particular context that previous findings do not apply to?

Conceptual limitations

• Do previous findings only make sense within a specific framework or ideology?

Study Rationale Examples

Let’s look at an example from one of our earlier articles on the statement of the problem to clarify how your rationale fits into your introduction section. This is a very short introduction for a practical research study on the challenges of online learning. Your introduction might be much longer (especially the context/background section), and this example does not contain any sources (which you will have to provide for all claims you make and all earlier studies you cite)—but please pay attention to how the background presentation , rationale, and problem statement blend into each other in a logical way so that the reader can follow and has no reason to question your motivation or the foundation of your research.

Background presentation

Since the beginning of the Covid pandemic, most educational institutions around the world have transitioned to a fully online study model, at least during peak times of infections and social distancing measures. This transition has not been easy and even two years into the pandemic, problems with online teaching and studying persist (reference needed) . 

While the increasing gap between those with access to technology and equipment and those without access has been determined to be one of the main challenges (reference needed) , others claim that online learning offers more opportunities for many students by breaking down barriers of location and distance (reference needed) .  

Rationale of the study

Since teachers and students cannot wait for circumstances to go back to normal, the measures that schools and universities have implemented during the last two years, their advantages and disadvantages, and the impact of those measures on students’ progress, satisfaction, and well-being need to be understood so that improvements can be made and demographics that have been left behind can receive the support they need as soon as possible.

Statement of the problem

To identify what changes in the learning environment were considered the most challenging and how those changes relate to a variety of student outcome measures, we conducted surveys and interviews among teachers and students at ten institutions of higher education in four different major cities, two in the US (New York and Chicago), one in South Korea (Seoul), and one in the UK (London). Responses were analyzed with a focus on different student demographics and how they might have been affected differently by the current situation.

How long is a study rationale?

In a research article bound for journal publication, your rationale should not be longer than a few sentences (no longer than one brief paragraph). A  dissertation or thesis  usually allows for a longer description; depending on the length and nature of your document, this could be up to a couple of paragraphs in length. A completely novel or unconventional approach might warrant a longer and more detailed justification than an approach that slightly deviates from well-established methods and approaches.

Consider Using Professional Editing Services

Now that you know how to write the rationale of the study for a research proposal or paper, you should make use of our free grammar checker , Wordvice AI, or receive professional proofreading services from Wordvice, including research paper editing services and manuscript editing services to polish your submitted research documents.

You can also find many more articles, for example on writing the other parts of your research paper , on choosing a title , or on making sure you understand and adhere to the author instructions before you submit to a journal, on the Wordvice academic resources pages.

Home » Feature » Thesis » Significance of the Study Samples | Writing Tips

Significance of the Study Samples | Writing Tips

When you write a thesis , there is a section there that is allocated for the significance of the study. This article will provide different  significance of the study examples and will discuss tips on how to write this part.

Tips in Writing the Significance of the Study

Here are the tips that may be helpful when writing the significance of the study. These tips will tell you the basic components expected to be seen in the significance of the study content.

1. Refer to the Problem Statement

In writing the significance of the study, always refer to the statement of the problem. This way, you can clearly define the contribution of your study. To simplify, your research should answer this question, “What are the benefits or advantages of the study based on the statement of the problem?”

Start by explaining the problem that your study aimed to solve. For example, if you conducted a research study on obesity rates among elementary school students, you would start by explaining that obesity is a major health concern in the Philippines and discuss why it is important to find ways to address this issue.

2. Write it from General to Particular

Determine the specific contribution of your thesis study to society as well as to the individual. Write it deductively, starting from general to specific. Start your significance of the study broadly then narrow it out to a specific group or person. This is done by looking into the general contribution of your study, such as its importance to society as a whole, then moving towards its contribution to individuals like yourself as a researcher.

Discuss how your study fills a gap in the literature. If you conducted an experiment on the effects of a certain type of food on children, for example, you might start by explaining that no research has been done on this topic before. This section would also include a discussion about why your study is important.

Your problem statement might help you determine the unique contribution of your research. This can be accomplished by ensuring that the aim of the problem and the study’s objectives are identical. For instance, if your research question is “Is there a significant relationship between the use of Facebook Messenger and the performance of students in English spelling? “, you could write as one of the contributions of your study: “The study will identify common errors in spelling and grammar by Messenger users and recommend its appropriate use in a way that can improve performance in spelling.”

You may also read: How to Make a Conceptual Framework

Significance of the Study Samples

Here are some examples to help you draft your own introduction:

Title: Number of Clinical Internship Hours: A Determinant of Student’s Effectiveness and Skill  Acquisition in the Hospital Area for Velez College Students

Significance of the study.

The results of the study will be of great benefit to the following:

College of Nursing Dean . Data given will provide the dean with information on how the number of duty hours in a week affects the student’s academic and RLE performance. The results will enable the dean to improve the scheduling of RLE and different academic subjects. Data gathered will help the dean initiate collaboration among faculty and chairpersons to help plan the advancement of nursing education in relation to the new curriculum.

Clinical Instructors . The results of the study will help the clinical instructors evaluate the quality of care rendered by the nursing students, academic performance, attitude and skills acquired in relation to the number of hours given in a week. Results would also develop the clinical instructor’s teaching-learning and evaluating strategies in enhancing knowledge, skills and attitude to the students in the time frame given.

Students . This study will provide information regarding which time arrangement is effective: 8-hr of clinical internship from the 5-hr clinical internship with additional academic classes. This study will evaluate the academic performance, the student nurse’s attitude and approach, the skills learned in the clinical area, and the quality of care rendered in the given time frame. Data gathered will also help the students improve both academic and clinical performance.

Velez College . This study will improve the school in the development of nursing education. This study will foster new ways of enhancing knowledge, skills, and attitude, thus preparing globally-competitive nurses in the future. This study will also help in the advancement of school management, clinical leadership, and the teaching-evaluation approach.

Title: The Effectiveness of Isuzu’s Blue Power Technology in Fuel Efficiency of Diesel Engines

The generalization of this study would be a great contribution to the vast knowledge in relation to the brand awareness of Isuzu’s Blue Power Euro 4 Technology. Furthermore, the results of this investigation could be highly significant and beneficial for the following:

Current Customers

They refer to consumers that have already bought products from Isuzu. They are considered to be the main beneficiaries of the business. The findings of this study would provide them with adequate information about the product, most especially for those clients that have already bought units with the Blue Power Euro 4 Technology but have no idea of its benefits and advantages.

Potential Customer

They are the consumers that have not yet purchased this brand. This study aims to give them insights and overviews of the product and would help them choose the right variant to purchase.

They are the main beneficiaries of this study, which may help them to improve their marketing strategies. It would provide substantial data to the business that they could make use of in boosting their sales. Moreover, developing brand awareness will cater to more demands and loyalty in the future.

For they also play a vital role in the business and as consumers. This research would give them the idea that such private vehicles exist, which helps them to conserve energy rather than exploit it. Hence, giving back to the community and making it a better place to live.

Proponents of the Study

This refers to the students conducting the study. They will find self-fulfillment and gain knowledge and skills in this study. This study will help and inspire more researchers to be more innovative and creative in their future endeavors.

Future Researchers

This study will serve as a reference for researchers on the subject of research in the field of marketing. This will serve as a guide to further developing the research with the connection to the variables used.

The significance of a study is a key component of a strong scientific paper. By following these tips, you can create a clear and concise explanation of the importance of your work. I hope that these tips and samples will help you create a perfect Significance of the Study for your thesis. Apply these tips to prevent your mind from wandering aimlessly as you draft the significance of the study. It will allow you to focus on the next section of your thesis, helping you finish it on time. Good luck!

good and interesting

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Very useful. Thanks

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4 *AMAZING* Significance of the Study Examples (& Writing Tips)

QUICK SUMMARY : The significance of the study is a section in the introduction of your thesis or paper. Its purpose is to make clear why your study was needed and the specific contribution your research made to furthering academic knowledge in your field.

When you write a thesis or research paper , there is a section that is allocated for the significance of the study. In this article, we’ll provide different examples of the Significance of the Study and will give you tips on how to write one.

What is the Significance of the Study?

The significance of the study is a written statement (written with a non-expert in mind) that explains why your research was needed. It presents the importance of your research.

It’s a justification of the importance of your work and the impact it has on your research field, its contribution to new knowledge, and how others will benefit from it.

RELATED ARTICLE: HOW EXPERTS DO RESEARCH

This part of your thesis will give you an opportunity to prove your study’s impact on your field of research, the new knowledge it contributes, and the people who will benefit from it.

It could be simply reflected by the following two questions:

• Why should my study be published?
• What significant contribution can I make to my field of research?

Where and why put it

The significance of the study should be put after the rationale, problem statement, and hypothesis of your research. It’s still part of the first chapter or the introduction.

Understand that the readers of your research may include an academic reviewer assessing your manuscript under peer review or an examiner reading your research paper.

The reason why the significance of the study is very important is that this part of your research paper will make it very clear to your readers the significance of the research you performed, the contribution you made to the field, and the benefits it has.

5 tips in writing Significance of the Study

Aside from making sure that your writing is free of grammatical errors , you need to have a structure. In order to help you write the best version of the significance of your study, we provided five (5) tips and guides:

Tip #1: Use your research problem as a starting point

In writing the significance of the study, always refer to the statement of the problem. This way, you can clearly define the contribution of your study.

To simplify, your research should answer this question, “What are the benefits or advantages of the study based on the statement of the problem?”

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

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

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

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

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

Tip #2: State how your research will contribute to the existing field

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

Tip #3: Explain how your research will benefit the society

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

RELATED ARTICLE: CONCEPTUAL FRAMEWORK SAMPLES

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

Tip #4: Mention the specific persons or institutions who will benefit from your study

Determine the specific contribution of your thesis study to society as well as to the individual. Write it deductively, starting from general to specific. Start your significance of the study broadly then narrow it out to a specific group or person.

This is done by looking into the general contribution of your study, such as its importance to society as a whole, then moving towards its contribution to individuals like yourself as a researcher.

Using the same example above, you may indicate that the results of this research will benefit those people who are looking for an alternative supplement to prevent high blood glucose levels.

Tip #5: Indicate how your study may help future studies in the field

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

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

4 Significance of the Study examples

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

Sample 1: STEM-related

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

Significance of the Study .

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

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

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

Sample 2: Business and Management-related research

Research Topic:  A Comparative Analysis on the Use of Traditional Marketing and Social Media Marketing of Small Clothing Enterprise.

Significance of the Study:

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

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

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

Sample 3: Social science-related research

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

Significance of the Study :

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

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

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

Sample 4: Humanities related research

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

Significance of the Study: 

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

Specifically, this research will benefit the following:

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

Academic Institutions and administrators –  through this research, academic institutions and administrators may promote programs and advocacies regarding meditation that can help the students deal with their anxiety issues.

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

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

Students –  students will be directly benefited from this research as its findings may encourage them to consider meditation as an approach to lower their anxiety levels.

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

Significance of the Study vs Rationale of the Study

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

Let’s take the research about the  Effectiveness of Meditation in Reducing Anxiety Levels of College Students  as an example. If you are writing for its Significance of the Study, you must explain how your research will help society, the academic institution, and the students in dealing with the issues of anxiety through meditation.

Meanwhile, for the Rationale of the Study, you may state that due to the prevalence of anxiety attacks among college students, you’ve decided to make it the focal point of your research work.

Justification vs Significance of the Study

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

Suppose again that your research is about the  Effectiveness of Meditation in Reducing Anxiety Levels of College Students . If you are writing the Significance of the Study, you may state that your research will provide new insights and evidence regarding the ability of meditation to reduce anxiety levels of college students.

Meanwhile, you may state in the Justification that there are studies stating how meditation was used by people in dealing with their mental health concerns.

You may also indicate how meditation is a feasible approach in managing anxiety using the analysis presented by previous literature.

How should I start the Significance of the Study section of my research?

You may start your Significance of the Study using phrases such as:

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

Moreover, you may start your Significance of the Study by elaborating what will be the contribution of your research in the field that you are studying.

Purpose of the Study vs Significance of the Study

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

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

Significance of the study in Tagalog

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

Final thoughts

The statement of the significance of the study is used by students and researchers in academic writing to convey the importance of the research performed; this section is written at the end of the introduction and should describe the specific contribution made and who it benefits.

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

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Table of Contents

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

What is the background of a study?

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

How is a background different from the introduction?

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

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

How should one write the background of a research paper?

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

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

Avoid these mistakes while writing the background:

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

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

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Home » Background of The Study – Examples and Writing Guide

Background of The Study – Examples and Writing Guide

Table of Contents

Background of The Study

Definition:

Background of the study refers to the context, circumstances, and history that led to the research problem or topic being studied. It provides the reader with a comprehensive understanding of the subject matter and the significance of the study.

The background of the study usually includes a discussion of the relevant literature, the gap in knowledge or understanding, and the research questions or hypotheses to be addressed. It also highlights the importance of the research topic and its potential contributions to the field. A well-written background of the study sets the stage for the research and helps the reader to appreciate the need for the study and its potential significance.

How to Write Background of The Study

Here are some steps to help you write the background of the study:

Identify the Research Problem

Start by identifying the research problem you are trying to address. This problem should be significant and relevant to your field of study.

Provide Context

Once you have identified the research problem, provide some context. This could include the historical, social, or political context of the problem.

Review Literature

Conduct a thorough review of the existing literature on the topic. This will help you understand what has been studied and what gaps exist in the current research.

Identify Research Gap

Based on your literature review, identify the gap in knowledge or understanding that your research aims to address. This gap will be the focus of your research question or hypothesis.

State Objectives

Clearly state the objectives of your research . These should be specific, measurable, achievable, relevant, and time-bound (SMART).

Discuss Significance

Explain the significance of your research. This could include its potential impact on theory , practice, policy, or society.

Finally, summarize the key points of the background of the study. This will help the reader understand the research problem, its context, and its significance.

How to Write Background of The Study in Proposal

The background of the study is an essential part of any proposal as it sets the stage for the research project and provides the context and justification for why the research is needed. Here are the steps to write a compelling background of the study in your proposal:

• Identify the problem: Clearly state the research problem or gap in the current knowledge that you intend to address through your research.
• Provide context: Provide a brief overview of the research area and highlight its significance in the field.
• Review literature: Summarize the relevant literature related to the research problem and provide a critical evaluation of the current state of knowledge.
• Identify gaps : Identify the gaps or limitations in the existing literature and explain how your research will contribute to filling these gaps.
• Justify the study : Explain why your research is important and what practical or theoretical contributions it can make to the field.
• Highlight objectives: Clearly state the objectives of the study and how they relate to the research problem.
• Discuss methodology: Provide an overview of the methodology you will use to collect and analyze data, and explain why it is appropriate for the research problem.
• Conclude : Summarize the key points of the background of the study and explain how they support your research proposal.

How to Write Background of The Study In Thesis

The background of the study is a critical component of a thesis as it provides context for the research problem, rationale for conducting the study, and the significance of the research. Here are some steps to help you write a strong background of the study:

• Identify the research problem : Start by identifying the research problem that your thesis is addressing. What is the issue that you are trying to solve or explore? Be specific and concise in your problem statement.
• Review the literature: Conduct a thorough review of the relevant literature on the topic. This should include scholarly articles, books, and other sources that are directly related to your research question.
• I dentify gaps in the literature: After reviewing the literature, identify any gaps in the existing research. What questions remain unanswered? What areas have not been explored? This will help you to establish the need for your research.
• Establish the significance of the research: Clearly state the significance of your research. Why is it important to address this research problem? What are the potential implications of your research? How will it contribute to the field?
• Provide an overview of the research design: Provide an overview of the research design and methodology that you will be using in your study. This should include a brief explanation of the research approach, data collection methods, and data analysis techniques.
• State the research objectives and research questions: Clearly state the research objectives and research questions that your study aims to answer. These should be specific, measurable, achievable, relevant, and time-bound.
• Summarize the chapter: Summarize the chapter by highlighting the key points and linking them back to the research problem, significance of the study, and research questions.

How to Write Background of The Study in Research Paper

Here are the steps to write the background of the study in a research paper:

• Identify the research problem: Start by identifying the research problem that your study aims to address. This can be a particular issue, a gap in the literature, or a need for further investigation.
• Conduct a literature review: Conduct a thorough literature review to gather information on the topic, identify existing studies, and understand the current state of research. This will help you identify the gap in the literature that your study aims to fill.
• Explain the significance of the study: Explain why your study is important and why it is necessary. This can include the potential impact on the field, the importance to society, or the need to address a particular issue.
• Provide context: Provide context for the research problem by discussing the broader social, economic, or political context that the study is situated in. This can help the reader understand the relevance of the study and its potential implications.
• State the research questions and objectives: State the research questions and objectives that your study aims to address. This will help the reader understand the scope of the study and its purpose.
• Summarize the methodology : Briefly summarize the methodology you used to conduct the study, including the data collection and analysis methods. This can help the reader understand how the study was conducted and its reliability.

Examples of Background of The Study

Here are some examples of the background of the study:

Problem : The prevalence of obesity among children in the United States has reached alarming levels, with nearly one in five children classified as obese.

Significance : Obesity in childhood is associated with numerous negative health outcomes, including increased risk of type 2 diabetes, cardiovascular disease, and certain cancers.

Gap in knowledge : Despite efforts to address the obesity epidemic, rates continue to rise. There is a need for effective interventions that target the unique needs of children and their families.

Problem : The use of antibiotics in agriculture has contributed to the development of antibiotic-resistant bacteria, which poses a significant threat to human health.

Significance : Antibiotic-resistant infections are responsible for thousands of deaths each year and are a major public health concern.

Gap in knowledge: While there is a growing body of research on the use of antibiotics in agriculture, there is still much to be learned about the mechanisms of resistance and the most effective strategies for reducing antibiotic use.

Edxample 3:

Problem : Many low-income communities lack access to healthy food options, leading to high rates of food insecurity and diet-related diseases.

Significance : Poor nutrition is a major contributor to chronic diseases such as obesity, type 2 diabetes, and cardiovascular disease.

Gap in knowledge : While there have been efforts to address food insecurity, there is a need for more research on the barriers to accessing healthy food in low-income communities and effective strategies for increasing access.

Examples of Background of The Study In Research

Here are some real-life examples of how the background of the study can be written in different fields of study:

Example 1 : “There has been a significant increase in the incidence of diabetes in recent years. This has led to an increased demand for effective diabetes management strategies. The purpose of this study is to evaluate the effectiveness of a new diabetes management program in improving patient outcomes.”

Example 2 : “The use of social media has become increasingly prevalent in modern society. Despite its popularity, little is known about the effects of social media use on mental health. This study aims to investigate the relationship between social media use and mental health in young adults.”

Example 3: “Despite significant advancements in cancer treatment, the survival rate for patients with pancreatic cancer remains low. The purpose of this study is to identify potential biomarkers that can be used to improve early detection and treatment of pancreatic cancer.”

Examples of Background of The Study in Proposal

Here are some real-time examples of the background of the study in a proposal:

Example 1 : The prevalence of mental health issues among university students has been increasing over the past decade. This study aims to investigate the causes and impacts of mental health issues on academic performance and wellbeing.

Example 2 : Climate change is a global issue that has significant implications for agriculture in developing countries. This study aims to examine the adaptive capacity of smallholder farmers to climate change and identify effective strategies to enhance their resilience.

Example 3 : The use of social media in political campaigns has become increasingly common in recent years. This study aims to analyze the effectiveness of social media campaigns in mobilizing young voters and influencing their voting behavior.

Example 4 : Employee turnover is a major challenge for organizations, especially in the service sector. This study aims to identify the key factors that influence employee turnover in the hospitality industry and explore effective strategies for reducing turnover rates.

Examples of Background of The Study in Thesis

Here are some real-time examples of the background of the study in the thesis:

Example 1 : “Women’s participation in the workforce has increased significantly over the past few decades. However, women continue to be underrepresented in leadership positions, particularly in male-dominated industries such as technology. This study aims to examine the factors that contribute to the underrepresentation of women in leadership roles in the technology industry, with a focus on organizational culture and gender bias.”

Example 2 : “Mental health is a critical component of overall health and well-being. Despite increased awareness of the importance of mental health, there are still significant gaps in access to mental health services, particularly in low-income and rural communities. This study aims to evaluate the effectiveness of a community-based mental health intervention in improving mental health outcomes in underserved populations.”

Example 3: “The use of technology in education has become increasingly widespread, with many schools adopting online learning platforms and digital resources. However, there is limited research on the impact of technology on student learning outcomes and engagement. This study aims to explore the relationship between technology use and academic achievement among middle school students, as well as the factors that mediate this relationship.”

Examples of Background of The Study in Research Paper

Here are some examples of how the background of the study can be written in various fields:

Example 1: The prevalence of obesity has been on the rise globally, with the World Health Organization reporting that approximately 650 million adults were obese in 2016. Obesity is a major risk factor for several chronic diseases such as diabetes, cardiovascular diseases, and cancer. In recent years, several interventions have been proposed to address this issue, including lifestyle changes, pharmacotherapy, and bariatric surgery. However, there is a lack of consensus on the most effective intervention for obesity management. This study aims to investigate the efficacy of different interventions for obesity management and identify the most effective one.

Example 2: Antibiotic resistance has become a major public health threat worldwide. Infections caused by antibiotic-resistant bacteria are associated with longer hospital stays, higher healthcare costs, and increased mortality. The inappropriate use of antibiotics is one of the main factors contributing to the development of antibiotic resistance. Despite numerous efforts to promote the rational use of antibiotics, studies have shown that many healthcare providers continue to prescribe antibiotics inappropriately. This study aims to explore the factors influencing healthcare providers’ prescribing behavior and identify strategies to improve antibiotic prescribing practices.

Example 3: Social media has become an integral part of modern communication, with millions of people worldwide using platforms such as Facebook, Twitter, and Instagram. Social media has several advantages, including facilitating communication, connecting people, and disseminating information. However, social media use has also been associated with several negative outcomes, including cyberbullying, addiction, and mental health problems. This study aims to investigate the impact of social media use on mental health and identify the factors that mediate this relationship.

Purpose of Background of The Study

The primary purpose of the background of the study is to help the reader understand the rationale for the research by presenting the historical, theoretical, and empirical background of the problem.

More specifically, the background of the study aims to:

• Provide a clear understanding of the research problem and its context.
• Identify the gap in knowledge that the study intends to fill.
• Establish the significance of the research problem and its potential contribution to the field.
• Highlight the key concepts, theories, and research findings related to the problem.
• Provide a rationale for the research questions or hypotheses and the research design.
• Identify the limitations and scope of the study.

When to Write Background of The Study

The background of the study should be written early on in the research process, ideally before the research design is finalized and data collection begins. This allows the researcher to clearly articulate the rationale for the study and establish a strong foundation for the research.

The background of the study typically comes after the introduction but before the literature review section. It should provide an overview of the research problem and its context, and also introduce the key concepts, theories, and research findings related to the problem.

Writing the background of the study early on in the research process also helps to identify potential gaps in knowledge and areas for further investigation, which can guide the development of the research questions or hypotheses and the research design. By establishing the significance of the research problem and its potential contribution to the field, the background of the study can also help to justify the research and secure funding or support from stakeholders.

Advantage of Background of The Study

The background of the study has several advantages, including:

• Provides context: The background of the study provides context for the research problem by highlighting the historical, theoretical, and empirical background of the problem. This allows the reader to understand the research problem in its broader context and appreciate its significance.
• Identifies gaps in knowledge: By reviewing the existing literature related to the research problem, the background of the study can identify gaps in knowledge that the study intends to fill. This helps to establish the novelty and originality of the research and its potential contribution to the field.
• Justifies the research : The background of the study helps to justify the research by demonstrating its significance and potential impact. This can be useful in securing funding or support for the research.
• Guides the research design: The background of the study can guide the development of the research questions or hypotheses and the research design by identifying key concepts, theories, and research findings related to the problem. This ensures that the research is grounded in existing knowledge and is designed to address the research problem effectively.
• Establishes credibility: By demonstrating the researcher’s knowledge of the field and the research problem, the background of the study can establish the researcher’s credibility and expertise, which can enhance the trustworthiness and validity of the research.

Disadvantages of Background of The Study

Some Disadvantages of Background of The Study are as follows:

• Time-consuming : Writing a comprehensive background of the study can be time-consuming, especially if the research problem is complex and multifaceted. This can delay the research process and impact the timeline for completing the study.
• Repetitive: The background of the study can sometimes be repetitive, as it often involves summarizing existing research and theories related to the research problem. This can be tedious for the reader and may make the section less engaging.
• Limitations of existing research: The background of the study can reveal the limitations of existing research related to the problem. This can create challenges for the researcher in developing research questions or hypotheses that address the gaps in knowledge identified in the background of the study.
• Bias : The researcher’s biases and perspectives can influence the content and tone of the background of the study. This can impact the reader’s perception of the research problem and may influence the validity of the research.
• Accessibility: Accessing and reviewing the literature related to the research problem can be challenging, especially if the researcher does not have access to a comprehensive database or if the literature is not available in the researcher’s language. This can limit the depth and scope of the background of the study.

About the author

Muhammad Hassan

Researcher, Academic Writer, Web developer

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Significance Of The Research Example

If you have never written a research proposal before, you may wonder why it is an important and necessary part of your academic career. A research proposal is a document written by the student that provides an in-depth description and analysis of a proposed program. Its main purpose is to outline the entire research process that gives the professor a summary of the information discussed in a project. Typical proposals also include an extensive but focused literature review.

A research proposal is your first chance to present your thesis or dissertation ideas in written form to your professors and committee members.

This allows you to demonstrate and show to them that you have conceptualized your research around a set of clearly defined research questions about a particular topic. After your professors and university committee members review your proposal, they will further advise you about how you should continue your research. If you submit a well-written, detailed and sophisticated proposal, you will have little trouble incorporating the advice and comments of your professors into your future research.

Why is such a proposal important? Simply put, they can be written for various reasons, such as requesting a budget for the research they describe, certification requirements for research (in case experimentation on living creatures needs to be done), as a task in an education environment (before performing research for a thesis), or as a condition for employment at a research institution.

In short, your research proposal has to be accepted. A lot is on the line when you are forced to write such an assignment.

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But more often than not, these tasks, although important, are very time consuming and often lead to illness such as depression, anxiety and stress. It is no surprise either. Creating a successful proposal is no simple task. It means spending more time preparing and planning. In addition, you have to spend time organizing your planning and research, writing and formalizing your proposal, submitting the document to the funder and doing follow-ups.

Why Research Proposal

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This paper is in the following e-collection/theme issue:

Published on 28.8.2023 in Vol 25 (2023)

A Comprehensive, Valid, and Reliable Tool to Assess the Degree of Responsibility of Digital Health Solutions That Operate With or Without Artificial Intelligence: 3-Phase Mixed Methods Study

Authors of this article:

Original Paper

• Pascale Lehoux 1 , PhD   ; 
• Robson Rocha de Oliveira 2 , MD, PhD   ; 
• Lysanne Rivard 2 , PhD   ; 
• Hudson Pacifico Silva 2 , PhD   ; 
• Hassane Alami 3 , PhD   ; 
• Carl Maria Mörch 4 , MPsy, PhD   ; 
• Kathy Malas 5 , MPO, GCHlthMgt  

1 Department of Health Management, Evaluation and Policy, Université de Montréal; Center for Public Health Research, Montréal, QC, Canada

2 Center for Public Health Research, Université de Montréal, Montréal, QC, Canada

3 Interdisciplinary Research in Health Sciences, Nuffield Department of Primary Care Health Sciences, University of Oxford, Oxford, United Kingdom

4 AI for the Common Good Institute, Université Libre de Bruxelles, Bruxelles, Belgium

5 Innovation and Artificial Intelligence, Executive Office, Centre hospitalier de l’Université de Montréal, Montréal, QC, Canada

Corresponding Author:

Pascale Lehoux, PhD

Department of Health Management, Evaluation and Policy, Université de Montréal; Center for Public Health Research

7101, Avenue du Parc

Montréal, QC, H3N 1X9

Phone: 1 5143437978

Email: [email protected]

Background: Clinicians’ scope of responsibilities is being steadily transformed by digital health solutions that operate with or without artificial intelligence (DAI solutions). Most tools developed to foster ethical practices lack rigor and do not concurrently capture the health, social, economic, and environmental issues that such solutions raise.

Objective: To support clinical leadership in this field, we aimed to develop a comprehensive, valid, and reliable tool that measures the responsibility of DAI solutions by adapting the multidimensional and already validated Responsible Innovation in Health Tool.

Methods: We conducted a 3-phase mixed methods study. Relying on a scoping review of available tools, phase 1 (concept mapping) led to a preliminary version of the Responsible DAI solutions Assessment Tool. In phase 2, an international 2-round e-Delphi expert panel rated on a 5-level scale the importance, clarity, and appropriateness of the tool’s components. In phase 3, a total of 2 raters independently applied the revised tool to a sample of DAI solutions (n=25), interrater reliability was measured, and final minor changes were made to the tool.

Results: The mapping process identified a comprehensive set of responsibility premises, screening criteria, and assessment attributes specific to DAI solutions. e-Delphi experts critically assessed these new components and provided comments to increase content validity (n=293), and after round 2, consensus was reached on 85% (22/26) of the items surveyed. Interrater agreement was substantial for a subcriterion and almost perfect for all other criteria and assessment attributes.

Conclusions: The Responsible DAI solutions Assessment Tool offers a comprehensive, valid, and reliable means of assessing the degree of responsibility of DAI solutions in health. As regulation remains limited, this forward-looking tool has the potential to change practice toward more equitable as well as economically and environmentally sustainable digital health care.

Introduction

Over the past decade, digital health solutions and those relying on artificial intelligence (AI) have exponentially grown and expanded research and health care practices in ways that were previously unthinkable [ 1 ]. As AI is entirely dependent on digital infrastructures [ 2 ], the inclusive term “digital health solutions that operate with or without AI” (“DAI solutions”) is used throughout this paper to refer to electronic systems that rely on software and possibly also hardware to generate, store, or process data and that operate with or without AI [ 3 ]. Although DAI solutions are steadily transforming health systems [ 4 ] as well as clinicians’ practices and scope of responsibilities [ 5 ], health care providers involved in the development and assessment of these tools mainly focus their attention on safety, effectiveness, and biases [ 6 ]. However, as the DAI solutions industry within which the digital health field evolves is not guided by a professional care ethos, strong clinical leadership is required for DAI solutions in health to remain aligned not only with patients’ needs and health care values and goals [ 4 ] but also with current knowledge on the effects of climate change on health [ 7 , 8 ]. Research shows that DAI solutions in health that are not properly designed or implemented increase digital health inequalities [ 9 , 10 ] and that their use requires more devices and data infrastructures that cause environmental harms (eg, material mining, e-waste disposal, and energy use) [ 11 , 12 ]. As “a relentless drive” to use larger amounts of data and more sophisticated computational capacities comes with higher environmental costs, the powerful clinical tools that DAI solutions offer thus entail substantial “trade-offs” that clinicians can no longer ignore [ 7 ].

As health care providers and health systems worldwide will be on the front line tackling the health effects of climate change and growing social and economic disparities [ 10 , 11 ], clinical leaders (eg, physicians, nurses, occupational therapists, and psychologists) will have to play a much broader role in the design and assessment of DAI solutions. They must be able to anticipate and properly prepare trainees and practitioners to address the health, social, economic, and environmental impacts of the DAI solutions they work with or recommend to patients or that their organizations acquire. As these multidimensional impacts are linked to each other, clinical leaders urgently require tools so they can comprehensively and efficiently assess the relevance of DAI solutions “prior to implementation” and “lead the change” needed in partnership with other health care stakeholders for such solutions to support patient care and health systems in a meaningful and responsible way [ 4 ].

Research Gaps

Many ethical principles (eg, privacy, accountability, and robustness) have been proposed to foster responsibility in the digital industry, either specifically for health care [ 13 ] or for multiple sectors [ 14 ] and either for digital solutions [ 15 ] or for AI [ 16 ]. The scoping review our team recently completed highlights key gaps in the practice-oriented tools developed since 2015 [ 17 ]. First, these tools are highly heterogeneous, which may facilitate “mixing and matching” [ 18 ] principles that do not rely on a solidly defined conceptual framework. For instance, among the 56 tools we identified, ≥50% (≥10/19) of those from the health sector relied on a small number of principles (n=10), ≥50% (≥20/37) of the multisector tools covered twice as many principles (n=19), and most tools (≥29/56, ≥50%) disregarded 21 principles over a total of 40 principles found in the 56 tools. Second, the methodology used to develop 82% of the tools was not defined, 18% used engagement methods (eg, workshops and consultations), and none reported how quality was assessed. This is a major research gap as tools that lack a solid methodology may undermine at its roots the very goal of fostering responsible DAI solutions: clinical leaders are unlikely to adopt them “if their quality or credibility is perceived as low” [ 17 ].

Goal of the Study and Approach

To support clinical leadership in this rapidly evolving field, the goal of our study was to develop a comprehensive, valid, and reliable tool to measure the degree of responsibility of DAI solutions in health. The Responsible Innovation in Health (RIH) framework [ 19 ], which brings together key health, social, economic, and environmental issues, offered a solid basis to develop such a tool as RIH is anchored in an evidence-informed health research tradition [ 20 ]. Its accompanying RIH assessment tool is one of the rare tools in the field of responsible research and innovation that is specific to the health care sector [ 21 ] and that provides a conceptually valid [ 22 ] and reliable [ 23 ] quantitative measure of responsibility. However, the RIH tool does not capture responsibility issues specific to DAI solutions (eg, data management).

Following Stilgoe et al [ 24 ], for whom responsible innovation means “taking care of the future through collective stewardship of science and innovation in the present,” RIH is forward-looking, pragmatic, and multidisciplinary [ 25 ]. RIH goes beyond deontology and bioethics as it aims to steer health innovation toward equitable as well as economically and environmentally sustainable health systems [ 26 ]. The RIH framework approaches responsibility as a matter of degree, which can be appraised by examining 9 responsibility attributes falling within five value domains: (1) population health value (health relevance; health inequalities; and ethical, legal, and social issues), (2) health system value (responsiveness, inclusiveness, and level and intensity of care), (3) economic value (frugality), (4) organizational value (business model), and (5) environmental value (eco-responsibility). Although the first 2 value domains are familiar to clinicians, the other 3 offer key considerations for taking care of the future when developing health innovations [ 26 ]. Through its “Frugality” attribute, RIH underscores that an innovation adds economic value when it is designed to be affordable and easy to use and optimized for its context of use without neglecting low-resource settings [ 27 ]. The “Business model” attribute emphasizes organizations that are stakeholder centered (ie, that create value for society, not only for shareholders [ 28 , 29 ]). Finally, the “Eco-responsibility” attribute recognizes that planetary health and human health are deeply intertwined [ 11 ].

In this study, the iterative research process that led to the RIH tool [ 22 , 23 ] was replicated to (1) adapt the RIH tool to the specificities of DAI solutions, (2) validate the constructs of the resulting Responsible DAI solutions Assessment Tool (hereafter referred to as the “tool”), and (3) assess its reliability. To facilitate readers’ understanding, Figure 1 summarizes the tool’s key components: 4 premises, 5 screening criteria, and 14 assessment attributes. The type of information its 3-step application process (screening, assessment, and scoring) requires is described in the tool, which can be found in Multimedia Appendix 1 . The attributes use a 4-level scale ranging from A to D, where A implies a “high degree of responsibility” and D implies “no particular signs of responsibility.” As the attributes do not measure “irresponsibility,” the screening criteria constitute baseline responsibility requirements (eg, efficacy, safety, and privacy) that serve as a “stopping rule” in the assessment process.

Study Design

To achieve our study’s goal, we conducted a 3-phase mixed methods study, which is now mainstream in health services research [ 30 ]. It offers “an overarching methodological framework to a multiyear project” where the ability to build on what was learned previously is paramount [ 31 ]. Its purpose “is to address a set of incremental research questions” that all advance a broader research goal [ 31 ]. As Figure 2 shows, the 3 phases—concept mapping, content validity assessment, and interrater reliability assessment—were sequentially aligned to iteratively collect, analyze, and combine the quantitative and qualitative data needed for each incremental research objective (described in the following sections). Throughout the study, we placed a greater emphasis on quantitative methods as this is recommended when qualitative data supplement the development of robust instruments [ 31 ]. Our study is reported following the Mixed Methods Research checklist [ 30 ] (the study protocol is available elsewhere [ 32 ]).

Phase 1: Concept Mapping

The objective of phase 1 was to identify responsibility principles and best practices specific to DAI solutions missing from the original RIH tool. This phase relied on our scoping review [ 17 ] and concept mapping, which refers to a “structured process” that gathers “input from multiple participants” and uses qualitative pattern matching and quantitative multivariate analyses to produce an exhaustive map of a conceptual domain [ 33 ]. The 3-step process we followed to generate, structure, and represent “as completely as possible all of the key facets” [ 33 ] of responsibility in DAI health solutions (ie, the conceptual domain of interest in our study) is fully described in Multimedia Appendix 2 [ 3 , 12 - 17 , 19 , 21 - 23 , 33 - 48 ].

Data Analyses

Following an accountable qualitative thematic analysis strategy [ 34 ], LR and RRO categorized each principle found in the 56 tools included in the scoping review using the definitions provided by their authors. The quantitative analyses first examined the distribution of the principles found across the tools, which shed light on the responsibility constructs that they prioritized or disregarded. We then stratified the analyses along 3 subsets of tools—those from academia, governments, and the business sector—and applied a network analysis [ 35 ]. The aim was to examine the connection patterns between the tools and the principles they promoted (ie, “Principle A” is linked to “Tool 1” when the latter relies on that principle). By calculating the degree of centrality (in-degree), which represents the proportion of connections that a principle has compared with all possible connections it may have with the other tools in the subset, we obtained a ranking order in which more than one principle could occupy the same position. This facilitated a systematic comparison of the responsibility constructs that these tools sought to operationalize through questions, recommendations, criteria, and “dos and don’ts,” among other things.

Then, 4 researchers (LR, RRO, PL, and an AI ethics expert) independently mapped all principles across the RIH tool’s components: (1) premises (how responsibility is defined for the purposes of the tool), (2) screening criteria (baseline responsibility requirements), and (3) assessment attributes (degree to which responsibility characteristics are present). Each team member examined what type of revision was needed to capture the responsibility principles specific to DAI solutions (eg, modifying an existing premise, eliminating it, or adding a new one). Finally, we identified through team deliberations adaptations that covered the principles already captured in the RIH tool (eg, revising the “Ethical, legal, and social issues” attribute to cover specific data-related consent and compliance issues), those that could be aggregated (eg, antidiscrimination and fairness), and those not captured in the RIH tool that called for new attributes (eg, interoperability and data governance).

Phase 2: Content Validity Assessment

The objective of phase 2 was to ensure the tool’s content validity, which refers to “the degree to which the content of an instrument is an adequate reflection of the construct to be measured” [ 49 ]. It relied on an international 2-round e-Delphi exercise [ 22 ]. Delphi research techniques are often used in emerging clinical areas of practice that “span multiple areas of expertise” and where consensual guidelines are lacking [ 50 ]. For a multidisciplinary panel of international experts to critically assess and improve the content validity [ 49 ] of the first version of the tool, the round 1 survey of our e-Delphi exercise comprised 22 closed-ended items using a 5-level Likert scale and 22 free-text boxes for experts to explain their ratings (excluding the research ethics consent form and demographic survey items). As the original RIH components had already been validated, the round 1 survey focused on the importance, clarity, applicability, and comprehensiveness of the new components specific to DAI solutions (indicated in Figure 1 ). On the basis of the results of round 1, a revised version of the tool was developed for round 2, which comprised 20 closed-ended items and 20 free-text boxes. It excluded items for which consensus had been reached and introduced the scales associated with each attribute (the surveys can be found in Multimedia Appendix 2 ). After each round, personalized feedback with individual responses and measures of central tendency, as well as the panel comments, was sent to each expert [ 22 ].

Three measures had to be met to reach consensus: (1) at least 51% of experts scoring the item on the 2 highest levels (4 and 5), (2) an SD of ≤1.5, and (3) an IQR of ≤1.0 [ 22 ]. We applied a rigorous qualitative thematic approach [ 34 ] to analyze free-text responses. In total, 3 researchers (LR, RRO, and PL) independently categorized the comments, made proposals to address them, and then agreed on the changes required to improve the tool.

Phase 3: Interrater Reliability Assessment

The objective of phase 3 was to assess the reliability of the tool by measuring interrater agreement and suggest measurement revisions if needed [ 23 ]. Interrater reliability refers to the extent to which 2 or more raters classify the same set of objects in the same way [ 36 ]. Following the recommendations by Gwet [ 36 ] on the number of objects required to achieve a sufficient level of accuracy and minimize the percentage of agreement SE, an error margin of –0.20 to +0.20 was used to determine our sample size, that is, 25 DAI solutions. We first identified 45 real-world solutions, gathered publicly available information about them, and proceeded in a stepwise fashion to create a balanced and diversified sample. We selected solutions operating with or without AI, pursuing different purposes (eg, self-management, diagnosis, treatment, and administration), developed by diverse organizations (for-profit, not-for-profit, governmental, and nongovernmental organizations), and used in different contexts of care and regions. For the 2 raters (RRO and LR) to apply the tool as intended, we searched each solution’s website to collect information addressing the tool’s criteria and attributes (terms of reference, privacy or sustainability policy, user guides, governance structure, and annual reports). We tabulated relevant excerpts from all 25 DAI solutions in a Microsoft Excel (Microsoft Corp) “scorecard” that both raters completed independently. As start-ups tended to share less detailed documentation than large firms, PL adapted the content found on other developers’ websites for the scorecard to contain all the information needed to score each criterion and attribute for all 25 solutions ( Multimedia Appendix 2 ).

Once each rater had independently completed their assessment, we calculated (1) a nonadjusted index (percentage of agreement), (2) a more paradox-resistant chance-adjusted index (the Gwet agreement coefficient), (3) SEs, (4) 95% CIs, and (5) P values [ 23 ]. The interpretation of the strength of the Gwet agreement coefficient, where 1 represents maximum reliability and 0 represents no reliability, follows the Landis-Koch scale [ 51 ]: poor (<0.0), slight (0.0-0.20), fair (0.21-0.40), moderate (0.41-0.60), substantial (0.61-0.80), and almost perfect (0.81-1.00). Finally, a fourth team member (HPS) chaired a meeting for the 2 raters to deliberate over diverging scores, reach consensus, and identify final minor improvements to the tool.

Ethics Approval

Ethics approval was obtained from the Health Sciences Research Ethics Review Board of the Université de Montréal (CERSES-20-144-D).

Phase 1: Tool Comprehensiveness

Although the scoping review data set is available elsewhere [ 17 ], the databases used as well as the inclusion and exclusion criteria are described in Multimedia Appendix 2 . Figure 3 [ 17 ] summarizes the selection process following the PRISMA-ScR (Preferred Reporting Items for Systematic Reviews and Meta-Analyses extension for Scoping Reviews) [ 52 ]. We retained a total of 56 tools, 12 (21%) from academic literature and 44 (79%) from gray literature.

Figure 4 illustrates the results of the mapping process that led to the first version of the tool. It shows how the 40 principles identified after systematically coding each tool are linked to the tool’s premises, inclusion and exclusion criteria, and assessment attributes. After team deliberation, we revised 2 RIH premises and introduced 2 new ones (“AI for good is not automatically responsible” and “Relevance of digitalization”). We revised all RIH inclusion criteria and added a new exclusion criterion that covered 4 areas considered particularly problematic in DAI solutions (“Data reselling as the primary business model,” “Deliberately deceptive solution,” “Lack of cybersecurity and personal data protection,” and “AI relying on biased datasets”). We revised existing RIH attributes and integrated 3 new attributes: “Human agency,” “Interoperability,” and “Data governance.” Finally, we adapted the RIH frugality and eco-responsibility attributes to account for both software and hardware that may be required to operate a DAI solution.

Phase 2: Tool Content Validity

Figure 5 shows the flowchart of the e-Delphi expert solicitation process, which began in April 2022. The information sources used to identify experts in 4 main disciplinary fields—health sciences, engineering and computer sciences, social sciences, and administration and law—are described in Multimedia Appendix 2 . A total of 799 invitations were sent to authors of documents screened during the phase 1 scoping review (n=755, 94.5%) and to purposefully sampled experts (n=44, 5.5%). After 3 reminders and excluding surveys not fully completed, 26 experts participated in the round 1 survey, with 224 comments and a 3.3% (26/799) response rate. Between June 2022 and October 2022, a total of 14 experts completed the round 2 survey, with 49 comments and a 50% (14/28) response rate.

Table 1 describes the final panel composition, which included a similar proportion of men and women (13/26, 50% and 12/26, 46% in round 1 and 6/14, 43% and 6/14, 43% in round 2, respectively). A well-balanced representation across the 4 disciplinary fields was observed in round 1 (ranging from 5/26, 19% to 7/26, 27%). In round 2, a higher participation of social scientists (6/14, 43%) and health scientists (4/14, 29%) was observed, whereas a similar proportion (2/14, 14%) of engineers and computer scientists and of administration and law experts completed the survey. Most experts had >10 years of experience (17/26, 65% in round 1 and 9/14, 64% in round 2) and were employed in higher education institutions (21/26, 81% in round 1 and 12/14, 86% in round 2) in North America (16/26, 62% in round 1 and 7/14, 50% in round 2).

Table 2 presents the results of the e-Delphi round 1 and round 2 surveys. In round 1, consensus was reached on 27% (6/22) of the survey items pertaining to the first version of the tool: the importance of 1 premise (“Context of use”), the applicability of 1 screening criterion (“DAI solution definition”), the importance of the “Human agency” attribute, the importance and clarity of the “Data governance” attribute, and the clarity of the “Programming and software eco-responsibility” attribute. On the basis of the comments received, which can be found in Multimedia Appendix 2 , we withdrew 1 premise (“AI for good”) and 1 screening criterion (“Relevance of digitalization”); formulated 1 new premise (“DAI solutions should tangibly improve current processes and means”); revised all remaining premises, criteria, and attributes; and developed the scales for all attributes. In round 2, consensus was reached on 80% (16/20) of the items surveyed for the second version of the tool. Experts agreed on the importance and clarity of all premises except for the clarity of “DAI solutions affect the determinants of health.” They agreed on the applicability of 1 screening criterion (“GA stage not reached”) but not on the applicability of “Nondisclosure of key DAI risks.” Consensus was reached on the clarity, importance, and appropriateness of the scales of all assessment attributes except for the clarity of “Human-centered interoperability” and for the appropriateness of the scale of “Programming and software eco-responsibility.” Overall, the content validity of 85% (22/26) of the items surveyed was confirmed after round 2. The comments received enabled our team to generate a third version of the tool that addressed all round 2 experts’ criticisms (see our responses in Multimedia Appendix 2 ).

a The survey items were formulated as follows: How important is this premise/criterion/attribute? How applicable is this criterion? Is this premise/attribute clearly defined? Is the scale appropriate?

b N/A: not applicable.

c AI: artificial intelligence.

d DAI solutions: digital health solutions that operate with or without artificial intelligence.

e GA: general availability.

Phase 3: Tool Reliability

A description of the 25 DAI health solutions selected for assessing the tool’s reliability can be found in Multimedia Appendix 2 . The sample comprised 52% (13/25) of solutions that operated with AI (eg, a wayfinding app for persons living with cognitive or physical impairment combining GPS technology and AI and an AI-based diabetic retinopathy screening system) and 48% (12/25) that operated without AI (eg, a platform to develop customized apps for health care facilities with limited digital infrastructures and a virtual reality–based treatment for individuals living with chronic lower back pain). An equal number of solutions (5/25, 20%) supported prevention, self-care, diagnostics, treatment, or administration. In total, 32% (8/25) of the solutions were designed to be used in a clinical setting only, 52% (13/25) were designed to be used in a nonclinical setting only, and 16% (4/25) were designed to be used in both settings. A total of 12% (3/25) of the solutions were developed by governmental agencies or user-led associations, 32% (8/25) were developed by not-for-profit organizations (universities and nongovernmental organizations), and 56% (14/25) were developed by for-profit organizations. According to their developers’ websites, 56% (14/25) of the solutions were in use in more than one continent.

Table 3 shows the results of the interrater reliability assessment (the data set is available in Multimedia Appendix 2 ). For screening criteria, an almost perfect agreement was found for “DAI solution,” for 2 subcriteria of “Nondisclosure of DAI risks” applicable to all DAI solutions, and for “GA stage not reached.” A “substantial agreement” was obtained for the “Nondisclosure of DAI risks” subcriterion applicable only to AI solutions. As we first reached a “moderate agreement” for “Human agency” (results can be found in Multimedia Appendix 2 ), we decided to revise its definition and perform a second interrater agreement. This was aligned with our objective of suggesting measurement revisions if needed. The reliability of the definitive version of the tool was high as an “almost perfect” agreement was obtained for all assessment attributes.

a Gwet first-order agreement coefficient is shown for the nominal ratings of the screening criteria (yes or no), and Gwet second-order agreement coefficient is shown for the ordinal ratings of the assessment attributes (A, B, C, and D). We used unweighted coefficients for nominal ratings and weighted coefficients for ordinal ratings (using quadratic weights). Interpretation follows the Landis-Koch scale: 0.8 to 1=almost perfect; 0.6 to 0.8=substantial; 0.4 to 0.6=moderate; 0.2 to 0.4=fair; 0 to 0.2=slight; and <0=poor [ 51 ]. The results of the first interrater agreement for “Human agency” as well as the changes made to this attribute can be found in Multimedia Appendix 2 .

b DAI solutions: digital health solutions that operate with or without artificial intelligence.

c AC 1 : first-order agreement coefficient.

d AC 2 : second-order agreement coefficient.

e N/A: not applicable.

f AI: artificial intelligence.

g GA: general availability.

Principal Findings and Comparison With Prior Work

Considering that the current biggest challenges to health are at the interface of climate change and growing inequalities [ 11 ] and that the carbon footprint of digital services is increasing by 8% annually [ 53 ], this study’s contributions are 3-fold.

Informing the Responsible Design and Adoption of DAI Solutions

First, the Responsible DAI solutions Assessment Tool is among the first tools to offer a comprehensive, valid, and reliable means to measure the degree of responsibility of DAI health solutions that can be applied by clinicians and other health innovation stakeholders. On the one hand, it can inform “supply side” decisions made by those who design DAI solutions, such as data scientists, programmers, clinical investigators, entrepreneurs, investors, research funders, and incubators. On the other hand, it can inform “demand side” decisions, including those of purchasers, implementers, patients, clinicians, and health care managers (see the “Who can apply the Tool and how?” section in Multimedia Appendix 1 ). Although the RIH framework and tool have been used to analyze responsibility challenges of DAI solutions [ 21 , 23 , 27 ], scholars, clinicians, and decision makers have been calling for a concise tool that could also account for issues specific to DAI health solutions [ 15 , 37 ].

Screening of Baseline Responsibility Requirements

Second, the tool’s 3-step application process enables clinicians to swiftly screen whether a DAI solution lacks baseline responsibility requirements before proceeding to a full assessment. For instance, 1 of the 5 screening criteria requires documenting whether “the DAI solution has been proven effective and safe to human health” by using publicly available evidence such as peer-reviewed scientific articles or reports by regulatory agencies (see the “Sources of information to look for before applying the Tool” section in Multimedia Appendix 1 ). Here, the assumption is that, if “must-have” requirements such as safety and effectiveness are not met, the solution cannot be considered responsible and, thus, there is little value in further assessing the extent to which responsibility attributes may or may not be fulfilled (unless the intent is to use the tool to improve the solution; see the following sections). A similar logic applies to the exclusion criterion “Nondisclosure of key DAI risks,” but in this case, information sources that may be used to apply the tool are those made publicly available by solution developers (eg, terms and conditions statement, data protection, and privacy policies). This criterion examines whether the organization that makes the DAI solution available to end users refrains from selling user-related data [ 54 ]; makes explicit its cybersecurity, privacy, and personal data protection measures; and clearly communicates how potential biases in the data set used to train an AI were mitigated (when applicable) [ 55 ]. Acknowledging that such information sources are of lower quality, the tool nonetheless strongly encourages solution developers (ie, data scientists, programmers, entrepreneurs, and high-level executives) to make their commitments to responsible DAI solutions explicit and, thus, accountable [ 5 ]. This seems particularly important as “patients and clinicians struggle to select digital health tools in an environment with inconsistent regulation and sparse information” on their risks; benefits; and ethical, legal, and social issues [ 38 ].

An Integrated Set of RIH Attributes Specific to DAI Solutions: From Human Agency to Eco-Responsibility

Third, the tool’s new attributes and their descriptive mutually exclusive scales can help clinicians identify and compare the degree of responsibility of different DAI solutions. For Obermeyer and Topol [ 6 ], the technical choices and human values underpinning the training of AI can either “scale up” biases based on socially determined characteristics such as race and gender or help “fight against” them. The “Human agency” attribute provides further practical guidance as its scale describes 4 concrete agency enablers that a DAI solution can proactively embed in its design and use. These enablers should help clinicians and patients (1) understand the measures, recommendations, decisions, or outputs of a DAI solution (eg, data visualization and transparency if an AI-based solution is unexplainable [ 14 ]); (2) discuss their implications with managers or staff when needed (eg, dedicated point of service); (3) act in accordance with their own goals without undue pressure (eg, freedom to override an AI-based decision [ 39 ]); and (4) have their concerns acted upon through an appeal, audit, review, or redress mechanism (eg, ombudsman [ 38 ]). This new attribute is aligned with recent efforts to define the “minimum information” required for users to better understand the “intended predictions, target populations, and hidden biases” of DAI solutions (see the Minimum Information for Medical AI Reporting) [ 56 ]. It also supplements other key RIH attributes in striving to reduce avoidable health status differences across individuals and groups (“Health inequalities”), avoid user parameters that preclude legal rights to be exercised (“Mitigation of ELSIs”), and overcome a poor understanding of different users’ varying needs (“Inclusiveness”) [ 40 , 57 ].

The “Care-centric interoperability” attribute refers to how smoothly a DAI solution can securely operate within and across clinical and nonclinical settings without adding cognitive or administrative burden to users [ 15 ]. It is based on a broader understanding of the interoperability standards promoted for a safe integration and interfacing of digital and nondigital devices in a health system [ 1 ]. Its scale stresses four characteristics that can be embedded in a DAI solution design: (1) aligning the solution with its users’ data management practices (and not vice versa) to minimize cognitive and administrative burden, (2) aligning the solution with its users’ digital infrastructures (eg, operable on widely available systems and devices [ 3 , 41 ]), (3) incorporating data sharing functionalities that “follow the patient” along clinical pathways or practitioners’ work processes (eg, nonproprietary software and data portability [ 58 ]), and (4) ensuring that it can securely evolve with users’ digital infrastructures (eg, built-in security features in software as a service and auditable logs [ 59 ]).

The “Software frugality” attribute refers to the ability to deliver greater value to more people by using fewer resources, such as capital, materials, energy, and labor time [ 19 ]. Frugal innovation may be easily overlooked in the health care sector, but it clearly matters to the future of health systems [ 60 , 61 ]. Grounded in an up-to-date scientific understanding, this attribute recognizes that frugality is not about creating “the cheapest products” [ 62 ]; rather, it is about increasing their economic value by designing high-quality solutions that are affordable and usable and fit with their context of use. The scale of this attribute stresses that responsible software should meet three frugal innovation characteristics [ 63 ]: (1) affordability (which may result from software development strategies; open-source programming tools; or low technical support, update, and maintenance needs [ 27 ]), (2) focus on core user-facing functionalities that meet a larger number of user capabilities (eg, universal interface design for users with low literacy), and (3) maximized fit between functionalities and user location–dependent digital capacities [ 58 ] (eg, edge computing for settings where connectivity is compromised).

The “Data governance” attribute responds to a widely shared consensus among scientific [ 4 ] and policy [ 3 ] communities for proper oversight of data. It refers to the stewardship, structures, and processes that an organization sets in place to ensure full control over the entire data life cycle. The scale brings forward four mechanisms that can be combined to support responsible data governance: (1) a chief data officer or committee accountable for the way employees gather, exploit, generate, store, share (voluntarily or not), or destroy data and for any data-related breaches or incidents [ 3 ]; (2) a training program for managers and employees to remain up-to-date and properly skilled in data management; (3) data protection practices relying on performance indicators or standards (eg, ISO/IEC 27001: information security management and ISO/TS 82304-2: quality and reliability of health and wellness apps [ 38 ]); and (4) an auditable data governance reporting system [ 39 , 59 ].

Finally, 2 distinct attributes were created to fully capture the environmental harms arising from hardware on the one hand and from programming and software on the other. “Programming and software eco-responsibility” refers to a product, process, or method that reduces as much as possible the negative environmental impacts. It spans the use of clean energy sources and the reduction of the energy consumed when developing AI and software and archiving data. The scale of this attribute highlights three eco-responsible practices : (1) choosing programming, modeling, or computational techniques that substantially reduce the quantity of energy and time required to develop a DAI solution (eg, TinyML); (2) using highly energy-efficient central processing units and computers; and (3) selecting data centers and server farms where greenhouse gas emissions are reduced to a minimum (net zero) or where more greenhouse gases are removed from the atmosphere than emitted (climate positive) [ 12 , 16 ]. This adaptation of the RIH tool responds to current knowledge on the environmental impacts of the ever-increasing energy demands of complex data computational practices, including the training of algorithms [ 7 ], and of the growing use of digital devices that consume rare-earth metals and have harmful end-of-life disposal outcomes [ 64 ]. Given the numerous hardware components that may surround a DAI solution, the tool clearly indicates whether the attributes “Hardware frugality” and “Hardware eco-responsibility” apply (see the “Scope of the assessment” section in Multimedia Appendix 1 ). Hardware equipment should be included in the assessment when its raison d’être is to support the DAI solution and it is part of the minimal requirements for the solution to deliver its service. For instance, a finger sensor used to record an ECG using a smartphone fulfills these 2 criteria but not the smartphone. Similarly, surgical robot hardware components meet the 2 criteria (their raison d’être is to support the surgical procedure, and the latter would not be possible without them) [ 50 ]. Attending to hardware eco-responsibility concerns implies reducing environmental harms at key stages in a product’s life cycle, which include (1) raw material sourcing (eg, free of substances that are harmful and toxic to ecosystems), (2) manufacturing (eg, compliance with national or international environmental regulations), (3) distribution (eg, packaging and transportation), (4) use (eg, durability and repairability), and (5) disposal (eg, designed to be recycled, disassembled, remanufactured, composted, or biologically degraded) [ 65 ].

Implications for Practice

This concise yet comprehensive forward-looking tool is not without limitations, but it has the potential to change both thinking and practice in the rapidly evolving field of DAI health solutions. These solutions may drive many improvements in health care [ 6 ]. Nevertheless, the pace at which they are being developed remains unprecedented when compared with other medical advances such as minimally invasive surgery, interventional radiology, or genomics [ 5 ]. Although many scholars underscore that DAI solutions should be used “in compliance with relevant laws” [ 4 ], regulatory frameworks remain scant, and policy progresses are slow [ 3 ]. Current regulatory and policy limitations and the lack of robust assessment tools put patients, clinicians, and health care managers at risk [ 4 ] not only of biases but also of diversion from health systems’ key mission: improving health in an economically and environmentally sustainable way [ 26 ]. As many decisions driving the supply of DAI solutions are made outside the health sector [ 38 ], clinicians are currently largely unequipped to anticipate and handle their health, social, economic, and environmental impacts [ 7 ].

The tool was specifically designed to support clinicians in the broader role they should play as “change agents” [ 4 ] in the digital health field. Thanks to a multidisciplinary expert panel, the tool’s attributes are clearly defined, and its scales describe key responsibility enablers, characteristics, or mechanisms in a tangible way. Its practical value lies in the fact that it can be applied in two distinct ways: (1) as a formal evidence-informed assessment tool to measure the degree of responsibility of a DAI solution or (2) as a design or procurement brief (or template) to explore the suitability of a given DAI solution for patient care and clinical practice and guide its development, acquisition, implementation, or use. In both situations, the overall responsibility score is considered invalid if the screening criteria are not met. When used as a formal assessment tool, specific steps should be followed for the tool to deliver a valid score—after having searched, retrieved, and critically analyzed sources of information pertaining to each screening criterion and assessment attribute, an interdisciplinary team (2-5 raters with research skills) must first apply the tool independently and then reach consensus. As described in Multimedia Appendix 1 , when disagreements between raters are found, the team should deliberate to identify potential errors or misunderstandings. The consensus score should neither be “forced” nor “averaged”—it should establish a strong correspondence between the information available and the question (for the screening criteria) or the scale item (for the assessment attributes) formulated in the tool.

Of course, one of the tool’s limitations lies in the information sources required to rate each criterion and attribute. Although the strongest sources of evidence remain independent peer-reviewed publications, few are likely to be available for an emerging DAI solution [ 6 ]. Moreover, the solution and the organization that makes it available to users may change over a brief period (eg, acquisitions of start-ups are frequent in the digital technology industry) [ 5 ]. The scope of these changes may significantly affect the adequacy of the scientific evidence available and the degree of responsibility of the solution. Therefore, those who apply the tool should remain critical of the information provided by developers and reconduct the assessment whenever significant changes are made to the solution or organization. As novel applications of AI keep emerging, such as generative AI that uses natural language processing to create textual content (eg, ChatGPT), it will be important to keep abreast of technological advances and apply the tool rigorously (ie, as described in Multimedia Appendix 1 ). Its definition of responsibility is anchored in the RIH scholarship, which largely differs from definitions found under the “responsible AI” umbrella term [ 42 ].

Limitations

There are 3 limitations to this study that are partially mitigated by the strengths of a mixed methods study design [ 31 ]. When launching phase 1, we were challenged by the velocity at which tools to foster responsibility in DAI solutions had been developed (ranging from 3 in 2016 to 25 in 2020), and their quantity precluded an in-depth qualitative analysis of their conceptual overlaps. However, as 93% of the principles came from tools published before 2019, we are confident that significant principles have not been omitted [ 17 ]. In phase 2, we could not gather information about experts who ignored the invitation (690/799, 86.4%), did not click on “participate” (63/799, 7.9%), or did not complete the round 1 survey (14/799, 1.8%). However, the final panel size is adequate for an e-Delphi study, a high participation rate in round 2 (14/28, 50%) increases internal validity, and using 3 concurrent measures to determine consensus exceeds standards often seen in such studies [ 22 ]. In phase 3, objects and raters were not randomly selected, which limits the ability to draw inferences. The tool’s reliability is predicated on having raters sufficiently familiar with its premises, criteria, and attributes. An overarching strength of this 3-phase study was to have built on the scientific groundwork that led to the RIH tool [ 22 , 23 ]. Thus, our team had a good command of the methods needed for “measuring the constructs of primary interest” [ 31 ].

Conclusions

Clinicians active in research have made great strides to work with DAI solution developers to address key clinical issues [ 6 , 43 , 44 ], and ground-breaking scholarly and policy work has brought to light the numerous ethical concerns that arise with their development and use [ 3 , 16 , 39 , 40 ]. However, tools developed to foster responsibility in DAI solutions focus on fragmented sets of principles, rarely offer measurable indicators, and lack methodological rigor [ 17 ]. Thus, we applied a rigorous study design to deliver a rigorous tool. Further actions include actively disseminating the tool through our research collaborators and developing multimedia materials to support its use [ 66 ]. Although strong clinical leadership is required for high-quality digital health care to materialize in practice, the Responsible DAI solutions Assessment Tool can help clinical leaders contribute to the design and use of DAI solutions with a high degree of responsibility. It offers a comprehensive, valid, and reliable means to help steer DAI solutions toward equitable as well as economically and environmentally sustainable digital health care.

Acknowledgments

This study was funded through a peer-reviewed call for proposals by the International Observatory on the Societal Impacts of Artificial Intelligence and Digital Technology. Our research team benefits from an operating grant from the Canadian Institutes of Health Research (FDN-143294). Our research center is supported by the Fonds de la recherche du Québec – Santé . The funders of our study did not play any role in its design, conduct, or reporting. The authors would like to thank the research collaborators who provided them with insightful comments throughout the study: Cécile Petitgand, Barbara Decelle, Jean-Louis Denis, Alison Marchildon, Margie Mendel, Catherine Régis, and Philippe Després. Gabrielle Veilleux-Verreault performed key knowledge synthesis tasks, shared important artificial intelligence ethics insights, and programmed the e-Delphi exercise platform (Mésydel). This study would not have been possible without the precious insights and dedication of the international experts who participated in our phase 2 e-Delphi exercise.

Data Availability

The data sets collected and analyzed are available in the body of the text or in Multimedia Appendix 2 .

Authors' Contributions

All authors confirm that they had full access to all the data in the study and accept responsibility for submission for publication. They all meet the four criteria for authorship in the International Committee of Medical Journal Editors recommendations: (1) substantial contributions to the conception or design of the work or the acquisition, analysis, or interpretation of data for the work; (2) drafting the work or revising it critically for important intellectual content; (3) final approval of the version to be published; and (4) agreement to be accountable for all aspects of the work ensuring that questions related to the accuracy or integrity of any part of the work are appropriately investigated and resolved. PL contributed to conceptualization, methodology, supervision, formal analysis, writing (original draft, review, and editing), project administration, and funding acquisition. RRO contributed to methodology, investigation, data curation, formal analysis, validation, visualization, and writing (review and editing). LR contributed to methodology, investigation, data curation, formal analysis, validation, and writing (original draft, review, and editing). HPS contributed to methodology, investigation, formal analysis, and writing (review and editing). HA contributed to conceptualization, investigation, writing (review and editing), and funding acquisition. CMM contributed to conceptualization, investigation, writing (review and editing), and funding acquisition. KM contributed to conceptualization, investigation, writing (review and editing), and funding acquisition.

Conflicts of Interest

None declared.

Responsible DAI solutions Assessment Tool.

Methodological details and data sets.

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Abbreviations

Edited by A Mavragani; submitted 25.04.23; peer-reviewed by P Cooper, P Mechael; comments to author 17.06.23; revised version received 27.06.23; accepted 26.07.23; published 28.08.23

©Pascale Lehoux, Robson Rocha de Oliveira, Lysanne Rivard, Hudson Pacifico Silva, Hassane Alami, Carl Maria Mörch, Kathy Malas. Originally published in the Journal of Medical Internet Research (https://www.jmir.org), 28.08.2023.

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