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How to Write a Research Paper Introduction (with Examples)

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

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

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

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

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

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Table of Contents

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

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

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

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

What are the parts of introduction in the research?

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

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

How to write a research paper introduction?

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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Research Paper Introduction – Writing Guide and Examples

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Research Paper Introduction

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

How to Write Research Paper Introduction

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

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

Structure of Research Paper Introduction

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

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

Research Paper Introduction Examples

Research Paper Introduction Examples could be:

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

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

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

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

Purpose of Research Paper Introduction

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

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

When to Write Research Paper Introduction

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

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

Advantages of Research Paper Introduction

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

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

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Organizing Your Social Sciences Research Paper

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

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

Importance of a Good Introduction

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

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

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

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

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

Structure and Writing Style

I.  Structure and Approach

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

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

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

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

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

2.  Identify a research niche by:

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

3.  Place your research within the research niche by:

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

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

II.  Delimitations of the Study

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

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

Examples of delimitating choices would be:

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

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

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

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

III.  The Narrative Flow

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

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

IV.  Engaging the Reader

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

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

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

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

Writing Tip

Avoid the "Dictionary" Introduction

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

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

Another Writing Tip

When Do I Begin?

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

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

Yet Another Writing Tip

Always End with a Roadmap

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

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

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How to write an effective introduction for your research paper

Last updated

20 January 2024

Reviewed by

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

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

• The importance of an introduction in research papers

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

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

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

• The optimum length for a research paper introduction

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

Field of study

Complexity of the topic

Specific requirements of the course or publication

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

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

• Evaluating successful research paper introductions

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

Dissecting examples: what works and why

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

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

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

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

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

Common pitfalls to avoid in research paper introductions

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

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

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

• Crafting a compelling introduction for a research paper

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

Step 1: Capturing interest and setting the scene

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

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

Step 2: Building a solid foundation with background information

Including background information in your introduction serves two major purposes:

It helps to clarify the topic for the reader

It establishes the depth of your research

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

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

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

Step 3: Pinpointing the research challenge

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

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

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

Step 4: Clarifying your research aims and objectives

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

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

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

Step 5: Sketching the blueprint of your study

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

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

Step 6: Integrating your research question

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

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

Step 7: Establishing the scope and limitations

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

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

Step 8: Concluding the introduction with a promise

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

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

• Research paper introduction best practices

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

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

Set the right tone and style

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

Kno w the audience

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

Adopt the CARS (create a research space) model

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

Master the art of funneling

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

Incorporate narrative element

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

Write the introduction last

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

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How to write an introduction for a research paper

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

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

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

What is an introduction to a research paper?

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

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

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

Structure of an introduction

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

A good hook

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

Broad overview

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

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

Thesis statement

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

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

Tips for writing a strong introduction

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

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

Mistakes to avoid in your introduction

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

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

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How to Write an Introduction for a Research Paper

Table of Contents

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

Understanding the Purpose of a Research Paper Introduction

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

Key Elements to Include in Your Introduction

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

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

Preparing to Write Your Introduction

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

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

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

Structuring Your Introduction

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

Starting with a Hook

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

Introducing Your Topic

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

Presenting Your Thesis Statement

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

Writing Techniques for an Effective Introduction

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

Using Clear and Concise Language

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

Establishing the Relevance of Your Research

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

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

Revising and Polishing Your Introduction

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

Self-Editing Techniques

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

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

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

Seeking Feedback for Improvement

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

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

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How to Write an Introduction for a Research Paper

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

The Purpose of an Introduction

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

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

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

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

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

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

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

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

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

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

Comparisons/Contrasts

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

Definitions/Classifications

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

Description

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

Process/Experimentation

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Back to How To Write A Research Paper .

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

How to write an introduction for a research paper

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

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

What is an introduction for a research paper?

Introductions to research papers do a lot of work.

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

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

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

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Why is an introduction vital to a research paper?

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

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

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

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

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

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

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

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

Three tips for writing your introduction

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

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

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

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• A Research Guide
• Research Paper Guide

How to Write an Introduction for a Research Paper

• Purpose of intro
• Key elements
• Writing an effective intro
• Step-by-step guide
• Research intro checklist
• Introduction formats
• Good and bad examples

An introductory paragraph is vital for any academic paper. It allows you to show reviewers why your research topic is worth reading about. In this article, we will explore the tips to make a good introduction paragraph. You’ll get a step-by-step tutorial on writing your paper’s informative yet laconic intro.

What is the purpose of an introduction?

The purpose of a research paper intro is to provide an overview and context for the study being conducted. A research paper engages the reader, establishes the importance of the research topic, and outlines the study’s objectives and scope.

The paper intro also presents the question or hypothesis and summarizes relevant background characteristics and existing literature.

An effective introduction helps the reader understand the significance and relevance of the research paper and sets the stage for the subsequent sections. The introduction captures the reader’s attention and creates a foundation for understanding the research and its contributions.

The key elements of a scientific paper introduction

The introduction of your research paper should include several key elements, including the problem statement, hypothesis/thesis/research question, purpose, and background.

Let’s explore each of these parts of the research paper intro in detail:

• Problem Statement : identifies the specific issue or gap in knowledge that the research paper aims to address. It highlights the problem’s relevance, significance, and potential impact on the field of study. The problem statement sets the stage for the research by clearly stating the project or research gap.
• Hypothesis / Thesis / Research Question : a paper hypothesis predicts the relationship between variables, a thesis statement presents the main argument or claim, and a research question seeks to put a specific aspect on a research paper.
• Purpose: describes the overall objective or goal the research paper aims to achieve. It outlines the researcher’s intention and provides a clear direction for the investigation. The purpose statement typically explains why the research is being conducted and what the researcher hopes to accomplish by the end of the study.
• Background : provides the necessary context and information to familiarize readers with the research paper. It presents a concise review of the relevant literature, previous studies, and theoretical frameworks that have shaped the understanding of the problem.

Shortly, the introduction section of a research paper combines these key elements to introduce the problem, state the hypothesis/thesis/research question, define the paper’s purpose, and provide the background necessary for readers to understand the significance and context of the study.

How to write an effective intro?

To start an introduction for a research paper, consider the following steps:

• Hook the reader : begin with a compelling opening sentence or a thought-provoking statement that grabs the reader’s attention. This could be an interesting fact, a relevant anecdote, or a surprising statistic related to your research paper.
• Provide background information : offer a brief overview of the paper and its significance in the field. This helps to improve the structure of an introduction and demonstrate why it is important to investigate the point further in a paper.
• State the problem : clearly articulate the problem statement or research gap your study aims to address. Explain the specific issue or gap in knowledge that your research paper seeks to explore, emphasizing its relevance and potential impact.
• Present the research question/hypothesis/thesis : formulate a concise and focused research question, hypothesis, or thesis statement in the intro that guides your scientific paper. This sets the direction for your research and provides a clear focus for the reader.
• Outline the purpose and objectives : explain the overall purpose of your research paper and the specific objectives you aim to achieve. This helps readers understand why your study is being conducted and what you hope to accomplish.
• Preview the structure : briefly introduce the organization and structure of your research paper. Mention the main sections or components that will be covered, giving readers a sense of what to expect as they continue reading the paper.

Remember, the intro should be concise and engaging, providing a clear roadmap for your research and capturing the reader’s interest from the very beginning. There are different ways to start a research paper, and you can pick the intro that suits you best.

Writing an introduction to a research paper: key steps

Here’s a short guide on getting you started with an introduction:

• Start with an attention-grabbing opening : begin your intro with a captivating statement, a relevant quote, a surprising fact, or an intriguing anecdote. This will engage the reader’s interest and make them curious about your research paper.
• Provide background information : write a brief overview of the research topic to provide context and establish the importance of the subject matter. Discuss key concepts, definitions, or historical background relevant to your study. This section should help the reader understand the broader context of your research paper.
• State the research problem or gap : clearly define the specific problem or research gap your study aims to address. Explain why this problem is significant and deserving of investigation. This helps the reader understand the purpose and relevance of your research paper.
• Present your research question or thesis statement : formulate a clear and concise research question, hypothesis, or thesis statement that serves as the central focus of your study. This statement should guide your research paper and articulate your introduction format.
• Outline the structure of the paper : write a brief preview of your research paper’s main sections and organization. This helps the reader understand the flow of your paper and what to expect in each section. Provide a roadmap by mentioning the key points or arguments discussed in subsequent sections.

By following these steps, you can create an introduction that grabs the reader’s attention and sets the stage for the rest of your research paper, clearly understanding your study’s problem, purpose, and structure.

Writing a checklist for a proper college paper introduction

Here’s a short writing checklist for a research paper intro:

• Attention-grabbing opening:
• Does the research paper introduction example start with a compelling statement, relevant quote, surprising fact, or intriguing anecdote?
• Is the opening engaging enough to capture readers’ attention and make them curious about the research paper?
• Background information:
• Have you provided a concise overview of the research topic, including relevant definitions, concepts, or historical context?
• Does the background information help the reader understand the broader context and importance of the subject matter?
• Clear problem statement:
• Have you clearly stated the specific problem or research gap that your study aims to address?
• Does a research introduction have a well-defined, strong, and significant problem statement?
• Research question or thesis statement:
• Have you presented a clear and concise research question, hypothesis, or thesis statement that guides your paper?
• Does the research question or thesis statement align with the problem statement and set the direction for your research paper?
• Structure and organization:
• Did you write a brief overview of the structure and organization of the research paper?
• Does the introduction outline the main sections or components covered in the paper?
• Coherence and flow:
• Is the intro logically organized? Does it have smooth transitions between ideas and paragraphs?
• Does the intro flow smoothly from the opening to the problem statement, research question, and purpose?
• Conciseness and clarity:
• Have you kept the introduction concise, avoiding unnecessary details or tangents?
• Is the language clear, avoiding jargon or overly technical terms that may confuse the reader?
• Relevance and significance:
• Have you clearly explained the relevance and significance of the research topic and the paper’s potential impact?
• Does the introduction effectively communicate why your research is important and worth exploring?

This checklist will help you to review your research essay introduction to ensure it effectively grabs the reader’s attention, provides necessary background information, states the problem clearly, presents a focused research question or thesis statement, outlines the structure of the paper, and maintains coherence and clarity throughout.

Types of intro formats

Different academic disciplines may follow specific formatting styles for research introduction, such as MLA (Modern Language Association), APA (American Psychological Association), Chicago, ASA (American Sociological Association), and AMA (American Medical Association).

To write an introduction paragraph, you should understand the differences between the most common academic formats for your future paper.

MLA (Modern Language Association):

• Primarily used in humanities, literature, and arts disciplines.
• Features in-text citations using the author-page format (e.g., “Smith 45”).

APA (American Psychological Association):

• Commonly used in social sciences, psychology, and education.
• Utilizes in-text citations with the author-date format (e.g., “Smith, 2019”).
• Often used in history, humanities, and some social sciences.
• Offers two styles: the notes-bibliography system and the author-date system.
• Includes a bibliography page to list all sources used.

ASA (American Sociological Association):

• Primarily used in sociology and related social sciences.
• Utilizes in-text citations with the author-date format (e.g., “Smith 2019”).

AMA (American Medical Association):

• Commonly used in medical, health, and biological sciences.
• Features in-text citations with a superscript number (e.g., “Smith^1”).
• Emphasizes accuracy and consistency in citation style.

All formatting styles mean a set of rules and guidelines for citing sources, formatting headings, page layout, and referencing. It’s important to consult the specific style guide or manual associated with your field of study before you write.

These might include guidelines provided by your institution to ensure proper paper formatting and adherence of a research introduction to the chosen style.

Research introduction sample

Now that you know how the idea goes in the introduction of a research paper, let’s see the practical examples of good and bad introductions and discuss their differences.

Good example:

Title: “Exploring the Impact of Climate Change on Biodiversity: A Comprehensive Analysis”

Introduction:

Climate change is a pressing global issue that has far-reaching consequences for our planet. Its effects on various ecosystems, particularly biodiversity loss, have attracted significant attention from researchers and policymakers alike.

This research paper aims to provide a comprehensive analysis of the impact of climate change on biodiversity, focusing on key regions and species vulnerable to these changes. By examining the latest scientific literature, empirical studies, and expert opinions, we will explore the complex interplay between climate change and biodiversity loss, shed light on the underlying mechanisms, and propose potential mitigation strategies.

Understanding these dynamics is crucial for developing effective conservation strategies and promoting sustainable practices that will help preserve our planet’s invaluable natural heritage.

Bad example:

Title: “Climate Change and Biodiversity”

Climate change and biodiversity are two important topics that have received considerable attention recently. Climate change refers to the long-term alteration of temperature and precipitation patterns, while biodiversity encompasses the variety of life forms found on Earth.

In this research paper, we will discuss the impact of climate change on biodiversity and explore various examples and case studies. The paper will also highlight the significance of addressing this issue and present potential solutions.

By delving into this subject, we aim to contribute to the existing body of knowledge and raise awareness about the importance of protecting biodiversity in climate change.

To begin an introduction paragraph, don’t provide too much background or theory at once. Remember to arrange your thoughts concisely while keeping the important information for the paper body.

A good intro should answer the four basic questions:

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

Remember that you might not get a second chance to create a positive first impression. That’s why it’s equally important to keep your paper laconic and to end an introduction paragraph with a call to action to read your research paper.

• Writing a Research Paper
• Research Paper Title
• Research Paper Sources
• Research Paper Problem Statement
• Research Paper Thesis Statement
• Hypothesis for a Research Paper
• Research Question
• Research Paper Outline
• Research Paper Summary
• Research Paper Prospectus
• Research Paper Proposal
• Research Paper Format
• Research Paper Styles
• AMA Style Research Paper
• MLA Style Research Paper
• Chicago Style Research Paper
• APA Style Research Paper
• Research Paper Structure
• Research Paper Cover Page
• Research Paper Abstract
• Research Paper Introduction
• Research Paper Body Paragraph
• Research Paper Literature Review
• Research Paper Background
• Research Paper Methods Section
• Research Paper Results Section
• Research Paper Discussion Section
• Research Paper Conclusion
• Research Paper Appendix
• Research Paper Bibliography
• APA Reference Page
• Annotated Bibliography
• Bibliography vs Works Cited vs References Page
• Research Paper Types
• What is Qualitative Research

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Organizing Academic Research Papers: 4. The Introduction

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

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

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

Importance of a Good Introduction

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

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

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

Introductions . The Writing Center. University of North Carolina.

Structure and Writing Style

I. Structure and Approach

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

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

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

These are general phases associated with writing an introduction:

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

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

II.  Delimitations of the Study

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

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

Examples of delimitating choices would be:

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

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

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

III. The Narrative Flow

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

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

IV. Engaging the Reader

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

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

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

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

Writing Tip

Avoid the "Dictionary" Introduction

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

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

Another Writing Tip

When Do I Begin?

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

Yet Another Writing Tip

Always End with a Roadmap

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

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Frequently asked questions

What should i include in a research paper introduction.

The introduction of a research paper includes several key elements:

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

and your problem statement

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

Frequently asked questions: Writing a research paper

A research project is an academic, scientific, or professional undertaking to answer a research question . Research projects can take many forms, such as qualitative or quantitative , descriptive , longitudinal , experimental , or correlational . What kind of research approach you choose will depend on your topic.

The best way to remember the difference between a research plan and a research proposal is that they have fundamentally different audiences. A research plan helps you, the researcher, organize your thoughts. On the other hand, a dissertation proposal or research proposal aims to convince others (e.g., a supervisor, a funding body, or a dissertation committee) that your research topic is relevant and worthy of being conducted.

Formulating a main research question can be a difficult task. Overall, your question should contribute to solving the problem that you have defined in your problem statement .

However, it should also fulfill criteria in three main areas:

• Researchability
• Feasibility and specificity
• Relevance and originality

Research questions anchor your whole project, so it’s important to spend some time refining them.

In general, they should be:

• Focused and researchable
• Answerable using credible sources
• Complex and arguable
• Feasible and specific
• Relevant and original

All research questions should be:

• Focused on a single problem or issue
• Researchable using primary and/or secondary sources
• Feasible to answer within the timeframe and practical constraints
• Specific enough to answer thoroughly
• Complex enough to develop the answer over the space of a paper or thesis
• Relevant to your field of study and/or society more broadly

A research aim is a broad statement indicating the general purpose of your research project. It should appear in your introduction at the end of your problem statement , before your research objectives.

Research objectives are more specific than your research aim. They indicate the specific ways you’ll address the overarching aim.

Once you’ve decided on your research objectives , you need to explain them in your paper, at the end of your problem statement .

Keep your research objectives clear and concise, and use appropriate verbs to accurately convey the work that you will carry out for each one.

I will compare …

Your research objectives indicate how you’ll try to address your research problem and should be specific:

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

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

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

The main guidelines for formatting a paper in Chicago style are to:

• Use a standard font like 12 pt Times New Roman
• Use 1 inch margins or larger
• Apply double line spacing
• Indent every new paragraph ½ inch
• Include a title page
• Place page numbers in the top right or bottom center
• Cite your sources with author-date citations or Chicago footnotes
• Include a bibliography or reference list

To automatically generate accurate Chicago references, you can use Scribbr’s free Chicago reference generator .

The main guidelines for formatting a paper in MLA style are as follows:

• Use an easily readable font like 12 pt Times New Roman
• Set 1 inch page margins
• Include a four-line MLA heading on the first page
• Center the paper’s title
• Use title case capitalization for headings
• Cite your sources with MLA in-text citations
• List all sources cited on a Works Cited page at the end

To format a paper in APA Style , follow these guidelines:

• Use a standard font like 12 pt Times New Roman or 11 pt Arial
• If submitting for publication, insert a running head on every page
• Apply APA heading styles
• Cite your sources with APA in-text citations
• List all sources cited on a reference page at the end

No, it’s not appropriate to present new arguments or evidence in the conclusion . While you might be tempted to save a striking argument for last, research papers follow a more formal structure than this.

All your findings and arguments should be presented in the body of the text (more specifically in the results and discussion sections if you are following a scientific structure). The conclusion is meant to summarize and reflect on the evidence and arguments you have already presented, not introduce new ones.

The conclusion of a research paper has several key elements you should make sure to include:

• A restatement of the research problem
• A summary of your key arguments and/or findings
• A short discussion of the implications of your research

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

Mohsen tavakol.

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

David O'Brien

Introduction.

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

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

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

Background to the research topic

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

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

Citing the existing literature to support the research aim

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

Stating the significance of the research

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

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

Formulating Research Questions and Objectives

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

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

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

1.       Set the context for the research

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

3.       Define key variables both conceptually and theoretically

4.       Critically appraise relevant papers during the literature review

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

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

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

Conclusions

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

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

Conflict of Interest

The authors declare that they have no conflict of interest.

• Open access
• Published: 23 September 2023

Educational interventions targeting pregnant women to optimise the use of caesarean section: What are the essential elements? A qualitative comparative analysis

• Rana Islamiah Zahroh   ORCID: orcid.org/0000-0001-7831-2336 1 ,
• Katy Sutcliffe   ORCID: orcid.org/0000-0002-5469-8649 2 ,
• Dylan Kneale   ORCID: orcid.org/0000-0002-7016-978X 2 ,
• Martha Vazquez Corona   ORCID: orcid.org/0000-0003-2061-9540 1 ,
• Ana Pilar Betrán   ORCID: orcid.org/0000-0002-5631-5883 3 ,
• Newton Opiyo   ORCID: orcid.org/0000-0003-2709-3609 3 ,
• Caroline S. E. Homer   ORCID: orcid.org/0000-0002-7454-3011 4 &
• Meghan A. Bohren   ORCID: orcid.org/0000-0002-4179-4682 1  

BMC Public Health volume  23 , Article number:  1851 ( 2023 ) Cite this article

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Caesarean section (CS) rates are increasing globally, posing risks to women and babies. To reduce CS, educational interventions targeting pregnant women have been implemented globally, however, their effectiveness is varied. To optimise benefits of these interventions, it is important to understand which intervention components influence success. In this study, we aimed to identify essential intervention components that lead to successful implementation of interventions focusing on pregnant women to optimise CS use.

We re-analysed existing systematic reviews that were used to develop and update WHO guidelines on non-clinical interventions to optimise CS. To identify if certain combinations of intervention components (e.g., how the intervention was delivered, and contextual characteristics) are associated with successful implementation, we conducted a Qualitative Comparative Analysis (QCA). We defined successful interventions as interventions that were able to reduce CS rates. We included 36 papers, comprising 17 CS intervention studies and an additional 19 sibling studies (e.g., secondary analyses, process evaluations) reporting on these interventions to identify intervention components. We conducted QCA in six stages: 1) Identifying conditions and calibrating the data; 2) Constructing truth tables, 3) Checking quality of truth tables; 4) Identifying parsimonious configurations through Boolean minimization; 5) Checking quality of the solution; 6) Interpretation of solutions. We used existing published qualitative evidence synthesis to develop potential theories driving intervention success.

We found successful interventions were those that leveraged social or peer support through group-based intervention delivery, provided communication materials to women, encouraged emotional support by partner or family participation, and gave women opportunities to interact with health providers. Unsuccessful interventions were characterised by the absence of at least two of these components.

We identified four key essential intervention components which can lead to successful interventions targeting women to reduce CS. These four components are 1) group-based delivery, 2) provision of IEC materials, 3) partner or family member involvement, and 4) opportunity for women to interact with health providers. Maternal health services and hospitals aiming to better prepare women for vaginal birth and reduce CS can consider including the identified components to optimise health and well-being benefits for the woman and baby.

Peer Review reports

Introduction

In recent years, caesarean section (CS) rates have increased globally [ 1 , 2 , 3 , 4 ]. CS can be a life-saving procedure when vaginal birth is not possible; however, it comes with higher risks both in the short- and long-term for women and babies [ 1 , 5 ]. Women with CS have increased risks of surgical complications, complications in future pregnancies, subfertility, bowel obstruction, and chronic pain [ 5 , 6 , 7 , 8 ]. Similarly, babies born through CS have increased risks of hypoglycaemia, respiratory problems, allergies and altered immunity [ 9 , 10 , 11 ]. At a population level, CS rates exceeding 15% are unlikely to reduce mortality rates [ 1 , 12 ]. Despite these risks, an analysis across 154 countries reported a global average CS rate of 21.1% in 2018, projected to increase to 28.5% by 2030 [ 3 ].

There are many reasons for the increasing CS rates, and these vary between and within countries. Increasingly, non-clinical factors across different societal dimensions and stakeholders (e.g. women and communities, health providers, and health systems) are contributing to this increase [ 13 , 14 , 15 , 16 , 17 ]. Women may prefer CS over vaginal birth due to fear of labour or vaginal birth, previous negative experience of childbirth, perceived increased risks of vaginal birth, beliefs about an auspicious or convenient day of birth, or beliefs that caesarean section is safer, quick, and painless compared to vaginal birth [ 13 , 14 , 15 ].

Interventions targeting pregnant women to reduce CS have been implemented globally. A Cochrane intervention review synthesized evidence from non-clinical interventions targeting pregnant women and family, providers, and health systems to reduce unnecessary CS, and identified 15 interventions targeting women [ 18 ]. Interventions targeting women primarily focused on improving women’s knowledge around birth, improving women’s ability to cope during labour, and decreasing women’s stress related to labour through childbirth education, and decision aids for women with previous CS [ 18 ]. These types of interventions aim to reduce the concerns of pregnant women and their partners around childbirth, and prepare them for vaginal birth.

The effectiveness of interventions targeting women in reducing CS is mixed [ 18 , 19 ]. Plausible explanations for this limited success include the multifactorial nature of the factors driving increases in CS, as well as the contextual characteristics of the interventions, which may include the study environment, participant characteristics, intensity of exposure to the intervention and method of implementation. Understanding which intervention components are essential influencers of the success of the interventions is conducive to optimising benefits. This study used a Qualitative Comparative Analysis (QCA) approach to re-analyse evidence from existing systematic reviews to identify essential intervention components that lead to the successful implementation of non-clinical interventions focusing on pregnant women to optimise the use of CS. Updating and re-analysing existing systematic reviews using new analytical frameworks may help to explore the heterogeneity in effects and ascertain why some studies appear to be effective while others are not.

Data sources, case selection, and defining outcomes

Developing a logic model.

We developed a logic model to guide our understanding of different pathways and intervention components potentially leading to successful implementation (Additional file 1 ). The logic model was developed based on published qualitative evidence syntheses and systematic reviews [ 18 , 20 , 21 , 22 , 23 , 24 ]. The logic model depicts the desired outcome of reduced CS rates in low-risk women (at the time of admission for birth, these women are typically represented by Robson groups 1–4 [ 25 ] and are women with term, cephalic, singleton pregnancies without a previous CS) and works backwards to understand what inputs and processes are needed to achieve the desired outcome. Our logic model shows multiple pathways to success and highlights the interactions between different levels of factors (women, providers, societal, health system) (Additional file 1 ). Based on the logic model, we have separated our QCA into two clusters of interventions: 1) interventions targeting women, and 2) interventions targeting health providers. The results of analysis on interventions targeting health providers have been published elsewhere [ 26 ]. The logic model was also used to inform the potential important components that influence success.

Identifying data sources and selecting cases

We re-analysed the systematic reviews which were used to inform the development and update of World Health Organization (WHO) guidelines. In 2018, WHO issued global guidance on non-clinical interventions to reduce unnecessary CS, with interventions designed to target three different levels or stakeholders: women, health providers, and health systems [ 27 ]. As part of the guideline recommendations, a series of systematic reviews about CS interventions were conducted: 1) a Cochrane intervention review of effectiveness by Chen et al. (2018) [ 18 ] and 2) three qualitative evidence syntheses exploring key stakeholder perspectives and experiences of interventions focusing on women and communities, health professionals, and health organisations, facilities and systems by Kingdon et al. (2018) [ 20 , 21 , 22 ]. Later on, Opiyo and colleagues (2020) published a scoping review of financial and regulatory interventions to optimise the use of CS [ 23 ].

Therefore, the primary data sources of this QCA are the intervention studies included in Chen et al. (2018) [ 18 ] and Opiyo et al. (2020) [ 23 ]. We used these two systematic reviews as not only they are comprehensive, but they were also used to inform the WHO guidelines development. A single intervention study is referred to as a “case”. Eligible cases were intervention studies focusing on pregnant women and aimed to reduce or optimise the use of CS. No restrictions on study design were imposed in the QCA. Therefore, we also assessed the eligibility of intervention studies excluded from Chen et al. (2018) [ 18 ] and Opiyo et al. (2020) [ 23 ] due to ineligible study designs (such as cohort study, uncontrolled before and after study, interrupted time series with fewer than three data points), as these studies could potentially show other pathways to successful implementation. We complemented these intervention studies with additional intervention studies published since the last review updates in 2018 and 2020, to include intervention studies that are likely to meet the review inclusion criteria for future review updates. No further search was conducted as QCA is suitable for medium-N cases, approximately around 10–50 cases, and inclusion of more studies may threaten study rigour [ 28 ].

Once eligible studies were selected, we searched for their ‘sibling studies’. Sibling studies are studies linked to the included intervention studies, such as formative research or process evaluations which may have been published separately. Sibling studies can provide valuable additional information about study context, intervention components, and implementation outcomes (e.g. acceptability, fidelity, adherence, dosage), which may not be well described in a single article about intervention effectiveness. We searched for sibling studies using the following steps: 1) reference list search of the intervention studies included in Chen et al. (2018) [ 18 ] and Opiyo et al. (2020) [ 23 ], 2) reference list search of the qualitative studies included in Kingdon et al. (2018) reviews [ 20 , 21 , 22 ]; and 3) forward reference search of the intervention studies (through “Cited by” function) in Scopus and Web of Science. Sibling studies were included if they included any information on intervention components or implementation outcomes, regardless of the methodology used. One author conducted the study screening independently (RIZ), and 10% of the screening was double-checked by a second author (MAB). Disagreements during screening were discussed until consensus, and with the rest of the author team if needed.

Defining outcomes

We assessed all outcomes related to the mode of birth in the studies included in the Chen et al. (2018) [ 18 ] and Opiyo et al. (2020) [ 23 ] reviews. Based on the consistency of outcome reporting, we selected “overall CS rate” as the primary outcome of interest due to its presence across studies. We planned to rank the rate ratio across these studies to select the 10 most successful and unsuccessful intervention studies. However, due to heterogeneity in how CS outcomes were reported across studies (e.g. odds ratios, rate ratios, percentages across different intervention stages), the final categorisation of successful or unsuccessful interventions is based on whether the CS rate decreased, based on the precision of the confidence interval or p-value (successful, coded as 1), or CS rate increased or did not change (unsuccessful, coded as 0).

Assessing risk of bias in intervention studies

All intervention studies eligible for inclusion were assessed for risk of bias. All studies included in Chen et al. (2018) and Opiyo et al. (2020) already had risk of bias assessed and reported [ 18 , 23 ], and we used these assessments. Additional intervention studies outside the included studies on these reviews were assessed using the same tools depending on the type of evidence (two randomized controlled trials and one uncontrolled before and after study), and details of the risk of bias assessment results can be found in Additional file 2 . We excluded studies with a high risk of bias to ensure that the analysis was based on high-quality studies and to enhance the ability of researchers to develop deep case knowledge by limiting the overall number of studies.

Qualitative comparative analysis (QCA)

QCA was first developed and used in political sciences and has since been extended to systematic reviews of complex health interventions [ 24 , 29 , 30 , 31 ]. Despite the term “qualitative”, QCA is not a typical qualitative analysis, and is often conceptualised as a methodology that bridges qualitative and quantitative methodologies based on its process, data used and theoretical standpoint [ 24 ]. Here, QCA is used to identify if certain configurations or combinations of intervention components (e.g. participants, types of interventions, contextual characteristics, and intervention delivery) are associated with the desired outcome [ 31 ]. These intervention components are referred to as “conditions” in the QCA methodology. Whilst statistical synthesis methods may be used to examine intervention heterogeneity in systematic reviews, such as meta-regression, QCA is a particularly suitable method to understand complex interventions like those aiming to optimise CS, as it allows for multiple overlapping pathways to causality [ 31 ]. Moreover, QCA allows the exploration of different combinations of conditions, rather than relying on a single condition leading to intervention effectiveness [ 31 ]. Although meta-regression allows for the assessment of multiple conditions, a sufficient number of studies may not be available to conduct the analysis. In complex interventions, such as interventions aiming to optimise the use of CS, single condition or standard meta-analysis may be less likely to yield usable and nuanced information about what intervention components are more or less likely to yield success [ 31 ].

QCA uses ‘set theory’ to systematically compare characteristics of the cases (e.g. intervention in the case of systematic reviews) in relation to the outcomes [ 31 , 32 ]. This means QCA compares the characteristics of the successful ‘cases’ (e.g. interventions that are effective) to those unsuccessful ‘cases’ (e.g. interventions that are not effective). The comparison is conducted using a scoring system based on ‘set membership’ [ 31 , 32 ]. In this scoring, conditions and outcomes are coded based on the extent to which a certain feature is present or absent to form set membership scores [ 31 , 32 ]. There are two scoring systems in QCA: 1) crisp set QCA (csQCA) and 2) fuzzy set QCA (fsQCA). csQCA assigns binary scores of 0 (“fully out” to set membership for cases with certain conditions) and 1 (“fully in” to set membership for cases with certain conditions), while fsQCA assigns ordinal scoring of conditions and outcomes, permitting partial membership scores between 0 and 1 [ 31 , 32 ]. For example, using fsQCA we may assign a five-level scoring system (0, 0.33, 0.5, 0.67, 1), where 0.33 would indicate “more out” than “in” to the set of membership, and 0.67 would indicate “more in” than “out”, and 0.5 would indicate ambiguity (i.e. a lack of information about whether a case was “in” or “out”) [ 31 , 32 ]. In our analysis, we used the combination of both csQCA and fsQCA to calibrate our data. This approach was necessary because some conditions were better suited to binary options using csQCA, while others were more complex, depending on the distribution of cases, and required fsQCA to capture the necessary information. In our final analysis, however, the conditions run on the final analysis were all using the csQCA scoring system.

Two relationships can be investigated using QCA [ 24 , 31 ]. First, if all instances of successful interventions share the same condition(s), this suggests these features are ‘necessary’ to trigger successful outcomes [ 24 , 31 ]. Second, if all instances of a particular condition are associated with successful interventions, this suggests these conditions are ‘sufficient’ for triggering successful outcomes [ 24 , 31 ]. In this QCA, we were interested to explore the relationship of sufficiency: that is, to assess the various combinations of intervention components that can trigger successful outcomes. We were interested in sufficiency because our logic model (explained further below) highlighted the multiple pathways that can lead to a CS and different interventions that may optimise the use of CS along those pathways, which suggested that it would be unlikely for all successful interventions to share the same conditions. We calculated the degree of sufficiency using consistency measures, which evaluate the frequency in which conditions are present when the desired outcome is achieved [ 31 , 32 ]. The conditions with a consistency score of at least 0.8 were considered sufficient in triggering successful interventions [ 31 , 32 ]. At present, there is no tool available for reporting guidelines in the re-analysis of systematic reviews using QCA, however, CARU-QCA is currently being developed for this purpose [ 33 ]. QCA was conducted using R programming software with a package developed by Thiem & Duşa (2013) and QCA with R guidebook [ 32 ]. QCA was conducted in six stages based on Thomas et al. (2014) [ 31 ] and explained below.

QCA stage 1: Identifying conditions, building data tables and calibration

We used a deductive and inductive process to determine the potential conditions (intervention components) that may trigger successful implementation. Conditions were first derived deductively using the developed logic model (Additional file 1 ). We then added additional conditions inductively using Intervention Component Analysis from the intervention studies [ 34 ], and qualitative evidence (“view”) synthesis [ 22 ] using Melendez-Torres’s (2018) approach [ 35 ]. Intervention Component Analysis is a methodological approach that examines factors affecting implementation through reflections from the trialist, which is typically presented in the discussion section of a published trial [ 34 ]. Examples of conditions identified in the Intervention Component Analysis include using an individualised approach, interaction with health providers, policies that encourage CS and acknowledgement of women’s previous birth experiences. After consolidating or merging similar conditions, a total of 52 conditions were selected and extracted from each included intervention and analysed in this QCA (Details of conditions and definitions generated for this study can be found in Additional files 3 and 4 ). We adapted the coding framework from Harris et al. (2019) [ 24 ] by adapting coding rules and six domains that were used, to organize the 52 conditions and make more sense of the data. These six domains are broadly classified as 1) context and participants, 2) intervention design, 3) program content, 4) method of engagement, 5) health system factors, and 6) process outcomes.

One author (RIZ) extracted data relevant to the conditions for each included study into a data table, which was then double-reviewed by two other authors (MVC, MAB). The data table is a matrix in which each case is represented in a row, and columns are used to represent the conditions. Following data extraction, calibration rules using either csQCA or fsQCA (e.g. group-based intervention delivery condition: yes = 1 (present), no = 0 (absent)) were developed through consultation with all authors. We developed a table listing the conditions and rules of coding the conditions, by either direct or transformational assignment of quantitative and qualitative data [ 24 , 32 ] (Additional file 3 depicts the calibration rules). The data tables were then calibrated by applying scores, to explore the extent to which interventions have ‘set membership’ with the outcome or conditions of interest. During this iterative process, the calibration criteria were explicitly defined, emerging from the literature and the cases themselves. It is important to note, that maximum ambiguity is typically scored as 0.5 in QCA, however, we decided it would be more appropriate to assume that if a condition was not reported it was unlikely to be a feature of the intervention, so we treated not reported as “absence” that is we coded it 0.

QCA stage 2: Constructing truth tables

Truth tables are an analytical tool used in QCA to analyse associations between configurations of conditions and outcomes. Whereas the data table represents individual cases (rows) and individual conditions (columns) – the truth table synthesises this data to examine configurations – with each row representing a different configuration of the conditions. The columns indicate a) which conditions are featured in the configuration in that row, b) how many of the cases are represented by that configuration, and c) their association with the outcome.

We first constructed the truth tables based on context and participants, intervention designs, program content, and method of engagement; however, no configurations to trigger successful interventions were observed. Instead, we observed limited diversity, meaning there were many instances in which the configurations were unsupported by cases, likely due to the presence of too many conditions in the truth tables. We used the learning from these truth tables to return to the literature to explore potential explanatory theories about what conditions are important from the perspectives of participants and trialists to trigger successful interventions (adhering to the ‘utilisation of view’ perspective [ 35 ]). Through this process, we found that women and communities liked to learn new information about childbirth, and desired emotional support from partners and health providers while learning [ 22 ]. They also appreciated educational interventions that provide opportunities for discussion and dialogue with health providers and align with current clinical practice and advice from health providers [ 22 ]. Therefore, three models of truth tables were iteratively constructed and developed based on three important hypothesised theories about how the interventions should be delivered: 1) how birth information was provided to women, 2) emotional support was provided to women (including interactions between women and providers), and 3) a consolidated model examining the interactions of important conditions identified from model 1 and 2. We also conducted a sub-analysis of interventions targeting both women and health providers or systems (‘multi-target interventions’). This sub-analysis was conducted to explore if similar conditions were observed in triggering successful interventions in multi-target interventions, among the components for women only. Table 1 presents the list of truth tables that were iteratively constructed and refined.

QCA stage 3: Checking quality of truth tables

We iteratively developed and improved the quality of truth tables by checking the configurations of successful and unsuccessful interventions, as recommended by Thomas et al. (2014) [ 31 ]. This includes by assessing the number of studies clustering to each configuration, and exploring the presence of any contradictory results between successful and unsuccessful interventions. We found contradictory configurations across the five truth tables, which were resolved by considering the theoretical perspectives and iteratively refining the truth tables.

QCA stage 4: Identifying parsimonious configurations through Boolean minimization

Once we determined that the truth tables were suitable for further analysis, we used Boolean minimisation to explore pathways resulting in successful intervention through the configurations of different conditions [ 31 ]. We simplified the “complex solution” of the pathways to a “parsimonious solution” and an “intermediate solution” by incorporating logical remainders (configurations where no cases were observed) [ 36 ].

QCA stage 5: Checking the quality of the solution

We presented the intermediate solution as the final solution instead of the most parsimonious solution, as it is most closely aligned with the underlying theory. We checked consistency and coverage scores to assess if the pathways identified were sufficient to trigger success. We also checked the intermediate solution by negating the outcome to see if it predicts the observed solutions.

QCA stage 6: Interpretation of solutions

We iteratively interpreted the results of the findings through discussions among the QCA team. This reflexive approach ensured that the results of the analysis considered the perspectives from the literature discourse, methodological approach, and that the results were coherent with the current understanding of the phenomenon.

Overview of included studies

Out of 79 intervention studies assessed by Chen et al. (2018) [ 18 ] and Opiyo et al. (2020) [ 23 ], 17 intervention studies targeted women and are included, comprising 11 interventions targeting only women [ 37 , 38 , 39 , 40 , 41 , 42 , 43 ] and six interventions targeting both women and health providers or systems [ 44 , 45 , 46 , 47 , 48 , 49 ]. From 17 included studies, 19 sibling studies were identified [ 43 , 49 , 50 , 51 , 52 , 53 , 54 , 55 , 56 , 57 , 58 , 59 , 60 , 61 , 62 , 63 , 64 , 65 , 66 , 67 ]. Thus, a total of 36 papers from 17 intervention studies are included in this QCA (See Fig.  1 : PRISMA Flowchart).

PRISMA flowchart. *Sibling studies: studies that were conducted in the same settings, participants, and timeframe; **Intervention components: information on intervention input, activities, and outputs, including intervention context and other characteristics

The 11 interventions targeting women comprised of five successful interventions [ 37 , 68 , 69 , 70 , 71 ] and six unsuccessful interventions [ 37 , 38 , 39 , 40 , 41 , 42 , 43 ] in reducing CS. Sixteen sibling studies were identified, from five out of 11 included interventions [ 37 , 41 , 43 , 70 , 71 ]. Included studies were conducted in six countries across North America (2 from Canada [ 38 ] and 1 from United States of America [ 71 ]), Asia–Pacific (1 from Australia [ 41 ]), 5 from Iran [ 39 , 40 , 68 , 69 , 70 ]), Europe (2 from Finland [ 37 , 42 ], 1 from United Kingdom [ 43 ]). Six studies were conducted in high-income countries, while five studies were conducted in upper-middle-income countries (all from Iran). All 11 studies targeted women, with three studies also explicitly targeting women’s partners [ 68 , 69 , 71 ]. One study delivering psychoeducation allowed women to bring any family members to accompany them during the intervention but did not specifically target partners [ 37 ]. All 11 studies delivered childbirth education, with four delivering general antenatal education [ 38 , 40 , 68 , 69 ], six delivering psychoeducation [ 37 , 39 , 41 , 42 , 70 , 71 ], and one implementing decision aids [ 43 ]. All studies were included in Chen et al. (2018), and some risks of bias were identified [ 18 ] (Additional file 2).

The multi-target interventions consisted of five successful interventions [ 44 , 45 , 46 , 47 , 48 ] and one unsuccessful intervention [ 49 ]. Sibling studies were only identified from one study [ 48 ]. The interventions were delivered in five countries across: South America (1 from Brazil [ 46 ]), Asia–Pacific (4 from China [ 44 , 45 , 47 , 49 ]), Europe (1 from Italy [ 48 ], 1 from Ireland [ 48 ], and 1 from Germany [ 48 ]). Three studies were conducted in high-income countries and five studies in upper middle-income countries. The multi-target interventions targeted women, health providers and health organisations. For this analysis, however, we only consider the components of the intervention that targeted women, which was typically childbirth education. One study came from Chen et al. (2018) [ 18 ] and was graded as having some concerns [ 47 ], two studies from Opiyo et al. (2020) [ 23 ] were graded as having no serious concerns [ 45 , 46 ], and three studies are newly published studies assessed as low [ 44 ] and some concerns about risk of bias [ 48 , 49 ] Table 2 and 3 show characteristics of included studies.

The childbirth education interventions included information about mode of birth, birth process, mental health and coping strategies, pain relief methods, and partners’ roles in birth. Most interventions were delivered in group settings, and only in three studies they were delivered on a one-to-one basis [ 38 , 41 , 42 ]. Only one study explicitly stated that the intervention was individualised to a woman’s unique needs and experiences [ 38 ].

Overall, there was limited theory used to design interventions among the included studies: less than half of interventions (7/17) explicitly used theory in designing the intervention. Among the seven interventions that used theory in intervention development, the theories included the health promotion-disease prevention framework [ 38 ], midwifery counselling framework [ 41 ], cognitive behavioural therapy [ 42 ], Ost’s applied relaxation [ 70 ], conceptual model of parenting [ 71 ], attachment and social cognitive theories [ 37 ], and healthcare improvement scale-up framework [ 46 ]. The remaining 10 studies only relied on previously published studies to design the interventions. We identified very limited process evaluation or implementation outcome evidence related to the included interventions, which is a limitation of the field of CS and clinical interventions more broadly.

• Qualitative comparative analysis

Model 1 – How birth information was provided to women

Model 1 is constructed based on the finding from Kingdon et al. (2018) [ 22 ] that women and communities enjoy learning new birth information, as it opens up new ways of thinking about vaginal birth and CS. Learning new information allows them to understand better the benefits and risks of CS and vaginal births, as well as increase their knowledge about CS [ 22 ].

We used four conditions in constructing model 1 truth table: 1) the provision of information, education, and communication (IEC) materials on what to expect during labour and birth, 2) type of education delivered (antenatal education or psychoeducation), and 3) group-based intervention delivery. We explored this model considering other conditions, such as type of information provided (e.g. information about mode of birth including birth process, mental health and coping strategies, pain relief), delivery technique (e.g. didactic, practical) and frequency and duration of intervention delivery; however these additional conditions did not result in configurations.

Of 16 possible configurations, we identified seven configurations (Table 4 ). The first two row shows perfect consistency of configurations (inclusion = 1) in five studies [ 37 , 68 , 69 , 70 , 71 ] in which all conditions are present, except antenatal education or psychoeducation. The remaining configurations are unsuccessful interventions. Interestingly, when either IEC materials or group-based intervention delivery are present (but not both), implementation is likely to be unsuccessful (rows 3–7).

Boolean minimisation identified two intermediate pathways to successful interventions (Fig.  2 ). The two pathways are similar, except for one condition: type of education. The antenatal education or psychoeducation materials is the content tailored to the type of women they target. Therefore, from the two pathways, we can see that the presence of distribution of IEC materials on birth information and group-based intervention delivery of either antenatal education to the general population of women (e.g. not groups of women with specific risks or conditions) or psychoeducation to women with fear of birth trigger successful interventions. From this solution, we can see that the successful interventions are consistently characterised by the presence of both IEC materials and group-based intervention delivery.

Intermediate pathways from model 1 that trigger successful interventions targeting pregnant women to optimise CS. In QCA, asterisk (*) denotes an ‘AND’ relationship; Inclusion score (InclS), also known as consistency, indicates the degree to which the evidence is consistent with the hypothesis that there is sufficient relation between the configuration and the outcome; Proportional Reduction in Inconsistency (PRI) refers to the extent in which a configuration is sufficient in triggering successful outcome as well as the negation of the outcome; Coverage score (CovS) refers to percentage of cases in which the configuration is valid

Model 2 – Emotional support was provided to women

Model 2 was constructed based on the theory that women desire emotional support alongside the communication of information about childbirth [ 22 ]. This includes emotional support from husbands or partners, health professional, or doulas [ 22 ]. Furthermore, Kingdon et al. (2018) describe the importance of two-way conversation and dialogue between women and providers during pregnancy care, particularly to ensure the opportunity for discussion [ 22 ]. Interventions may generate more questions than they answered, creating the need and desire of women to have more dialogue with health professionals [ 22 ]. Women considered intervention content to be most useful when it complements clinical care, is consistent with advice from health professionals and provides a basis for more informed, meaningful dialogue between women and care providers [ 22 ].

Based on this underlying theory, we constructed model 3 truth table by considering three conditions representative of providing emotional support to women, including partner or family member involvement, group-based intervention delivery which provide social or peer support to women, and opportunity for women to interact with health providers. Of 8 possible configurations, we identified six configurations (Table 5 ). The first three rows represent successful interventions with perfect consistency (inclusion = 1). The first row shows successful interventions with all conditions present. The second and third row shows successful interventions with all conditions except partner or family member involvement or interaction with health providers. The remaining rows represent unsuccessful interventions, where at least two conditions are absent.

Boolean minimisation identified two intermediate pathways to successful interventions (Fig.  3 ). In the first pathway, the partner or family members involvement and group-based intervention delivery enable successful interventions. In the second pathway, however, when partner or family members are not involved, successful interventions can happen only when interaction with health providers is included alongside group-based intervention. From these two pathways, we can see that group-based intervention, involvement of partner and family member, and opportunity for women to interact with providers seem to be important in driving intervention success.

Intermediate pathways from model 2 that trigger successful interventions targeting pregnant women to optimise CS. In QCA, asterisk (*) denotes an ‘AND’ relationship; Inclusion score (InclS), also known as consistency, indicates the degree to which the evidence is consistent with the hypothesis that there is sufficient relation between the configuration and the outcome; Proportional Reduction in Inconsistency (PRI) refers to the extent in which a configuration is sufficient in triggering successful outcome as well as the negation of the outcome; Coverage score (CovS) refers to percentage of cases in which the configuration is valid

Consolidated model – Essential conditions to prompt successful interventions focusing on women

Using the identified important conditions observed in models 1 and 2, we constructed a consolidated model to examine the final essential conditions which could prompt successful educational interventions targeting women. We merged and tested four conditions: the provision of IEC materials on what to expect during labour and birth, group-based intervention delivery, partner or family member involvement, and opportunity for interaction between women and health providers.

Of the 16 possible configurations, we identified six configurations (Table 6 ). The first three rows show configurations resulting in successful interventions with perfect consistency (inclusion = 1). The first row shows successful interventions with all conditions present; the second and third rows show successful interventions with all conditions present except interaction with health providers or partner or family member involvement. The remaining three rows are configurations of unsuccessful interventions, missing at least two conditions, including the consistent absence of partner or family member involvement.

Boolean minimisation identified two intermediate pathways to successful intervention (Fig.  4 ). The first pathway shows that the opportunity for women to interact with health providers, provision of IEC materials, and group-based intervention delivery prompts successful interventions. The second pathway, however, shows that when there is no opportunity for women to interact with health providers, it is important to have partner or family member involvement alongside group-based intervention delivery and provision of IEC materials. These two pathways suggest that the delivery of educational interventions accompanied by provision of IEC materials and presence of emotional support for women during the intervention is important to trigger successful interventions. These pathways also emphasise that emotional support for women during the intervention can come from either partner, family member, or health provider. For the consolidated model, we did not simplify the solution further, as the intermediate solution is more theoretically sound compared to the most parsimonious solution.

Intermediate pathways from consolidated model that trigger successful interventions targeting pregnant women to optimise CS.  In QCA, asterisk (*) denotes an ‘AND’ relationship; Inclusion score (InclS), also known as consistency, indicates the degree to which the evidence is consistent with the hypothesis that there is sufficient relation between the configuration and the outcome; Proportional Reduction in Inconsistency (PRI) refers to the extent in which a configuration is sufficient in triggering successful outcome as well as the negation of the outcome; Coverage score (CovS) refers to percentage of cases in which the configuration is valid.

Sub-analysis – Interventions targeting both women and health providers or systems

In this sub-analysis, we run the important conditions identified from the consolidated model, added condition of multi-target intervention, and applied it to 17 interventions: 11 interventions targeting women, and six interventions targeting both women and health providers or systems (multi-target interventions).

Of 32 possible configurations, we identified eight configurations (Table 7 ). The first four rows show configurations with successful interventions with perfect consistency (inclusion = 1). The first row is where all the multi-target interventions are clustered, except the unsuccessful intervention Zhang (2020) [ 49 ], and where all the conditions are present. All the conditions in the second to fourth rows are present, except multi-target interventions (all rows), interaction with health providers (third row) and partner and family member involvement (fourth row). The remaining rows are all configurations to unsuccessful interventions, where at least three conditions are missing, except row 8, which is a single case row. This case is the only multi-target intervention that is unsuccessful and in which partner or family members were not involved.

The Boolean minimisation identified two intermediate pathways (Fig.  5 ). The first pathway shows that partner or family involvement, provision of IEC materials, and group-based intervention delivery prompt successful interventions. The first pathway is comprised of all five successful multi-target interventions [ 44 , 45 , 46 , 47 , 48 ] and four of 11 interventions targeting only women [ 37 , 68 , 69 , 71 ]. The second pathway shows that when multi-target interventions are absent, but when interaction with health providers is present, alongside provision of IEC materials and group-based intervention delivery, it prompts successful interventions (3/11 interventions targeting women only [ 37 , 69 , 70 ]). The first pathway shows that there are successful configurations with and without multi-target interventions. Therefore, similar to the interventions targeting women, when implementing multi-target interventions, intervention components targeting women are more likely to be successful when partners or family members are involved, interventions are implemented through group-based intervention delivery, IEC materials were provided, and there is an opportunity for women to interact with health providers.

Intermediate pathways from multi-target interventions sub-analysis that trigger successful interventions targeting pregnant women to optimise CS. In QCA, asterisk (*) denotes an ‘AND’ relationship; Inclusion score (InclS), also known as consistency, indicates the degree to which the evidence is consistent with the hypothesis that there is sufficient relation between the configuration and the outcome; Proportional Reduction in Inconsistency (PRI) refers to the extent in which a configuration is sufficient in triggering successful outcome as well as the negation of the outcome; Coverage score (CovS) refers to percentage of cases in which the configuration is valid

To summarise, there are four essential intervention components which trigger successful educational interventions focusing on pregnant women to reduce CS, this includes 1) group-based intervention delivery, 2) provision of IEC materials on what to expect during labour and birth, 3) partner or family member involvement on the intervention, and 4) opportunity for women to interact with health providers. These conditions do not work in siloed or independently but instead work jointly as parts of configurations to enable successful interventions.

Our extensive QCA identified configurations of essential intervention components which are sufficient to trigger successful interventions to optimised CS. Educational interventions focusing on women were successful by: 1) leveraging social or peer support through group-based intervention delivery, 2) improving women’s knowledge and awareness of what to expect during labour and birth, 3) ensuring women have emotional support through partner or family participation in the intervention, and 4) providing opportunities for women to interact with health providers. We found that the absence of two or more of the above characteristics in an intervention result in unsuccessful interventions. Unlike our logic model, which predicted engagement strategies (i.e. intensity, frequency, technique, recruitment, incentives) to be essential to intervention success, we found that “support” seems to be central in maximising benefits of interventions targeting women.

Group-based intervention delivery is present across all four truth tables and eight pathways leading to successful intervention implementation, suggesting that group-based intervention delivery is an essential component of interventions targeting women. Despite this, we cannot conclude that group-based intervention delivery is a necessary condition, as there may be other pathways not captured in this QCA. The importance of group-based intervention delivery may be due to the group setting providing women with a sense of confidence through peer support and engagement. In group-based interventions, women may feel more confident when learning with others and peer support may motivate women. Furthermore, all group-based interventions in our included studies are conducted at health facilities, which may provide women with more confidence that information is aligned with clinical recommendations. Evidence on benefits of group-based interventions involving women who are pregnant has been demonstrated previously [ 72 , 73 ]. Women reported that group-based interventions reduce their feelings of isolation, provide access to group support, and allow opportunities for them to share their experiences [ 72 , 74 , 75 , 76 ]. This is aligned with social support theory, in which social support through a group or social environment may provide women with feelings of reassurance, compassion, reduce feelings of uncertainty, increase sense of control, access to new contacts to solve problems, and provision of instrumental support, which eventually influence positive health behaviours [ 72 , 77 ]. Women may resolve their uncertainties around mode of birth by sharing their concerns with others and learning at the same time how others cope with it. These findings are consistent with the benefits associated with group-based antenatal care, which is recommended by WHO [ 78 , 79 ].

Kingdon et al. (2018) reported that women and communities liked learning new birth information, as it opens new ways of thinking about vaginal birth and CS, and educates about benefits of different modes of birth, including risks of CS. Our QCA is aligned with this finding where provision of information about birth through education delivery leads to successful interventions but with certain caveats. That is, provision of birth information should be accompanied by IEC materials and through group-based intervention delivery. There is not enough information to distinguish what type of IEC materials lead to successful intervention; however, it is important to note that the format of the IEC materials (such as paper-based or mobile application) may affect success. More work is needed to understand how women and families react to format of IEC materials; for example, will paper-based IEC materials be relegated over more modern methods of reaching women with information through digital applications? The QUALI-DEC (Quality decision-making (QUALI-DEC) by women and healthcare providers for appropriate use of caesarean section) study is currently implementing a decision-analysis tool to help women make an informed decision on preferred mode of birth using both a paper-based and mobile application that may shed some light on this [ 80 ].

Previous research has shown that women who participated in interventions aiming to reduce CS desired emotional support (from partners, doulas or health providers) alongside the communication about childbirth [ 22 ]. Our QCA is aligned with this finding in which emotional support from partners or family members is highly influential in leading to successful interventions. Partner involvement in maternity care has been extensively studied and has been demonstrated to improve maternal health care utilisation and outcomes [ 81 ]. Both women and their partners perceived that partner involvement is crucial as it facilitates men to learn directly from providers, thus promoting shared decision-making among women and partners and enabling partners to reinforce adherence to any beneficial suggestions [ 82 , 83 , 84 , 85 , 86 ]. Partners provide psychosocial support to women, for example through being present during pregnancy and the childbirth process, as well as instrumental support, which includes supporting women financially [ 82 , 83 , 84 ]. Despite the benefits of partner involvement, partner's participation in maternity care is still low [ 82 ], as reflected in this study where only four out of 11 included interventions on this study involved partner or family member involvement. Reasons for this low participation, which include unequal gender norms and limited health system capability [ 82 , 84 , 85 , 86 ], should be explored and addressed to ensure the benefits of the interventions.

Furthermore, our QCA demonstrates the importance of interaction with health providers to trigger successful interventions. The interaction of women with providers in CS decision-making, however, is on a “nexus of power, trust, and risk”, where it may be beneficial but can also reinforce the structural oppression of women [ 13 ]. A recent study on patient-provider interaction in CS decision-making concluded that the interaction between providers who are risk-averse, and women who are cautious about their pregnancies in the health system results in discouragement of vaginal births [ 87 ]. However, this decision could be averted by meaningful communication between women and providers where CS risks and benefits are communicated in an environment where vaginal birth is encouraged [ 87 ]. Furthermore, the reasons women desire interaction with providers can come from opposite directions. Some women see providers as the most trusted and knowledgeable source, in which women can trust the judgement and ensure that the information learned is reliable and evidenced-based [ 22 ]. On the other hand, some women may have scepticism towards providers where women understand that providers’ preference may negatively influence their preferred mode of birth [ 22 ]. Therefore, adequate, two-way interaction is important for women to build a good rapport with providers.

It is also important to note that we have limited evidence (3/17 intervention studies) involving women with previous CS. Vaginal birth after previous CS (VBAC) can be a safe and positive experience for some women, but there are also potential risks depending on their obstetric history [ 88 , 89 , 90 ]. Davis (2020) found that women were motivated to have VBAC due to negative experiences of CS, such as the difficult recovery, and that health providers' roles served as pivotal drivers in motivating women towards VBAC [ 91 ]. Other than this, VBAC also requires giving birth in a suitably staffed and equipped maternity unit, with staff trained on VBAC, equipment for labour monitoring, and resources for emergency CS if needed [ 89 , 90 ]. There is comparatively less research conducted on VBAC and trial of labour after CS [ 88 ]. Therefore, more work is needed to explore if there are potentially different pathways that lead to successful intervention implementation for women with previous CS. It may be more likely that interventions targeting various stakeholders are more crucial in this group of women. For example, both education for women and partners or families, as well as training to upskill health providers might be needed to support VBAC.

Strength and limitations

We found many included studies had poor reporting of the interventions, including the general intervention components (e.g. presence of policies that may support interventions) and process evaluation components, which is reflective of the historical approach to reporting trial data. This poor reporting means we could not engage further in the interventions and thus may have missed important conditions that were not reported. However, we have attempted to compensate for limited process evaluation components by identifying all relevant sibling studies that could contribute to a better understanding of context. Furthermore, there are no studies conducted in low-income countries, despite rapidly increasing CS rates in these settings. Lastly, we were not able to conduct more nuanced analyses about CS, such as exploring how CS interventions impacted changes to emergency versus elective CS, VBAC, or instrumental birth, due to an insufficient number of studies and heterogeneity in outcome measurements. Therefore, it is important to note that we are not necessarily measuring the optimal outcome of interest—reducing unnecessary CS. However, it is unlikely that these non-clinical interventions will interfere with a decision of CS based on clinical indications.

Despite these limitations, this is the first study aiming to understand how certain interventions can be successful in targeting women to optimise CS use. We used the QCA approach and new analytical frameworks to re-analyse existing systematic review evidence to generate new knowledge. We ensure robustness through the use of a logic model and worked backwards in understanding what aspects are different in the intervention across different outcomes. The use of QCA and qualitative evidence synthesis ensured that the results are theory-driven, incorporate participants’ perspectives into the analysis, and explored iteratively to find the appropriate configurations, reducing the risk of data fishing. Lastly, this QCA extends the understanding of effectiveness review conducted by Chen et al. (2018) [ 18 ] by explaining the potential intervention components which may influence heterogeneity.

Implications for practice and research

To aid researchers and health providers to reduce CS in their contexts and designing educational interventions targeting women during pregnancy, we have developed a checklist of key components or questions to consider when designing the interventions that may help lead to successful implementation:

Is the intervention delivered in a group setting?

Are IEC materials on what to expect during labour and birth disseminated to women?

Are women’s partners or families involved in the intervention?

Do women have opportunities to interact with health providers?

We have used this checklist to explore the extent to which the included interventions in our QCA include these components using a matrix model (Fig.  6 ).

Matrix model assessing the extent to which the included intervention studies have essential intervention components identified in the QCA

Additionally, future research on interventions to optimise the use of CS should report the intervention components implemented, including process outcomes such as fidelity, attrition, contextual factors (e.g. policies, details of how the intervention is delivered), and stakeholder factors (e.g. women’s perceptions and satisfaction). These factors are important in not just evaluating whether the intervention is successful or not, but also in exploring why similar interventions can work in one but not in another context. There is also a need for more intervention studies implementing VBAC to reduce CS, to understand how involving women with previous CS may result in successful interventions. Furthermore, more studies understanding impact of the interventions targeting women in LMICs are needed.

This QCA illustrates crucial intervention components and potential pathways that can trigger successful educational interventions to optimise CS, focusing on pregnant women. The following intervention components are found to be sufficient in triggering successful outcomes: 1) group-based delivery, 2) provision of IEC materials, 3) partner or family member involvement, and 4) opportunity for women to interact with health providers. These intervention components do not work in siloed or independently but instead work jointly as parts of configurations to enable successful interventions. Researchers, trialists, hospitals, or other institutions and stakeholders planning interventions focusing on pregnant women can consider including these components to ensure benefits. More studies understanding impact of the interventions targeting women to optimise CS are needed from LMICs. Researchers should clearly describe and report intervention components in trials, and consider how process evaluations can help explain why trials were successful or not. More robust trial reporting and process evaluations can help to better understand mechanisms of action and why interventions may work in one context yet not another.

Availability of data and materials

Additional information files have been provided and more data may be provided upon request to [email protected].

Abbreviations

Coverage score

• Caesarean section

Crisp set qualitative comparative analysis

Fuzzy set qualitative comparative analysis

Information, education, and communication

Inclusion score

Low- and middle-income countries

Proportional reduction in inconsistency

Quality decision-making by women and healthcare providers for appropriate use of caesarean section

Vaginal birth after previous caesarean section

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Acknowledgements

We extend our thanks to Jim Berryman (Brownless Medical Library, Faculty of Medicine, Dentistry and Health Sciences, The University of Melbourne) for his help in refining the search strategy for sibling studies.

This research was made possible with the support of UNDP/UNFPA/UNICEF/WHO/World Bank Special Programme of Research, Development and Research Training in Human Reproduction (HRP), a co-sponsored programme executed by the World Health Organization (WHO). RIZ is supported by Melbourne Research Scholarship and Human Rights Scholarship from The University of Melbourne. CSEH is supported by a National Health and Medical Research Council (NHMRC) Principal Research Fellowship. MAB’s time is supported by an Australian Research Council Discovery Early Career Researcher Award (DE200100264) and a Dame Kate Campbell Fellowship (University of Melbourne Faculty of Medicine, Dentistry, and Health Sciences). The funders had no role in the study design, data collection and analysis, decision to publish, or preparation of the manuscript. The contents of this publication are the responsibility of the authors and do not reflect the views of the UNDP/UNFPA/UNICEF/WHO/World Bank Special Programme of Research, Development and Research Training in Human Reproduction (HRP), World Health Organization.

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Supplementary Information

Additional file 1..

Logic model in optimizing CS use.

Additional file 2.

Risk of bias assessments.

Additional file 3.

Coding framework and calibration rules.

Additional file 4.

Coding framework as applied to each intervention (data table).

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Zahroh, R.I., Sutcliffe, K., Kneale, D. et al. Educational interventions targeting pregnant women to optimise the use of caesarean section: What are the essential elements? A qualitative comparative analysis. BMC Public Health 23 , 1851 (2023). https://doi.org/10.1186/s12889-023-16718-0

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Published : 23 September 2023

DOI : https://doi.org/10.1186/s12889-023-16718-0

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